City policy Disciplinary Appeal Hearing Procedures

• The document outlines rules for disciplinary appeals to a hearing officer.

Authority

• A Disciplinary Appeals Hearing Officer hears and adjudicates appeals per Salt Lake City Code Chapter 2.24.
• Appeals are for overturning final disciplinary decisions relating to employee discharge, suspension without pay beyond two days (or one shift for 24-hour shift employees), or involuntary transfer with less pay.
• The Hearing Officer can only affirm or overturn the disciplinary decision being appealed per the Salt Lake City Code Chapter 2.24.
• Actions not subject to appeal include suspensions without pay of two days or less (or one shift for 24-hour employees), written warnings or oral coaching, non-disciplinary discharges, layoff designations, reorganizational reassignments, or performance evaluations in accordance with the Salt Lake City Code Chapter 2.24.

Calculating Time

• When calculating time, per Salt Lake City Code Chapter 2.24:
  • Exclude the calendar day of the triggering event.
  • Include all other calendar days (including Saturdays, Sundays, and holidays).
  • If the last day falls on a Saturday, Sunday, or legal holiday, extend the period to the next non-holiday weekday.

Appeal Filing

• Appeals filed with a Disciplinary Appeals Hearing Officer per Salt Lake City Code Chapter 2.24 must be:
  • Filed by an eligible City employee.
  • Submitted in writing to the Salt Lake City Recorder within 10 calendar days of the final disciplinary decision's issuance.
• The appeal needs to specify the disciplinary decision in question and the reasons for contesting it.
• Missing reasons may prevent their later assertion at the hearing at the Disciplinary Appeals Hearing Officer's discretion.

Assignment of Disciplinary Appeals Hearing Officer

• The Chief Human Resources Officer (or designee) assigns a Disciplinary Appeals Hearing Officer upon notice of a timely appeal from the Salt Lake City Recorder.
• Both parties (employee and City) are notified of the assignment in writing.
• Assignments are made on a rotating schedule, based on availability, per Salt Lake City Code Chapter 2.24
• If either party objects to the assigned officer, a different officer will assigned, but:
  • Only one objection per party is allowed per appeal as per Salt Lake City Code Chapter 2.24.
  • Objections must be written and submitted to the Chief Human Resources Officer (or designee) within three days of notification.
  • The objection needs specific grounds and supporting information.

Scheduling Conference

• The Chief Human Resources Officer (or designee) contacts parties within seven days of officer assignment to schedule a conference by email or other electronic methods, assuming no objections were filed.
• Set the pre-hearing conference and hearing dates during the conference.
• Hearings are generally set within 120 days of scheduling conference completion, based on officer and parties' availability.

Continuance

• The assigned Disciplinary Appeals Hearing Officer can continue a pre-hearing conference or hearing at their discretion.
• Either party can request a continuance by submitting a written request indicating reasons and whether the other party agrees.
• The assigned officer can grant, modify, or deny the continuance request at their discretion.

Standard of Review/Burden of Proof

• For Police/Fire Department Employees regarding whether the facts support a conclusion that policy was violated:
  • The standard of review is "substantial evidence." as per Salt Lake City Code Chapter 2.24.
  • The City must prove the conclusion is supported by substantial evidence.
• For Police/Fire Department Employees regarding proportionality of a sanction:
  • The standard of review is "abuse of discretion." as per Salt Lake City Code Chapter 2.24.
  • The City must prove the sanction isn't an abuse of discretion.
• For Police/Fire Department Employees regarding the consistency of imposed sanction:
  • The standard of review is "abuse of discretion." as per Salt Lake City Code Chapter 2.24.
  • The employee must prove the disciplinary sanction constitutes an abuse of discretion.
• For all other Employees regarding whether the facts support a conclusion that policy was violated:
  • The standard of review is "substantial evidence." as per Salt Lake City Code Chapter 2.24.
  • The employee must prove the conclusion isn't supported by substantial evidence.
• For all other Employees regarding proportionality of a sanction:
  • The standard of review is "abuse of discretion." as per Salt Lake City Code Chapter 2.24.
  • The employee must prove the disciplinary sanction constitutes an abuse of discretion.
• For all other Employees regarding the consistency of imposed sanction:
  • The standard of review is "abuse of discretion." as per Salt Lake City Code Chapter 2.24.
  • The employee must prove the disciplinary sanction constitutes an abuse of discretion.

Evidence

• With the exception of evidence pertaining to the proportionality and/or consistency of the specific disciplinary sanction imposed, the Disciplinary Appeals Hearing Officer may only consider evidence previously presented during the disciplinary process as per Salt Lake City Code Chapter 2.24.
• Formal discovery (like interrogatories, document requests, depositions, or subpoenas) is not allowed.
• Written motions and briefing are not permitted unless specifically requested by a Hearing Officer.
• Oral motions regarding evidentiary issues are allowed at the pre-hearing conference or hearing.
• For evidence about sanction proportionality/consistency, employees can request evidence from the City via written request.

Pre-Hearing Conference

• The pre-hearing conference will be conducted via electronic means or by telephone.
• Seven days before the conference, each party must provide the other with witness and exhibit lists.
• At the conference, the Disciplinary Appeals Hearing Officer shall:
  • Require each party to identify all witnesses who will or may testify at the hearing and resolve any objections raised by the other party to such witnesses.
  • Require each party to identify all exhibits which party will or may introduce at the hearing and resolve any objections raised by the other party to such exhibits.
  • Hear oral motions about evidentiary matters.
  • Decide issues for proper appeal adjudication.
  • Confirm the time allocated for the hearing.

Hearing

• Parties must appear in-person unless the employee waives in writing.
• If an in-person hearing is waived, the hearing is conducted via video with all parties and witnesses on camera.
• The employee may request for it to be open to the public, but the Hearing Officer can close portions per the Open and Public Meetings Act.
• The presumed hearing time on a single business day is four hours and thirty minutes.
• The Hearing Officer can allocate more time with good cause, but hearings can't exceed eight hours nor be conducted over multiple days.
• Each party gets equal time to present their case.
• Example: if 4.5 hours are allocated, each party gets 2 hours and 15 minutes.
• The hearing follows this order:
  • For Police/Fire employees, the City presents its case first; for other employees, the employee does.
  • Opening statements are restricted to 10 minutes. The rebutting party may defer their opening statement until the presentation of their case.
  • Witness testimony is allowed (if applicable) from the party required to present its case first, followed by cross-examination of each witness (if applicable) from the opposing party.
  • Witness testimony is allowed (if applicable) from the party required to present its case second, followed by cross-examination of each witness (if applicable) from the opposing party.
  • Closing arguments are restricted to 15 minutes. -The party required to present their case first makes the first Closing Argument, though that party may set aside up to ten minutes of their allotted fifteen minutes for rebuttal.
• The Hearing Officer can invoke witness exclusionary rule to prevent bias/undue influence upon request, but the employee and City Department Director (or designee) can stay at all times.
• The Utah Rules of Evidence serve as guidelines and, if an evidentiary objection is made, the Hearing Officer can sustain, overrule, or disregard it.

Decision and Order

• A Disciplinary Appeals Hearing Officer must certify a written decision with the Salt Lake City Recorder within 15 calendar days after the hearing, as per Salt Lake City Code Chapter 2.24.
• Only affirm or overturn the disciplinary decision and must explain the factual/legal basis for the decision.
• The officer can extend the certification period up to 60 days with the agreement of both parties for good cause.
• The decision must inform parties of their right to appeal to the Utah Court of Appeals within 30 days of certification with the Salt Lake City Recorder.
• The Hearing Officer can require the prevailing party to draft a proposed written decision and allow the other party time to object per officer discretion.