This is the progressive disciplinary policy for all departments, supervisors and employees in the City of Montgomery, Alabama. Compliance is mandatory. It is divided into two main sections: minor infractions and major infractions. All cabinet members, department heads and supervisors shall use this policy and shall insure that all City employees are familiar with the policy. Any questions shall be directed to the office of the City Attorney.
Supervisors and department heads are responsible for the consistent application of discipline to all employees within a department according to this policy. It is understood that certain infractions are more consequential in some departments than others. For example, a tardy in one department may result in one employee starting to work late whereas a tardy in another department may result in an entire work crew starting to work late.
NOTE: When used in this policy, the term “Mayor” shall mean the Mayor and/or his designee with the exception that the Mayor is the Appointing Authority and has the sole authority to make a final determination on any disciplinary case/action.
Senior Management Responsibility
Supervisors and department heads are responsible for the consistent application of discipline to all employees within a department. Senior management shall be responsible for and required to assure due process and progressive discipline as proscribed in this policy. In deciding any disciplinary action to be recommended or taken, management shall consider the severity of the offense, the prior disciplinary history of the employee, and similar infractions/actions taken by or against other employees.
Probationary Employees
A new employee of probationary status whose performance is not satisfactory should be terminated if he or she fails to demonstrate ability or desire to perform at an acceptable level. Notification of Rejection of Probationary Appointment/Promotion (Form 38) should be completed, provided to the employee and forwarded to the appropriate cabinet member for review, recommendation and forwarding to the Mayor’s Office and Personnel.
NOTE: The word “day” as used hereafter refers to 8 hours. Recommendations for suspensions may be in hours.
Section 1. Minor Infractions: Unsatisfactory Work Performance, Work Practices Or Work Habits (Less Than major Or Serious Infractions
This Section is designed to address deficient job performance including unsatisfactory work performance, work practices or unsatisfactory work habits. It does not apply when an employee commits an infraction that warrants immediate suspension up to immediate dismissal such as theft of City property, assault on another employee, using City time or property for personal gain and/or any number of other serious infractions. The named serious infractions listed above are not intended to be all-inclusive. Offenses other than unsatisfactory work performance, work practices or unsatisfactory work habits are to be treated as specified in Section 2.
Regular Employees
When it is determined that an employee is not fulfilling the essential functions and responsibilities of the position to which he or she is assigned, all reasonable counseling and disciplinary steps should be taken prior to discharge. In order to determine objectively that the employee has been given an opportunity to correct a deficiency, the following policy has been written and approved. Disciplinary situations involving employees who have completed their probationary period should be dealt with by progressive discipline. Consistently applied progressive discipline will assure equitable treatment and encourage acceptable performance.
Step 1: Informal Discussion or Verbal Counseling
When a performance problem is first identified, the problem should be thoroughly discussed in private with the employee by his/her supervisor. Bringing the problem to the attention of the employee is often enough to prompt him or her to correct it willingly. The supervisor shall complete a memo that identifies the date, time, substance and response of this meeting if it is an informal discussion. A Form 28 shall be used if this is Verbal Counseling.
Step 2: Counseling
If a private informal discussion with the employee has not resulted in corrective action, following a thorough investigation, the supervisor should meet with the employee and:
Review the problem, (b) permit the employee to present his or her views on the problem, (c) advise the employee that the problem must be corrected and make suggestions and/or give direction for correcting the problem, (d) inform the employee that failure to correct the problem will result in further disciplinary action which will be a Written Reprimand, and (e) issue Written Warning (Form 30a) to the employee and put a copy into the personnel file.
Step 3: Written Reprimand
If satisfactory performance and corrective action are not achieved under Steps 1 and 2, the supervisor and his or her department head’s designee should meet with the employee and his/her representative in private and proceed via (a) through (d) above, and issue a written reprimand to the employee.
A Written Reprimand (Form 30b) shall be prepared and shall be discussed with the employee. The employee shall sign the form acknowledging receipt of the Reprimand. Signing the form shall not indicate that the employee agrees with the allegations, only the receipt of the document.
Step 4: Suspension
Four Days or Less: If satisfactory performance and corrective action are not achieved under Steps 1 through 3, the supervisor and his or her department head shall notify the employee in writing (Form 31a) of the charges against him/her, set a date and time for the hearing and should meet with the employee and his/her representative in private and proceed via (a) through (d) above, and suspend the employee for up to four days without pay.
NOTE: The Mayor has designated the department head to conduct the pre-determination hearing if the suspension is four (4) days or less. The charging officer may not be the hearing officer.
Due Process
The employee shall be entitled to due process for this hearing, including a written statement of the charges, a copy of any investigative summary and a copy of any evidence to be introduced at the hearing. This information shall be provided with the notice of hearing. The employee shall also have the right to cross-examine any witnesses, the right to refute the charges and/or to call witnesses, and the right to be represented. The hearing shall be scheduled three (3) business days in advance. Notice to the employee shall be by personal service or personal delivery to his/her last known official address as found in his/her personnel file.
Hearing Procedure
The department head shall conduct the hearing. The following may be present at the hearing: department head, immediate supervisor, recording secretary, City Attorney, witnesses for the City, the employee, his/her representative, relevant witnesses. The department head shall insure that all persons in the room are identified, all proceedings are digitally recorded, all witnesses are put under oath, and that the hearing is conducted in a fair and impartial manner. The charges shall be read to the employee and the employee shall be given the opportunity to admit or deny the charges. The City has the burden of presenting enough evidence, which may be hearsay, to establish the rule violation(s) as outlined in the notice. The employee shall have the right to cross-examine the witness. After the City has concluded its case, the employee shall have the right to call and examine witnesses who are present with the City having the right to cross-examine these witnesses. After the conclusion of testimony, the department head shall cause the recording to be electronically stored in a safe manner and shall complete the necessary documents to send to the Appointing Authority.
Form 35 shall be completed and forwarded to the appointing authority through the appropriate cabinet member for review and recommendation to the Mayor for final action by the Mayor.
Step 5: Recommendation to the Mayor for Disciplinary Action: Five (5) Days or More:
If satisfactory performance and corrective action are not achieved under Steps 1 through 4, the supervisor and his or her department head should meet with the employee and his/her representative in private and proceed by making a recommendation, as outlined below, to the Mayor, who is the Appointing Authority for the City of Montgomery, or his/her designee, for disciplinary action.
If the anticipated recommendation is a suspension of Five (5) days or more, the department head shall conduct a meeting with the employee to notify him/her of the charges and give him/her a chance to respond or refute the charges. The meeting shall be scheduled three (3) business days in advance. Notice to the employee shall be by personal service or personal delivery to his/her last known official address as found in his/her personnel file. The notice shall state the charges with particularity, a summary of the investigation (if available), copies of any documents intended to be used at the meeting, and shall give the date, time and location of the meeting with the Department head. Form 31b shall be used for this notification.
The department head shall make his/her recommendation to the Mayor through the appropriate cabinet member within two business days by completing a Form 32, and including the notice of charges and a synopsis of the meeting including a summary of the evidence presented at the meeting, and a summary of any testimony and/or response. A copy of any exhibit used at the meeting shall also be attached. There shall also be included a list of previous disciplinary infractions for the past three (3) years. The department head shall complete Form 32 (Recommendation for Disciplinary Action) and deliver a copy to the employee and forward the original to the office of the appropriate cabinet member for further proceedings as necessary. The Mayor or his/her designee shall schedule a hearing before the Mayor or his designee.
The employee may waive his/her right to the hearing by completing Form 39 prior to the date set for the hearing before the Mayor or his/her designee.
Section 2. Major and/or Serious Violations Other Than Unsatisfactory Work Performance, Work Practices Or Work Habits
An employee of the City will be subject to disciplinary action or discharge at any time if the employee commits an offense for which discipline or immediate termination is appropriate, or if in the judgment of the department head the employee's continued presence would be contrary to the well-being of the City and/or any other person.
All disciplinary infractions do not call for immediate termination. For violations involving Section 2 offenses, the department head or his/her designee may begin the disciplinary process with a Letter of Reprimand, Suspension Recommendation of Demotion and/or Termination, depending on the severity of the offense and the employee’s prior disciplinary record.
Whenever a supervisor or department head suspects that an employee has committed a major or serious infraction, or other infraction that cannot be handled within their department, he/she may request the Office of City Investigations to investigate the facts and circumstances of the alleged incident and make a report of their investigation. (ROI). These reports must be kept CONFIDENTIAL by the department head/supervisor and will not be distributed.
If the supervisor or department head anticipates taking any disciplinary action against this employee based upon the information contained in the report, he/she may request that City Investigations, in association with the Legal Department, prepare a summary report that may be used in any administrative due process or disciplinary meeting or hearing and a copy furnished to the employee. Certain information may be redacted to protect confidential information.
NOTE: When completed Reports of Investigation are provided to department heads or supervisors, they will not be copied or reproduced in any form, nor will the ROI be released to the subject employee. ROIs will not be placed in an individual’s City personnel file.
When an employee violates a policy or a rule and the City decides against immediately terminating the employee, either of the following Section 2 disciplinary actions may be used as deemed appropriate:
Written Reprimand: The immediate supervisor may, at his or her discretion, issue a formal written reprimand to the employee explaining the nature of the complaint, noting any previous violations by the employee, and warning the employee that any further violations could lead to discharge. Form 30b shall be completed and placed in the employee’s file. A completed copy shall be provided to the employee.
The employee will be requested to sign an Acknowledgement of Receipt even though they may disagree with the reprimand, and are encouraged to note their disagreement on the warning notice. Refusal to sign the Acknowledgement of Receipt is considered insubordination.
A copy of the written reprimand shall be placed in the employee's personnel file. If additional violations are committed and, at the discretion of the department head, additional reprimands are not warranted, the employee may be recommended for suspension or involuntarily termination.
Recommendation to the Mayor for Suspension of less than Five (5) Days:
The Mayor has designated the Department Head (so long as he/she is not the charging officer) to conduct this hearing. The due process requirements and other matters related to this hearing are the same as in the prior section for Section 1 Offenses.
Recommendation to the Mayor for Suspension of Five (5) Days or More:
If the recommendation is a suspension of Five (5) days or more, the department head shall conduct a meeting with the employee to notify him/her of the charges and give him/her a chance to respond or refute the charges. This meeting shall be digitally recorded. The meeting shall be scheduled three (3) business days in advance. Notice to the employee shall be by personal service or personal delivery to his/her last known official address as found in his/her personnel file. The notice shall state the charges with particularity and give the date, time and location of the meeting with the department head.
After the meeting, the department head shall make his/her recommendation to the Mayor through the cabinet member within two business days after the meeting by completing a Form 32, and including the notice of charges, a synopsis of the meeting including a summary of the evidence presented at the meeting, a copy of the digital recording, a copy of any exhibit used at the meeting, a list of previous disciplinary infractions for the past three (3) years, and a summary of any testimony and/or response. The department head shall complete Form 32 (Recommendation for Disciplinary Action) and deliver a copy to the employee and forward the original to the appropriate cabinet member or other designee who shall take further action as a designee of the office of the Mayor. The Mayor or his/her designee shall schedule a hearing before the Mayor or his designee.
The employee may waive his/her right to the hearing by completing Form 39 prior to the date set for the hearing before the Mayor or his/her designee.
Special Rules for Exempt Employees
Special rules apply to employees who are classified as exempt under the Fair Labor Standards Act. Disciplinary deductions may be made from the wages of those employees, without loss of exempt status, for:
1. Partial day deductions or more for a violation of a safety rule of major significance, which involves the prevention of danger to the plant or other employees.
2. Full day deduction or more for violations of workplace conduct rules provided that the policy:
- Covers serious workplace misconduct (not performance or attendance).
- Is written.
- Stated that violations could result in unpaid disciplinary suspension.
- Applies to all employees.
Suspensions for other violations must be for a full workweek.
City of Montgomery Notice of Departmental Hearing (Form 31) and Notification of Suspension (Form 35) must be completed, provided to the employee and forwarded to the Mayor’s Office and Personnel.
Hearing Before the Appointing Authority or His/Her Designee
For recommendations of any suspension of 5 days or more or a recommendation of termination or demotion, a hearing before the Appointing Authority shall be scheduled for the employee to have a hearing before the Mayor or his/her designee, unless waived by the employee. If a hearing is scheduled before the Appointing Authority, notice in writing will be given to the employee by U.S. Mail, addressed to his/her address as listed in the City’s records. A hearing shall be scheduled at least six working days after the date of notification. The first day shall be the day after mailing. Both the City and the employee shall exchange any documents they intend to use as evidence and the name of their representative at least three business days prior to the hearing before the Appointing Authority.
The Mayor may designate any person(s) to be his/her designee to conduct these hearings, including a cabinet level official, or any other person in his/her discretion. The charging officer may not be the hearing officer. The designee shall conduct the pre-determination hearing and make a report to the Mayor about the hearing. The Mayor, as the appointing authority shall then make his/her decision regarding the disciplinary action.
The Appointing Authority shall complete Forms 35 and/or 36 and enclose a copy of Form 37 if applicable and mail them to the employee by U.S. Mail, addressed to his/her address as listed in the City’s records.
An appointing authority may suspend an employee without pay for cause. Suspensions in excess of thirty (30) calendar days in any fiscal year may be appealed by a permanent employee to the Personnel Board. Suspensions of thirty (30) calendar days or less may not be appealed to the Personnel Board except as they are provided for in Personnel Rules and Regulations.
Employees shall also have the right to appeal the decision of the Appointing Authority to the City-County Personnel Board for any demotion or termination from employment under the City and County of Montgomery Personnel Board Rules and Regulations.