26
DISCIPLINARY PROCEDURES
The word discipline comes from the word disciple which means "to train." The elements of the disciplinary system should include training, rewarding, counseling, and punitive actions in the interest of discipline.
Effective discipline is a positive process when its perceived purpose is to train or develop by instruction. Among the programs having an impact on discipline in a law enforcement agency are selection, training, direction, supervision, and accountability. These elements are interdependent, and a weakness in any one is damaging to effective discipline.
26.1 Disciplinary Procedures
A written directive specifies a code of conduct and appearance guidelines, which are readily available to all agency personnel.Commentary: This directive should include compliance with agency directives; unbecoming conduct; use of alcohol and drugs; acceptance of gratuities, bribes, or rewards; abuse of authority; use of force; and proper care and maintenance of equipment. Prohibitions should be specific, whereas approved behavior may be stated in general terms, e.g., courtesy, punctuality. Directives about grooming and uniform appearance also should be specific. The code of conduct may be in the form of rules and regulations.
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26.1.2 a written directive establishes procedures and criteria for recognizing and rewarding employees for good performance.
commentary: the written directive should enhance consistency in recognizing and rewarding employees. Compensation may include additional time off with pay as well as a monetary supplement. Agencies that present awards for meritorious and heroic acts should ensure that criteria are established as prerequisites for these awards.
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26.1.3 A written directive prohibits sexual and other forms of unlawful harassment in the work place and provides a means by which harassment can be reported, including a means by which it can be reported if the offending party is in the complainant’s chain of command.
Commentary: unlawful harassing conduct of any agency personnel by anyone employed by or contracted by the agency has the effect of unreasonably interfering with an individual’s work performance and/or creating an intimidating, hostile, or offensive work environment. Agencies need to have strong policies and directives that prohibit such conduct; immediate and thorough investigation of any allegation of unlawful harassment; effective and appropriate disciplinary action in any case where allegations of harassment can be substantiated; and efforts to make agency employees aware of their responsibilities and the legal issues involved. See Glossary for the definition of unlawful harassment and sexual harassment.
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26.1.4 A written directive establishes a disciplinary system, to include:
a. procedures and criteria for using training as a function of discipline;
b. procedures and criteria for using counseling as a function of discipline; and
c. procedures and criteria for taking punitive actions in the interest of discipline.
Commentary: The elements of the disciplinary system should identify the measures to be applied to officer conduct in the interest of discipline. The system should be based on fairness to the employee and the agency and should stimulate employee morale and motivation.
The written directive should encourage training as a means of improving employee productivity and effectiveness through positive and constructive methods (see 33.1.5).
The written directive should provide guidelines regarding alternatives to be considered in counseling. In theory and practice, the severity attached to disciplinary counseling increases with the position of the counselor in the hierarchical structure of the agency. The directive should also provide guidance concerning the recording of the purpose and effect of the counseling experience.
Finally, the directive should strive to enhance consistency in punitive actions. The severity of each alternative should be geared to the actions of the officer. This does not imply a required sequence of punitive acts. Some agencies specify a range of punishments for various violations or specific punishments in explicit situations; where these are established, employees should be so informed.
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26.1.5 A written directive specifies the role of supervisors and the authority attendant to each level of supervision and command relative to disciplinary actions.
Commentary: The role of supervisors, especially first line supervisors, is crucial in the disciplinary process. First line supervisors have the best opportunity to observe the conduct and appearance of officers and detect those instances when disciplinary actions are warranted (remedial training, counseling, or punishment). First line supervisors also have the opportunity to understand the personality traits of the personnel under their supervision and to determine the most effective methods of discipline.
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26.1.6 A written directive specifies appeal procedures in disciplinary actions.
Commentary: The directive should include initiation procedures, time frames, method of recording, and scope of the appeal process. To be an appeal, the issue should go to a higher level of authority for review.
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26.1.7 If employee misconduct results in dismissal, a written directive requires that the following information be provided to the employee:
a. a written statement citing the reason for dismissal;
b. the effective date of the dismissal; and
c. a statement of the status of fringe and retirement benefits after dismissal.
Commentary: This standard, under normal circumstances, does not apply to entry level probationary employees.
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26.1.8 A written directive specifies procedures for maintenance of records of disciplinary actions.
Commentary: The directive should require written records of disciplinary actions and should include where the records should be filed, how long they should be maintained, and under what circumstances they should be purged.
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