HR2401_INFORMAL FORMAL DISCIPLINE_TRACK CHANGES VERSION_BOS AGENDA 02072.._.PDF

Pilafi sopa-County Internal Policy N um ber—H-R24 01
Policy Title: Informal/Formal Discipline Issue Date: 7/1998
Pol-isy-Categery1=1-uman Initiating Department: Human Revision: 1
Resources Resources
Approved by: Da,vidR. Sminv Revision Date: 9/20/2005
A 7 PURPOSE:
I. The purpose-of-this Administrative Personnel Procedure is to
clesigningPURPOSE
To provide guidance and expectations to supervisors when considering and developing a course of action
orIce—a—problem—laehavior has been identified so the employee may take steps to oor-reet-the-pr-olaiem
performance, conduct or address inappropriate behavior. Management has the responsibility to treat or
misconduct of employees fairly. Although there is no gua Ge
ure that all relevant factors have been considered
beforei—pfooeed-i-ng—with—formalthrough discipline.
II. APPLICATION
This Policy applies to Classified Employees of all appointed departments and Maricopa County Special
Districts.
This Policy shall also be used as guidance when an Appointing Authority is considering disciplinary action,
This informal/formal for At-Will Employees. Nothing written in this Policy is to be construed as changing the
At-Will nature of the employment relationship of the employees covered herein. These general guidelines
shall not be interpreted to afford any At-Will Employee with additional rights to employment and shall not
create any supervisor obligations that could affect the At-Will status of the employee-employer relationship.
This Policy shall apply to employees of County Elected Officials unless the County Elected Official has
implemented an employee discipline policy specific to their respective Office.
III. DEFINITIONS
A. Appointing Authority: An elected official, single executive head of a department, or the designated
representative authorized to act in this capacity.
B. At-Will Employee: An employment relationship where either party to the relationship may sever the
relationship for any reason other than an unlawful reason. This includes Unclassified, Initial Probation,
Contract and Temporary Employees.
C. Central Human Resources: The Maricopa County Human Resources Department.
D. Classified Employee: Employees covered by the Employee Merit System or the Law Enforcement
Officers' Merit System.
E. Contract Employee: At-Will Employee whose terms and conditions of employment are limited to those
contained in a written agreement.
F. Department Human Resources: A department's assigned, internal human resources office. If there is
no departmental human resources office, the reference is to the department's assigned HR Liaison.
G. Human Resources Director: The Maricopa County Human Resources Director or designee.

H. Initial Probation: A specified period of time following the employment of an employee in a budgeted
position during which the work performance of the employee is evaluated. An employee may be
released from Initial Probation for or without cause.
L Initial Probationary Employee: An employee who is serving an Initial Probation period upon their most
recent employment, to include hire, promotion, demotion or transfer into any Classified position, with the
exception of market range title adjustments and reassignments. An Initial Probationary Employee is At-
Will and may be released for or without cause.
J. Temporary Employee: At-Will Employee who works on an as-needed basis, generally for a limited
number of hours or a limited period of time.
K. Unclassified Employee: At-Will Employee that is not covered by the Employee Merit System or the
Law Enforcement Officers' Merit System.
IV. AUTHORITY AND RESPONSIBILITIES
The Human Resources Department is responsible for administering this Policy. Appointing Authorities and
supervisors are required to understand the provisions of employee discipline outlined in this Policy and refer
any questions to Department Human Resources or Central Human Resources.
V. POLICYan-el-p-rosed-u-re-do not cr to a contractual obligation on th rie QUREV 10 TOILOW in
policy in—all—oases,
A. Discipline is utilized to notify employees of, and correct, inappropriate behavior or conduct.
Management has the right to discipline any inappropriate Ge-4€1-61-Gtbehavior or
misconduct on the part of employees without being required to follow the steps
outlined in this p
to classified employees.
13: DEFINITIONS:
Not Applicable
CT POLICY:
usin_q the ac BASIC PRILOSOPH
ye the performance or to change the behavior of
ction may be necessary
disciplinary
The level of discipline should be appropriate to the offense and consistent with aotiondisciplinary
actions taken for similar offenses, while taking into account relevant distinctions, such as: the nature and
seriousness of the offense; whether the offense was intentional, technical or inadvertent, or was
committed maliciously or for gain; frequency of the offense; the employee 's job level and type of
employment, including supervisory or fiduciary role, contacts with the public, and prominence of the
position; the employee 's overall work performance and the employee 's past disciplinary record.
been reviewed, corrective action may be considered. DepeRd-i-n-g—e-n—t-h-e
behavior or infraction, coaching may be an appropriate starting place. In

I It is advisable however, to have some documentation which
if there is an offense or incident deemed to warrant immediate
1

11,91-a-r-ieepa-C-eu-n-ty Internal Policy Number: HR2/101
Policy Title: informailF-errnal-Diseipline Issue Date: 7/1998
PoliGy-Categeryliuman Initiating Department: Human Revision: 1
Resources Resources
release).
2. Employees being released must receive a written notice (Attachment
accordance with the applicable Merit System Rules. It is not
desira cifis—reaseqs—f-Gr
their release in written notice.
D. There is some Genciuetmisconduct that is so egregious in nature that, depending upon the
circumstances, a single act may be regarded as sufficient reason for suspensionctemeticm or dismissal.
Such Gondustmisconduct may include, but is not limited to:
1. Theft or abuse of property,i
2. Falsification of application for employment, records, reports, or other required data,i
3. Bringing unauthorized intoxicants, drugs or narcotics onto County property-or; consuming
unauthorized intoxicants, drugs or narcotics on County property.or,_ reporting for duty or being
present on County property while under the influence of such intoxicants, drugs or narcotics,,
4. Buying and/or selling of any unauthorized intoxicant, drug or narcotic or arranging to do so on
County property.:
5. Unauthorized possession of weapons on County property:,
6. Fighting or inciting a fight on County property,,
7. Maltreatment or abuse of an employee or other person,,
8. Unauthorized disclosure of confidential County informatiom,

9. Discriminating against any employee or other person because of race, coler-,agegender, religion,
sexcolor, national origin-or, age, disability,, sexual orientation, pregnancy, veteran status, genetic
information or any other characteristic defined by law or Board approved policy:
10. An unprofessional or immoral act sufficient to justify suspension or dismissal
11. Conduct -constituting -violation -of -state -or- federal -law- sufficient -to justify suspension or
dismissalvi

Ma-rioopa-Co-u-nty Internal Policy N-u-m-bcr: HR2.401
Pelidy Tit-lenfoFFnal/F-ormal-DiSGipliRe Issue Date: 7/1998
Potioy-Category : Human initiating-Department: Human Revision: 1
Resources Resources
12. Conduct that is not in compliance with position-specific licensure requirements .
4-213. Insubordination, including refusal to perform assigned duties or follow directives from the
employee's supervisor, failure to cooperate with a County investigation and failure to correct
inappropriate -behavior after receiving notification uriderin accordance with the prGcedures
described in provisions of this Administrative Pcrsennel-Procedure.Policy:
13.14. Dishonesty,;.
WockingPerformino work for another company, employer or agency while on IVI-ar-icopa-duty
and/or using County "tirriewith-anothedempanaleyer, or agencyer workingresources for
another company, employer, or agency using—Maride-pa-Ceunty-equipment, materials-or-suRplies.
1-rea8ons is cause to dismiss under-th-e-respeetive Mcrit
R614e-S-b-Ut GO n-G-1-1=11-19-M-De-F-C-0-R-C1-1,1 ICLAU 1=1-e-erfl-E Oyee-41-ef
Glees it c or-pr-egr-cssive steps.
F. If an employee cngag FAificS
suspensienelemetion or dismissal, the procedures of HR2402
(Pre disciplinary Action Hearing) she-11-.1'9-ply,
AUTHORITYAND-RESPONSIBILITIE&
The-H-u-man-Reseurces-Depaftme-nt-is-r-esp-ensible-fe
Departments are required-to-fol-Ithis-pe-Iicy and OFFS -to
Fle-R=1-1-G 121z1-19-1-G 'est Jefferson,
Suite 221, Phoenix, AZ 85003. Phone 602 506 5007
PROCEDURES;
PROGRESSIVE S.
A COACHING

ovcrall performancc. Supervisors may use coaching when work
9449-616 61-F-0-94-e-FR El eveloo
Supervisors shall dcscribe the inappropriate conduct, point out specific
ropriatc
pie act ic;
out a brief, dated summ

PA a-ric-opa County Internal Policy Number: H-R2401
Policy Tit-lel-nformal/Forrna 1-D1eG ipli-ne -Issue Date: 711 99B
Peliey-Category: Human Initiating-Departnienan Revisien-1-
Resources Reso-u-rces
7
4oep ersonnel-filcor that employee. The Employee
Coaching-Guide-(Attachment B) may be useful to the 3upecvisor in preparing
ide is optional. It may be shared
with-the-employee-at-the-discretion of41%-superv4ser,
4f-a-n-employee-G0-1141-RueS-to-e . • .ee epriate-conduct, or
employee's conduct or behavior-is-such-that-bypassing coaching is justified,-
the supenvisor-may-engage-in-verbal counseling. A verbal-counseling-i-s-a
warning. A proble•• • - e . Id be held between the-supeNis-or
and the-employee-about-s-pecific-work-pepformance deficiencies, conduct or
atte-nclance-pfoblems. The supervisor should advise thc employee of thc
problemhow-the-problem-is affecting the workplace, point out-specific
instances of the problem or conduct, and suggest appropriate corrective
action. Thc counsell • - hould-be-a-mutual discussion
focusing-en solving-the-proble-rn,--The-empl
ma-nagement-- pects himihe-r-to-adhere-to-th-e-ag-reecl-u-pon-solution and,
that-more severe a he-employee does-not-adhere-to-the
agreed upon solution. Thc supervisof-m-ust-make-a-note-ef-the verbal
he-supervisors-personnel fil
ocder to document-the- etha-counseling---and for reference-purposes. The
supewisor-can-use Attachment B to document the verbal counseling
session,
C. WRITTEN CO-UNE JG/REPRIMAND
E If an employee continues to engage-in--similar inapiaropriate-ooncluot-or-if-tine-ecnoloyee's conduct or
behavior-is--such-that bypassing-coaching and verbal-counseling is justified, the-supervisor may issue
a written coungelingirep-FiFnan-d-1f-a-written-cou-n-selingkepr-i-mand-is chosentine emp-loyee-is
infownedAll suspensions and dismissals of Classified, Unclassified and Initial Probationary Employees
shall be reviewed by and receive the concurrence of the Human Resources Director, or designee, prior
to implementation.
VI. DISCIPLINARY ALTERNATIVES
A. Warning
1. Supervisors may initiate a Warning with an employee as soon as problem behavior or misconduct
occurs. The supervisor shall advise the employee of the specific behavior or misconduct and how it

is negatively affecting the workplace, communicate specific instances of the behavior or misconduct,
and identify appropriate corrective action. The employee must be advised that failure to end the
problem behavior or misconduct may result in further disciplinary action, up to and including
dismissal. The employee may also be required to complete corrective actions to improve behavior
or conduct, such as training or policy/procedure review.
2. The supervisor shall document the Warning to include a brief, dated summary of the discussion,
which shall be placed in the supervisor's personnel file for the employee.
B. Written Reprimand
1. If an employee continues to engage in similar inappropriate behavior or conduct, or if the
employee's behavior or conduct is such that bypassing Warning is justified, the supervisor may
issue a Written Reprimand. A Written Reprimand informs the employee in writing that a serious
infraction has occurred and that immediate improvement is required to avoid further disciplinary
action. - e-and—that—heishe—is
responsible for immediately achieving and—maintaining an acceptable work recer-G1 The Written
Reprimand may require the employee to complete corrective actions to improve behavior or
conduct, such as training or policy/procedure review.
The 41414Se RIEWM4laRG 40141G
person(s) present at the meeting; reason for the discipline; a brief
description of the incident or reason for counseling alongWritten Reprimand
shall be drafted by the supervisor, in conjunction with th-e-ciates-aRd—times
of—event(s); dates of prior counseling; recommendations to correct
deficiencies; and a signature line forDepartment Human Resources. Once
completed, the supervisor should review the Written Reprimand with the
employee and. Both the supervisor and employee should sign the Written
Reprimand. By

filarioo-pa-County Internal Policy Number: HR2101
Policy Title: Informal/Formal Discipline Iss-ue-IDate7-/-1-9.98
Policy Category: 1-1-uman In-Mating-Department: Human Revision: 1
Resources Resources _
'1
2. signing the document, the employee is simply acknowledging that he/she received it. If the
employee refuses to sign the document, the supervisor shouldshall make that notation on the
document; and sign and date it. The counselinglreprimand-may-insiude-a-monitoring or observation
once management plan (sometimes referred to as an Action
rmed-of-the-standards for judging their
uring the
observation-period:
If the employee disputes the contents of the written
counselingicepTimandWritten Reprimand, the employee may submit a written
response to thc written couns
counselinglreprimandwithin 5 business days, absent extenuating
circumstances. The employee shall be given a reasonable amount of work
time to draft the response. The Written Reprimand and any employee
response shall be placed in the employee's official personnel file in the
Central Human Resources Department. A copy must also be retained in the
departmental supervisor's personnel file,
D. SUSPENSION
3. If an for the employee continues to engage in similar inappropriate conduct, and/or if the
C. Suspension
If the employee engages in serious or repeated misconduct, and it has been
determined that
reprimand is justifieddismissal is not appropriate, the Appointing Authority
may impose a suspension.
1. Employees designated as Exempt under the Fair Labor Standards Act (FLSA) may be suspended for
infractions of workplace conduct rules-fo
conduct refers to serious miscond 07.1.1.17 De_ aruo or acona
or violations of federal or state laws. For example, a supcirvisor may choose to suspend an exempt
workplace cone - •• e - •• e e - - • e ee-stispended-for-poor-performance or
attendance issues. Inst ad, these i "sues must be addresed throug-h-the-following progressive
dissipline step ... e _ _ • • e ... e . • - • e • - • - e - • elingiRepFinciarxd,Denation-ef
the employee-Dismissal

2. Employees may be suspended from work without pay for-a-per-lGd-n-Gt-te-exGeed-in full workweek
increments, and no more than thirty (30) calendar days for any single cause. A pre disciplinary A
notice of suspension must be given in writing to the employee, stating the length of and reason for
the suspension-and giving notice of the right to appeal or--r-eview-in-aGGordance with-the
wevislian-Gantained-in-the-app - e -ee 2 nal-g4idanse),
A pre disciplinary hearing must b
opportunity to attend the pre disciplinary hearing. For Classified Employees, the Appointing
Authority must comply with the provisions of the Employee Merit System Resolution and Rules (or
Law Enforcement Officers' Merit System Rules, if applicable) and Policy HR2402 Pre Disciplinary
Action Hearing as it relates to due process.
Dismissal

Maricopa County Intcrnal Policy N-umber1=1-1R24-0-1-
Policy Title:--144formaliFormal Discipline Issue Date: 7/199-8
Polisy-Categoily1=1-uman Initiating-Department: Human Revision: 1
Resources Resources
D. and present information to the Appointing-Authority74h En cJecision
the-proposed
If lesser disciplines JIFO OT aoci
E. DEMOTION
When other le-ter disciplinary actions have been taken, and have has failed
or arcto result in improved behavior or conduct, or is deemed not appropriate
or sufficienti
status employee being demoted must be given a pre disciplinary hearing
a-Re * e to which the employcc
Revision History
Version Revision Date Description of Revision
1 July 1998 Initial version
2 9-20-2005 Amended version; Approved by County Manager
3 MM-DD-YYYY Retitled to 'Employee Discipline' from 'Informal/Formal Discipline;' Amended
Application Section to indicate the policy applies to Classified Employees and should be
used as guidance by an Appointing Authority when considering disciplinary action for
At-Will Employees (i.e. Unclassified, Initial Probation, Contract and Temporary
Employees), and that this policy applies to employees of County Elected Officials unless
the County Elected Official has implemented an employee discipline policy specific to
their respective Office; Included a Definitions section; General updates made to the
description of egregious conduct; Included a statement requiring that all suspensions and
dismissals for Classified, Unclassified and Initial Probation Employees shall be reviewed
by and receive the concurrence of the HR Director, or designee, prior to implementation;
'Progressive Steps' modified to 'Disciplinary Alternatives' and the list of possible actions
revised to — Warning, Written Reprimand, Suspension and Dismissal; Suspension
language has been modified to require that they be served in full workweek increments;
Demotion has been removed from this policy, but will remain an option tinder Policy
HR2431 Performance Management Process, which is currently under review. Approved
by the Board of Supervisors (C-##-##41-1#41-tilt).
bain c's right of appeal. A pre
disciplinary hearing must be conducted prior to the demotion or the demotion
-is subject to legal challenge. (See HR2102 for additional guidance).

Until an employee-who-has-been-promoted has successfully completed-the
requireel-probationary perioelthe-emplo
a former or like position-and-shall-have-no right-to-a-p-pcial. A pre disciplinary
-d—before demoting an employee on initial or
promotie-.. ee.. e r, th
the demotion and, in-the case of initial probation, the right to request-a
review-from-4h e 'rector,-Demotions-are-n-Gt-appropriate
unle-s the-employee can-reasonably-be expected-to-perro-mq-the duties of
the-lower-position. Demotions may also-be-voltinta-ry,-When a demotion is
mad e has no app . ITIlak9Yee
re q uests-a-votuntary-dernetion ,-the employee must submit-a-written-request
acknowledging-the position's job title and pay-g-raele,An-employec subject
to a reduction-in-force-who accepts a position in a lower pay grade, accepts
such a demotion-valuntarily and has no right-of-appeal,
F DISMISSAL
When-oth actions have been TE EEl
are-not-appropriate or sufficient for given the severity of the infraction,
dismissal proceee e d. Dismissal may only be for cause as
°five Merit System-Ru4c*. A pre disciplinary-hearing
must be conducted prior to -- g AIN 1 is subject to
legal challenge.the Appointing Authority may dismiss the employee. For
mare-information-regarding-the-p re d i sci p I R2102.

Maricopa-County Internal-Poli-Gy Number: HR2401
Po4i- Title:-I-RfermallFor-Fnal-Diss - - - Issue-Date-7-49-
Policy Categoty-H-u-ma-Ft initiati-ng-Department-H-urnan ReiGni
Resources Resources
ATTACHMENT A
SAMPLE INITIAL PROBATI
January 1,20
Mr-.-clehh-Doe
123 Any Stroot
Nowhe-re-,-Af-izoha -85
Effective Ja i=] d from your position with
the SheriffsOffice. This rolease is duo to u 9-pd-Gem-tale4en-of
your initial probationarype-r-iod,
As a probation-anployecto-not have thc right-to-appea-l-this
action,
gin-cerely
Classified Employees,
the Appointing
Authority cc: Clerk
of-the Beard

Departmental-File

MARICOPA COUNTY INTERNAL POLICY
Policy Number: HR240 l
Policy Title: Current Adoption
MM-DD-YYYY
EMPLOYEE DISCIPLINE Date:
Current MM-DD-YYYY
Implementation Date.
Board Agenda C-##-##-#1#14-#-##
Approved by: Number:
BOARD OF SUPERVISORS Original Adoption July 1998
Date:
,Ma-ri-Gepa-Creunty Internal Policy Number: HR2101-
1P-0 11GY Issue Date: 7/1998
Pollsy-Categery-u-nlan Initiating Department: Human Revisien
Reset:I-Fees Resources,
Attaoh-ment-B
VIRLC1 EJA R-H-4 -=;11Q-LINN ENR-IV
B-R 9-111F
9-1-1-GR-a
EMPLOYEE NAME:
SUPERVISOR'S NAME:
DATE: DEPARTMENT/DIVISION:
BRIEF DESCRIPTION OF THE PROBLEM/ISSUE:

Policy Title: Policy Number: HR2401
EMPLOYEE DISCIPLINE Current Adoption MM-DD-YYYY
Date:
DESCRIBE THE DESIRED PERFORMANCE/CONDUCT/BEHAVIOR:
NECESSARY TRAINING NEEDED, IF NEEDED:
DESCRIBE THE CONSEQUENCES FOR FAILURE TO IMPROVE TO AN
ACCEPTABLE LEVEL:
1 must comply with the provisions of the Employee Merit System Resolution and Rules (or Law
Enforcement Officers' Merit System Rules, if applicable) and Policy HR2402 Pre Disciplinary
Action Hearing as it relates to due process.
Page 17 of 17