POLICY NUMBER: ____10_________
POLICY:PROGRESSIVE DISCIPLINE
EFFECTIVE DATE: October 28, 2011
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Randall Reid-Smith, Commissioner
PROGRESSIVE DISCIPLINE
PURPOSE:
The purpose of this policy is to establish uniform guidelines for the progressive discipline
of employees in the classified service of the WV Division of Culture and History
consistent with state governing statutes, regulations, rules, guidelines and policies. An
appointing authority may dismiss an employee after oral notice, confirmed in writing,
when the dismissed employee’s action(s) constitute a threat to the safety or welfare of
persons or property.
AUTHORITY:
The authority for this policy is derived in part from the Administrative Rule of the West
Virginia Division of Personnel, Sections: 10.3, Demotions during Probation; 11.4,
Demotions; 12.2, Dismissals; and 12.3 Suspensions and 12.5, Like Penalties for Like
Offenses. Statutory authority includes; West Virginia Code 5F-2-2, Power and Authority
of Secretary of each Department; 29-6-1 (d) Authority of Commissioner, West Virginia
Division of Culture and History; 29-1-1, et. Seq. West Virginia Division of Personnel;
and 29-6A-1 et seq., Grievance Procedure for State Employees.
DEFINITIONS:
Appointing Authority: The Commissioner of the West Virginia Division of Culture and
History who shall exercise control and supervision of the Division.
Commissioner: The Commissioner of the West Virginia Division of Culture and History.
Classified Service: Those positions which satisfy the definitions for “class” and
“classify” and which are covered under the West Virginia Division of Personnel merit
system standards.
Demotion: A change in the status of an employee from a position in one class to a
position in another class of lower rank as measured by salary range, minimum
qualifications, or duties, or a reduction in an employee’s pay to a lower rate in the pay
range assigned to the classification.
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Dismissal: The separation from employment, for good cause, of an employee by an
appointing authority.
Division: West Virginia Division of Culture and History.
Managerial Staff/Management: Commissioner, Section Directors Administrators,
Managers and Supervisors.
Suspension: Disciplinary action taken by an agency to temporarily relieve an employee
of duties and place the employee in a leave without pay status.
POLICY
Discipline issued to staff shall be consistent with governing State Statutes, the West
Virginia Division of Personnel Administrative Rule, guidelines and policies. The policy
adopts corrective procedures that implement levels of disciplinary action commensurate
with levels of unsatisfactory performance or behavior. Disciplinary action is to be
commensurate with the severity of the infraction; however, action may be reduced due to
mitigating circumstances and other factors such as the length of an employee’s service
and previous exemplary job performance and/or conduct. Disciplinary action will
progress with the occurrences of misbehavior or unsatisfactory performance. Sever
levels of disciplinary action may result without prior disciplinary action in instances
when the infraction requires more sever discipline.
RESPONSIBILITY
Commissioner, Section Directors, Administrators, Managers, and Supervisors are
responsible for ensuring that the issuances of disciplinary actions are in compliance with
this policy.
BACKGROUND
The purpose for discipline is to correct behavior or performance. It is essential that the
employee is apprised of:
• What was done incorrectly
• What was the appropriate or accepted behavior or performance standard
• What is expected
• What consequences or actions will follow for future violations of the same/like
behavior or performance
A plan of remediation and improvement shall be provided to the employee in these
instances to clearly outline performance or behavioral expectation.
Management must demonstrate that there is just cause for disciplinary action:
• Were expectations of the employee identified
• Were expectations reasonable
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Were employees aware of measures to be taken for misconduct or inadequate
performance
Was disciplinary action commensurate with the severity of the violation
Was the disciplinary action exercised without discrimination
In disciplinary matters, management bears the burden of proof:
• Specific, clear and convincing evidence of wrongdoing
• Preponderance of evidence
Managerial staff is responsible for maintaining all supporting documentation and
ensuring that such documentations’ are:
• Factual and specific
• In written form
• Retained in an administrative file
Division of Personnel Administrative Rule Section 12.5 states that “in dismissals for
cause and other punishments, appointing authorities shall impose like penalties for like
offenses.”
Disciplinary action is usually progressive unless the severity of the infraction or
performance is serious enough to warrant more severe disciplinary action. The
progressive steps are:
1. Verbal Warning (or verbal reprimand, verbal counseling) may be issued when
the misconduct or inadequate performance is not of a serious or repetitive
nature. The verbal communication shall contain:
• A specific description of the infraction, behavior or inadequate
performance
• A verbal or written plan of improvement provided to the employee,
provided written documents must only be maintained in an
administrative file and not placed in the employee’s official personnel
file
• The documentation shall be destroyed upon 12 months, at the
employee’s written request, if there are no further infractions.
• Verbal notice of consequences if failure to observe directives
• If there are further infractions in conduct or performance, the verbal
warning may be used as a foundation for subsequent disciplinary
action
2. Written Reprimand/Warning may be issued when the misconduct or
inadequate performance is more serious or if it has been repetitive… All
written actions are to be reviewed by the Division’s Director of Human
Resources, or designee, prior to issuing. The written communication shall
contain:
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Specific, written description of the infraction, behavior or inadequate
performance
A written plan of improvement containing specific expectations and
time frames in which to accomplish them may be simultaneously
implemented as a component of the written reprimand, consequences
of further infractions
3. Suspension may be issued if an employee fails to correct deficiencies in work
performance or behavior after appropriate corrective counseling, verbal
warning(s), and written warning, or if a more serious singular incident occurs,
a suspension of three days to thirty days (depending on the seriousness of the
infraction and prior disciplinary action) would be the next appropriate step.
An employee may be suspended without pay while the agency conducts an
investigation. Such suspensions should be imposed in only limited
circumstances and only because the agency reasonably believes that the
employee’s presence presents a threat of continuing danger to persons or
property, or because the agency believes the employee’s presence may
compromise the integrity of evidence. All written actions are to be reviewed
by the Division’s Director of Human Resources, or designee, prior to issuing.
A suspension requires:
• A pre-determination conference with the employee, if possible, to
advise him or her of the contemplated suspension prior to the actions,
to give the employee the right to respond
• Specific, written description of the infraction, behavior or inadequate
performance
• Specific period of time for the suspension
• Written reference of previous corrective action, if applicable
• Appeal rights
• A minimum of three (3) working days written notice prior to the
effective date of the suspension
• Immediate suspension, followed with written confirmation, may occur
in situations when deemed necessary
The Commissioner and his or her designee are the only authorities designated for
the WV Division of Culture and History to issue suspensions.
4. Demotions (with prejudice) may be issued for cause and may be the final
attempt of corrective action prior to dismissal. All written actions are to be
reviewed by the Division’s Human Resources Director, or designee, prior to
issuing. A demotion with prejudice shall include:
• A pre-determination conference with the employee to advise him or
her of contemplation of demotion prior to the action
• A specific, written description of the infraction, behavior or inadequate
performance
• Written reference of previous corrective action, if applicable
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A written plan of improvement
A minimum of three (3) working days written notice prior to the
effective date of the suspension
5. Dismissal for cause may be issued for permanent separation from
employment. If infractions / deficiencies in performance and/or behavior
continue after the employee has had adequate opportunity for correction, or
(2) the employee commits a singular offense of such severity (such as assault
of a supervisor or co-worker, bringing a weapon to the workplace, patient
abuse, inmate abuse, etc.) that dismissal is warranted. All written actions are
to be reviewed by the Division’s Director of Human Resources, or designee,
prior to issuing. A dismissal requires:
• A pre-determination conference, if possible, with the employee to
advise him or her of the contemplation of the dismissal prior to the
action
• A specific, written description of the infraction, behavior or
inadequate performance
• Written reference of previous corrective action, if applicable
• Fifteen (15) calendar day written notice to the employee prior to
effective date of the action which includes the citation of the
appropriate section of the Administrative Rule establishing authority to
dismiss.
• Option of working out the notice period or receiving severance pay up
to a maximum of 15 calendar days after vacating the workplace,
except in dismissal for job abandonment;
• Opportunity for the employee to respond either in person or in writing
prior to the effective date of the dismissal, and
• Written notice of appeal rights specifying to whom appeal should be
directed and time limits to appeal the dismissal.
• Continuance of insurance coverage statement.
The Commissioner and his or her designee are the only authorities designated for the WV
Division of Culture and History to issue dismissals.
Due Process
Due Process is the substantive and procedural safeguard to a person’s property and
liberty interests provided by both the U.S. and West Virginia Constitutions. Since
continued, uninterrupted employment is a property interest for a State employee, any
employee who is suspended or dismissed is entitled to substantive and procedural due
process.
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POLICY ACKNOWLEDGEMENT FORM
________________________________________________________________________
West Virginia Division of Culture and History
I,_________________________________________________ hereby certify that I have
received a copy of the Division of Culture and History's policy #_10, and have read and
understand the policy.
I agree to abide by the terms of this policy and I am aware that with any violation of this
policy, I will be subject to disciplinary action, up to and including dismissal.
My signature acknowledges receipt of the policy and my understanding of its contents.
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Name (Print)
__________________________________________
Signature
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Date