Policy:  Positive Discipline

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I.   POLICY:

It is the goal of the Georgia Department of Technical and Adult Education to emphasize quality and excellence in all aspects of Department operations. As such, the Department’s Positive Discipline process is designed to promote a high level of employee discipline by correcting performance problems as they arise, building genuine employee commitment to the organization, and encouraging and promoting the development of effective working relationships between supervisors and their subordinate staff. The Positive Discipline process focuses on effective and timely decision-making coupled with individual responsibility and accountability.

The Positive Discipline process emphasizes an employee’s responsibility and accountability for his/her own behavior and actions by communicating an expectation of change and improvement in a respectful, non-threatening way, while maintaining concern for the seriousness of the situation. Key aspects include recognizing and encouraging good performance, correcting performance problems through coaching and counseling, building commitment to high work standards and safe work practices, and promoting excellence in the delivery of services.

II.   APPLICABILITY:

All work units and technical colleges associated with the Georgia Department of Technical and Adult Education.

III. DEFINITIONS:

Appointing Authority: In the Central Office, the Commissioner of the Georgia Department of Technical and Adult Education as well as those manager(s) to whom the Commissioner has delegated the responsibility for directing associated work unit activities. In technical colleges, the President or his/her designee.

Business Day: Weekdays that administrative offices are open.

Decision Making Leave (DML): A Decision Making Leave is the third and final step of formal discipline, consisting of a formal discussion between work unit management and an employee about a serious work related problem. After the discussion, the employee is suspended from work with pay for the following day. He/she must then decide either to solve the immediate problem and agree to perform at a fully acceptable level in all areas of the job or, instead, to resign and pursue other employment opportunities.

Discussion Worksheet: The pre-meeting checklist portion of the Discussion Worksheet helps supervisors prepare for discussions with their subordinate staff about performance-related problems or issues pertaining attendance, behavior/conduct, safety, etc. The results of the meeting are recorded on the post-meeting summary portion of the document.

Informal Coaching: Brief informal discussion(s) between a supervisor and an employee concerning the need to improve in the areas of attendance, work performance, behavior/conduct, safety, etc. Informal coaching may include corrective feedback or referral for additional training.  

Performance Improvement Discussion: A structured discussion to address a specific problem with an employee in the areas of attendance, work performance, conduct, behavior, and/or safety. The objective is to ensure that the employee recognizes that a problem exists, to mutually develop an effective solution, and to avoid the need for formal disciplinary action.

Reminder 1: The first formal step of the disciplinary process involving a discussion between a supervisor and an employee concerning work-related problem(s)/difficulties and the need (for the employee) to change his/her performance, behavior, conduct, etc. During this discussion, the supervisor informs the employee that this is the first level of discipline and concentrates on gaining the employee’s agreement to change his/her performance, behavior, conduct, etc.

Reminder 2: The second step of the disciplinary process in which the supervisor holds a formal discussion with the employee concerning work-related problem(s)/difficulties and the need to change his/her performance, behavior, conduct, etc.

Reviewing Manager: A manager charged with reviewing the performance plans and evaluations prepared by lower level supervisor(s) in his/her direct line of supervision.

 

IV. ATTACHMENTS:
           
            A. DTAE Performance Management Matrix – Technical Colleges
           
            B. DTAE Performance Management Matrix – Central Office

            C. Discussion Worksheet – Pre-Meeting Checklist

            D. Discussion Worksheet – Post Meeting Summary

            E. Reminder 2 Sample Memorandum

            F. Decision Making Leave Sample Memorandum

            G. Suspension With Pay Sample Letter

 

V.   PROCEDURES:

A. General Provisions:

1. The Positive Discipline process covers all full-time and part-time salaried employees (including those working under an employment contract) who have been employed with the Department or technical college for more than six (6) months. Salaried employees who have worked for less than six (6) months, temporary employees, hourly employees and employees who report directly to the Commissioner are excluded from coverage.

2. Employees who are on an active step of discipline will be transitioned to the equivalent step of the Positive Discipline process when the policy is adopted by the State Board of Technical and Adult Education. It is understood that all employees on an active step of discipline will have the opportunity to be placed on a Decision Making Leave unless a subsequent disciplinary offense is sufficiently serious to justify dismissal.

3. The Positive Discipline process is designed to address problems in such general areas as performance, conduct, behavior, attendance, and safety.

4. Each Department or technical college supervisor and manager is responsible for communicating agency and college rules, practices, and expectations consistent with the guidelines set forth in this policy.

5. This policy is not to be considered an explicit or implied contract between the Department and any employee or group of employees. The Department reserves the right to adapt, modify, or abandon this policy at any time for any reason, with or without advance notice to any employee.

6. Every individual initially appointed to or promoted into a supervisory or managerial position is expected to complete Positive Discipline Training within ninety (90) days of assuming his/her position. Each technical college as well as the Department’s Central Office will conduct Positive Discipline training courses at regular intervals to ensure that all newly appointed or promoted supervisors and managers complete the training within the expected timeline.

7. A summary of the steps and activities associated with the Positive Discipline Process is outlined in the attached DTAE Performance Management Matrix’ (Attachments A and B).

B. Informal Discussions:

1. “Positive Contacts” are designed to recognize good performance and serve to encourage staff to continue to perform their assigned tasks in an exemplary manner. Employees can be recognized informally (e.g., “pat on the back”), placing an employee on a special committee, providing expanded training opportunities, etc.) or more formally with written commendations (notes to the employee with copies to the President, etc.). All supervisors and managers are expected to review the performance of subordinate employees regularly and conduct Positive Contact discussions when appropriate. Positive contacts and other forms of recognition should be noted in an employee’s productivity file.

2. “Informal Coaching” serves to informally advise an employee of the need to improve in one or more specific areas. Generally, the outcome of a coaching session is not documented in a formal memorandum to an employee; however, supervisors are encouraged to make a note of this activity in an employee’s productivity file.

3. “Performance Improvement Discussions” are more serious conversations about performance problems before the need for a formal step of disciplinary action arises. A supervisor will prepare the Pre-Meeting Checklist portion of the Discussion Worksheet (Attachment C) before the meeting. During the meeting, the supervisor will inform the employee that this is an informal discussion (i.e., not one of the three formal steps of disciplinary action) and seek to gain the employee’s agreement to change and correct the problem. Following the meeting, the supervisor will document the discussion using the Post-Meeting Summary portion of the Discussion Worksheet (Attachment D). He/she will provide the employee with a copy of the Post-Meeting Summary and a copy will be maintained in the employee’s productivity file. The supervisor will provide positive feedback when improvement occurs and document the improvement on the supervisor’s copy of the Discussion Worksheet.

C. Formal Disciplinary Action:

The formal levels of disciplinary action (i.e., Reminder 1, Reminder 2, and Decision Making Leave) represent increasingly serious and/or repetitive infraction(s) of established policies, rules, guidelines, and/or directives:

During the meeting the supervisor will inform the employee that this meeting is a Reminder 1, the first formal step of DTAE’s Positive Discipline Process. The supervisor will seek to gain the employee’s agreement to change and return to fully acceptable performance.
Following the Reminder 1, meeting the supervisor will complete the Post-Meeting Summary portion of the Discussion Worksheet. A copy of the Pre-Meeting Checklist portion of the Discussion Worksheet will be provided to the employee and the employee will be asked to sign the supervisor’s copy to confirm that the discussion took place.  A copy of the Discussion Worksheet will be maintained in the employee’s productivity file. A Reminder 1 remains active for 6 months.

After consultation with his/her immediate supervisor and HR Coordinator/Director, the supervisor will prepare for the meeting by completing the Pre-Meeting Checklist portion of the Discussion Worksheet.
During the meeting, the supervisor will inform the employee that this meeting is a Reminder 2, the second formal step of the Department’s Positive Discipline Process. The supervisor will again (or for the first time) seek to gain the employee’s agreement to change and return to fully acceptable performance.
Following the Reminder 2 meeting, the supervisor will complete the Post-Meeting Summary portion of the Discussion Worksheet, a copy of which will be given to the employee. In addition, the supervisor will prepare a memorandum (using Attachment E) advising the employee of the Reminder 2 transaction. The employee will be asked to sign the supervisor’s copy of the memorandum to confirm that the discussion took place.  A copy of the Discussion Worksheet and memorandum will be maintained in the employee’s personnel file. In addition, a copy of the memorandum will be forwarded to the supervisor’s manager. A Reminder 2 remains active for 9 months. Consistent with provisions of Section 5., Paragraph I., the affected employee may request a review of the Reminder 2.

After consultation with his/her immediate supervisor, the HR Coordinator/Director, and, as applicable, the Vice President over the program area, Assistant Commissioner, or Executive Director, the supervisor will prepare for the Decision Making Leave transaction by completing the Pre-Meeting Checklist portion of the Discussion Worksheet. During these discussions, the parties will determine the day on which the employee will be suspended from work and the manner in which the employee’s work will be covered on that day.

On the day of the meeting the supervisor will tell the employee that he/she is being placed on a Decision Making Leave, the final step of the Department’s Positive Discipline process. The supervisor will advise the employee that immediately after the meeting concludes, he/she is to leave the workplace. Additionally, the employee should be instructed to spend the following day at home making a final decision about whether he/she can solve the immediate problem that triggered the Decision Making Leave and commit to maintaining fully acceptable performance in every are of his/her job or, instead, to resign and seek employment elsewhere.

The employee will be told that he/she will be paid for the day of Decision Making Leave and that if he/she returns with a commitment to solve the problem and maintain fully acceptable performance and another problem requiring disciplinary action arises, he/she will be dismissed.

Upon returning to work, the employee must advise his/her supervisor as to whether he/she has decided to solve the problem and commit to fully acceptable performance in every area, or, instead, resign. If the employee chooses to resign, a corresponding personnel action will be generated. If the employee decides to continue his/her employment, the supervisor will complete the Post-Meeting Summary portion of the Discussion Worksheet, a copy of which will be given to the employee. In addition, the supervisor will prepare a memorandum (Attachment F) formally advising the employee of the Decision Making Leave transaction, including the notification that any further problem(s) requiring the delivery of formal discipline will result in his/her dismissal. The employee will be asked to sign the supervisor’s copy of the memorandum to confirm that the discussion took place.  A copy of the Discussion Worksheet and memorandum will be maintained in the employee’s personnel file. In addition, a copy of the document will be sent to the supervisor’s reviewing manager and, as applicable, Vice President, President, Assistant Commissioner, or Executive Director.

A Decision Making Leave remains active for 12 months. An employee may request a review of the Decision Making Leave by following the provisions of Section V., Paragraph I.

D. Dismissal:

F. Repeating Disciplinary Steps:

Generally, policy infractions or performance problems are classified into three broad categories: (1) attendance, (2) work performance, and (3) behavior/conduct. If an employee experiences problems in an unrelated area, he or she may receive more than one Reminder 1 or Reminder 2.

The maximum number of Reminder 1’s that may be active at one time is three, with no more than one in each category. Should another performance problem occur in a category after an employee has previously received a Reminder 1, or after an employee has received three Reminder 1’s in different categories within a period of 6 months, the next step is a Reminder 2.

The maximum number of Reminder 2’s that may be active at one time is also three, again with no more than one in each category. Should another performance problem occur in a category within 9 months after an employee has previously received a Reminder 2 in that category, the discipline level will escalate to Decision Making Leave.

Because the Decision Making Leave requires a total performance decision on the employee’s part, an employee may receive only one such transaction in a twelve (12) month period. If a performance problem that would normally result in the delivery of formal discipline (i.e., Reminder 1, Reminder 2, or Decision Making Leave) occurs within the twelve (12) month period, the appropriate action is dismissal. However, the appointing authority or designee may consider any extenuating or mitigating circumstances before making a decision to dismiss an employee. Any such decisions should be made after consultation with the Executive Director of the Office of Legal Services or the Department’s Director of Human Resources.

Note: If an employee is on an active Reminder 2 and experiences a disciplinary problem in an unrelated category, it is not appropriate to place the employee on a Reminder 1 for that offense since he or she is already at the Reminder 2 level. In this case a second Reminder 2 would be the appropriate sanction.

G. Deactivation of Disciplinary Action:

The purpose of deactivation of disciplinary action is to recognize and encourage improved performance. If an employee maintains fully satisfactory performance during the active period of the respective disciplinary level, the employee may request the appropriate supervisor to remove the record of discipline. It is the employee’s responsibility to request that the record of disciplinary action be removed. It is the supervisor’s responsibility to acknowledge the employee’s improvement and arrange for the removal of the documentation upon the employee’s request.
Upon being notified by the employee that the active period has been completed (Reminder 1 – 6 months; Reminder 2 – 9 months; Decision Making Leave – 12 months), the supervisor will note that the disciplinary action has been deactivated on all records in the employee’s productivity file. The supervisor will also advise all individuals who were initially notified of the taking of the disciplinary action that the active period has been completed, that the disciplinary action has been deactivated, and that any records of the action should be so noted about the deactivation.
If another disciplinary problem arises with an individual who has completed the active period for a previous disciplinary offense, the response to the new disciplinary transaction will be the same as that taken with an employee who has never had any disciplinary offenses.

H. Performance Management Program:

The Positive Discipline process and the Department/technical college performance management process are closely linked. As such, the employee’s performance appraisal rating will be influenced if the individual is on an active step of formal discipline.

 

           I. Review Procedure

Reminder 2: A technical college employee who has been issued a Reminder 2 may request a review of the decision by the appropriate Vice President, or by the President if the Vice President participated in the review and approval of the disciplinary action. For staff in the Central Office, the request for review will be directed to the appropriate Assistant Commissioner, Executive Director or, as applicable, the Commissioner.
To request a review, an employee must notify the designated individual within three (3) business days of the receipt of the Reminder 2 Memorandum. The employee’s response may be in writing, in person, or both. The designated reviewing official should provide the employee with a written response within ten (10) business days of receipt of the review request. This decision of the reviewing official will be final.

Decision Making Leave: A technical college employee placed on a Decision Making Leave may request a review of the action by the President or his/her designee if the President participated in the review and approval of the Decision Making Leave.  For staff in the Central Office, the request for review will be directed to the appropriate Assistant Commissioner, Executive Director or, as applicable, the Commissioner.
To request a review, an employee must notify the designated individual within three (3) business days of the receipt of the Decision Making Leave Memorandum. The response may be in writing, in person, or both. The reviewing official should provide the employee with a written response within ten (10) business days of receipt of the review request. The reviewer may repeal or modify the Decision Making Leave. The decision of the reviewing official will be final.

Dismissal: A technical college or Central  Office employee in an “at-will” employment status who has been notified of his/her proposed dismissal may request a review of this action by the Commissioner or his/her designee. To request a review, an employee must notify the Commissioner, in writing, within three (3) business days of the receipt of the dismissal notice. The request should contain information and, as applicable, supporting material(s) which documents why the proposed disciplinary action should not be effectuated. Any request for review that does not comply with these provisions will not be considered.

The Commissioner or his/her designee will provide the employee with a written response no later than ten (10) business days following receipt of the review request. If a review is requested consistent with these provisions, the proposed effective date of the dismissal will be delayed until the Commissioner’s decision is rendered. The Commissioner’s decision in these matters is final.

NOTE: A technical college employee working under an employment contract may formally appeal a proposed dismissal consistent with the provisions of State board of Technical and Adult Education Policy III. I.

NOTE:  The Positive Discipline Process does not permit third party representation in these matters.

J. Employees on DTAE Contracts

All employees, regardless of whether they have an employment contract, are eligible for and subject to the Positive Discipline process. In addition, Technical College Presidents may decide to renew an employment contract or not renew an employment contract with any individual regardless of that individual’s status under the Positive Discipline Process.
However, the intent of the Positive Discipline Process is to replace contract non-renewals as the most appropriate mechanism for dealing with performance, attendance and conduct/behavior problems.

K. Crisis suspensions

A "crisis suspension" (i.e., a suspension with pay) is not a formal level of disciplinary action. A crisis suspension is used when an employee's inappropriate behavior is so serious that immediate removal from the workplace is necessary. Some examples are theft, threat of violence, destruction of college property, reporting to work under the apparent influence of alcohol or drugs, insubordination, and arrest.

In a crisis suspension situation, the appointing authority will notify the employee that he or she is being suspended with pay pending investigation for alleged misconduct and is being temporarily relieved of duty. This conversation is immediately followed the delivery of written notification (of this action) using Attachment G. Additionally, the employee shall be required to leave Department/Technical College property immediately.

The investigation should be completed as soon as possible and appropriate disciplinary action initiated if findings are substantiated.

L. Other Action

Other forms of corrective and/or adverse employment action may be taken to address the unique circumstances of individual cases. All disciplinary actions taken must comply with applicable State Board of Technical Education policies and other applicable laws, rules, and/or regulations.

M. Status

This Positive Discipline policy is not to be considered an explicit or implied contract between the Department of Technical and Adult Education or any of its associated technical colleges and any employee or group of employees. The Department reserves the right to adapt, modify or abandon this policy at any time and for any reason, with or without notice to any employee.

VI. RECORD RETENTION: