Administrative Guidelines & Regulations: Employee Code of ...

Administrative Guidelines & Regulations: Employee Code of Ethical Behavior

INTRODUCTION

July 1, 2015

Evelyn RafalowskiInterim Director of Schools

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ECEB POLICY AUTHORIZATION

STATEMENT OF PURPOSE AND INTENT The following policy statements and procedural outlines were developed to assist all employees in understanding the Sullivan County Department of Education Employee Code of Ethical Behavior (ECEB) as well as their rights, duties and responsibilities as outlined in SCDE Policy #1028 if or when the need for employee discipline arises. The overarching purpose and intent of this manual are as follows: PURPOSES OF THE SULLIVAN COUNTY DEPARTMENT OF EDUCATION EMPLOYEE CODE OF ETHICAL BEHAVIOR:

The purposes of the Sullivan County Department of Education ECEB are as follows: (1) To align the disciplinary practices within the Sullivan County Department of Education with the requirements of the Tennessee Code (Annotated), including the Tennessee Teacher Code of Ethics (TCA §49-5-1001) and SCDE Board Policy; (2) To provide all employees with an understanding of both the expected actions and behaviors of all Sullivan County Department of Education employees as well as the types of incidents which should be considered to represent grounds for employee discipline within each school or work site; and (3) To correct the offending action(s) or behavior(s) of employees in a positive, fair and consistent manner wherever possible. This ECEB is not intended by the Sullivan County Department of Education to cover every possible type of employee misconduct or lack of professional competence, and staff must not conclude that discipline or dismissal cannot result from actions or behaviors not specifically mentioned herein. Many of the actions or behaviors that constitute grounds for employee discipline combine several forms of related misconduct or competency issues into one overarching statement connected by the word “OR” – thereby making the statement representative in nature. INTENT OF THE SULLIVAN COUNTY DEPARTMENT OF EDUCATION EMPLOYEE CODE OF ETHICAL BEHAVIOR:

The intent of the ECEB is to outline a course of action for all types of disciplinary actions within Sullivan County Department of Education in a manner that supports the following key goals for the disciplinary process:

• REASONABLENESS: As a general rule, comparable grounds for employee discipline should be managed in a similar manner. As such, each ECEB violation is classified into one of three “relative severity” classifications, and incidents within the same classification are processed along the same “track” from a progressive discipline standpoint.

• CONSISTENCY: Along the same lines, specific incidents involving the same or substantially similar grounds for employee discipline should be managed with the same or substantially similar types of employee discipline. As such, the ECEB was designed to ensure a high level of internal consistency in disciplinary matters involving employees.

• FAIRNESS: Because no two disciplinary situations are identical, it is also important to ensure that all relevant case facts are identified before a specific disciplinary option is selected or recommended for any incident. As such, these Administrative Guidelines and Regulations were designed to support the consideration of all aggravating and mitigating circumstances before disciplinary action is initiated to ensure that all staff facing disciplinary action are treated in a just manner before, during and after the employee disciplinary process.

ADMINISTRATIVE GUIDELINES AND REGULATIONS: EMPLOYEE DISCIPLINE POLICY The following administrative guidelines and regulations are included to provide all employees of Sullivan County Department of Education with an overview of the rationale by which disciplinary actions should be taken within the district. GUIDING PRINCIPLES FOR DISCIPLINARY ACTIONS Each employee is expected to direct his or her efforts toward attaining and maintaining a constructive, productive working environment in which all parties recognize and accept their designated responsibilities. It is essential that corrective action be taken whenever these standards are not being met, and in situations where the employee action(s) or behavior(s) involved are found to represent one or more violations of the ECEB, disciplinary action may result. Accordingly, the SCDE leadership team has developed administrative guidelines and regulations for the implementation of an Employee Code of Ethical Behavior (ECEB) that provide for the execution of reasonable and appropriate disciplinary action where indicated. The Director or his/her designee will assure that these guidelines and regulations are provided to all employees and are reviewed annually. Whenever necessary, disciplinary action will be taken promptly and in compliance with established Board-approved policies to protect both the interests of Sullivan County Department of Education and, where applicable, the due process rights of the employee(s) involved (see Appendix A for procedural overview). Disciplinary action will be taken fairly and equitably without regard to race, color, national origin, religion, sex, marital status, age, disability, political belief, affiliation, or activities, and the private and confidential nature of each disciplinary action will be respected at all times. In all cases, administrators and supervisors within Sullivan County Department of Education will execute employee discipline in accordance with district policy. Whenever the need for disciplinary action arises, it is imperative that the following guiding principles are kept in mind:

A. Reasonable and Appropriate Disciplinary Action. Each administrator or supervisor will execute employee discipline in a similar manner. The key phrase to remember when selecting any type of employee discipline once grounds have been established is “like penalties for like offenses in like circumstances.”

B. Understanding Levels of Authority. Each administrator or supervisor will be aware of all discipline policies, including those pertaining to disciplinary options outside of his or her scope of authority to execute. In most cases, an employee’s direct supervisor will manage any disciplinary action involving him or her; however, cases involving serious violations of the ECEB will be referred to the Director of Schools or his/her designee for investigation and/or management.

C. Documenting Disciplinary Action. It is important that each disciplinary case manager prepare

accurate documentation before, during and after executing employee discipline. This is crucial to protect both the interests of Sullivan County Department of Education and the rights of the employee(s) involved.

ADMINISTRATIVE GUIDELINES AND REGULATIONS: EMPLOYEE DISCIPLINE POLICY – CONTINUED DELEGATION OF AUTHORITY IN MATTERS INVOLVING DISCIPLINARY ACTION The following levels of authority are established for the employee disciplinary process within Sullivan County Department of Education:

A. Authority to issue Oral Warnings and Written Warnings is delegated by the Director of Schools to those administrators and supervisors directly responsible for planning, directing and supervising the work of others.

B. Authority to issue Official Reprimands will remain with the Director of Schools or his/her designee.

C. Authority to execute Suspensions will remain with the Director of Schools or his/her designee. D. Authority to execute Dismissals will remain with the Director of Schools or his/her designee and

the Board of Education where applicable in accordance with TCA.

RESPONSIBILITIES FOR EMPLOYEE DISCIPLINE With regard to employee conduct and professional competence, each stakeholder group within Sullivan County Department of Education has the following responsibilities to either minimize the need for employee discipline or to take disciplinary action where warranted:

A. The Board of Education is responsible for:

1. Assuring fairness and equity in the structure of the Employee Code of Ethical Behavior requirements.

2. Maintaining fairness and equity in the application of disciplinary policies and procedures. 3. Assuring that all decisions are reviewed and decided objectively.

B. The Director of Schools is responsible for:

1. Administering discipline and/or dismissal in a fair, impartial, uniform manner and assuring that

actions are in accordance with applicable federal, state, and Sullivan County Department of Education Board of Education regulations.

2. Ensuring that the regulations and other conditions of employment to be observed are made known to all employees within their jurisdiction.

3. Carefully considering dismissal for cause recommendation actions and making final decisions on proposed dismissals.

4. Reviewing disciplinary actions for conformance with established procedures and assisting supervisory and operating officials in determining the appropriate disciplinary action to be taken in specific cases.

5. Ensuring that proposals and decisions of suspension or dismissal receive technical review by the designated Assistant director prior to issuance.

6. Participating in grievance or appeal proceedings as necessary.

C. The Assistant Director(s) and/or the Supervisor of HR will be responsible for: 1. Monitoring that discipline is administered in a fair, impartial, uniform manner and assuring

that actions are in accordance with applicable federal, state, and Sullivan County Department of Education Board of Education regulations.

ADMINISTRATIVE GUIDELINES AND REGULATIONS: EMPLOYEE DISCIPLINE POLICY – CONTINUED RESPONSIBILITIES FOR EMPLOYEE DISCIPLINE - CONTINUED

2. Assuring that each incident is sufficiently investigated to determine grounds for disciplinary

action. 3. Making a reasonable effort to assure regulations and other conditions of employment to be

observed are made known to all employees within their jurisdiction. 4. Guiding principals and other supervisors in the completion and interpretation of disciplinary

rubrics to determine the appropriate disciplinary action to be taken in a given case, if any. 5. Referring discipline requiring suspension and dismissal to the Director of Schools. 6. Participating in grievance or appeal proceedings as necessary. 7. Maintaining data regarding disciplinary actions taken with employees.

D. The district level administrators and building level administrators who report

organizationally to the director or designated Assistant Director(s) will be responsible for: 1. Making every attempt to engage employees in non-disciplinary discussion whenever

reasonable and appropriate. 2. Making a reasonable effort communicating all regulations and other conditions of

employment to all employees within his/her jurisdiction. 3. Gathering, analyzing and carefully considering all facts and circumstances before

taking or recommending disciplinary actions. 4. Administering discipline in a fair, impartial, uniform manner and assuring that actions

are in accordance with applicable federal, state and district regulations. 5. Correcting employees constructively, individually, and in private. 6. Reviewing disciplinary actions for conformance with established procedures and

assisting the director or his/her designee in determining the appropriate disciplinary action to be taken where applicable.

7. Carefully considering recommendations for suspension or dismissal to the Director. 8. Ensuring that proposals and decisions of suspension or dismissal receive technical review by

the designated Assistant Director(s) prior to issuance. 9. Participating in grievance or appeal proceedings as necessary.

E. All supervisors and evaluating officials will be responsible for:

1. Making every attempt to engage employees in non-disciplinary discussion whenever

reasonable and appropriate. 2. Making a reasonable effort communicating all regulations and other conditions of

employment to all employees within his/her jurisdiction. 3. Gathering, analyzing and carefully considering all facts and circumstances before

taking or recommending disciplinary actions. 4. Administering discipline in a fair, impartial, uniform manner and assuring that actions

are in accordance with applicable federal, state and district regulations. 5. Correcting employees constructively, individually, and in private. 6. Participating in grievance or appeal proceedings as necessary.

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RESPONSIBILITIES FOR EMPLOYEE DISCIPLINE - CONTINUED

F. All employees are responsible for:

1. Discharging their assigned duties conscientiously, competently and professionally. 2. Respecting the administrative responsibility of those directing their work and

observing the intent of the Sullivan County Department of Education Employee Code of Ethical Behavior.

Disciplinary action should be taken when it is evident that non-disciplinary strategies either have not resulted in a modification or suppression of the employee’s action(s) or behavior(s) or have failed to correct a given problem or policy violation. The absence of informal supervisory strategies will not prevent formal disciplinary action from occurring when aggravating circumstances warrant. An overview of the employee discipline process is as follows (see Appendix A):

A. Once the grounds for employee discipline have been established, either a formal or an informal disciplinary investigation will ensue (see examples in Appendix B and Appendix C). In cases where these grounds are substantiated, the specifics of a charge will be described in as much detail (e.g., the “who”, “what”, “where”, “when”, and “how”) as possible and a connection will be made between the charge against the employee and the resulting effect on the education environment. For each incident, a charge will be supported by all relevant evidence (e.g., documentation that leave was disapproved in a case where an employee who was absent without leave is later disciplined for excessive unauthorized absence).

B. Only after the grounds for employee discipline have been substantiated will one of the following two courses of disciplinary action occur: 1. Informal discipline, which includes both Oral Warnings and Written Warnings. 2. Formal discipline, which includes official reprimands, suspensions and dismissals.

C. Prior to initiating any type of employee discipline, both the aggravating and the mitigating factors

in the case shall be considered. Within the Sullivan County Department of Education, this process must be guided by the following standard set of “Douglas Factors” to ensure that the selected or recommended consequence represents both a reasonable and appropriate response to the misconduct or lack of professional competence involved (see Appendix D):

1. The nature and seriousness of the offense and its relation to the employee’s duties,

position and responsibilities, including whether the offense was intentional or inadvertent, or was committed maliciously or for gain, or was frequently repeated.

2. The employee’s job level and type of employment, including supervisory or fiduciary role, contacts with the public, and prominence of the position.

3. The employee’s past disciplinary record. 4. The employee’s past record, including length of service, performance on the job,

ability to get along with fellow workers, and dependability. 5. The effects of the offense upon the employee’s ability to perform at a satisfactory

level and its effect upon the Supervisor’s confidence in the employee’s ability to perform assigned duties.

ADMINISTRATIVE GUIDELINES AND REGULATIONS: EMPLOYEE DISCIPLINE POLICY – CONTINUED

RESPONSIBILITIES FOR EMPLOYEE DISCIPLINE - CONTINUED

6. Consistency of the penalty with those imposed upon and on other employees for the same or similar offenses.

7. Consistency of the penalty with any applicable district table of penalties. 8. The notoriety of the offense or its impact upon the reputation of the Sullivan County

Board of Education. 9. The clarity with which the employee was notified of any rules that were violated in

committing the offense, or had been warned about the conduct in question. 10. The potential for the employee’s rehabilitation. 11. Mitigating circumstances surrounding the offense such as unusual job tension,

personality problems, mental impairment, harassment, or bad faith, malice or provocation on the part of others involved in the matter.

12. The adequacy and effectiveness of alternative sanctions to deter such conduct in the future by the employee or by others.

Any one of these factors can be either mitigating or aggravating, and each relevant factor in the case must be considered. Mitigating factors tend to support the employee’s case and aggravating factors tend to justify the Sullivan County Department of Education action, which must also be proven by a preponderance of the evidence.

D. In situations where multiple grounds for employee discipline are involved within a single incident,

a more severe disciplinary consequence than deemed appropriate for each single offense may be administered if supported by the consideration of the aggravating and mitigating factors in the case.

OVERVIEW OF OPTIONS FOR EMPLOYEE DISCIPLINE All disciplinary actions represent documented admonishments in some form, and the consequences for misconduct or lack of professional competence within Sullivan County Department of Education range from informal Oral Warnings with Acknowledgement to formal Dismissals. Generally, there should be a progression in the assessment of penalties in cases of chronic misconduct; however, a single occurrence of some actions and behaviors may be so grave as to warrant immediate formal action, up to and including Dismissal. This range of penalties allows the selection of the disciplinary option based on the aggravating and mitigating circumstances in a manner that accounts for all types of employee misconduct.

A. The following represent the types of informal disciplinary actions used within Sullivan County Department of Education: 1. Oral Warning. An Oral Warning is defined as an informal disciplinary conference between

an authorized administrator or supervisor and an employee. It is the least severe of all of the types of conduct-based employee discipline and the only procedural requirement is that the employee sign that they have received a copy of the documentation. Except for this requirement there are no other procedural requirements or prescribed formats, except that employees may respond in writing and attach their response. An Oral Warning is meant to alert an employee to the fact that a deficiency has been noted. The documentation involved will be filed in the principal’s or district supervisor’s file.

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2. Written Warning. A Written Warning is defined as an informal disciplinary notice given to an employee whose action(s) or behavior(s) warrant(s) a more severe informal action than an Oral Warning. It is the most severe type of employee discipline that may be issued without a formal procedure or format. A Written Warning, in essence, puts the employee on notice to change his or her action(s) or behavior(s). The documentation involved will be filed in the principal’s or district supervisor’s file.

B. The following represent the types of formal disciplinary actions used within Sullivan

County Department of Education:

1. Official Reprimand. An Official Reprimand is defined as a formal disciplinary notice given to an employee whose action(s) or behavior(s) warrant(s) a more severe action than an informal warning. It is the least severe type of formal employee discipline, and the only formal disciplinary action that requires no disciplinary hearing to execute. An official reprimand will serve as a statement of censure of the employee for action(s) or behavior(s) of such concern that a permanent record of the incident(s) will be established. The documentation involved will be filed in the employee's official personnel file.

2. Suspension. A Suspension is defined as a formal disciplinary action whereby an employee is involuntarily separated from service on a temporary basis for a specific number of working days (see TCA §8-36-805, TCA §8-36-821, TCA §49-2-301, TCA §49-5-11, TCA §49-5-411, TCA §49-5-508, TCA §49-5-511 to 513, TCA §49-5-706, and SCDE Policy 4018). It is a severe type of employee discipline that requires due process. A suspension will serve as a significant consequence for a serious lapse of judgment or for action(s) or behavior(s) of such concern that the district must ensure that the employee understands that a repeat of the misconduct issue is likely to result in his or her dismissal.

3. Dismissal. A Dismissal is defined as a formal disciplinary action whereby an employee is involuntarily separated from service on a permanent basis. Dismissals are typically conduct-based or performance-based in nature (see TCA §8-36-805, TCA §8-36-821, TCA §49-2-301, TCA §49-5-11, TCA §49-5-411, TCA §49-5-508, TCA §49-5-511 to 513, TCA §49-5-706, and SCDE Policy 4018).

Dismissals most frequently result from the following circumstances:

a. Dismissal for Cause. A dismissal for cause is a permanent involuntary

separation taken either for very serious immoral or unprofessional conduct per TCA §49-5-511. The Director of Schools may terminate the employment of any person at any time in cases of incompetence, inefficiency, neglect of duty, unprofessional conduct, insubordination, any of the felonies listed in TCA §40-35-501(i)(2), or convictions for any of the offenses listed in TCA §39-17-417. Dismissal for cause may also result when continued or repeated acts of misconduct of a less severe nature are demonstrated over time.

ADMINISTRATIVE GUIDELINES AND REGULATIONS: EMPLOYEE DISCIPLINE POLICY – CONTINUED OVERVIEW OF OPTIONS FOR EMPLOYEE DISCIPLINE - CONTINUED

b. Dismissal for Inadequate Performance. Dismissal for inadequate performance is a permanent involuntary separation taken for failure to meet performance standards established by the Tennessee State Board of Education and/or Sullivan County Department of Education.

C. The following represent additional non-disciplinary measures that may be taken by Sullivan County Department of Education where applicable before or after a disciplinary investigation:

1. Emergency/Administrative leave action (“non-disciplinary leave due to a potential

hazard”): There may be a need to temporarily remove an employee from service with pay during the notice period of a suspension without pay or dismissal action when the circumstances are such that retention of the employee at the duty station may be injurious to the employee, other staff or the general public; may result in damage to District property; or may be detrimental to the legitimate interests of the Sullivan County Department of Education Board of Education. Emergency administrative leave action is used only to ensure that the employee is not in or creating a hazardous situation while a suspension without pay or dismissal is being investigated and/or processed. This action will require a written notice and must be initiated by the director.

PROCEDURES FOR DISCIPLINARY ACTIONS The considerations set forth in this section are intended to support the timely, fair, consistent and equitable processing of each type of employee discipline within Sullivan County Department of Education.

A. Oral Warnings

1. Considerations for an Oral Warning. An employee facing this type of discipline will receive the following:

a. A sufficient amount of time to respond to the allegation(s) against him or her. b. An explanation of the reason for taking disciplinary action. c. Consideration of pertinent aggravating factors or mitigating factors in the case prior to

making a decision to take disciplinary action. d. Notification that more severe discipline may result in the future if the same or similar

action(s) or behavior(s) occur.

2. Procedural concerns for an Oral Warning. Considerations for this type of discipline include the following:

a. Prior to disciplinary action. The administrator or supervisor involved will complete an informal investigation of the incident(s). The case facts should support a decision to take this type of employee discipline.

b. During disciplinary action. After listening to the employee’s response and before issuing disciplinary action, if warranted, the administrator or supervisor will state his or her reason(s) for taking disciplinary action and reference the aggravating factors and the mitigating factors considered prior to reaching this decision. The employee will be given the opportunity to respond either verbally or in writing and be informed of his or her right to say or write anything he or she deems appropriate.

c. After disciplinary action. If an employee responds in writing to the disciplinary action, the administrator or supervisor will attach it to the signed acknowledgement document and provide a copy to the employee.

3. Documentation associated with an Oral Warning. District-approved template(s)

will be used to document this type of employee discipline, and each such disciplinary action will be documented. This documentation will contain the following elements (see Appendix E):

a. The specific type of employee discipline being imposed. b. The specific grounds for employee discipline in the case. c. The aggravating factors or mitigating factors in the case. d. Notice that a copy of the disciplinary action and any written response will be

retained in the building principal’s or district supervisor’s file. e. Notice of withdrawal provisions where applicable. f. Notice that the employee may be subject to further progressive discipline

should he or she fail to remediate the action(s) or behavior(s) involved in the case.

4. Post-disciplinary rights and responsibilities. Considerations following disciplinary

action include the following:

a. Disposition of an Oral Warning. Documentation will be kept in a site or building level file in “active” status to support possible progressive employee discipline should the employee prove unwilling or unable to modify his or her action(s) or behavior(s).

PROCEDURES FOR DISCIPLINARY ACTIONS – CONTINUED

b. Withdrawal of an Oral Warning. Upon written request by the employee an Oral Warning may be considered for removal from the site or building level file if: (1) no further action was taken on the case after a minimum of one year; (2) the issuing administrator or supervisor and/or the current administrator and supervisor deems the withdrawal appropriate; and (3) the employee must provide the supervisor with a signed and dated statement outlining the reason(s) for his or her request to remove the Oral Warning. Additional considerations for the removal of an Oral Warning include the following:

i. In determining whether an Oral Warning should be withdrawn, consideration will be given to the fact that after its removal, the disciplinary action cannot be used to justify progressive discipline in the future should the misconduct occur again unless the supervisor places on file a copy of the employee’s request to withdraw with explanation.

ii. The supervisor or administrator is under no obligation to remove an Oral Warning from the site or building level file.

iii. When an Oral Warning is withdrawn, the administrator or supervisor will sign on the document that it has been withdrawn and return it to the employee.

B. Written Warning

1. Considerations for a Written Warning. An employee facing this type of discipline

should receive the following:




2. Procedural concerns for a Written Warning. Procedural considerations for this type of discipline include the following:

a. Prior to disciplinary action. The administrator or supervisor involved will complete

an informal investigation of the incident(s). The case facts should support a decision to take this type of employee discipline.

b. During disciplinary action. After listening to the employee’s response and before issuing the Written Warning, the administrator or supervisor will state his or her reason(s) for taking disciplinary action and reference the aggravating factors and the mitigating factors considered prior to reaching this decision. The employee will be given the opportunity to respond either verbally or in writing and be informed of his or her right to say or write anything he or she deems appropriate.

c. After disciplinary action. If the employee responds in writing to the disciplinary action, the administrator or supervisor will attach the written response to the case record and provide a copy to the employee. The administrator or supervisor will attempt to obtain the employee’s signature of receipt on a written summary of the disciplinary action, and if signature of receipt is refused, such refusal will be noted on the document and dated.


3. Documentation associated with a Written Warning. District-approved template(s) will be used to document this type of employee discipline, and each such disciplinary action will be documented. This documentation should contain the following elements (see Appendix F):

a) The specific type of employee discipline being imposed. b) The specific grounds for employee discipline in the case. c) The aggravating factors or mitigating factors in the case. d) Notice that a copy of the disciplinary action and any written response will be

retained in the principal’s or district supervisor’s file. e) Notice that the employee may be subject to further discipline should he or

she fail to remediate the action(s) or behavior(s) involved in the case.

4. Post-disciplinary rights and responsibilities. Considerations following disciplinary action include the following:

a. Disposition of a Written Warning. Documentation of a Written Warning will be kept in a site or building level file in “active” status to support possible progressive employee discipline should the employee prove unwilling or unable to modify his or her action(s) or behavior(s).

b. Withdrawal of a Written Warning. Upon written request by the employee a Written Warning may be considered for removal from the site or building level file if: (1) no further action was taken on the case for a minimum of one year; (2) the employee provides the supervisor with a signed and dated statement outlining the reason(s) for his or her request to remove the Written Warning; and (3) the issuing administrator or supervisor or current administrator or supervisor deems the withdrawal appropriate. Additional considerations for the removal of a Written Warning include the following:

iv. In determining whether a Written Warning should be withdrawn,

consideration should be given to the fact that after its removal, the disciplinary action cannot be used to justify progressive discipline in the future should the misconduct occur again unless it is replaced with a copy of the employee’s request to withdraw and the administrator and/or supervisor agrees.

v. The supervisor or administrator is under no obligation to remove a Written Warning from the site or building level file.

vi. When a Written Warning is withdrawn, the administrator or supervisor will sign on the document that it has been withdrawn and return it to the employee.

C. Official Reprimands

1. Due process considerations where applicable for an Official Reprimand. An

employee facing this type of discipline will receive the following:





2. Procedural considerations for an Official Reprimand. Procedural considerations for this type of discipline include the following:

a. Prior to disciplinary action. The administrator or supervisor involved will complete

an investigation of the incident(s). The case facts should support a decision to take this type of employee discipline.

b. During disciplinary action. After listening to the employee’s response and before issuing the official reprimand, the Director of Schools or his/her designee will state his or her reason(s) for taking disciplinary action, if warranted, and reference the aggravating factors and the mitigating factors considered prior to reaching this decision. The employee will be given the opportunity to respond in writing and be informed of his or her right to write anything he or she deems appropriate.

c. After disciplinary action. An employee may respond in writing to the action. Any written response must be signed and dated before attachment to the case record.

3. Documentation associated with an Official Reprimand. District-approved

template(s) will be used to document this type of employee discipline, and each such disciplinary action will be documented. This documentation will contain the required elements (see Appendix G).

a. The specific type of employee discipline being imposed. b. The specific grounds for employee discipline in the case. c. The aggravating factors or mitigating factors in the case. d. Notice that a copy of the disciplinary action and any written response will be

retained in the official personnel file. e. Notice that the employee may be subject to further discipline should he or

she fail to remediate the action(s) or behavior(s) involved in the case.


a. Disposition of an Official Reprimand. Documentation of an Official

Reprimand should be kept in the employee’s official personnel file maintained at the Central Office in “active” status to support possible progressive discipline should the employee prove unwilling or unable to modify his or her action(s) or behavior(s).

b. Withdrawal of an Official Reprimand. There is no provision for the withdrawal of an Official Reprimand. The written notice of an Official Reprimand will become a permanent part of the personnel record of the employee to whom it is issued.

c. Contest of an Official Reprimand. An Official Reprimand may be appealed in accordance with TCA and SCDE policy where applicable.

D. Suspensions

1. Overview. The Director of Schools or his/her designee shall complete a formal investigation

of the incident(s) in accordance with SCDE guidelines that support a decision to seek suspension. The Director may suspend an employee when applicable.

2. Due process considerations for a Suspension. An employee facing suspension is entitled to due process as outlined in §TCA 49-2-301(b)(1)(GG)(i) and §TCA 49-5-511to 49-5-513, if applicable.


3. Procedural considerations for a Suspension. The following procedural concerns should be considered and followed for an employee, where applicable, facing this type of discipline: TCA §8-36-805, TCA §8-36-821, TCA §49-2-301, TCA §49-5-11, TCA §49-5-411, TCA §49-5-508, TCA §49-5-511 to 513, TCA §49-5-706, SCDE Policy 4018.

4. Documentation associated with a Suspension. Notice of Pending Action and Notice of

Hearing Decision documentation shall be provided in accordance with TCA §8-36-805, TCA §8-36-821, TCA §49-2-301, TCA §49-5-411, TCA §49-5-508, TCA §49-5-511 to 513, TCA §49-5-706, and SCDE Policy 4018.

5. Post-disciplinary rights and responsibilities. Considerations following disciplinary action

include the following:

a. Disposition of a Suspension. Documentation of a Suspension will be kept in the employee’s official personnel file maintained at the Central Office in “active” status to support possible progressive employee discipline should the employee prove unwilling or unable to modify his or her action(s) or behavior(s) where applicable.

b. Withdrawal of a Suspension. There is no provision for the withdrawal of a Suspension. The written notice of a Suspension will become a permanent part of the personnel record of the employee to whom it is issued.

c. Contest of a Suspension. If the employee desires to appeal a disciplinary decision rendered in whole or in part in favor of the district, procedures in accordance with TCA §49-5-511 to 513 shall be followed.

E. Dismissals

1. Overview. The Director of Schools or his/her designee shall complete a formal investigation

of the incident(s) in accordance with SCDE guidelines that supports a decision to seek dismissal. The causes for which an employee may be dismissed are in accordance with TCA §49-5-511, §40-35-501(i)(2) or §39-17-417. If, in the opinion of the Sullivan County Board of Education, the charges are of such a nature as to warrant the dismissal of the teacher, the Director of Schools shall give the teacher a written notice of this decision, together with a copy of the charges.

This process applies to specific employee groups and does not apply to the non-renewal of contracts for non-tenured certified employees and support staff (see §TCA 49-2-301(b)(1)(GG)(i) and §TCA 49-5-511 for applicability based on employee classification).

2. Due process considerations for a Dismissal. An employee facing dismissal is entitled to

due process as outlined in §TCA 49-2-301(b)(1)(GG)(i) and §TCA 49-5-511to 49-5-513, if applicable.

3. Procedural considerations for a Dismissal. The following procedural concerns should be

considered and followed for an employee, where applicable, facing this type of discipline: TCA §8-36-805, TCA §8-36-821, TCA §49-2-301, TCA §49-5-11, TCA §49-5-411, TCA §49-5-508, TCA §49-5-511 to 513, TCA §49-5-706, SCDE Policy 4018.

4. Documentation associated with a Dismissal. Notice of Hearing Decision documentation

shall be provided in accordance with TCA §8-36-805, TCA §8-36-821, TCA §49-2-301, TCA §49-5-11, TCA §49-5-411, TCA §49-5-508, TCA §49-5-511 to 513, TCA §49-5-706, and SCDE Policy 4018.



a. Disposition of a Dismissal. Documentation of a Dismissal will be kept in

the employee’s official personnel file maintained at the Central Office. b. Withdrawal of a Dismissal. There is no provision for the withdrawal of a

Dismissal. The written notice of a Dismissal will become a permanent part of the personnel record of the employee to whom it is issued.

c. Contest of a Dismissal. If the employee desires to appeal a disciplinary decision rendered in whole or in part in favor of the district, procedures in accordance with TCA §49-5-511 to 513 shall be followed.

APPENDIX A OVERVIEW OF SCDE EMPLOYEE DISCIPLINARY PROCESS

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