Flashcards in Interview Deck (37):
Considered the second level of formal
discipline. In accordance with Personnel Rules, Section 540F, an
employee may be placed on disciplinary probation for violations of the
Standards of Conduct listed in Section 510 of the Personnel Rules.
Disciplinary probation will not exceed 12 months and cannot be extended
beyond its original length. Disciplinary probation will be based on
infractions as outlined in Section 510 of the Personnel Rules. Disciplinary
probation is intended to notify the employee that any prohibited act(s) by
the employee, occurring while the employee is on disciplinary probation,
may be grounds for demotion or dismissal. While on disciplinary
probation, an employee will not receive a merit increase or compete in any
promotional testing opportunity. The employee’s salary will be set by the
Department Director at a rate no more than the current salary and no
more than five percent (5%) below that salary for the duration of the
disciplinary probation. The Disciplinary Probation Form is signed by the
employee or a witness and must be forwarded to the Human Resources
Department for inclusion in the employee’s official personnel file.
Disciplinary Probation –
– A written plan that alerts an employee about a
performance problem and provides a period of time to correct the
performance problem. The plan outlines the supervisor’s performance
expectations, steps to be completed by the employee, and warns the
employee of the potential consequences for failing to complete the plan
successfully. A corrective action plan is signed by the employee or a
witness (if the employee refuses to sign) and must be forwarded to the Human Resources Department for inclusion in the employee’s official
MANAGEMENT POLICY POLICY NUMBER:
Corrective Action Plan
1. Incompetence or inefficiency in the performance of duties.
2. Abusiveness in attitude, language, or conduct to the public, wards of the City, or fellow employees.
3. Violation of any policy or procedure, lawful or official regulation or order or failure to obey any lawful and reasonable direction given by the employee's superior officer or supervisor.
4. a. The use or possession of drugs, unless:
1) such use or possession is pursuant to orders from a duly licensed
physician as part of a lawful course of treatment, or unless
2) in the case of a vapor releasing substance containing a toxic substance, such use or possession is consistent with manufacturer's instructions and is authorized by the City for the performance of certain job-related functions.
b. The use or possession of alcohol while on duty or during a break therefrom (including meal breaks), or reporting for duty under the influence of alcohol or with a detectable odor of alcohol on one's breath or about one's person.
5. Accepting a bribe in the course of work or in connection with it.
6. Using, threatening to use, or attempting to use undue influence, extortion or blackmail in securing employment benefits or advantages for the employee or any other person.
7. Conduct of a type that will bring discredit or embarrassment to the City.
8. Conviction of, or failure to report conviction of, any felony or conviction of a misdemeanor involving moral turpitude.
9. Knowingly or intentionally falsifying City documents or records, making false, incomplete, or misleading statements to any individual, or using fraud to secure an appointment with the City.
10. Causing bodily injury to person(s), theft of or damage to public property or wasting public supplies due to negligence or willful misconduct.
11. Being absent from duty without authority.
12. Engaging in outside business activities on City time or using City property for personal use unless authorized by written City or departmental administrative policy.
13. Engaging in unlawful harassment or discriminatory conduct against another employee or applicant for employment on the basis of race, gender, religion, color, national origin, age, marital status, or disability or engaging in retaliation against another for filing a
complaint or participating in any investigation.
14. Failure to maintain minimum standards, licenses, or qualifications required for any position.
15. Failure of an employee to operate a City vehicle in a safe and lawful manner.
Disciplinary action for moving violations received will be based upon the severity of the moving violation and the number of violations in a one (1)year period.
16. Knowingly destroying, deleting or altering documents (including e-mail or computer files) that are related to an investigation
Causes for Discipline or Dismissal:
Considered the fifth and final level of formal discipline. An official City form is used that notifies a classified employee of his/her
dismissal from City employment for performance problems and/or other serious infractions which include but are not limited to; violations of the Standards of Conduct listed in Section 510 of the Personnel Rules. The dismissal form is signed by the employee or a witness and must be forwarded to the Human Resources Department for inclusion in the employee’s official personnel file.
A grievance is an allegation by a classified employee that the
Personnel Rules or the written rules and procedures of any City
department have been misinterpreted or misapplied as to that employee;
or that the employee has been discriminated against in violation of federal
or state law (See Section 710 of the Personnel Rules).
– Considered the fourth level of formal discipline
as per Section 810 of the Personnel Rules. Demotion is the movement of
an employee from one (1) class to another class having a lower maximum
IMPLEMENTING CORRECTIVE ACTION & DISCIPLINE
rate of pay. A Department Director or the designated Acting Department
director or City Manager designee or designated Acting City Manager
designee, may demote an employee for reasons listed in Section 830 of
the Personnel Rules. The employee’s new salary will be calculated in
accordance with Section 320 (I) of the Personnel Rules. An employee
demoted for violations of Standards of Conduct as listed in Section 510 of
the Personnel Rules shall be placed on disciplinary probation for a
minimum of ninety (90) days, but not more than one (1) year. An official
City form is used that notifies an employee of his/her demotion for such
reasons as, but are not limited to, violations of the Standards of Conduct
listed in Section 510 of the Personnel Rules. The involuntary demotion
form is signed by the employee or a witness and must be forwarded to the
Human Resources Department for inclusion in the employee’s official
A memo to an employee or
employees that documents, clarifies and summarizes discussions and
expectations of the supervisor. A memorandum of understanding should
be placed in the supervisor’s workstation file for that employee.
Memorandum of Understanding –
Corrective action taken by a
supervisor or manager that is not considered formal discipline. These
actions include but are not limited to, oral counseling, memorandum of
understanding, written counseling, and/or a corrective action plan.
Non-Disciplinary Corrective Action –
A discussion between a supervisor and employee
where the supervisor notifies an employee about a problem and counsels
him/her about potential consequences should the problem continue. Oral
counselings should be documented in the supervisor’s workstation file for
Oral Counseling –
A hearing conducted by a Department
Director (or designee when appropriate) or City Manager designee or
Acting City Manager designee where a classified employee is given an
opportunity to present reasons, either orally or in writing (or both) as to
why a proposed disciplinary action of disciplinary reduction in pay,
suspension (of more than sixteen (16) work hours), demotion, or
dismissal, is not warranted.
Pre-Deprivation Hearing –
The practice of implementing the lowest
appropriate level of disciplinary or non-disciplinary corrective action and
advancing to higher levels in response to misconduct or poor
performance. Although supervisors are encouraged to adhere to
progressive discipline, they are not required to do so. Certain serious
infractions may require severe disciplinary action without receiving less
discipline first. Progressive discipline does not necessarily begin again for
subsequent misconduct of a different nature.
Progressive Discipline –
A memo from a supervisor that documents and
counsels an employee about a performance and/ or behavior issue, and
identifies potential consequences should the problem continue. Written
documents of this nature, regardless of title, shall be signed by the
employee or a witness (if the employee refuses to sign) and shall be
forwarded to the Human Resources Department for inclusion in the
employee’s official personnel file.
Written Counseling –
Considered the first level of formal discipline (as
per Section 810 of the Personnel Rules). An official City form is used that
notifies and reprimands an employee for performance problems and/or
other serious infractions including violations of the Standards of Conduct listed in Section 510 of the Personnel Rules. Written Reprimands are
signed by the employee or a witness (if the employee refuses to sign), and must be forwarded to the Human Resources Department for inclusion in the employee’s official personnel file.
A. The use of non-disciplinary or disciplinary forms of corrective action is meant to change/improve the performance and/or behavior of an
employee. The type and level of these imposed actions should be
appropriate to the offense and consistent with actions taken by the
department for similar offenses.
B. Once a performance or behavior problem has been identified, supervisors have a duty to promptly discuss the performance or behavior with employee, document the problem, and take non-disciplinary or disciplinary
corrective action as appropriate. Employees who are At-Will are not
legally entitled to due process for disciplinary or non-disciplinary corrective action. Such employees are serving At-Will and may be dismissed from
employment at any time, with or without cause.
C. Supervisors who choose to provide disciplinary or non-disciplinary
corrective action to At-Will employees are encouraged to remind those
employees of their At-Will status at the time action is taken.
D. Supervisors should document poor performance and/or inappropriate behavior problems in the employee’s performance evaluation(s) at the first
E. Supervisors are encouraged to consult early and work closely with the
City’s Human Resources Department before implementing nondisciplinary corrective actions or written reprimands; and shall consult with
the Human Resources Department prior to implementing disciplinary
probation, suspension(s), demotions or dismissals. Prior consultation with
the City Attorney’s Office is encouraged for any intended discipline that
requires a pre-deprivation hearing (suspension of more than sixteen 
work hours, or demotion) and required for any dismissal of a nonprobationary employee.
F. Prior consultation and development of a separation agreement by the City
Attorney’s Office and the Human Resources Department is required
before accepting any resignations or retirements in lieu of dismissal.
Written Reprimand –
NON-DISCIPLINARY CORRECTIVE ACTION
• Oral Counseling
• Memorandum of Understanding
• Written Counseling
• Corrective Action Plan
The types of formal discipline to which an employee may be subjected
• Written Reprimand
• Disciplinary Probation
• Involuntary Demotion
Official disciplinary forms include:
• Written Reprimand (FM 124)
• Notice of Suspension /Notice of Disciplinary Probation (FM130)
• Notice of Demotion while on (FM 132)
o Initial Regular Employment Probation
o Regular Status
o Promotional Probation
• Notice of Dismissal while on (FM139)
o Regular Status
o Regular Employment Probation
During the planning phase the rater and the employee should establish job requirements/standards and performance expectations within the first two (2) weeks of the employee’s hire, promotion, demotion, position change, or change in job class or duties and responsibilities. At this time the employee also should be given a copy of the Overall Rating and Core Value Descriptions.
During the monitoring phase, the supervisor and the employee should interact on a regular basis to identify performance barriers, training needs, and areas for employee improvement/development and to facilitate communication. The supervisor also should recognize achievements and successes during this phase.
During the coaching phase, the supervisor and the employee should interact on a regular basis to help the employee improve/develop and facilitate communication.
During the evaluation phase, an employee will be evaluated at least once per year.
Types of reviews are:
• Probation (Initial Regular, Promotional or Demotion),
• Annual (employees at G-step),
• Merit (employees below G-step),
• Disciplinary (employees placed on disciplinary probation) and
• Other (any rater reserves the right to conduct a special review at any time, but specifically when there is a change in the employee’s work performance or employment status.)
The employee will participate in the evaluation phase by completing a self-appraisal form.
SCHEDULE FOR STANDARD EVALUATIONS for Firefighter Recruits Required To Attend A Fire Training Academy
12 Months from academy start date - Merit Review
Initial Regular Employment probation - 12 months from the date of reclassification from Firefighter Recruit to Firefighter upon completion of the Fire Training Academy and receipt of required certifications. The date of reclassification from Firefighter Recruit to Firefighter will be the day after completion of the fire-training academy. 24 Months – from academy start date - Merit Review Repeats merit every 12 months throughout employment through the F Step
What happens If a PAF is not received by the due date,
2.If a PAF is not received by the due date, the Personnel Office staff will send an e-mail to the PAF contact and employee’s supervisor notifying him/her the PAF has not been received by the due date. A note is placed in the employee’s record in the PeopleSoft system.
a. Overdue Performance appraisal notification occurs the first week of the each month.
2. One month overdue – PAF contact and employee’s Supervisor notified via e-mail identifying overdue PAFs.
3. Two months overdue – PAF contact, employee’s supervisor and department manager (as FYI) notified via e-mail identifying overdue PAFs.
4. Three months overdue – e-mail is sent to the PAF contact and employee’s supervisor first in an attempt to resolve the matter. If the PAF is still not received two weeks after the e-mail, an e-mail notification is sent to the City Manager and Deputy City Managers.
5. Four months overdue – non-merit PAF is marked as “review not received”. The following note is placed in the comment section: “not received/four months overdue.”
6. Overdue merit reviews are not marked as “review not received” and continue to be followed-up until received in Personnel.
What info needs to be in a paf to make it complete complete
Items in the General Information section such as:
o Employee Name
o Employee Number
o Review Date
o Supervisor Employee Number
• Items in the Appraisal Information section such as:
o Type of Appraisal
o Overall rating
o Action Requested not indicated
o Dollar amount or percent increase of salary adjustment (executive salary adjustments)
• Job Requirements/Standards or Performance Expectations (Minimum of three (3) required)
• Supervisor Comments not sufficient or that do not support Action Requested
• Employee Comments section - No employee comments written and “No Comments” box unchecked
• Self Appraisal Form – No employee comments written and “No Comments” box unchecked
• Employee Acknowledgement Use of Computer Resources Policy Form
Definition of Sexual Harassment
– Sexual harassment is unwelcome sexual advances, requests for sexual favors, and/or other verbal or physical conduct of a sexual nature when:
a. Submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment;
b. Submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting that individual; or
c. Such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive work environment.
Retaliation – An unlawful or unprofessional employment practice where an employee’s terms or conditions of employment are adversely affected because the employee initiated a complaint or participated in the investigation of a complaint.
RECEIVING A COMPLAINT/PRELIMINARY EVALUATION for sexual harassment
a. If notified by an employee that he/she would like to make a sexual harassment or sexual discrimination complaint, encourage him/her to document his/her concerns by completing the City of Mesa Sexual Harassment/Discrimination Complaint Form. If within the Police Department, use the applicable Internal Investigation’s complaint form. Schedule a time to meet with the employee.
b. Interview the complainant in a location that ensures confidentiality.
c. Be receptive to the complainant but remain neutral during the interview. Do not convey that you agree or disagree with the complaint.
d. Gather and document as much factual information as you can during the interview. Find out pertinent information such as the identity of the alleged sexual harasser, what exactly was said (use complainant’s exact words) or done, names of witnesses, frequency and duration of the incident(s), etc.
e. Ask the complainant to document and immediately report any further incidents. Assure the complainant that no retaliation will be tolerated as a result of the complaint.
f. Direct the complainant to keep your discussions with him/her confidential.
g. Inform the complainant that you take the complaint seriously and will be discussing it with appropriate management personnel and Human Resources or if within the Police Department, P.D. Internal Affairs, to determine an appropriate course of action.
When shall a supervisor step in when witnessing sexual harassment
The supervisor or manager shall intervene when he/she observes potential sexual harassment, even if the employee does not wish to formally file a complaint. Failure to appropriately address or to report such sexual harassment behavior or suspected acts shall be considered a violation of this policy.
Investigating a Complaint(sexual harassment)
If the preliminary evaluation warrants further investigation, the Department Manager (or designee) and the Human Resources Division or if within the Police Department, P.D. Internal Affairs, will fully investigate the complaint. Human Resources or if within the Police Department, P.D. Internal Affairs will work with the department to gather and evaluate all relevant evidence and assist in determining the appropriate remedy. A summary of the conclusions shall be given to the Department Manager. The results of the investigation shall be communicated to the complainant, and the accused. If there is reasonable cause to believe that sexual harassment occurred, recommendations may be made by Human Resources or the department investigators for specific remedial or disciplinary actions. Final action will be approved by the Department Manager and the City Manager or designee if necessary.
b. If it is determined that a full investigation is necessary, the HR staff with the assistance of the department management will develop an investigation plan. This plan should identify such factors as:
- Who will conduct the investigation
- Documentation to review
-Witnesses to interview (employees, volunteers, vendors, or others)
-Related policies and Personnel Rules
- Timelines for completion
- Who will communicate investigation results
What are the responsibilities of an employee who gets a DUI
1. An employee who receives a DUI citation, whether the citation occurred on the job or off the job, shall notify his/her immediate supervisor upon reporting to work.
2. Employees shall provide a copy of the citation citing a DUI offense to their supervisor.
3. Employees shall keep their supervisor informed and provide documentation pertaining to the status of their DUI proceedings as they occur.
4. Employees shall attend the Employee Assistance Program (EAP) evaluation and shall complete the Substance Abuse Professional’s (SAP’s) recommendations.
5. Employees shall not drive a City vehicle or their personal vehicle for work purposes until completing the SAP’s recommended program and reinstatement of driving privileges from the Motor Vehicle Department (MVD).
If an employee gets a DUI what are some of the recommendations that can be given for the employee after their evaluation
• A 16-hour education and training class in which the employee will be responsible for costs associated with attendance and completion of the class.
• Extended counseling services through EAP or a behavioral health professional through the employee’s medical plan. The employee will be responsible for normal out-of-pocket expenses as indicated under benefit coverage.
• Referral to an inpatient/outpatient treatment program with a behavioral health professional through the employee’s medical plan. The employee will be responsible for normal out-of-pocket expenses as indicated under benefit coverage.
Failure to comply shall result in disciplinary action as determined by the Department Director in consultation with the Human Resources department.
1. Upon being notified of a DUI offense, as a supervisor, immediately notify the Human Resources department of the situation and provide the following:
• Employee’s name and position; AND
• Class of license the employee holds (i.e., Class D or CDL A, B, C); AND
• Copy of the citation; AND
• Whether the citation was issued on or off duty; AND
• Whether driving is a requirement of the job as indicated in the job description; AND
• Whether the employee notified the supervisor as required under Section III. EMPLOYEE RESPONSIBILITIES of this policy.
What steps should a supervisor take after hr has been notifies that an employee gets DUI
2. Immediately remove employee from driving privileges at work (both City and personal vehicles for work purposes).
3. Notify Department Director and Deputy City Manager or City Manager designee (as appropriate).
4. Review EAP referral paperwork with employee and ensure employee has scheduled the initial evaluation/assessment session with SAP (see Human Resources’ Responsibilities Section of this policy.
5. Once HR notifies the supervisor of EAP’s recommendation, the supervisor must offer appropriate assistance to help the employee attend and complete the SAP’s recommendations.
The supervisor shall inform Human Resources of what, (pertaining to DUI)
• Any changes pertaining to employee’s license status; AND
• Any civil or criminal court proceedings; AND
• Final disposition of DUI offense; AND
• Any violations of this policy (e.g., employee’s failure to comply with directives of this policy); AND
• Any discipline enacted by the department.
Does employee have to report a DUI to their supervisor
3. Failure to report any DUI offense as required above shall result in separation from the City of Mesa.
What is to be done to employees who are convicted of DUI where driving is bot a requirement
1. Department Director will review status of employment in consultation with Human Resources department; AND
2. If employment is continued, employees who are required to have an Ignition Interlock Device (IID) on their personal vehicle and who may drive for work purposes shall be required to sign a Memorandum of Understanding (MOU) regarding City driving privileges.
3. Employees who are required to serve 30 or more consecutive days in jail will be dismissed from employment.
EMPLOYEES WHO ARE NOT ON INITIAL REGULAR PROBATION
AND ARE NOT REQUIRED TO MAINTAIN A CDL who receive a DUI
Where driving IS a Job Requirement as indicated in the Job Description
Upon Notification and Pending Adjudication:
1.Referral to a Substance Abuse Professional (SAP) through the City’s Employee Assistance Program (EAP) provider for evaluation; AND
2.Removal of driving privileges at work until completion of EAP recommendation as directed by the SAP.
Upon Suspension of Driver’s License:
If license is suspended for 30 days or less, at the discretion of the Department Director, in accordance with operational needs, one of the following will occur:
1. Time off work until restricted driver’s license is issued or driver’s license is reinstated (this applies to both personal and City vehicles for City business):
a. Time off work without pay is considered a suspension. A pre-deprivation hearing for classified employees will be required if the suspension is for three (3) days or more. The suspension is designed to be concurrent with the suspension of the employee’s license; however, should the suspension of the license occur before the City is notified, the work suspension will begin upon conclusion of the pre-deprivation process and will last for a period of 30 calendar days.
b. Time off work with pay allows the employee to take previously accrued vacation time and/or compensatory time when it is determined by the Department Director to be in the best interest of City operations.
2. Continue work but reassign to non-driving duties until restricted driver’s license is issued or driver’s license is reinstated (this applies to both City vehicles and personal vehicles used for City business).
Driving privileges may be reinstated for work purposes once a restricted driver’s license is issued (and subsequently driver’s license is reinstated).
If license is suspended for more than 30 days:
Separation from the City of Mesa.