EMPLOYEE DISCIPLINARY PROCEDURE

In order to protect the integrity and reputation of the Office, discipline may be imposed as a corrective or punitive measure in response to an employee's misconduct or deficient job performance. Acts of misconduct or deficient job performance may warrant the use of progressive discipline. However, grave acts of misconduct may warrant suspension, demotion, or dismissal of an employee without previous coaching or reprimands. Accordingly, lesser discipline should generally be imposed first, unless the misconduct is of a more grievous nature. Progressive discipline does not apply to probationary or temporary employees.

1. Progressive Discipline

The supervisor plays an essential role in maintaining effective operations, achieving the highest performance possible from employees, and retaining a qualified, productive workforce. A. Supervisors shall provide effective supervision necessary to direct and guide employees. Proactive supervision requires supervisors to respond to the scene of certain events; review Field Interview Cards and Incident Reports; confirm the accuracy and completeness of daily activity reports/log books; respond to complaints of misconduct; ensure employees are working actively to engage the community and increase public trust and safety; and to provide counseling, redirection, and support as needed. B. Supervisors shall be aware of early signs or indicia of possible misconduct. This may include, but is not limited to, indications of racial or ethnic bias in the exercise of official duties; complaints by members of the public or other officers; or failure to complete duties, to include those specifically required in Policy EB-2, Traffic Stop Data Collection. C. Commanders and supervisors shall be accountable for the quality and effectiveness of their supervision, including whether commanders and supervisors identify and effectively respond to misconduct, as part of performance evaluations or through non-disciplinary corrective action, or through the initiation of a formal investigation and the disciplinary process, as appropriate.

4. Proactive Supervision:

The EIS is designed to identify Office operating procedures that may need reevaluation and to assist supervisors with consistently evaluating employees, identifying those whose performance warrants further review and, when appropriate, intervention. Supervisors shall refer to the EIS so that they may evaluate, review, and initiate intervention as needed.

5. Early Identification System (EIS):

Supervisors should encourage and instruct their employees and address inappropriate conduct and substandard job performance before it becomes an issue that may warrant disciplinary action. Early intervention tools intended to improve overall performance may include, but are not limited to, the following: A. Observing: Observing employee performance is an effective tool that may be used to identify issues of concern. Supervisors should be vigilant in the supervision of their subordinates by actively monitoring their job performance. B. Training: Training is a tool that may be used to educate employees who need improvement in the performance of their job duties. Supervisors are encouraged to be proactive in assisting their subordinates in reaching their full potential with proper training. C. Coaching: Coaching is an effective, non-threatening, early intervention tool intended to improve overall employee performance. Coaching may be performed for those offenses that fall in Category 1 and 2 of the Categories of Offenses (see Attachment B). The supervisor's coaching shall provide instruction to the employee during which the inappropriate conduct should be described. The supervisor should also point out specific instances when the inappropriate conduct occurred, suggest appropriate, corrective action, and instruct the employee to change the inappropriate conduct to avoid disciplinary action.

6. Early Intervention:

Conduct that has a pronounced negative impact on the operations or professional image of the Office; conduct that has a pronounced negative impact on relationships with other employees, agencies, or the public; or an issue within a lower Category of Offenses with repetitive offenses/aggravating circumstances.

CATEGORY 3

Examples include, but are not limited to: a. Disregard of safety rules. b. Failure to take corrective action when warranted. c. Failure to intervene or respond when necessary, to include: calls for service, dispatch, and radio requests for assistance. d. Failure to report improper activity or violation of a policy or procedure to a supervisor. e. Failure to thoroughly search for and properly collect any available evidence in any arrest or investigation. f. Sleeping on duty. g. Undue familiarity or association with prisoners or their families. h. Improper discussing and sharing of confidential internal investigation information. i. Unintentional disclosure, copying, and retention of confidential material or sensitive information. j. Failure to report suspension of a driver's license. k. Failure to report: i. Contact with law enforcement (other than in matters involving traffic stops, random automobile stops, and road blocks); ii. Having been notified that he/she is the subject of a criminal investigation or that a criminal investigation has proceeded against him/her. iii. Having been served with an Order of Protection or an Injunction Against Harassment.

CATEGORY 3 Conduct that has a pronounced negative impact on the operations or professional image of the Office; conduct that has a pronounced negative impact on relationships with other employees, agencies, or the public; or an issue within a lower Category of Offenses with repetitive offenses/aggravating circumstances.

Conduct that is substantially contrary to the values of the Office or that substantially interferes with its mission, operations, or professional image, or that involves a demonstrable serious risk to employees or public safety.

CATEGORY 4

a. Improper use, handling, or display of firearms. b. Engaging in any unauthorized political activity as specified in Policy CP-2, Code of Conduct. c. Absent Without Authorized Leave (AWOL) for one day, except when extenuating circumstances are found to have existed. AWOL occurs when an employee fails to call in to a supervisor and does not show for their scheduled shift. d. Improper use of ID, badge, or position for personal gain, or to assist others with personal gain. e. Failure to meet mandatory training requirements.

CATEGORY 4 Conduct that is substantially contrary to the values of the Office or that substantially interferes with its mission, operations, or professional image, or that involves a demonstrable serious risk to employees or public safety. Examples include, but are not limited to:

Conduct that involves the serious abuse or misuse of authority, unethical behavior, or an act that results in an actual serious and adverse impact on employee or public safety, or to the professionalism of the Office.

CATEGORY 5

Conduct that has more than minimal negative impact on the operations or professional image of the Office; or that negatively impacts relationships with other employees, agencies or the public or an issue under Category 1 with repetitive offenses/aggravating circumstances.

CATEGORY 2

a. Making inappropriate recommendations to the public. b. Allowing unauthorized personnel to enter work areas. c. Failure by a supervisor to ensure employees perform required duties. d. Failure by a supervisor to identify or investigate, or failure by an employee to report, actual or alleged incidents of misconduct, or violations of written instructions or rules. e. Misuse and/or abuse of supervisory authority or privilege. f. Failure to exercise proper supervision over assigned employee or prisoner. g. Failure to remain impartial in performing duties. h. Failure to return seized, found, or recovered property directly to a property custodian, court, or owner. i. Failure to impound property and evidence to a property custodian. j. Failure to complete necessary reports in a timely manner. k. Loss of seized, found, or recovered property due to negligent conduct. l. Failure to appear for court or a hearing when duly notified or subpoenaed. m. Failure to respond to a radio call. n. Use of rude or insulting language, or conduct offensive to employees or public. o. Making unauthorized public statements. p. Failure to cooperate with other employees or supervisors. q. Unintentional destruction or removal of County records. r. Failure by a supervisor to conduct any required reviews with adequate and consistent quality

CATEGORY 2 Conduct that has more than minimal negative impact on the operations or professional image of the Office; or that negatively impacts relationships with other employees, agencies or the public or an issue under Category 1 with repetitive offenses/aggravating circumstances. Examples include, but are not limited to:

a. Two days AWOL, except when extenuating circumstances are found to have existed. b. Failing to act on or report the use of unnecessary force as specified in Policy CP-1, Use of Force. c. Failure to perform security functions (security breach). d. Inappropriate behavior with a prisoner or inmate, such as conducting personal business. e. Unwarranted or unnecessary threat of physical violence to employee or public. f. Intentional and unauthorized destruction or removal of County records. g. Using Office vehicle for other than official business or for personal use and benefit.

CATEGORY 5 Conduct that involves the serious abuse or misuse of authority, unethical behavior, or an act that results in an actual serious and adverse impact on employee or public safety, or to the professionalism of the Office. Examples include, but are not limited to:

Any violation of law, rule or policy which: foreseeably could result in death or serious bodily injury; or constitutes a willful and wanton disregard of the Office values; or involves any act which demonstrates a serious lack of the integrity, ethics or character related to an employee's fitness to hold their current position in the Office; or involves egregious misconduct substantially contrary to the standards of conduct reasonably expected of one whose duty is to uphold the law.

CATEGORY 6

a. Unauthorized possession of weapons on County property. b. Abusive treatment of inmates or prisoners which does not rise to the level of assault. c. Buying or selling contraband on County property. d. Sexual harassment of another person. e. Consuming alcoholic beverages while on duty except with prior supervisory consent or being under the influence of alcohol while on duty. f. Failure to report the knowledge of the commission of a felony by an employee. g. Receiving agency reimbursement funds through false pretenses. h. Use of excessive force or failure to intervene when witness to use of excessive force. i. Failure to comply with any court order or judgment, orders, written instructions, and rules. j. Refusal to obey a reasonable and lawful order. k. Intentional and unauthorized disclosure, copying, and retention of confidential material or sensitive information. l. Abuse of a prescription medication. m. Discriminating against or harassing another person because of that person's race, color, sex, religion, national origin, age, political affiliation, sexual orientation, or disability. n. Commission of misdemeanor violations. Note: Commission of an Extreme DUI will result in an 80 hour suspension. A second offense of DUI will result in dismissal. o. Sexual conduct on County time and/or while on or using County property or equipment. p. Intentionally accessing internet pornography sites while using a County computer unless directed to do so by a supervisor for investigative purposes. q. Violation of Office Policy CP-8, Preventing Racial and Other Biased-Based Profiling

CATEGORY 6 Any violation of law, rule or policy which: foreseeably could result in death or serious bodily injury; or constitutes a willful and wanton disregard of the Office values; or involves any act which demonstrates a serious lack of the integrity, ethics or character related to an employee's fitness to hold their current position in the Office; or involves egregious misconduct substantially contrary to the standards of conduct reasonably expected of one whose duty is to uphold the law. Examples include, but are not limited to:

Any sustained act or omission that by its egregiousness compromises the Office in the eyes of the taxpaying public, courts or in the opinion of the Sheriff violates the trust placed in MCSO personnel.

CATEGORY 7

a. Sexual contact, oral sexual contact or sexual intercourse with a prisoner/inmate. b. Violation of Office Policy CP-5, Truthfulness. c. Failure to submit to an administrative interview or a polygraph examination during an administrative investigation. d. Driving while under the influence of alcohol or drugs while on duty. e. Unlawful possession or use of drugs or medication. f. Conduct that constitutes a felony under state or federal law. g. Employees using the authority of their position to influence the vote or political activities of any subordinate employee. h. Stealing, misappropriation of funds, or fraudulent activity. i. Accepting or soliciting a bribe. j. Unauthorized use of County equipment and personnel for personal profit/benefit. k. Fraud in securing employment. l. Cheating on promotion examinations. m. Three or more days AWOL, except when extenuating circumstances are found to have existed. n. Restricting output or causing a work slowdown due to a strike.

CATEGORY 7 Any sustained act or omission that by its egregiousness compromises the Office in the eyes of the taxpaying public, courts or in the opinion of the Sheriff violates the trust placed in MCSO personnel. Examples include, but are not limited to:

Violations in ________ involve neglect or lack of understanding, as opposed to an intentional act. If acts are found to be intentional, these violations would move to Category 3, or higher.

Category 1

All positions in Maricopa County service that are covered by the County Merit System. Excluded are those employees identified as temporary, probationary, or contract employees and those positions identified as unclassified.

Classified:

Discipline not involving suspension, demotion, or dismissal may be imposed at the division or bureau level to correct an employee's performance or conduct. Discipline shall be based on violations of Office policy, applicable County policy, and/or County Merit Rules. The following form of disciplinary action shall be used at the division or bureau level: A. Written Reprimand: A Written Reprimand is a written directive from a supervisor to an employee advising the employee of performance deficiencies in violation of Office Policy, applicable County Policy and/or County Merit Rules. The written notice shall include corrective action to be taken by the employee. B. The Written Reprimand shall be initiated by the supervisor and be prepared on a Written Reprimand memorandum, located at U:\Internal Affairs\Forms. The Written Reprimand shall include the following: 1. An accurate and concise description of the conduct involved. 2. A complete list of each sustained Policy and/or Merit Rule violation, stating the policies or rules that were violated and quoting the relevant section/s verbatim. 3. An Internal Affairs (IA) case number, if applicable. 4. Corrective action to be taken by the employee. 5. A direct order forbidding recurrence of the unacceptable conduct and a notice that future similar conduct will result in further disciplinary action.

Discipline Authorized at the Division or Bureau Level:

One of the primary goals of this Policy is to make discipline uniform and equitable throughout the Office. It is essential to consider the offense, as well as mitigating and aggravating circumstances, when determining the level of discipline to be imposed. The Discipline Matrixes (see Attachment A) represent penalties to be imposed for various Categories of Offenses (see Attachment B). The Matrixes provide a recommended level of discipline for first, second, and third offenses. The Discipline Matrixes also take into consideration the requirement that discipline for regular status exempt employees must be issued pursuant to the Fair Labor Standards Act (FLSA) and that regular status exempt employees typically hold a management position, and therefore, are held to a higher standard.

Discipline Matrix:

An employee who meets the definition of an executive, administrative, or professional employee as defined in the Fair Labor Standards Act. Employees who are designated as exempt are not eligible for overtime pay.

Exempt Employee:

Supervisors shall not recommend discipline. Supervisors must gather all facts and submit the information to the division commander to determine the findings, as specified in GH-2, Internal Investigations. The bureau commander shall determine if a Written Reprimand is appropriate discipline. If suspension, demotion, or dismissal is warranted, the bureau commander shall forward the investigation to the Sheriff, or his designee, for review. The bureau commander shall not make discipline recommendations beyond the Written Reprimand

Recommending Discipline

In accordance with ARS §39-128, the Office shall retain all records that are reasonably necessary or appropriate to maintain an accurate knowledge of disciplinary action involving employees of the Office, including the employee's responses to all disciplinary actions. Administrative investigative files will be maintained for five years after an employee's separation or retirement from Office employment.

Records Retention:

If, in the opinion of the Sheriff or his designee, discipline issued at the division or bureau level is insufficient, excessive, unwarranted, or considered to be inconsistent, he may rescind or substitute one form of employee discipline for another.

Rescission of Discipline:

Discipline in the form of suspension, demotion, and dismissal may be imposed by the Sheriff, or his designee, when cause for such action is shown by the employee's conduct, as specified in the applicable County Merit Rules, and for law enforcement officers, as also specified in ARS §38-1104.

Suspension, Demotion, and Dismissal of a Regular Status Employee:

Careless or sloppy work; frequent mistakes or errors. b. Failure to complete work assignments. c. Neglect to maintain prescribed records or neglect to prepare prescribed reports. d. Failure to keep work or vehicle area clean and uncluttered, causing a work hazard. e. Misplacement of important documents or property. f. Failure to advise employee of the grievance and appeal process and/or inform the chain of command of possible forthcoming complaints or grievances. g. Failure to maintain proper work standards. h. Failure to submit proper documentation supporting an unforeseen absence upon request of the supervisor. (Non CHCP-matter) i. Failure to maintain telephone or other method of delivering messages. j. Failure to notify Office of change of address or telephone number. k. Failure to maintain required uniform. l. Failure to maintain personal appearance appropriate to the job. m. Inattentiveness to duty. n. Abuse of sick leave for non-FMLA-qualifying events Unexcused tardiness. p. Failure to report secondary employment when required. q. Failure to report an industrial injury requiring medical attention with 24 hours. r. Failure of a supervisor to complete the Industrial Injury Report within 24 hours. s. Use of tobacco products in a non-designated area. t. Use of tobacco while engaged in official functions where such use would be obtrusive or offensive. u. Damage to County or Office property due to neglect or careless conduct. v. Speeding, committing traffic violations while driving a County owned vehicle, or reckless handling of other County equipment (Civil sanctions only. Criminal cases should be considered aggravating circumstances). w. Involvement in a preventable accident with an Office vehicle. x. Failure to report to supervisor the receipt of a traffic citation while on or off duty.

Violations in Category 1 involve neglect or lack of understanding, as opposed to an intentional act. If acts are found to be intentional, these violations would move to Category 3, or higher.