ARTICLE 12
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12.1 Purpose
To establish policy, define responsibilities, and set forth procedures for administering corrective disciplinary action.
12.2.1 Discipline shall mean corrective action taken with respect to employee/volunteer violations of conduct standards that are serious enough to warrant verbal (documented) reprimand, written reprimand, revocation of privileges, disciplinary time-off, demotion or discharge.
12.2.2 Employee shall mean any active career, part time, or volunteer employee of the Diamond Springs - El Dorado Fire Protection District.
12.2.3 Immediate Supervisor shall mean the first level officer having immediate jurisdiction over the employee.
12.3 Rules, Regulations and Enforcement
12.3.1 Rules are established to determine the rights of employees, and to ensure the attainment of organizational objectives through orderly processes. The rules, regulations, and policies covered under this article are those of the Diamond Springs-El Dorado Fire Protection District and El Dorado County Service Area #7. Accordingly, through training and/or available published documentation, employees should know:
A. Their specific duties.
B. What standards of conduct and performance are expected.
C. How they are accomplished.
D. The results of their efforts.
12.3.2 The supervisor must continually strive for uniformity of enforcement. The cardinal principle must be honest and consistent application of the rules to all employees. Inconsistency in the application and severity of disciplinary action will result in resentment. Failure to enforce disciplinary action will result in both lack of respect and low morale among conscientious employees.
12.4.1 Management at all levels shall maintain standards of conduct and work performance with the best interest of the district and of personnel assigned to their shift/group in mind. These standards shall apply to all employee/volunteer activities on district property and on district business away from district property.
12.4.2 Disciplinary action shall reflect the seriousness with which the district views the specific violation and shall, whenever possible, be directed at rehabilitating rather than punishing the employee/volunteer.
12.4.3 The corrective disciplinary action process shall observe the following guidelines:
A. It must be administered without bias or discrimination and in a manner consistent with similar cases previously encountered.
B. The involved employee/volunteer must be given full opportunity to tell his/her side of the incident.
C. All information received from witnesses must be thoroughly investigated and verified.
D. All other pertinent evidence must be obtained and recorded.
E. The prior performance of the employee/volunteer must be reviewed and considered.
12.4.4 The progressive disciplinary system is not simply a set of procedures for invoking punitive action. It is a structured system for changing employee on-the-job behavior. Positive reinforcement measures are an integral part of the system, such as promotions, salary step increases, and commendations. In order for the disciplinary system to be effective, work rules and the consequences of violating the rules should be well publicized.
12.4.5 The following is a description of the progressive disciplinary system used by the Diamond Springs - El Dorado Fire Protection District:
A. Oral Warning: Minor isolated infractions and violations can usually be handled successfully by a discussion with the employee in private.
(1). Employees must be told that more serious action may be taken if no significant improvement in conduct results from this discussion.
(2). The supervisor should keep a written record of these discussions briefly indicating the matter discussed, the employee's response, and the result of the discussion. It should be dated and kept by the supervisor giving the oral warning. Included in the note should be any comment made to the employee that failure to improve job performance may result in the administration of future disciplinary action.
(3). This action is generally handled by the employee's immediate supervisor.
B. Written Reprimand: Either used as a follow-up with an employee who has been previously warned about his/her work performance or conduct, or to discipline an employee who has violated a specific rule deemed serious by the district.
(1). Copies of written reprimands must be distributed to the Fire Chief, the employee, and the employee's personnel file.
(2). The written reprimand to be placed in the employee's personnel file must be signed by the employee or witnessed in writing by supervisory personnel in the presence of the employee to confirm that the employee is notified that the letter is in the personnel file.
(3). Written reprimands should contain a statement to the effect that either failure to improve job performance within a specific time frame or a repeat of this violation may result in the use of further progressive disciplinary actions.
(4). This action can be performed by the immediate supervisor or a chief officer.
C. Suspension or Revocation of Privileges: To be used in cases of serious offenses or when a written reprimand fails to obtain job performance improvement.
(1). A flagrant violation, repeated violations, continued lack of improvement in job performance or threats to the safety of employees or the public justify the use of suspension.
(2). Suspensions will not generally exceed sixty calendar days.
(3). This action is generally performed by the Fire Chief or his designee.
D. Demotion: The disciplinary action of demotion in classification is primarily used when employees are unable or fail to perform the duties of their job classification safely, satisfactorily, effectively, or efficiently.
(1). Permanent employees shall not be demoted to a job classification they have not previously held within the district.
(2). Employees who have not completed their promotional probationary period are returned to their former position if they fail to satisfactorily perform their new job.
(3). This action is performed by the Fire Chief.
E. Discharge (Dismissal): The disciplinary action of discharge is reserved for very serious offenses or as the final step after seeking improvement in an employee's conduct or job performance through the disciplinary process. This action is performed by the Fire Chief.
12.5 Pre-Disciplinary Procedure
12.5.1 Before any disciplinary action is taken, the following must be determined:
A. What rule, order, regulation, policy, procedure, or directive was violated.
B. Who was involved.
C. When it occurred.
D. Where it occurred.
E. Identity of witnesses.
F. Past record of violating employee.
12.5.2 Documentation
A. Complete records of corrective counseling and more serious disciplinary action must be kept. Generally, records should include a description of any discussion and investigation, the facts discovered, the action taken, and the results of that action.
B. Examples of documentation to be obtained for disciplinary purposes include (as applicable):
(1). Logs of employee's time sheets.
(2). Documents of counseling sessions.
(3). Employee performance evaluations.
(4). Written reprimands.
(5). Current job description.
(6). Written performance standards.
(7). Documentation of supervisor's personal observations.
(8). Rules, regulations, and/or orders violated.
(9). Incident reports, police reports, audit reports, independent investigation summaries.
12.6 Pre-Disciplinary Safeguards
12.6.1 Suspensions, demotions, or discharges require that the employee be accorded certain procedural rights before discipline becomes effective. The employee must receive:
A. Notice of proposed disciplinary action to be taken.
B. Reason(s) for the action being taken.
C. Copy of the charge(s).
D. Right to respond within a reasonable time, either orally or in writing, to the charges.
E. Right to representation.
F. Right of discovery.
12.6.2 Supervisors shall notify a chief officer prior to taking disciplinary action beyond an oral warning, except where a clear threat to the safety of employees, the public, or property exists.
12.6.3 . Extraordinary circumstances may arise where the immediate suspension of an employee is essential in order to avert harm to the district or the public.
12.7.1 Complete any necessary documentation and route as indicated by policy. A chief officer shall be notified of any disciplinary action.
12.7.2 Take progressive disciplinary steps as appropriate to the seriousness of the violation(s).
12.7.3 Comply with the following procedure for Written Notice of Proposed Disciplinary Action (involving suspension, revocation of privileges, demotion, or discharge; see attached example):
A. The employee must be served either personally or by certified mail of the type of proposed discipline.
B. Include proposed effective date of the discipline.
C. Clearly state the reasons for the proposed action, i.e., the rule violated, the causes or grounds of the action.
D. Include a detailed statement of the circumstances upon which the action is based. Include past disciplinary actions which may have a bearing on the present action or which may support the severity of the penalty.
E. Inform the employee that he/she may have access to and review all of the written materials which the employer has compiled which support the proposed action.
F. Inform the employee that he/she will be given the opportunity to respond either orally or in writing or both. State the specific time period within which the employee has to respond prior to the effective date of the discipline. This period may vary depending on the circumstances as long as the time period is reasonable. The time period should not normally exceed thirty (30) days. The time period may be waived by mutual agreement of the employee and management.
G. Inform the employee he/she has the right to be represented.
H. If personally served on the employee, the employee should sign for a copy of the Written Notice. If the employee declines to sign, ask him to do so in the presence of another supervisor. If the employee still refuses, the employee's supervisor must write "employee refused to sign" in the presence of both the employee and the other supervisor. Both supervisors must then place their time-dated initials next to the statement.
I. Upon request of the employee, set a specific time and place for the employee to present a response to the person who can effectively recommend action be taken.
12.7.4 Procedure for Notice of Disciplinary Action (involving suspension, demotion, or discharge; see attached example):
A. After the employee's response period has elapsed, or after considering his response, a determination is made to take disciplinary action either as originally proposed or in a lesser form. A written notice of discipline must be given to the employee.
B. The contents of the letter will be the same as in the Procedure for Written Notice of Proposed Disciplinary Action except that the action will no longer be "proposed". It is now final.
C. The notice must state the employee's appeal rights.
D. The notice must be served on the employee either personally or by certified mail.
E. If personally served on the employee, the employee should sign for a copy of the memo. If the employee declines to sign, ask him to do so in the presence of another supervisor. If the employee still refuses, the employee's supervisor must write "employee refused to sign" in the presence of both the employee and the other supervisor. Both supervisors must then place their time-dated initials next to the statement.
12.7.5 Procedure for circumstances where there is a need for immediate disciplinary action:
A. An employee may be ordered off the job with pay where conduct imperils the safety or welfare of the public, other employees, the employee (i.e., drunkenness, violence, gross insubordination), or property.
B. Generally, a Chief officer should be the person to take an immediate suspension action. Situations may occur, however, where a Chief officer is not available. In such a case, a duty Captain may have to make the suspension. If such action is taken, the Captain must notify the Fire Chief or his designee as soon as possible and submit written documentation of the circumstances leading to the suspension and the reasons the action was actually taken.
C. The Fire Chief or his designee will consult with counsel regarding the action as soon as possible.
12.7.6 Disciplinary Appeal to the Board of Directors
A. An employee has ten (10) days to submit a written request to appeal a disciplinary action to the Board of Directors of the Diamond Springs - El Dorado Fire Protection District.
B. The Chairman of the Board will schedule a hearing to occur within sixty (60) days of receipt of the appeal. The time frame for the hearing may be negotiated by mutual consent of the board and the appellant.
C. The disciplinary appeal to the Board of Directors is a trial-like evidentiary hearing before the Board.
(1). The burden of proof rests with the District.
(2). Both parties have the right to representation, to present evidence, and to cross examine witnesses.
12.7.7 Arbitration
A. Only appeals which involve the interpretation, application or enforcement of the provisions of the Memorandum of Understanding with district employees, district rules, regulations, policies and procedures may be appealed to binding arbitration.
B. In the event that the appellant is not satisfied with the decision rendered by the Board of Directors, the appellant may submit the appeal to arbitration. The request for arbitration must be made within ten (10) days of the appellant's receipt of the decision rendered by the Board of Directors.
C. Selection of an Arbitrator
(1). An impartial arbitrator shall be selected jointly by the appellant and the district within ten (10) days of receipt of the appeal for arbitration.
(2). If both parties cannot agree on a neutral arbitrator, then either may seek a list of five (5) arbitrators from the American Arbitration Association or the California Mediation and Conciliation Service. Selection shall be made by alternately striking names from the list of five (5) until one name remains. Such person shall be designated as the arbitrator. The first party to strike names from the list shall be determined by lot.
D. The Chairman of the Board will schedule an arbitration hearing to occur within thirty (30) days of selection of the arbitrator. The time frame for the hearing may be negotiated by mutual consent of the board and the appellant.
E. The arbitration hearing will be attended by the arbitrator, the Chairman of the Board of Directors, the Fire Chief (or his designee), the appellant and their respective representatives.
F. The arbitration hearing shall be evidentiary in nature, with cases and positions made and expressed by the appellant, management, and/or their respective representatives. Witnesses may be called by the grievant, management, the Chairman of the Board of Directors, and/or their respective representatives. Witnesses shall be compensated by the party requesting them.
G. Decision
(1). The arbitrator must render a written decision within sixty (60) calendar days of the conclusion of the hearing.
(2). There shall be no post hearing briefs unless mutually agreed by the parties.
(3). The arbitrator shall have the power to frame a decision provided that it does not add to, delete or alter any provisions of the Memorandum of Understanding with district employees, district rules, regulations, policies and procedures. The decision shall be limited to the application and interpretation of these provisions.
(4). The decision of the arbitrator shall be final and binding on all parties.
H. The fees of the arbitrator and the court reporter will be borne equally by the appellant and the district.
12.7.8 . Probationary Employees
A. Probationary employees have no property right in employment, so they may be dismissed without a showing of cause.
B. Where an allegation of misconduct is raised, an employee is entitled to a hearing to clear the probationary employee's name prior to action being taken.
12.7.9 Sample Disciplinary Letters
A. Written Reprimand
Date: (date letter signed by author)
To: (name of employee for whom letter is intended)
Subject: WRITTEN REPRIMAND
At (time and date), you (describe the incident or cause of the letter).
Your action (or failure to act) constitutes a violation of (state the rule regulation, or procedure violated). Such incidents are not acceptable, and your actions (or failure to act)(outline the major concerns, such as "potentially prevent this district from carrying out its mission of protecting the public, etc.").
I cannot stress enough how seriously I regard this issue. Further violations or failures of this nature will result in increasingly progressive discipline.
Sincerely,
________________________
Name and Title of Supervisor
Diamond Springs/El Dorado Fire Protection District
I have read this written reprimand, received a copy of it, and acknowledge that it has been placed in my personnel file. If no further incidents of this nature occur within the next six months, I may request that it be removed from my personnel file.
_______________________ ___________________________
Employee Name Date Time
B. Notice of Proposed Disciplinary Action
Date: (date letter is signed by author)
TO: (name of employee for whom proposed disciplinary action is intended)
Subject: NOTICE OF PROPOSED DISCIPLINARY ACTION
The purpose of this letter is to advise you that I am proposing that you be (suspended, demoted, or discharged) effective at the end of your regularly scheduled work day on (state day, date, and time -- at least five calendar days from date the employee actually receives this letter.).
This action is proposed to be taken for the following listed reasons: (state applicable grounds and reference the number and title of each rule, regulation, policy, procedure, directive or law violated).
For example:
1. Violation of Article (state number and title) of the Current Memorandum of Understanding with the Diamond Springs - El Dorado Fire Protection District.
2. Violation of Personnel Rule (state number and title).
3. Insubordination (or other charge).
The above grounds are based on the following acts or omissions: (set forth clearly and specifically all of the details, dates, names, places, and events which give rise to the action).
Such violations are not acceptable. If the proposed action is implemented, and if further transgressions of this nature occur, it may result in the imposition of a more serious discipline including discharge.
Copies of all documents, your personnel file, and other material which support the proposed action are available in (state location and name of individual(s) who possess materials) for your review upon your request during regular office hours.
You have the right to respond to me orally or in writing as to why this action should not be taken by (state date -- at least five calendar days from date the employee actually receives this letter). You have the right to be represented by an attorney or other representative of your choice. Your response will be considered before final action is taken.If you wish to respond orally, please contact (state name and location of individual to whom such request should be delivered) in writing so that a specific time can be set for oral response.
______________________________
Name and Title of Management Supervisor
Diamond Springs - El Dorado Fire Protection District
cc: Chairman of the Board of Directors, Diamond Springs - El Dorado Fire Protection District
Diamond Springs - El Dorado Fire Protection District Counsel
Personnel File
I acknowledge that the contents of this letter have been explained to me, that I have read it, and that I received a copy of same.
______________________________
Employee Name
______________________________
Date Time
C. Notice of Disciplinary Action
Date: (date letter is signed by author)
TO: (name of employee for whom proposed disciplinary action is intended)
Subject: NOTICE OF DISCIPLINARY ACTION
The purpose of this letter is to advise you that you will be (suspended, demoted, or discharged) effective at the end of your regularly scheduled work day on (state day, date, and time).
This action will be taken for the following listed reasons: (state applicable grounds and reference the number and title of each rule, regulation, policy, procedure, directive or law violated).
For example:
1. Violation of Article (state number and title) of the Current Memorandum of Understanding with the Diamond Springs - El Dorado Fire Protection District.
2. Violation of Personnel Rule (state number and title).
3. Insubordination (or other charge).
The above grounds are based on the following acts or omissions: (set forth clearly and specifically all of the details, dates, names, places, and events which give rise to the action).
Such violations are not acceptable. Further transgressions of this nature may result in the imposition of a more serious discipline including discharge.
Copies of all documents, your personnel file, and other material which support the proposed action are available in (state location and name of individual(s) who possess materials) for your review upon your request during regular office hours.
You have the right to appeal this action to the Board of Directors of the Diamond Springs - El Dorado Fire Protection District (state time frame in which appeal must be made). You have the right to be represented by an attorney or other representative of your choice.
______________________________
Name and Title of Management Supervisor
Diamond Springs - El Dorado Fire Protection District
cc: Chairman of the Board of Directors, Diamond Springs - El Dorado Fire Protection District
Diamond Springs - El Dorado Fire Protection District Counsel
Personnel File
I acknowledge that the contents of this letter have been explained to me, that I have read it, and that I received a copy of same.
______________________________
Employee Name
______________________________
Date Time
D. Sample Discharge Letter for Probationary Employee
Date: (date memo is signed by author)
TO: (name of probationary employee for whom action is intended)
Subject: NOTICE OF DISCHARGE OF PROBATIONARY EMPLOYEE
The purpose of this letter is to advise you that you will be discharged from the position of (list job classification) with the Diamond Springs - El Dorado Fire Protection District effective (list day, date, and time).
This action is being taken because of your failure to satisfactorily complete your probationary period pursuant to Article (list number) of the Rules and Regulations of the Diamond Springs - El Dorado Fire Protection District. A copy of said Article is attached for you information.
I deeply regret having to take this action.
__________________________
Name and Title of Management Supervisor
Diamond Springs - El Dorado Fire Protection District
cc: Chairman of the Board of Directors, Diamond Springs - El Dorado Fire Protection District
Diamond Springs - El Dorado Fire Protection District Counsel
Personnel File
I acknowledge that I have read this letter and received a copy of same.
______________________________ _____________________
Employee Name Date Time