Disciplinary Policy. Regulation Number: 28 Revision: July 22, 2010 September 18, Page 1 of 26 PURPOSE OF THE POLICY

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1 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 September 18, 2014 Page 1 f 26 PURPOSE OF THE POLICY It is Guilfrd Cunty s intent t prvide Cunty Emplyees, Supervisrs and Management with a fair, clear, and cnsistent tl t facilitate the effective prfessinal develpment f Cunty Emplyees. This plicy utlines a prcess designed t aid Supervisrs in helping Emplyees crrect perfrmance prblems, and t assist Supervisrs in handling instances f Unacceptable Persnal Cnduct. NOTE: Any time a wrd r term is capitalized and italicized thrughut this plicy, it is defined in the alphabetic listing f Definitins lcated in Sectin F f this plicy.

2 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 2 f 26 TABLE OF CONTENTS A. The Cunty s Respnsibilities Under this Plicy 65 B. Prgressive Disciplinary Prcess 66 1) Overview 2) The Supervisr s Rle in the Disciplinary Prcess 3) The Emplyee s Rle in the Disciplinary Prcess 4) Infrmal Perfrmance Management (a) Caching (b) Guidelines fr Cnducting a Caching Sessin 5) Addressing Incidents Pending Reslutin Thrugh Prgressive Discipline 6) Unsatisfactry Jb Perfrmance 7) Unacceptable Persnal Cnduct 8) Determining Supervisry Respnse t an Incident Pending Reslutin C. Disciplinary Actin 70 1) Written Warning 2) Severe Disciplinary Actin 3) Cnference Participants D. Right f Appeal 74 1) Appeal Eligibility 2) Requesting an Appeal & Time Limit 3) Emplyee Review Panel Cmpsitin 4) Hearing Prvisins 5) The Hearing 6) Hearing Prcedures 7) Decisin f The Emplyee Review Panel 8) Further Appeal Optin E. Plicy Limitatins 77 1) Hurly and Prbatinary Intrductry Perid Status Emplyees 2) Elected Officials F. Definitins 78 Active Disciplinary Actin Administrative Leave With Pay Administrative Leave Withut Pay Anniversary Regular Status Date Anniversary Evaluatin Year

3 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 3 f 26 F. Definitins cntinued Appeal Hearing Appinting Authrity Caching Credentials Disciplinary Actins Disciplinary Demtin Disciplinary Suspensin Withut Pay Dismissal Emplyee Emplyee Review Panel Hurly Emplyee Incident Pending Reslutin Initial Prbatinary Intrductry Perid f Emplyment Insubrdinatin Just Cause Mediatin Mediatr Official Persnal Recrd Pre-Disciplinary Cnference Prbatinary Intrductry Perid Emplyee Right f Appeal Severe Disciplinary Actin Supervisr Unacceptable Persnal Cnduct Unsatisfactry Jb Perfrmance Written Warning

4 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 4 f 26 A. THE COUNTY S RESPONSIBILITIES UNDER THIS POLICY 1) Cunty Management and Supervisr are respnsible fr: Establishing reasnable and cnsistent jb perfrmance and persnal cnduct expectatins fr each Emplyee; Assuring satisfactry jb perfrmance and acceptable persnal cnduct by mnitring, evaluating, and prviding apprpriate feedback t Cunty Emplyees; Impsing apprpriate disciplinary actin when it is justified by this plicy. 2) The Cunty Human Resurces Department shall: Maintain Official Persnnel Recrds; Reprt infrmatin and statistics related t the Cunty s disciplinary and dismissal prcesses t the Office f State Persnnel n at least an annual basis; Train Supervisrs in the administratin f this plicy; and, Cnsult with Supervisrs and Emplyees as needed r requested.

5 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 5 f 26 B. PROGRESSIVE DISCIPLINARY PROCESS 1) Overview The Prgressive Disciplinary Prcess is designed t assist Supervisrs in facilitating the prfessinal grwth and develpment f Guilfrd Cunty Emplyees. Supervisrs are encuraged t apprpriately address perfrmance r cnduct deficiencies with Emplyees n a cnsistent, nging basis. The Prgressive Disciplinary Prcess encurages Supervisrs and Emplyees t wrk tgether t: Establish and cmmunicate reasnable jb expectatins fr each Emplyee; Encurage Emplyees t rely n Supervisrs fr assistance with jb expectatins abut which they are unclear; Empwer Supervisrs with a tl with which t effectively address issues as they arise; Handle prblems as infrmally as pssible; and, Prmte pen cmmunicatin between Supervisrs and Emplyees. 2) The Supervisr s Rle in the Disciplinary Prcess The Supervisr has the respnsibility t encurage satisfactry jb perfrmance by Emplyees under his/her supervisin. The Supervisr has the respnsibility t: Clearly cmmunicate reasnable perfrmance and cnduct expectatins t the Emplyee; Mnitr the prgress f the Emplyee; Prvide cnstructive feedback t the Emplyee; Identify and address areas f cncern r items needing crrectin; Attempt t deal with minr issues withut frmal Disciplinary Actin, if pssible; and, Prpse apprpriate Disciplinary Actin as warranted. 3) The Emplyee s Rle in the Disciplinary Prcess The Emplyee is expected t make every attempt t maintain satisfactry jb perfrmance and persnal cnduct standards. The Emplyee has the respnsibility t: Gain an understanding f the expectatins f his/her jb; Strive t cntinually crrect perfrmance r cnduct as needed; Accept cnstructive feedback and mdify the unacceptable perfrmance r cnduct, seeking clarificatin if needed.

6 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 6 f 26 4) Infrmal Perfrmance Management (a) (b) Caching Caching an Emplyee is nt a frm f Disciplinary Actin, but is an excellent tl fr Supervisrs t use in addressing minr r first-time Unsatisfactry Jb Perfrmance r Unacceptable Persnal Cnduct issues. Guidelines fr Cnducting a Caching sessin The Supervisr: 1. Ntices a need fr an Emplyee t imprve a perfrmance r cnduct issue; 2. Plans the discussin, preparing fr the meeting with the Emplyee by making ntes f bservatins and cncerns; 3. Calls the Emplyee in fr a private discussin, and details the specific cncerns, issues, r deficiencies that are causing cncern; 4. Gives the Emplyee an pprtunity t express his/her cncerns abut the jb perfrmance issue; 5. Cmmunicates the need fr crrectin t the Emplyee; 6. Outlines a crrectin plan; 7. Dcuments the discussin using a Perfrmance Discussin Wrksheet r a Crrectin Plan; 8. Gives the Emplyee a cpy, and retains a cpy fr the Supervisr s recrds nly. The dcument des nt becme a part f the Official Persnnel Recrd unless further frmal Disciplinary Actin is necessary. Nte: If Unsatisfactry Jb Perfrmance r Unacceptable Persnal Cnduct cntinues despite infrmal management effrts, the Supervisr shall initiate frmal Disciplinary Actin. 5) Addressing Incidents Pending Reslutin Thrugh Prgressive Discipline Disciplinary Actin can nly be taken when Just Cause exists. Tw categries f Just Cause exist under this plicy: Unsatisfactry Jb Perfrmance; and, Unacceptable Persnal Cnduct. Prgressive discipline is a prcess fr cmmunicating and addressing jb perfrmance r cnduct issues as simply as pssible. The primary purpse fr prgressive discipline is t assist the Emplyee in understanding that an pprtunity fr crrectin exists, and t supprt and encurage the Emplyee in his/her crrectin effrts.

7 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 7 f 26 When an Incident Pending Reslutin f Unsatisfactry Jb Perfrmance r Unacceptable Persnal Cnduct arises, a Supervisr is respnsible fr investigating the situatin and taking apprpriate actin. 6) Unsatisfactry Jb Perfrmance Unsatisfactry Jb Perfrmance is wrk-related perfrmance that fails t satisfactrily meet the jb requirement set ut in the relevant jb descriptin, wrk plan, r as directed by the Management f the Cunty/Department. Examples f Unsatisfactry Jb Perfrmance include, but are nt limited t the Emplyee s: Failure t prduce accurate wrk; Failure t prduce a sufficient quantity f wrk; Failure t prduce wrk f acceptable quality; Failure t prduce wrk n time; r, Failure t maintain regular attendance. 7) Unacceptable Persnal Cnduct Unacceptable Persnal Cnduct includes: Cnduct fr which n reasnable persn shuld expect t receive a prir warning; Cnduct which cnstitutes abuse f any persn fr whm, r prperty fr which, the Emplyee has respnsibility; The Emplyee s falsificatin f, failure t btain, r failure t maintain, Credentials as defined herein; r, The Emplyee s failure t perfrm jb requirements, as set frth in an applicable: Statute; Regulatin; Administrative rule; Jb descriptin; Wrk plan; r, Directive issued by Management f the Cunty, department, agency r wrk unit; and, This failure causes, r results in, death r serius bdily injury t: An Emplyee; Member(s) f the public; r Persn(s) fr whm the Emplyee has respnsibility; r, This failure causes, r results in: Significant lss r damage t Cunty prperty and/r significant lss f Cunty funds; and, Has an adverse impact n the Cunty and/r the Emplyee s department.

8 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 8 f 26 Examples f Unacceptable Persnal Cnduct include, but are nt limited t: Imprper verbal cmmunicatin (cursing, yelling, etc.); Insubrdinatin; Damage f Cunty prperty; Engaging in physical altercatins with a cwrker, client, member f the general public r any custmer. 8) Determining Supervisry Respnse t an Incident Pending Reslutin T determine the apprpriate respnse when a Supervisr first bserves an Emplyee s Unsatisfactry Jb Perfrmance r Unacceptable Persnal Cnduct, the Supervisr shuld cnsider several factrs, including: (a) Whether any level f Disciplinary Actin is apprpriate, based n the facts; (b) Whether mre investigatin r review is necessary in rder t make a decisin befre taking Disciplinary Actin; (c) The type and degree f Disciplinary Actin t be taken, based n the knwn facts; (d) The Emplyee s wrk histry and dcumented level f perfrmance; and, (e) The level f recent Disciplinary Actins impsed n ther similarly situated Emplyees. Imprtant Nte: A Supervisr has the ptin t mve directly t any level f Disciplinary Actin, up t and including Dismissal, t address serius incidents f Unacceptable Persnal Cnduct.

9 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 9 f 26 C. DISCIPLINARY ACTION 1) Written Warning An Incident Pending Reslutin is an act f Unacceptable Persnal Cnduct r an ccurrence f Unsatisfactry Jb Perfrmance fr which the Cunty/Department has previusly taken n frm f Disciplinary Actin. A Written Warning is apprpriate when there is a need t frmally dcument an Incident Pending Reslutin, r when infrmal perfrmance management alternatives have nt prduced the desired crrectin. A Written Warning is a frm f Disciplinary Actin, presented t the Emplyee in written frm, which: Specifically states that the actin is a Written Warning/Disciplinary Actin; (a) States the specific Incident Pending Reslutin that is the basis fr the Disciplinary Actin; (b) States the specific perfrmance r cnduct crrectin that must be made t avid further Disciplinary Actin; (c) States the specific timeframe fr imprvement, within which the Emplyee must shw crrectin. Cnduct crrectin must be immediate; (d) Indicates the cnsequences f failing t make the required crrectin; (e) Infrms the Emplyee that he/she cannt appeal a Written Warning, based n Cunty plicy. An Emplyee s immediate Supervisr, and/r any ther persn in the Emplyee s chain f supervisin, may issue a Written Warning t an Emplyee fr Unsatisfactry Jb Perfrmance r Unacceptable Persnal Cnduct. A Written Warning may be included in a perfrmance evaluatin. If a Written Warning is issued because the Emplyee is nt meeting jb expectatins fr the evaluatin perid, the Warning must be in the frm f a separate written dcument t be given t the Emplyee alng with the perfrmance evaluatin. Nte: A cpy f the Written Warning shuld be sent t Human Resurces (Emplyee Relatins) fr cmpliance review prir t issuance.

10 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 10 f 26 2) Severe Disciplinary Actin An Incident Pending Reslutin is an act f Unacceptable Persnal Cnduct r an ccurrence f Unsatisfactry Jb Perfrmance fr which the Cunty/Department has previusly taken n frm f Disciplinary Actin. If a Supervisr believes that Severe Disciplinary Actin is required t address a current Incident Pending Reslutin, available ptins are: Disciplinary Suspensin Withut Pay, fr a minimum f ne and a maximum f five cnsecutive wrk days; Disciplinary Demtin; r, Dismissal. Befre any Severe Disciplinary Actin fr Unsatisfactry Jb Perfrmance may ccur, the Emplyee must have: Received at least ne prir Active Disciplinary Actin fr any basis; A current Incident Pending Reslutin fr Unsatisfactry Jb Perfrmance; and, A Pre-Disciplinary Cnference. If the incident is based n Unacceptable Persnal Cnduct, n prir Active Disciplinary Actin is required. The Emplyee must have: A current Incident Pending Reslutin fr Unsatisfactry Cnduct; and, A Pre-Disciplinary Cnference. A Supervisr wh believes Severe Disciplinary Actin is warranted shuld discuss the recmmendatin with each individual in the chain-f-cmmand befre prceeding. If Management determines that Severe Disciplinary Actin is merited, the Supervisr r Appinting Authrity shuld cntact the Cunty Human Resurces Directr t discuss the pssibility f ffering the Emplyee the pprtunity t utilize the Cunty s Mediatin Prcess. If the Supervisr, Appinting Authrity, and Human Resurces Directr determine, based n available facts and circumstances, that the matter culd pssibly be reslved thrugh Mediatin, the Supervisr will ffer the Emplyee the pprtunity t request a Mediatin, prir t the Pre-Disciplinary Cnference. If Mediatin is ffered, a written descriptin f the Mediatin prcess will be prvided t the Emplyee. Mediatin prvides an pprtunity fr the tw parties t penly discuss the events leading up t the Severe Disciplinary Actin and t reach a reslutin that is mutually acceptable t bth the Department and the Emplyee. When Mediatin results in a mutual reslutin, all parties sign a Mediatin Agreement. If Mediatin is nt successful, Management may prceed with the Pre-Disciplinary Cnference.

11 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 11 f 26 Pre-Disciplinary Cnference A Pre-Disciplinary Cnference must be scheduled and held prir t the issuance f a Suspensin Withut Pay, Demtin, r Dismissal f an Emplyee subject t this plicy. The Supervisr must prvide the Emplyee with advance written ntice f the cnference. The ntice must tell the Emplyee: (a) (b) (c) That Severe Disciplinary Actin, up t and including Dismissal, is being cnsidered; The time and lcatin f the Pre-Disciplinary Cnference; and, A summary f the facts that led t the cnsideratin f Severe Disciplinary Actin. The Emplyee shuld be prvided with as much advance ntice as is practical given the circumstances, but in any event, must be given at least tw hurs ntice prir t the start f the cnference. Ntice f a Pre-Disciplinary Cnference may be mailed t an Emplyee wh is nt at wrk. Such ntice shuld be sent via certified mail, return receipt requested, r by any ther cmparable methd that ensures dcumented prf f delivery. 3) Cnference Participants (a) The Supervisr r anther persn chsen by departmental management t cnduct the cnference; (b) An Appinting Authrity, r his/her designee; (c) A secnd management representative may be present at management's discretin; (d) The Emplyee; and, (e) If the persn cnducting the cnference s chses, a staff member frm the Security Department may als be present. N attrney shall be present r represent either side at the cnference. This plicy des nt give either party the right t have witnesses at the cnference. Neither party may tape recrd this cnference. Failure f the Emplyee t appear fr the scheduled cnference after having received dcumented ntice f the Pre-Disciplinary Cnference, shall nt stp the Disciplinary Prcess. In such situatins, management may prceed with Disciplinary Actin withut input frm the Emplyee. Advisry Nte: In additin t the participants in the cnference nted abve, an additinal neutral party may attend, if bth the Emplyee being disciplined and the Appinting Authrity r his/her designee agrees.

12 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 12 f 26 During the cnference, the persn cnducting the cnference must: 1. Give the Emplyee ntice f the prpsed recmmendatin fr Severe Disciplinary Actin, including the specific reasns fr the prpsed Disciplinary Actin; 2. Prvide a summary f the facts that the Supervisr presented t supprt the recmmendatin fr the Severe Disciplinary Actin; and 3. Offer the Emplyee an pprtunity t respnd with infrmatin regarding the recmmended Severe Disciplinary Actin that is different frm that presented by management, and ffer facts in supprt f his/her wn psitin. The Appinting Authrity r his/her designee wh is present at the Pre-Disciplinary Cnference shall have the authrity t decide what, if any, Disciplinary Actin shuld be impsed n the Emplyee. After the cnference, the Appinting Authrity shall: 1. Review and cnsider the respnse f the Emplyee and make a decisin as t whether r nt t mve frward with the recmmended Disciplinary Actin; and, 2. Cmmunicate the decisin t the Emplyee within a reasnable perid f time fllwing the Pre-Disciplinary Cnference. If the Appinting Authrity chses t prceed with Severe Disciplinary Actin against the Emplyee, the Emplyee must receive written ntice f the Disciplinary Actin within a reasnable perid f time, fllwing the day f the cnference. Management may nt cmmunicate the decisin befre the start f the next business day, fllwing the day f the cnference. The ntificatin must include: 1. The specific reasn fr the Severe Disciplinary Actin; 2. The effective date f the Severe Disciplinary Actin (which cannt be befre the decisin is handed t, r mailed t, the Emplyee); and, 3. Ntice f the Emplyee s Right f Appeal. Nte: A cpy f the Severe Disciplinary Actin dcument shuld be sent t Human Resurces (Emplyee Relatins) fr cmpliance review prir t issuance. Als, failure t give written reasns fr the Disciplinary Actin, failure t cnduct a Pre-Disciplinary Cnference, and/r failure t give written ntice f appeal rights are all cnsidered prcedural vilatins; such vilatins will necessitate that the Disciplinary Actin be verturned. The time limit fr an appeal begins when written ntice f his/her Right f Appeal is prvided t the Emplyee. The emplyee shuld sign that he/she received a cpy f this dcument.

13 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 13 f 26 Cases f Dismissal: 1. The Appinting Authrity may ntify the Emplyee f the Dismissal either by prviding the Emplyee with a written decisin in persn, r by any delivery methd that ensures dcumentatin f delivery; 2. The Emplyee will be prvided with an pprtunity t appeal the decisin; 3. During the appeal prcess, the Emplyee des nt receive pay; 4. Payment fr unused vacatin, cmp time, etc. will be issued fllwing the standard payrll prcessing schedule nce the appeal prcess cncludes and the final decisin is made; 5. If the persn des nt appeal within the designated time frame, the Dismissal is upheld and all benefits wed t the Emplyee will be paid ut in the final paycheck. D. RIGHT OF APPEAL 1) Appeal Eligibility Eligible Emplyees (as defined in Sectin F, Emplyee) may appeal the fllwing: (a) Severe Disciplinary Actin fr Just Cause (Disciplinary Suspensins Withut Pay, Disciplinary Demtin r Dismissal) if the Emplyee is a regular status Emplyee; (b) Prbatinary Intrductry Perid Emplyees and Hurly Emplyees wh allege discriminatin; (c) Retaliatin against an emplyee fr prtesting an alleged vilatin f a plicy described within the Persnnel Regulatins; (d) Retaliatin fr ppsitin t harassment in the wrkplace based upn age, sex, race, clr, natinal rigin, religin, creed r handicapping cnditin whether the harassment is based upn the creatin f a hstile wrk envirnment r upn quid pr qu (tangible emplyment actin); (e) If the emplyee is nt satisfied with the final decisin f a Harassment investigatin in the wrkplace based upn age, sex, race, clr, natinal rigin, religin, creed, r handicapping cnditin, whether the harassment is based upn the creatin f a hstile wrk envirnment r upn a quid pr qu (tangible emplyment actin); (f) If the emplyee is nt satisfied with the final decisin f a Discriminatin investigatin in the wrkplace based upn age, sex, race, clr, natinal rigin, religin, creed r handicapping cnditin; and, (g) Vilatin f any f the fllwing federal statutes: 1. The Fair Labr Standards Act 2. The Age Discriminatin in Emplyment Act 3. The Family Medical Leave Act 4. The Americans with Disabilities Act

14 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 14 f 26 2) Requesting an Appeal & Time Limit T request a frmal hearing befre the Emplyee Review Panel, the Emplyee must submit a written Emplyee Request fr Appeal (Frm HR28.1) and Psitin Statement (Frm HR28.2) t the Human Resurces Directr. The request must be received within 10 wrking days f the date the Severe Disciplinary Actin r ther actin ccurred as defined in Sectin D1 (Appeal Eligibility) was received by the Emplyee. The request must include: A statement frm the Emplyee that he/she wishes t file an appeal; and, A Psitin Statement, which must identify: One f the reasns defined in Sectin D1 (Appeal Eligibility) which adversely impacted the Emplyee; The basis n which the Emplyee believes the actin is wrng r unfair; The Emplyee s prpsed reslutin; and, A list f witnesses and/r dcuments that supprt the Emplyee s psitin. Nte: Failure by an Emplyee t file a written Request f Appeal, and include the Psitin Statement frm, within the alltted 10 wrking days, will cnstitute abandnment f all appeal rights. After the request fr an appeal is filed, the departmental representative(s) must identify the individuals wh may be called as witnesses n the Cunty s behalf at the hearing. The scpe f the hearing will be limited t the issues and witnesses identified in the Psitin Statement. Nte: An Emplyee may retract a Request fr Appeal by sending written ntice t the Cunty Human Resurces Directr at any pint during the prcess. If an appeal is withdrawn, the Severe Disciplinary Actin is upheld, and the Emplyee has n further Right f Appeal in regard t the matter. 3) Emplyee Review Panel Cmpsitin Selectin f three (3) panel members will take place immediately after an appeal has been filed with the Human Resurces Directr. The Emplyee will randmly select the names f all panelists frm a pl f panelists wh were selected frm the Human Resurces Management database, alng with ne alternate frm the Emplyee pl. T avid cnflict f interest, the Human Resurces Directr will review the names drawn and will disqualify the selected panelists wh wrk in the same department as the Emplyee, have specific knwledge f the circumstances, and/r are related by bld r marriage t the Emplyee. The Human Resurces Directr will cntact the selected panelists prmptly t verify availability and schedule the hearing. N persn wh reprts directly t the Cunty Manager r wh wrks in the Human Resurces area may serve n the review panel.

15 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 15 f 26 Of the three vting panel members: One member will be an Emplyee, wh is nt emplyed within the same wrk area as the Emplyee making the cmplaint/appeal, but is f similar pay grade, race, sex and age; One member, wh is nt emplyed within the same wrk area as the Emplyee making the cmplaint/appeal, will be a Management level Emplyee; and, One member, wh is nt emplyed within the same wrk area as the Emplyee making the cmplaint/appeal, will be chsen t assure diversity f the panel. An Appinting Authrity (nt in the same wrk area f the emplyee making the cmplaint/appeal) may serve as a panel member, but may nt chair the panel. 4) Hearing Prvisins (a) Bth the Cunty and the Emplyee have the right t be represented by an attrney, at their wn expense. (b) The Emplyee Review Panel shall have the authrity t cmpel attendance at such hearing. (c) The hearing shall be recrded s that a recrd may be prepared and frwarded t Superir Curt, if necessary. (d) After the hearing, the Emplyee Review Panel shall make a recmmendatin t the lcal Appinting Authrity thrugh the Human Resurces Directr. The lcal Appinting Authrity shall make a final, binding decisin regarding the appeal. (e) The final decisin will be in writing. 5) The Hearing An effrt will be made t hld the hearing in a place cnvenient and accessible t everyne participating in the hearing. The hearing will take place n mre than 10 wrking days after receipt f the cmpleted Request fr Appeal. Hearings may be pstpned beynd 10 days fr gd cause with the apprval f the Human Resurces Directr. Nte: The Emplyee Review Panel may access any relevant cnfidential infrmatin, which may have significance t the recmmendatin fr Severe Disciplinary Actin. Panel members will sign a statement f cnfidentiality prir t each hearing. 6) Hearing Prcedures Each side (Cunty and Emplyee) will be given an pprtunity t present ral and written testimny n the events leading t the recmmendatin fr Severe Disciplinary Actin and pertinent infrmatin t justify the appeal, including the calling f witnesses. Persns with disabilities requiring assistance will be affrded reasnable accmmdatin when requested. All hearings will be recrded.

16 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 16 f 26 7) Decisin f The Emplyee Review Panel The decisin f the Emplyee Review Panel will be cnsistent with Cunty plicy. (a) Panel decisins are t be prvided in writing within three wrking days after cmpletin f the hearing. (b) The Panel chairpersn will prepare and submit the panel s findings t the Cunty Human Resurces Directr, wh will frward the recmmendatin t the apprpriate Appinting Authrity. (c) The Appinting Authrity will make a final and binding decisin n behalf f the Cunty. (d) The Human Resurces Directr will ntify the Emplyee, the Department Directr (if different frm the appinting authrity), and the panel chairpersn f the decisin within three wrking days f receipt f the dcument cnveying the decisin. (e) A cpy f the dcument will be included in the Emplyee's Official Persnnel Recrd unless the appeal is successful and the disciplinary actin is verturned. 8) Further Appeal Optin After the Emplyee has exhausted all Rights f Appeal with the Cunty, the Emplyee may file a petitin fr a Superir Curt hearing. E. POLICY LIMITATIONS 1) Hurly and Prbatinary Intrductry Perid Status Emplyees The fllwing individuals may be issued any frm f Disciplinary Actin described within this plicy fr Unsatisfactry Jb Perfrmance r Unacceptable Persnal Cnduct: Persns emplyed with Guilfrd Cunty wh have nt attained regular status because they are still within the Initial Prbatinary Intrductry Perid f Emplyment; r, Persns wh are emplyed n an hurly (temprary) basis. Fr Prbatinary Intrductry Perid and Hurly Emplyees, Severe Disciplinary Actin may be initiated by the Supervisr and apprved by the Appinting Authrity r his/her designee, withut fllwing the prgressive disciplinary prcess utlined in this regulatin. Fr these individuals, n Pre-Disciplinary Cnference is required prir t the issuance f a Severe Disciplinary Actin, and there is n Right f Appeal, unless the reasn fr the Severe Disciplinary Actin alleges discriminatin.

17 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 17 f 26 Discriminatin in the area f emplyment is based n the fllwing: Race; Sex (including allegatins f sexual harassment); Religin; Age; Natinal Origin; Handicapping cnditin; Creed; r, Clr. If an Hurly r Prbatinary Intrductry Perid Emplyee believes that a Severe Disciplinary Actin is discriminatry, the persn shuld cmmunicate the allegatin t the Cunty Human Resurces Directr via the Emplyee Cmplaint Reslutin Frm utlined in Persnnel Regulatin 31. In such cases, the individual has the same Right f Appeal as a Regular Emplyee, as utlined within this plicy. 2) Elected Officials Elected Officials serve at the pleasure f the taxpayers f Guilfrd Cunty, and are subject t the statutes, laws, and administrative rules that gvern the ffices they ccupy. Therefre, Elected Officials are nt subject t the terms and cnditins set frth within this plicy. F. DEFINITIONS NOTE: Anytime a wrd r term is capitalized and italicized thrughut this plicy, it is defined within this sectin. These definitins are listed in alphabetical rder. Active Disciplinary Actin A Disciplinary Actin is cnsidered active, and apprpriate dcumentatin f the Disciplinary Actin is maintained in the Official Persnnel Recrd lcated in the Cunty Human Resurces Department, until: The Supervisr sends ntificatin t Cunty Human Resurces indicating that the reasns fr the Disciplinary Actin have been reslved r crrected; r, The Disciplinary Actin is based n Unsatisfactry Jb Perfrmance r Unacceptable Persnal Cnduct, and the current perfrmance evaluatin reflects that the Emplyee is meeting the expectatins f the jb (rating f 3 r abve) in bth the area cited in the Disciplinary Actin and verall; Twelve (12) mnths have passed since issuance f the Disciplinary Actin, withut anther Disciplinary Actin having been issued; r, The actin is reversed n appeal.

18 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 18 f 26 The twelve (12) mnths referenced abve will nt include any time the Emplyee has been away frm wrk, whether in paid r unpaid status, due t: The Emplyee nt being actively emplyed with the Cunty; r, Wrkers Cmpensatin leave; r, Shrt r Lng Term Disability; r, Family r Medical Leave; r, Educatin Leave; r, Administrative Leave with Pay; r, Disciplinary Suspensin Withut Pay; r, Any ther frm f leave. Administrative Leave With Pay With the apprval f the Department Directr r his/her designee, an Emplyee may be placed n Administrative Leave with Pay fr ne r mre f the fllwing reasns: T allw Management sufficient time t investigate allegatins f perfrmance r cnduct deficiencies that wuld cnstitute Just Cause fr Disciplinary Actin; T prvide the Supervisr an pprtunity t seek prcess guidance and advice; T prvide time within which t schedule and cnduct a Pre-Disciplinary Cnference; r, T avid disruptin f the wrkplace and/r prtect the safety f persns r prperty. An Emplyee shuld never be placed n Administrative Leave with Pay t delay an administrative decisin regarding an Emplyee s wrk status, while awaiting a curt decisin n a civil r criminal matter invlving the Emplyee. Administrative Leave with Pay is nt a frm f Disciplinary Actin r Severe Disciplinary Actin, as defined by this Plicy. Administrative Leave Withut Pay With the apprval f the Department Directr r his/her designee, an Emplyee may be placed n Administrative Leave Withut Pay. Administrative Leave Withut Pay is nt a frm f Disciplinary Actin r Severe Disciplinary Actin, as defined in this plicy. Sme examples f instances in which an Emplyee might be placed n Administrative Leave Withut Pay include, but are nt limited t the fllwing: While an Emplyee wh has been Dismissed is awaiting appeal; r, T delay an administrative decisin regarding an Emplyee s wrk status while awaiting a curt decisin n a civil r criminal matter invlving the Emplyee.

19 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 19 f 26 Anniversary Regular Status Date An Emplyee s Anniversary Date is the date n which An Emplyee attains regular status fllwing an Initial Prbatinary successful cmpletin f the Intrductry Perid f Emplyment. The Supervisr cmpletes a written Perfrmance Appraisal, which indicates the Emplyee is being remved frm Initial Prbatinary status has attained regular status. At this time, the Emplyee is may be eligible fr cnsideratin fr a merit increase, subject t merit guidelines and funds availability fllwing the designated Cunty-wide perfrmance review perid each year. Anniversary Evaluatin Year Each year during the designated Cunty-wide perfrmance review perid, during the mnth f the Emplyee s Anniversary Date, the Supervisr will cmplete a the written Perfrmance Appraisal evaluating the Emplyee since the prir Anniversary Date. At this time, the Emplyee will be eligible fr cnsideratin fr a merit increase, subject t merit guidelines and funds availability. Appeal Hearing A frmal hearing, held at the request f the Emplyee wh has been issued a Severe Disciplinary Actin, in which the Supervisr and the Emplyee can bth be heard befre an impartial Emplyee Review Panel. The purpse f the hearing is t establish facts and assess the basis f the recmmendatin fr Severe Disciplinary Actin. Appinting Authrity The Cunty Manager, Directrs f the Departments f Public Health, Mental Health, Scial Services and Electins, the Register f Deeds, the Cunty Attrney, the Tax Administratr (Directr), and the Sheriff are Appinting Authrities, and are authrized t impse Severe Disciplinary Actin. The Appinting Authrity may delegate this respnsibility t an apprpriate designee at his/her discretin n a case-by-case basis. Caching A pre-planned discussin between a Supervisr and an Emplyee t address the need fr an Emplyee t crrect cnduct, perfrmance, r attendance. Caching is nt a frmal Disciplinary Actin, but shall be dcumented using a perfrmance discussin wrksheet r a crrectin plan. The Supervisr maintains the dcument, which shall nt becme a part f the Official Persnnel File, unless prblems cntinue which result in the necessity fr Disciplinary Actin. Caching is apprpriate any time a Supervisr believes an Emplyee shuld be perfrming an element f the jb mre effectively r efficiently, needs t crrect attendance at wrk, r is nt fllwing plicies, prcedures r rules in general.

20 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 20 f 26 Credentials A licensure, registratin, r certificatin required by statute, regulatin, administrative rule, r by incrpratin in a jb descriptin fr a specific psitin. Sme psitins require that an Emplyee attain and maintain specific Credential(s) t be able t perfrm the duties f a particular psitin. If such a requirement is applicable, the requirements and restrictins will either be specified within the statement f essential qualificatins r in the recruitment standards fr classificatins established by the Cunty in the jb descriptin. It is the Emplyee s respnsibility t truthfully and accurately btain, reprt, and maintain required Credentials. Disciplinary Actins Disciplinary Actins prvided fr within this plicy are: Written Warning; Disciplinary Suspensin Withut Pay; Disciplinary Demtin; r, Dismissal. Disciplinary Suspensin Withut Pay, Demtin, and Dismissal are cnsidered t be Severe Disciplinary Actins. Disciplinary Demtin A type f Severe Disciplinary Actin that: Lwers the salary f an Emplyee within his/her current salary grade; r, Places the Emplyee in a psitin f a lwer salary grade, and is cupled with a reductin in the Emplyee s salary. There is n defined frmula t determine the amunt f salary reductin in either methd f Disciplinary Demtin; hwever, the salary may nt drp belw the minimum f the salary grade. An invluntary reductin in salary grade, but nt salary, fr disciplinary reasns is nt permitted. Disciplinary Suspensin Withut Pay A type f Severe Disciplinary Actin requiring the remval f an Emplyee frm wrk fr a perid f at least ne wrkday, up t a maximum f five cnsecutive wrkdays, withut pay, fr disciplinary reasns.

21 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 21 f 26 Dismissal A frm f Severe Disciplinary Actin impsed in which the emplyment f an Hurly, Prbatinary Intrductry Perid Emplyee, r Regular Emplyee is terminated. Emplyee When this term is used thrughut this dcument, unless therwise specified, it refers t a persn wh ccupies an exempt r nn-exempt, benefited psitin with Guilfrd Cunty, and wh has attained regular status, having satisfied the Initial Prbatinary Intrductry Perid f Emplyment. Emplyee Review Panel A grup f Cunty Emplyees wh are assembled in respnse t an appeal request frm an Emplyee wh has received a Severe Disciplinary Actin. The Review Panel is respnsible fr reviewing ral and written testimny related t the events leading t the issuance f the actin. The Emplyee Review Panel makes recmmendatins t the apprpriate lcal Appinting Authrity regarding the actin. The Selectin prcess and qualificatins f panelists, hearing prvisins, and hearing prcedures are described within the plicy. Hurly Emplyee An individual wh is emplyed by Guilfrd Cunty and is paid n an hurly, temprary basis. An Hurly Emplyee is nt eligible fr benefits. Any f the Disciplinary Actins described within this plicy, up t and including Dismissal, may be impsed n an Hurly Emplyee at any time. Hwever, the Hurly Emplyee has n Right f Appeal, and a Pre-Disciplinary Cnference is nt required prir t the issuance f a Severe Disciplinary Actin, unless the emplyee alleges that the Severe Disciplinary Actin is being taken fr alleged discriminatin. Any frmal Disciplinary Actins taken must be dcumented in the Emplyee s Official Persnnel Recrd. Incident Pending Reslutin An ccurrence f Unsatisfactry Jb Perfrmance r an act f Unacceptable Persnal Cnduct fr which the Cunty/Department has previusly taken n frm f Disciplinary Actin. Additinally, fr the purpses f this Plicy, the receipt f an verall perfrmance rating, which indicates that the Emplyee has nt met jb expectatins fr the Anniversary Evaluatin Year, shall be cnsidered an Incident Pending Reslutin f Unsatisfactry Jb Perfrmance. In this case, a separate Written Warning dcument must accmpany the perfrmance appraisal.

22 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 22 f 26 Exceptin: If an verall perfrmance rating indicates that an Emplyee is nt meeting jb expectatins, it is nt cnsidered an Incident Pending Reslutin if the Emplyee has an Active Disciplinary Actin fr Unsatisfactry Jb Perfrmance n file, which was issued fr the jb perfrmance deficiency. Initial Prbatinary Intrductry Perid f Emplyment Each persn hired t ccupy an exempt r nn-exempt, benefited psitin will be in an prbatinary Intrductry Perid status fr a minimum perid f six twelve mnths and a maximum f nine mnths. During this perid, the Supervisr is encuraged t evaluate the perfrmance infrmally n a regular basis and frmally at six and twelve mnths n a quarterly basis. Refer t Cunty Regulatin 27. At the end f six mnths, the Prbatinary Emplyee s perfrmance is evaluated using a written perfrmance appraisal. If the persn is determined by the Supervisr t be meeting the verall jb expectatins at that time, the Emplyee is remved frm Prbatinary status, and is eligible t be cnsidered fr a merit increase, subject t merit guidelines and available funds. Hwever, if it is determined that the Emplyee has nt met jb expectatins, the Initial Prbatinary Perid may be extended t a maximum ttal f nine mnths. At the end f nine mnths, the Prbatinary Emplyee s perfrmance is again evaluated using a written perfrmance appraisal. If the persn is determined by the Supervisr t be meeting the verall jb expectatins at that time, the Emplyee is remved frm Prbatinary status, and is eligible t be cnsidered fr a merit increase, subject t merit guidelines and available funds. Hwever, if it is determined that the persn still des nt meet jb expectatins after nine mnths f emplyment, the Emplyee will be dismissed. Any f the Disciplinary Actins described within this plicy, up t and including Dismissal, may be impsed n an Prbatinary Intrductry Perid Status Emplyee at any time during the Initial Prbatinary Intrductry Perid f Emplyment. Hwever, the Prbatinary Intrductry Perid Status Emplyee has n Right f Appeal except fr alleged discriminatin. Any Disciplinary Actins taken must be dcumented in the Emplyee s Official Persnnel Recrd. Insubrdinatin The willful refusal t carry ut a reasnable directive frm an authrized Supervisr. Insubrdinatin is Unacceptable Persnal Cnduct fr which Severe Disciplinary Actin, up t and including Dismissal, may be taken.

23 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 23 f 26 Just Cause The substantive basis fr the discipline r Dismissal f Emplyees. Guilfrd Cunty Emplyees will nt be subjected t any frm f Disciplinary Actin except fr Just Cause. Fr purpses f this plicy, there are tw categries f Just Cause: Unsatisfactry Jb Perfrmance; and, Unacceptable Persnal Cnduct. Certain actins r behavirs by an Emplyee may fall under bth categries. N Disciplinary Actin shall be invalidated slely because the Disciplinary Actin is labeled incrrectly. When Just Cause exists, any Regular, Hurly, r Prbatinary Intrductry Perid Emplyee subject t this plicy, regardless f the psitin held, may be issued any f the fllwing Disciplinary Actins, in accrdance with the prvisins f this plicy: Written Warning; Disciplinary Suspensin Withut Pay; Disciplinary Demtin; r, Dismissal. The degree and type f actin taken shall be based upn the judgment f the Emplyee s Supervisr and Management, accrding t this plicy. Mediatin Cnflict smetimes ccurs in the wrkplace, which, if left unreslved, may create additinal prblems. Guilfrd Cunty Human Resurces has a Mediatin service available that is designed t assist Emplyees, teams, Supervisrs and managers in reslving disputes befre they develp int lst prductivity, decreased mrale, disciplinary actins, r cmplaints. The Cunty s Mediatin prcess emphasizes persnal respnsibility, encurages Emplyees and Supervisrs t mve frm an adversarial mde t a prblem-slving mde, and is designed t create lasting slutins. Any Emplyee, Supervisr r manager may request mediatin services frm the Human Resurces Department. Participating in mediatin is vluntary. Mediatr A Cunty Emplyee, wh has received applicable training, may functin as a Mediatr. The Mediatr helps guide the disputing parties thrugh an infrmal prcess designed t lead participants tward a mutually agreeable reslutin.

24 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 24 f 26 Official Persnnel Recrd A file maintained by the Human Resurces Department, which cntains current and histrical administrative frms related t the hiring, wrk status, and pay status f each Emplyee. Official dcuments related t Active Disciplinary Actins are maintained within this file, until such time as the Actins becme inactive. An Emplyee may review his/her Official Persnnel Recrd n request. Pre-Disciplinary Cnference A cnference required t be held prir t the issuance f a Severe Disciplinary Actin. Prbatinary Intrductry Perid Emplyee An individual emplyed with Guilfrd Cunty in an exempt r nn-exempt, benefited psitin, wh has nt yet satisfied the Initial Prbatinary Intrductry Perid f Emplyment. Any f the Disciplinary Actins described within this plicy, up t and including Dismissal, may be impsed n an Prbatinary Intrductry Perid Emplyee at any time during the Initial Prbatinary Intrductry Perid f Emplyment. Hwever, the Prbatinary Intrductry Perid Status Emplyee has n Right f Appeal, and a Pre-Disciplinary Cnference is nt required prir t the issuance f Severe Disciplinary Actin except fr alleged discriminatin. Any Disciplinary Actins taken must be dcumented in the Emplyee s Official Persnnel Recrd. Right f Appeal An Emplyee, wh is issued a Severe Disciplinary Actin, is given written ntice f the Right f Appeal. This is prvided t the Emplyee alng with a cpy f the dcument detailing the specific actin taken. Severe Disciplinary Actin Suspensin Withut Pay, Demtin, and Dismissal are cnsidered t be Severe Disciplinary Actins. Issuance f a Severe Disciplinary Actin requires that the Emplyee be affrded the fllwing: A Pre-Disciplinary Cnference; A written ntice f the Disciplinary Actin taken; and, Written ntificatin f the Emplyee s Right f Appeal.

25 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 25 f 26 Supervisr Fr purpses f this plicy, a Supervisr is any persn within the Emplyee s chain f cmmand wh is respnsible fr cmmunicating satisfactry jb perfrmance expectatins and acceptable persnal cnduct standards t an Emplyee in the applicable wrk unit. Unacceptable Persnal Cnduct Cnduct fr which n reasnable persn shuld expect t receive a prir warning; Cnduct which cnstitutes abuse f any persn fr whm, r prperty fr which, the Emplyee has respnsibility; The Emplyee s falsificatin f, failure t btain, r failure t maintain, Credentials as defined herein; r, The Emplyee s failure t perfrm jb requirements, as set frth in an applicable: Statute; Regulatin; Administrative rule; Jb descriptin; Wrk plan; r, Directive issued by Management f the Cunty, department, agency r wrk unit; and, This failure causes, r results in, death r serius bdily injury t: An Emplyee; Member(s) f the public; r, Persn(s) fr whm the Emplyee has respnsibility; r, This failure causes, r results in: Significant lss r damage t Cunty prperty and/r significant lss f Cunty funds; and, Has an adverse impact n the Cunty and/r the Emplyee s department. Examples f Unacceptable Persnal Cnduct include, but are nt limited t: Imprper verbal cmmunicatin (cursing, yelling, etc.); Insubrdinatin; Damage f Cunty prperty; r, Engaging in physical altercatins with a cwrker, client, member f the general public r any custmer.

26 Disciplinary Plicy Regulatin Number: 28 Revisin: July 22, 2010 Page 26 f 26 Unsatisfactry Jb Perfrmance Wrk-related perfrmance that fails t satisfactrily meet the jb requirement set ut in the relevant jb descriptin, wrk plan, r as directed by the Management f the Cunty/Department. Examples f Unsatisfactry Jb Perfrmance include the Emplyee s: Failure t prduce accurate wrk; Failure t prduce a sufficient quantity f wrk; Failure t prduce wrk f acceptable quality; Failure t prduce wrk n time; r, Failure t maintain regular attendance. Written Warning A Written Warning is apprpriate when there is a need t frmally dcument an Incident Pending Reslutin, r when infrmal perfrmance management alternatives have nt prduced the desired crrectin. A Written Warning is a frm f Disciplinary Actin, presented t the Emplyee in written frm, which: Specifically states that the actin is a Written Warning/Disciplinary Actin; States the specific Incident Pending Reslutin that is the basis fr the Disciplinary Actin; States the specific perfrmance r cnduct crrectins that must be made t avid further Disciplinary Actin; States the specific time frame fr crrectin, within which the Emplyee must shw imprvement. Cnduct crrectins must be immediate; Indicates the cnsequences f failing t make the required crrectins; Infrms the Emplyee that he/she cannt appeal a Written Warning, based n Cunty plicy. An Emplyee s immediate Supervisr, and/r any ther persn in the Emplyee s chain f supervisin, may issue a Written Warning t an Emplyee fr Unsatisfactry Jb Perfrmance r Unacceptable Persnal Cnduct. A Written Warning may be included in a perfrmance evaluatin. If a Written Warning is issued because the Emplyee is nt meeting jb expectatins fr the evaluatin perid, the Warning must be in the frm f a separate written dcument t be given t the emplyee alng with the perfrmance evaluatin.