City policy Employee Appeal Process

• This document outlines the Discipline and Appeals Procedure.

Corrective Action and Discipline

• Supervisors must address performance issues with employees promptly and consult HR before disciplinary actions.
• Communication of performance and conduct expectations occurs through job descriptions, policies, hiring communication, orientation, discussions, or prior disciplinary actions.
• Performance discussions include coaching and counseling to improve performance, and are documented but not added to the employee's official file.
• Supervisors determine if expectations are unmet through observation, complaints, records, or the need for investigation.
• Corrective action and discipline can occur without prior warning based on the issue's nature and severity.

Initial Inquiry

• Supervisors typically conduct an initial inquiry to understand the situation.
• Inquiries involve gathering information and speaking with involved parties.
• Inquiry questions include: "Did this happen?", "Who was there?", "Where did it happen?", and "When did it happen?".
• Initial inquiries aren't recorded, and employees can't bring representation.
• Supervisors stop and continue with a formal investigation if representation is requested.

Investigation

• Supervisors, HR, finance, attorneys, or other parties may complete investigations.
• Investigations include interviewing witnesses, gathering documents, and interviewing the accused.
• Investigation questions include "What happened?" and "What is your side of the story?".

Investigative Interview for Union Employees

• Accused employees covered by a collective bargaining agreement receive an investigative interview, following specific procedures.
• Employees receive notice of the complaint's nature, incident details, and their right to representation.
• Investigators/supervisors provide notice and schedule a hearing within two working days.
• Human Resources records the interview, providing a copy to the employee upon request.
• Employees receive written notice of the investigation's outcome.
• Notice of allegations and representation aren't required if the employee isn't covered by a collective bargaining agreement.
• Unrecorded interviews are permitted if the employee isn't covered by a collective bargaining agreement.

Levels of Corrective Action and Discipline

• Corrective actions include written warnings, suspension without pay, demotion, and termination.
• Supervisors, consulting with HR, determine the appropriate tier of action.

Tier 1

• These actions are based on a concern, typically resulting in a written warning.
• It's generally the first step in progressive discipline.
• A formal notice is required and filed in the employee's personnel file.
• A pre-determination hearing is not required and employees do not get representation

Tier 2

• Suspensions without pay that last 2 days or less, 1-2 shifts for employees whose shifts are longer than 8 hours, or 24 hours or less for sworn employees in the police and fire departments
• Pre-determination hearing is required with formal notice
• A formal notice is required and filed in the employee's personnel file.
• Employee may bring a representative during the pre-determination hearing.

Tier 3

• Suspensions without pay of more than 2 days, or more than 2 shifts for employees whose shifts are longer than 8 hours, or more than 24 hours for sworn employees in the police and fire departments, demotion into a position with lesser pay, or termination of employment.
• Pre-determination hearing is required with formal notice
• A formal notice is required and filed in the employee's personnel file.
• Employee may bring a representative during the pre-determination hearing.

Pre-Determination Hearing

• A pre-determination hearing is required if tier 2 or 3 disciplinary action is considered, with the supervisor working with HR to schedule it.
• Employees receive a pre-determination hearing notice that includes allegations, hearing time/place, and the right to representation.
• Employees can waive the hearing or submit a written response.
• The HR consultant facilitates and records the hearing, ensuring policy compliance; the city has an attorney present if the employee's representative is an attorney.
• The hearing allows employees to defend themselves, presenting information, while supervisors listen and ask questions.
• Supervisors provide a written decision post-hearing.
• Pre-determination hearing notices are not placed in the employee file if there's no corrective action/discipline.

Decision Letters include

• Issue.
• impact
• History (if applicable).
• Expectations.
• Appeals options
• Notices of pre-determination hearings and non-disciplinary decisions do not become part of the employee's official personnel file.
• Notices of pre-determination hearing and disciplinary decision letters are placed in the employee's official personnel file if the decision letter is disciplinary.

Appeals

• Tier 2 disciplinary actions can be appealed to the department director within 10 calendar days with a written request stating the reasons.
• The department director holds an informal hearing, recorded by HR, and can uphold, rescind, or modify the disciplinary action; the decision is final.
• Tier 3 appeals for police/fire employees are made in writing to the Civil Service Commission and filed with the City Recorder's Office within specified timeframes based on delivery method.
• Tier 3 disciplinary actions can be appealed to the department director within 10 days, with a written request stating the reasons.
• The department director holds an informal hearing, recorded by HR, and can uphold, rescind, or modify the disciplinary action.
• Decisions from the department director for Tier 3 actions can be appealed to the Employee Appeals Board (EAB) within 14 days.
• The EAB decision is final, and no further internal appeals are permitted.

EAB Hearing Procedure

• The mayor's designee trains board members on hearing procedures.
• The EAB has jurisdiction over Tier 3 disciplinary action appeals only and cannot review other personnel matters.
• Appointed by the mayor are ineligible to file an appeal:
  • City council employees
  • Employees in at-will positions
  • Hourly employees
  • Seasonal employee
  • A probationary employee
  • Employees of the police/ fire department
  • Employees challenging the city's classification

EAB Appeal Process

• Employees begin by completing the form attached as Appendix “A” and submitting four copies to the city recorder's office.
• The city recorder's office provides copies to the mayor's designee and the city attorney.
• Employees must file within 14 days of the department head's final appealable decision.
• The EAB only reviews properly filed appeals, determined by the mayor's designee.
• The panel sets a hearing date that complies with Utah law.
• The panel must make its decision by voting with a secret ballot.
• A written account including conclusions and facts is made by the panel and copies are given to the employee, the city and city recorder
• Time constraints are in line with Utah Code Ann. § 10-3-1106
• Remedies that the EAB can provided are outlined in these procedures.

EAB Hearing Process Details

• Employees can be represented by one person during the hearing and may also appear, present witnesses and examine evidence under consideration by the decision maker.
• The employee or city cannot bring up new information on issues not previously raised with the department director.
• Discovery during the appeal is limited to the matters that were considered during the disciplinary or layoff process leading up to the appeal.
• A city employee can be mandated to attend the hearing to bear witness as well or be disciplined.

EAB Board Decision Parameters

• After a disciplinary decision appeal, the EAB determines if the department head's discipline was clearly erroneous, and, if so, may overturn it and provide compensation for lost wages.
• The panel cannot modify the discipline
• After an appeal for a layoff designation, the EAB determines if the city’s layoff procedures failed.
• If the city failed on its layoff procedures, the employee will be reinstated and paid lost wages, and may not modify the decision
• For discontinued positions, the city is analyzed for failure to complete layoff procedures or if the city counsel failed requirements per a statutory measure. The panel may not modify the decision or judgement in making a layoff designation change.
• After termination decisions, the panel reviews procedures, reinstating and compensating the employee if the city did not comply.

Civil Service Commission

• Civil service employees (excluding deputy and assistant chiefs) can appeal discharges, demotions, and suspensions without pay exceeding 3 days or 24 hours to the Civil Service Commission.
• Appeals must align with civil service rules, be written, and filed within time limits specified in the civil service rules.
• The Civil Service Commission adheres to its regulations for hearings, and its decision is the city's final internal appeal.