Michigan Municipal League Liability & Property Pool — Michigan Municipal League Workers’ Compensation Fund

Law Enforcement Risk Reduction Manual

SAMPLE PROCEDURE FOR

DISCIPLINARY PROCESS

I.PURPOSE

To define a process for the administration of discipline for the Department. It is important that each member of the Department understand the consequences of not performing his duties within established practices and procedures, standards of behavior or the law.

II.AUTHORITY TO DISCIPLINE

A.The authority to discipline an employee in this department lies with the (Chief, Director, Sheriff) or designee. Discipline is defined as the consequences for improper behavior and a means to maintain order.

B.Supervisors and command officers are granted authority to take corrective action consisting of counseling or remedial training. Notification of the action will be promptly sent to the (Chief, Director, Sheriff) for final approval.

C.In serious cases or emergency situations, supervisory or command officers have authority to immediately relieve an employee from duty pending further investigation. This initial suspension shall be with pay:

1.Upon suspension an employee is to be ordered to appearat a specified date, time and location.

2.The (Chief, Director, Sheriff)will be promptly notified of the suspension.

  1. Supervisors should remain alert for indications of behavioral problems, or changes that may affect an employee’s job performance. The supervisor should document the behavior and report it to the (Chief, Director, Sheriff) or designee.

E. Where a supervisor perceives that an employee may be having or causing problems, the supervisor should assess the situation and determine the most appropriate action.

1. A supervisor may recommend disciplinary action or additional training to refresh and reinforce an employee’s skills.

2. Counseling may be used by the supervisor:

a.to determine the extent of any personal or job problems that may be affecting performance and to offer assistance and guidance;

b. to discuss minor and infrequent rule violations and to discuss the substance and importance of the rules with the officer.

H. The supervisor shall document all instances of counseling or additional training used to modify an employee’s behavior, using prescribed forms and documentation. Copies of such documents along with disciplinary recommendations, if any, shall be forwarded to the (Chief, Director, Sheriff).

III.DETERMINATION OF CHARGES

A.The disciplinary process is initiated upon the receipt of an investigatory report or other determination that outlines specific behavior or occurrence that allegedly violates the rules or procedures of the department or the law.

B.The (Chief, Director, Sheriff) or a designee shall review the report and supporting documentation to determine if the material constitutes a charge under the rules of the Department.

C.After review of the report the (Chief, Director, Sheriff) or a designee may make a determination as to the status of the charges using one of the following classifications:

1.Sustained: Evidence exists to support the allegation and further action is to be taken.

2.Not Sustained: Insufficient evidence exists to either support or disprove the allegation. May be returned for further investigation.

3.Exonerated: No violation occurred or actions were justified.

4.Unfounded: The alleged misconduct did not occur.

D. Within 10 days of a determination, the employee will be notified of the finding by written correspondence.

IV.INITIATION OF DISCIPLINARY PROCESS

If an allegation is sustained and disciplinary action may be taken, the (Chief, Director, Sheriff) or a designee shall cause the employee to be notified of pending charges and potential disciplinary action. A notification of charge(s) will contain the following information:

  1. The particular rule(s) alleged to have been violated.
  2. The duties assigned and place(s) where the alleged acts or omissions occurred.
  3. A statement of alleged acts, omissions or admissions.
  4. That disciplinary action will be taken if determination of responsibility is found.
  1. If a hearing is to be held, it should be within 5 business days of the date of the notification of charges.
  1. That the employee may be assisted by another person of their choosing at any hearing.

V. DETERMINATION HEARING

If the sustained allegations are serious enough that, the likely disciplinary consequence could affect the property interests of an employee, a determination hearing to discuss the allegations must be held. In such cases, the notification of charges must Include the date, time and place for a hearing. The hearing is to be held within (Insert Number, 5 is recommended but must be maintained.) business days of the date of the notification of charges.

A.At the date, time and location specified in the notification of charges, a closed hearing will be held, chaired by the (Chief, Director, Sheriff) or a designee.

B.The management attendees at the hearing will be designated by the (Chief, Director, Sheriff) or a designee.

C.The employee is required to attend the hearing and may designate a representative to be present, if desired.

D.The hearing shall consist of the following:

1.An oral notice of the charge(s).

2.An explanation of the evidence.

3.An opportunity for the employee to offer his side of the incident, including relevant mitigating or extenuating evidence.

E.Within 5 days of the hearing conclusion, the (Chief, Director, Sheriff), or a designee, shall notify the employee of the final decision concerning the charge(s), and render disciplinary action if determined appropriate.

VI. RENDERING DISCIPLINARY ACTION

A.If it is determined the employee is responsible for a rules, policy, procedure or law violation and that disciplinary action is appropriate, the (Chief, Director, Sheriff), or a designee, may impose disciplinary action consisting of, but not limited to, the following:

  • Counseling,
  • Written Reprimand,
  • Probationary Period,
  • Restitution or Fees,
  • Suspension Without Pay,
  • Demotion,
  • Termination.

B.In addition to discipline, an employee may be directed to complete psychological testing, medical examination, drug testing, counseling, alcohol treatment, remedial training or other conditions. Failure to comply with such requirements may be cause for additional disciplinary action, up to and including termination of the employee.

VII.DOCUMENTATION OF DISCIPLINE

AUpon completion of the discipline process, a memo outlining the specific charge(s) levied against the employee and the discipline imposed will be placed in the employee’s personnel file. A copy of the memo will be provided to the affected employee.

B.If disciplinary action includes termination, the following information will be provided to the employee:

  1. A written statement citing the reason for termination;
  1. The effective date of the termination; and
  1. a statement of the status of fringe and retirement benefits after dismissal.

VII.APPEAL PROCESS

An employee subject to disciplinary action may appeal the discipline through the process established. When applicable, other remedies may be sought as established by law or procedure.

IX.OFFICERS ASSIGNED TO OTHER AGENCIES

Officers of this department assigned to or assisting other law enforcement agencies will be guided by this policy.

X.APPLICATION

This order constitutes department policy, and is not intended to enlarge the employer’s or employee’s civil or criminal liability in any way. It shall not be construed as the creation of a higher legal standard of safety or care in an evidentiary sense with respect to third party claims insofar as the employer’s or employee’s legal duty as imposed by law.

DISCLAIMER: This information is current and accurate, to the best of our knowledge, on the date of issuance. Recent changes in the law, judicial rulings, and local considerations may necessitate modifications before you adopt this policy as your own. As always, you are encouraged to consult with your local legal advisor for specific legal advice prior to implementing this policy sample.

Policy History:

Accepted May 16, 1996

AmendedOctober 15, 1996

ReviewedOctober 14, 1997

AmendedSeptember 30, 1998

AmendedSeptember 30, 1999

AmendedSeptember 28, 2000

ReviewedSeptember 28, 2001

AmendedSeptember 27, 2002

AmendedSeptember 26, 2003

AmendedSeptember 29, 2005

CALEA Standard26.1.4 through 26.1.8

Sample Policy—Disciplinary Process Date Amended: September 29, 2005 14-1