4.1.11 – Disciplinary System
Standard: There shall be an established disciplinary system based on the code of conduct and performance. The system shall specify the conduct expected of employees. Prohibitions should be specific, whereas approved behavior may be stated in general terms (e.g., courtesy, punctuality).
Suggested Evidence of Compliance: Provide the code of conduct and performance and the policies and procedures that guide the disciplinary system and how this information is communicated and made accessible to employees. Include copies of disciplinary action steps included in collective bargaining agreements, if applicable. This system shall address the following topics:
a. Compliance with agency statements;
b. Unbecoming conduct;
c. Appropriate appearance;
d. Use of alcohol and drugs;
e. Acceptance of gratuities, bribes, or rewards;
f. Abuse of authority; and
g. Proper care and maintenance of equipment.
COMMENT: Reduce/consolidate EOC and highlight relevant information.
RESPONSE: Consolidated and highlighted EOCs
The Disciplinary System encompasses
4.1.11 – EOC 2R CSEA Agreement: Rule 26 Removal and Other Disciplinary Proceedings – Rule 26. Page 102
4.1.11 – EOC 3R Teamster Agreement: Article XII Section 3 Disciplinary Review Procedures Page 25
4.1.11 – EOC 4R WC Employee Handbook:
Disciplinary Action Disciplinary Action Page 6,
Laws, Executive Orders & Policies Pages 13-19,
Policies And Procedures Relating To False Claims And Whistleblowers Protections Pages 22-24,
4.1.11 – EOC 7R Plain Language Guide To Government Ethics Section
Section 883.214. Gifts, Tips and other Benefits Page 16,
Section 883.201. Use of County Position for Personal or Private Gain Page 9,
Section 883.215. Inducement of Others Page 17
4.1.11 – EOC 11R PRC Administration Manual:
Section 207 Disciplinary Action Page 17,
Section 201 Acceptance of Gifts, Section 202 ADA, Section 203 Cellular Phone Policy, Page 15
Section 204 Computer Use Guidelines (Sections 201-204 Pages 15-16),
Section 206 County Supply Use Policy, Section 207 Disciplinary Action, (Page 17)
Section 208 Domestic Violence in the Workplace, Section 209 Drug Free Workplace, Section 210 Equal Employment Opportunity/Affirmative Action, (Page 18)
Section 211 Ethics and Standards of Conduct, Section 212 Code of Conduct, (Page 19)
Section 213 ID Badges (Page 20),
Section 217 Security and Technology Use Policy, Section 218 Sexual Harassment Policy, Section 219 Smoking Policy, Section 220 Smoke-Free Workplace Policy (Sections 217-220 Pages 21-22),
Section 222 Unauthorized Use of Firearms in the Workplace Page 23,
Section 226 Social Media, Section 227 Workplace Violence Prevention Program and Procedures Manual, Section 228 Marijuana Use Policy, (Sections 226- 228 Page 24),
Sections 333-335 Uniform Policy/Dress Code (Pages 34-36)
Narrative:
Westchester County (WC) adheres to the principles of progressive discipline as outlined in the New York State (NYS) Department of Civil Service Manual of Procedure in Disciplinary Actions, Sections 75 and 76. These guidelines are further expounded in various union bargaining agreements and in the WC Employee Handbook, all available on the County Intranet.
During the orientation for new hires, comprehensive explanations of these policies and procedures are provided. Additionally, employees undergo mandatory yearly training where they are required to review and sign the Plain Language Guide to Government Ethics and the WC Employee Handbook.
The PRC Administration Manual (last updated on January 23) and the PRC Employee Handbook (last updated on June 23) are distributed to employees upon hire and are accessible on the intranet, as well as displayed on facility bulletin boards.
Supervisors are required to attend Progressive Discipline Training sessions, which provide detailed insights into the general rules and procedures for effective management practices. The most recent training session was conducted in June 2023.
a. Compliance with agency statements;
Employees receive yearly mandatory training and sign a Multi-Acknowledgement form which commits them to adherence to the policies including those found in the WC Employee Handbook, PRC Administration Manual, the PRC Employee Handbook, and the Practical Guide to Ethics.
b. Unbecoming Conduct;
Is detailed in the Plain Language Guide to Government Ethics, WC Employee Handbook, PRC Administration Manual, and the PRC Handbook. There is a yearly mandatory online Ethics Training and a yearly review of the Code of Ethics and the WC Employee Handbook.
c. Appropriate Appearance;
Is detailed in the PRC Administration Manual and PRC Employee Handbook.
d. Use of Alcohol and Drugs;
Is detailed in the WC Drug-Free Workplace Policy and Procedures, Reasonable Suspicion (alcohol and drug testing procedure), the WC Employee Handbook, and the PRC Administration Manual.
e. Acceptance of gratuities, bribes or rewards;
Is detailed in the Plain Language Guide to Government Ethics and the PRC Administration Manual. There is a yearly mandatory online Ethics Training and review of the Code of Ethics.
f. Abuse of Authority; and
Is detailed in the Plain Language Guide to Government Ethics. There is a yearly mandatory online Ethics Training and review of the Code of Ethics.
g. Proper Care and maintenance of equipment.
Is detailed in PRC’s Master Maintenance Plan, PRC Tools and Equipment Policy, and PRC Fleet Management Plan and covered during equipment training.
Agency Evidence for Compliance
4.1.11 – EOC 1 NYS Manual of Procedure in Disciplinary Actions: Section III Statutory Overview
4.1.11 – EOC 2 CSEA Agreement: Rule 26 Removal and Other Disciplinary Proceedings
4.1.11 – EOC 3 Teamster Agreement: Article XII Section 3 Disciplinary Review Procedures
4.1.11 – EOC 4 WC Employee Handbook: Disciplinary Action
4.1.11 – EOC 5 WC Employee Shared Documents (Intranet viewable during virtual visit.)
4.1.11 – EOC 6 WC Employee Orientation Agenda
4.1.11 – EOC 7 Plain Language Guide To Government Ethics
4.1.11 – EOC 8 Yearly Compliance Ethics Training
4.1.11 – EOC 9 Attestation for Ethics Training
4.1.11 – EOC 10 Receipt of Yearly WC Employee Handbook Review
4.1.11 – EOC 11 PRC Administration Manual: Section 207
4.1.11 – EOC 12 PRC Employee Handbook: Rules of Conduct
4.1.11 – EOC 13 Bulletin Board Pic
4.1.11 – EOC 14 HR 2023 Progressive Discipline Training Roster
a. Compliance with agency statements;
4.1.11a – EOC 1 PRC Completion of Yearly Mandatory Training
4.1.11a – EOC 2 Multi Acknowledgement Form
4.1.11a – EOC 3 WC Employee Handbook Sign-Off Form
4.1.11a – EOC 4 PRC Administration Manual Acknowledgement & Receipt
4.1.11a – EOC 5 PRC Employee Handbook Sign-Off Form
4.1.11a – EOC 6 Attestation for Ethics Training
b. Unbecoming Conduct;
4.1.11b – EOC 1 Plain Language Guide To Government Ethics
4.1.11b – EOC 2 WC Employee Handbook: Laws, Executive Orders & Policies
4.1.11b – EOC 4 PRC Employee Handbook: Rules of Conduct
4.1.11b – EOC 5 Yearly Compliance Ethics Training
4.1.11b – EOC 6 Attestation for Ethics Training
4.1.11b – EOC 7 Receipt of Yearly WC Employee Handbook Review
c. Appropriate Appearance;
4.1.11c – EOC 1 PRC Administration Manual:
Sections 333- Uniform Policy/Dress Code;
Sections 334 – 334 Summer Dress Code – Office Staff
4.1.11c – EOC 2 PRC Employee Handbook: Uniform Policy & Dress Code
d. Use of Alcohol and Drugs;
4.1.11d – EOC 1 Drug-Free Workplace Policy
4.1.11d – EOC 2 Reasonable Suspicion Alcohol & Drug Testing Procedure
4.1.11d – EOC 3 WC Employee Handbook:
Drug-Free Workplace Policy &
Smoke Free Workplace Policy (by Executive Order #5-98)
4.1.11d – EOC 4 PRC Administration Manual:
Section 209 Drug-Free Workplace;
Section: 219 Smoking Policy
Section: 220 Smoke-Free Workplace Policy
Section: 228 Marijuana Use Policy
e. Acceptance of gratuities, bribes or rewards;
4.1.11e – EOC 1 Plain Language Guide To Government Ethics
4.1.11e – EOC 2 PRC Administration Manual: Section 201-Acceptance of Gifts
4.1.11e – EOC 3 Yearly Compliance Ethics Training
4.1.11e – EOC 4 Attestation for Ethics Training
f. Abuse of Authority; and
1.1.11f – EOC 1 Plain Language Guide To Government Ethics
4.1.11f – EOC 2 Yearly Compliance Ethics Training
4.1.11f – EOC 3 Attestation for Ethics Training
g. Proper Care and maintenance of equipment.
4.1.11g – EOC 2 PRC Tools and Equipment Policy