Management/Supervisory Personnel
OP 4318.01(a)
IMPLEMENTING PROGRESSIVE DISCIPLINE
Progressive discipline is a series of managerial corrective options of increasing severity that
shall be applied, in accordance with applicable Merit Rules and collective bargaining
agreements, in instances of inappropriate performance or misconduct by a County Office
employee. The steps described in this procedure govern discipline procedures for
professional legal staff, who are not covered by the Merit System and Rules.
When an employee fails to correct a deficient work habit or violates County Superintendent
policies, procedures, Merit Rules, collective bargaining agreements, and/or state or federal
laws, the supervisor shall recommend disciplinary action. Whenever possible, discipline shall
be gradual in nature, with the severity of discipline tailored to the offense or deficiency. The
steps of progressive discipline include the following, listed in increasing order of severity:
1.
2.
3.
4.
5.
6.
7.
Verbal warning
Written warning
Written reprimand
Unsatisfactory evaluation
Suspension
Demotion
Dismissal
The degree of discipline administered in any given situation shall depend on the severity of
the infraction. It is the administrator’s responsibility to thoroughly evaluate both
circumstance and fact as objectively as possible and to select and recommend the most
suitable form of discipline.
Purpose: To correct or eliminate inappropriate performance or misconduct by an employee.
Timeline: Varies depending upon the offense or deficiency.
Procedures:
Verbal Warning
1.
Supervisor meets with employee in private to discuss an infraction which is relatively
minor in nature,
2.
Supervisor informs employee that s/he is administering an oral warning, that the
employee has the opportunity to correct the condition and that, if the condition is not
corrected, the employee will be subject to more severe disciplinary measures.
3.
Supervisor may record date and content of verbal warning for her/his personal
records.
OP 4318.01(b)
IMPLEMENTING PROGRESSIVE DISCIPLINE (continued)
Written Warning
1.
Supervisor issues a written notice to an employee in the event that the verbal warning
has been disregarded or if the infraction warrants a written record.
2.
Supervisor describes the nature of the infraction in the written notice and signs the
notice.
3.
Supervisor describes the nature of the infraction in the written notice and signs the
notice.
4.
Supervisor meets with employee and discusses the warning, making certain that the
employee understands the reason(s) for the disciplinary action.
5.
Supervisor gives a copy of the warning notice to the employee at the time of the
discussion.
Written Reprimand
1.
Supervisor issues a written reprimand to an employee in coordination with the
department director and Legal Services in instances where the employee disregards
oral and written warnings or when misconduct is of a degree that immediate
disciplinary action is warranted.
2.
Supervisor provides in the written reprimand:
a.
b.
c.
d.
e.
The dates the letter encompasses
The specific cause(s) the reprimand addresses
A summary of counseling, written warnings and oral warnings that have been
issued by the supervisor
Description of any instances of unsatisfactory behavior that have reoccurred
since earlier warnings were issued
Notice that the written reprimand will be placed in the employee’s personnel
file within ten days
3.
Supervisor meets with employee and discusses the written reprimand, making certain
that the employee understands the reason(s) for the disciplinary action.
4.
Supervisor gives a copy of the written reprimand to the employee at the time of the
discussion.
5.
Supervisor may request that the employee sign the reprimand to verify receipt of, but
OP 4318.01(c)
IMPLEMENTING PROGRESSIVE DISCIPLINE (continued)
not necessarily agreement with, the written notice. If the employee refuses to sign the
reprimand, the supervisor allows the employee to keep a copy of the reprimand and
has a witness verify the employee’s receipt of the written reprimand.
6.
Supervisor sends a copy of the written reprimand to the Human Resources Personnel
Director with a signed, written memo requesting that the reprimand be placed in the
employee’s personnel file.
Suspension
1.
Supervisor may recommend suspension, the temporary removal of an employee from
her/his position with loss of pay, in cases of severe infractions of rules and/or
standards or for excessive violations after written warnings and reprimands have been
issued.
2.
Supervisor evaluates the specific situation and, using the following information as a
guide, makes a decision regarding the length of the suspension: one to four working
days for less serious infractions; five working days for more serious infractions; ten to
twenty working days for very serious infractions; immediate suspension in cases
limited to situations which threaten the safety and welfare of the employee, other
employees, students or the public.
3.
Supervisor meets with department director, Human Resources Personnel Director
and/or Legal Services to review suspension process and decision. In the case of
discipline of a professional legal staff member, the General Counsel will consult with
the Superintendent and the Legal Services JPA Board. Such action will be on
accordance with the separate policy that applies to the professional staff of SCLS.
Demotion
Supervisor may recommends demotion after adequate written warnings have been issued and
only in rare instances where a classified employee has been promoted to a position and is
unable to perform the duties of that position.
Supervisor meets with department director, Personnel Director and/or Legal Services to
review demotion process and decision. In the case of discipline of a professional legal staff
member, the General Counsel will consult with the Superintendent and the Legal Services
JPA Board to determine if a demotion is appropriate, or if the action should be dismissal.
Note: For employees covered by the SCOE Merit Rules, an employee who has attained
permanency at the County Office but who is probationary in a higher classification at the
time of demotion may be demoted to the lower classification to which s/he was last assigned.
OP 4318.01(d)
IMPLEMENTING PROGRESSIVE DISCIPLINE (continued)
Permanent employees who achieved permanency in a classification after being promoted will
be assigned to a lower class only after being provided the same due process rights as
required for dismissal. This procedure does not apply to professional legal staff.
Dismissal
1.
Department director verifies that all facts regarding the potential disciplinary action
have been reviewed, documented and properly placed in the employee’s personnel
file. Suspension and/or demotion are not required before a decision to recommend
dismissal.
2.
Department director and Legal Services staff review the case to verify that there is
sufficient justification for a dismissal and prepare a Statement of Charges and a
Recommendation for Dismissal. In the case of discipline of a professional legal staff
member, the General Counsel will consult with the Superintendent and the Legal
Services JPA Board and initiate action in accordance with the separate policy on
discipline of SCLS professional staff.
3.
Department director submits Statement of Charges and Recommendation for
Dismissal to the County Superintendent for his/her review and signature.
4.
County Superintendent takes action as appropriate. In the case of discipline of a
professional legal staff member, the Superintendent will consult with the Legal
Services JPA Board, before taking final action.
Voluntary Termination
An employee may submit a written request for voluntary termination in order to avoid
disciplinary action. The County Superintendent may or may not approve the voluntary
request for termination.
Note: The Education Code requires that the County Office prepare and submit to the
employee a Statement of Charges which enumerates all causes and charges which are
the basis for suspension, demotion or dismissal. This document is prepared by the
department director in consultation with legal counsel from written reprimands and
employee evaluations that have been issued to the employee. The Statement of Charges
is the document that the supervisor will have to defend at a hearing if the employee
appeals. It is extremely important that written reprimands, records of discussion and
employee evaluations thoroughly and completely cover all incidents that the action is
based upon
SONOMA OFFICE OF EDUCATION
Policy References: SP 4118/4318, Suspension/Disciplinary Action
Procedure approved: December 7, 2010
(4174.01)