It is the policy of town that disciplinary action should be
taken only when all reasonable efforts to improve performance have
been unsuccessful or when the actions or omissions of an employee
require formal discipline. Supervisors are expected to use all the
tools and skills at their disposal to correct performance problems
before formal discipline is required. These tools and skills include,
but are not limited to: coaching, counseling, training, use of evaluations
and corrective action plans.
(Ordinance 18-01 adopted 2018)
A. Written
notice.
The initiation of discipline begins with the
supervisor, department director or human resources director notifying
an employee in writing that they are investigating a situation that
may result in disciplinary action. The notice will include the scheduling
of a discipline consideration meeting with the employee or the deferral
of the discipline consideration meeting until completion of a formal
investigation. The discipline consideration meeting will normally
be scheduled to occur within ten (10) working days of the alleged
commission, omission or discovery of an act or omission which may
lead to discipline or within ten (10) working days of the completion
of a formal investigation.
B. Discipline
consideration meeting.
The discipline consideration meeting
will be informal in nature. While no formal record will be developed,
all participants are expected to make and keep their own written notes
of the proceedings. Attendees at the discipline consideration meeting
may include the supervisor, department director, and/or human resources
director and a witness, and the employee and a representative. The
supervisor, department director, or human resources director will
discuss why an investigation is being done or why discipline is being
considered. The employee will explain their side of the issue and
may also suggest his/her own discipline which may or may not be accepted.
C. Supervisor
action.
Within five (5) working days of the discipline
consideration meeting, the supervisor, department director, elected
official or human resources director shall make a discipline decision
and:
1. In
the case of a verbal reprimand:
Complete a town corrective/disciplinary
action report indicating a verbal reprimand and attach all supporting
documentation. The employee will have the opportunity to sign the
report acknowledging receipt. If the employee refuses to sign, a witness
will sign acknowledging that the employee did receive a copy of the
report. The employee will be given a copy of the report, including
all supporting documentation. The original of the report and all supporting
documentation will be placed in the informal file maintained by the
employee’s supervisor.
2. In
the case of a written reprimand:
Complete a town corrective/disciplinary
action report indicating a written reprimand and attach all supporting
documentation. The employee will have the opportunity to sign the
report acknowledging receipt. If the employee refuses to sign, a witness
will sign acknowledging that the employee did receive a copy of the
report. The employee will receive a copy of the report, including
all supporting documentation. The original of the report and all supporting
documentation will be forwarded to the human resources department
for inclusion in the employee’s official personnel file. A copy
of the report and all supporting documentation will be placed in the
employee’s informal file maintained by their supervisor.
a. Request for removal.
An employee may request that a
written reprimand be removed from their official personnel file after
an eighteen (18) consecutive month period of discipline free performance.
The request must be made in writing to the town manager and endorsed
by the employee’s department director.
3. In
the case of recommended suspension, demotion or termination:
Complete a town corrective/disciplinary action report indicating
a recommended suspension, demotion or termination and attach all supporting
documentation. The employee will have the opportunity to sign the
report acknowledging receipt. If the employee refuses to sign, a witness
will sign acknowledging that the employee did receive a copy of the
report. The entire report and supporting documentation will be forwarded
to the human resources director for review and submission to the town
manager for action. The town manager will schedule a disciplinary
hearing to consider the recommended discipline.
D. Scheduling
the disciplinary hearing.
Within five (5) working days
of receipt of a town corrective/disciplinary action report and all
supporting documentation from the human resources director recommending
suspension, demotion or termination, the town manager will schedule
a disciplinary hearing. The town will normally be represented at the
disciplinary hearing by the town manager and the department director.
The town attorney may also attend. The employee may have representation
at his own expense at the disciplinary hearing. At the disciplinary
hearing, the employee will have the opportunity to respond to the
proposed disciplinary action. If the employee elects not to be present
at the disciplinary hearing, the disciplinary action recommended will
still be evaluated at that time by the town manager.
E. Town
manager decision.
The town manager will make a decision
within five (5) working days of the disciplinary hearing. The town
manager’s written decision will be attached to the town corrective/disciplinary
action report and it and all supporting documentation will be returned
to the human resources director for action. The human resources director
will implement the town manager’s decision. The original copy
of the report and all documentation will be placed in the employee’s
official personnel file. A copy of the report and all documentation
will be given to the employee. A copy of the report and all documentation
will be returned to the supervisor to be placed in the employee’s
informal file. The employee will also be given written notice of their
right to appeal the town manager’s decision to an independent
hearing officer.
F. Appeal
to an independent hearing officer.
1. Notice
of appeal.
Within five (5) working days of receipt of
the town manager’s decision, the employee may appeal to an independent
hearing officer. The appeal must be in writing to the town manager.
2. Appointment
of hearing officer.
Within five (5) working days of a
notice of appeal, the town manager will provide the employee the name
of the proposed hearing officer. Within five (5) working days of receipt
of the written notification of the proposed hearing officer, the employee
must notify the town manager in writing of any objection to the proposed
hearing officer, giving valid and justifiable reasons for such objection.
If the town manager agrees with the objection, the town manager and
employee, or his representative, shall meet to designate a mutually
acceptable hearing officer. If the town manager does not agree with
the objection, the hearing officer shall be as proposed. The town
manager’s failure to meet and designate a mutually acceptable
hearing officer shall be taken as a denial of the objection.
3. Scheduling
of the hearing.
The appointed independent hearing officer
will schedule a hearing within thirty (30) calendar days of his or
her appointment. The hearing officer will determine the date and time
of the disciplinary hearing and will decide on any requests for continuance.
Such hearings will be conducted at a time and place which is mutually
convenient to all parties concerned. Requests for continuances of
hearings shall be made at least three (3) working days prior to the
scheduled hearing, absent extenuating circumstances. Requests for
continuances of hearings shall be made in writing directly to the
hearing officer with copies to all parties involved. The parties must
agree in writing to any postponement of the hearing beyond thirty
(30) calendar days.
4. Hearing
rules of procedure.
a. Open Meetings Act.
All hearings shall be open to the
public unless the parties mutually agree in writing to the contrary.
b. Who must be present at the hearing.
The following persons
are required to be present at the hearing unless otherwise excused
by the hearing officer or by agreement of the parties: the hearing
officer, the employee and representative (if any), and the town’s
designated representative(s).
c. Hearing officer actions.
The hearing officer shall:
(1) Make rulings on procedural and substantive issues of the hearing.
(2) Determine the admissibility of evidence and testimony, all of which
must have a direct bearing on the issue before the hearing officer.
(3) Administer the oath to all witnesses prior to the witness testifying.
(4) Follow the evidentiary standard for administrative agencies.
(5) Issue a written ruling, including findings of fact which form the
basis of the hearing officer’s conclusions of law.
d. Stipulation of facts and issues.
The parties shall stipulate
to the facts and issues to the greatest extent possible prior to the
hearing.
e. Sharing of information prior to the hearing.
Prior to
the hearing, the parties or representatives of the parties shall prepare
copies of all exhibits and evidence which are expected to be presented.
The parties shall stipulate to exhibits to the extent possible and
bring to the hearing adequate copies for the hearing officer as well
as the opposing party.
f. Evidence and witnesses.
At least seven (7) calendar
days prior to the hearing, all parties must submit to the hearing
officer: a statement identifying the issues to be heard, a witness
list and a complete list of documents to be admitted as evidence.
Copies of all documents must be given to the opposing party at least
seven (7) calendar days prior to the hearing. Witnesses in discipline
appeal hearings are not admitted into the hearing room until called
upon to testify.
g. Notice.
Notice of the hearing will be sent by certified
mail to the employee and postmarked at least ten (10) working days
prior to the scheduled hearing. Copies of the hearing notice shall
be sent concurrently to all relevant parties.
h. Official record of hearing.
Either a tape recorded or
stenographic record of all disciplinary appeal hearings will be made.
5. Conduct
of hearings.
a. Opening statements.
The town, who carries the burden
of proof by a preponderance of the evidence, shall present an opening
statement of the issues involved in the case, followed by the employee.
Opening statements are limited to pertinent issues of fact and law
and shall not exceed ten (10) minutes without permission of the hearing
officer.
b. Town presentation.
Witnesses for the town will be called
and questioned on their involvement in, or knowledge of, the case.
Following each witness’s testimony, the employee will have the
opportunity to cross-examine the witness. The hearing officer will
then have the opportunity to question the witness on matters related
to the witness’s testimony. The hearing officer shall restrict
his questions to those necessary to clarify the testimony previously
given. Follow-up or redirect questioning will be allowed at the discretion
of the hearing officer.
c. Employee presentation.
The employee will then present
his or her case to the hearing officer. Witnesses for the employee
may be called and questioned on their involvement in, or knowledge
of, the case. Following each witness’s testimony the town will
have the opportunity to cross-examine the witness. The hearing officer
will then have the opportunity to question the witness on matters
related only to the witness’s testimony. The hearing officer
shall restrict his or her questions to those necessary to clarify
the testimony previously given. Follow-up or redirect questioning
will be allowed at the discretion of the hearing officer.
d. Rebuttal.
Following presentation of the employee’s
position, the town may offer rebuttal testimony. Such testimony shall
be brief and shall address only the issues brought forth in the employee’s
presentation.
e. Closing statements.
The employee’s closing statement
shall be presented, followed by that of the town. These statements
shall not exceed ten (10) minutes without the permission of the hearing
officer, and at a minimum shall contain a request for the desired
outcome. The employee shall have the opportunity to make a final statement,
not to exceed five (5) minutes, which shall be limited to issues brought
forth in the town’s closing statement.
G. Communication
of the independent hearing officer decision.
The hearing
officer’s written decision will be issued within ten (10) working
days of the hearing and sent to the employee and the town manager.
The hearing officer may uphold, modify or reverse the decision of
the town manager, and may reinstate the employee and award back pay
and benefits. The record of the proceeding will be retained by the
town manager’s office or the certified court reporter for a
period of not less than one year from the hearing date, along with
all of the physical evidence admitted by the hearing officer. The
verbal record shall be transcribed only in the case of appeal to the
district court by one of the respective parties. The party requesting
the transcription shall make arrangements to pay for the transcription.
H. Appeal
of hearing officer decision.
Either party may appeal
the independent hearing officer’s decision in the Eighth Judicial
District Court within thirty (30) days of the hearing officer’s
decision.
(Ordinance 18-01 adopted 2018)