City 3.05.03 corrective action

• The policy outlines the corrective action, discipline, and appeal process for city employees.

Scope

• This policy applies to full-time employees of Salt Lake City Corporation who have satisfactorily completed their probationary period.
• The exception is at-will employees (including part-time, seasonal, appointed, and probationary employees).
• At-will employees are not subject to this policy.

Corrective Action

• Corrective action includes verbal coaching and counseling, discussions regarding performance improvement, required retraining, and/or verbal or written warnings.

Progressive Discipline

• Progressive discipline includes corrective action, suspension without pay, and termination.
• Demotion is also a part of the progressive discipline process.
• Progressive discipline isn't required and deviation from the typical progressive discipline sequence may be appropriate based on the severity of an employee's job performance, conduct, or behavior, as determined by the supervisor.
• Progressive discipline may occur even if the current job performance differs from the type of performance for which the employee previously received corrective action or discipline.
• An employee's history of prior corrective action and discipline will be considered in determining the appropriate level of discipline.

Levels of Corrective Action and Discipline

Tier 1 - Written Warning

• Considered a corrective action.
• No pre-determination hearing is required before issuance.
• Supervisors are encouraged to notify the employee before issuing a written warning.

Tier 2 - Suspension without Pay

• For employees who work 8-hour shifts, an unpaid suspension of 2 days or less.
• For employees who work shifts longer than 8 hours, an unpaid suspension of 1 or 2 shifts.
• For employees in the police or fire department, an unpaid suspension of 24 hours or less.

Pre-determination hearing

• A pre-determination hearing is required prior to Tier 2 discipline to provide the employee notice and an opportunity to respond to the issue(s).
• Employees receive written notice, including the allegations, date, time, place, and their right to bring a representative.
• The audio of the pre-determination hearing will be recorded.

Appeal

• Tier 2 disciplinary action may be appealed to the department director or their designee by submitting an appeal form within 10 calendar days of the action.
• The written appeal should explain the reasons for submitting the appeal.
• The department director or their designee will hear the appeal in an informal hearing.
• The audio of the hearing will be recorded, and the employee may bring a representative.
• The department director or their designee has the authority to uphold, rescind, or modify the disciplinary action.
• Their decision is final unless specified by an applicable MOU.

Tier 3 - Suspension without Pay, Demotion and/or Termination

• For employees who work 8-hour shifts, it applies to an unpaid suspension of more than 2 days.
• For employees who work shifts longer than 8 hours, an unpaid suspension of more than 2 shifts.
• For employees in the police or fire department, an unpaid suspension of more than 24 hours.

Pre-determination hearing

• A pre-determination hearing is required for Tier 3 discipline.
• Employees will receive written notice including allegations, date, time, place, and the right to bring a representative.
• The audio of the pre-determination hearing will be recorded.

Appeal

• For appeals to the department director or their designee, an individual who was not involved in the decision to issue the disciplinary action should be assigned to hear the appeal.
• If the disciplinary action was issued by a department director, the appeal will be heard by the Chief of Staff.

Appeal for police or fire department employees

• Employees in the police or fire department may appeal Tier 3 disciplinary actions to the Salt Lake City Civil Service Commission.
• For all other employees, Tier 3 disciplinary actions may be appealed as follows:

Department Level Appeal

• Tier 3 disciplinary action may be appealed to the department director or their designee within 10 calendar days.
• The written appeal should explain the reasons for submitting the appeal.
• The department director or their designee will hear the appeal in an informal hearing.
• The audio of the hearing is recorded, and the employee may bring a representative.
• The department director or their designee can uphold, rescind, or modify the disciplinary action.
• A department director's or designee's decision to uphold a tier 3 disciplinary action may be appealed to the appropriate established body.

Final Appeal

• An employee may appeal a department director's or designee's decision by submitting a written appeal to the office of the city recorder within 14 calendar days of the department director's or designee's decision.
• The final appeal will follow the established body's applicable procedure.
• The decision by the established body is final, and no further internal appeals are permitted.

Corrective Action and Disciplinary Factors

Reasons employees may receive corrective action or discipline.

• Unsatisfactory job performance, including failure to comply with city policies, department or division expectations, or applicable laws.
• Conduct or behavior that violates city, department, or division policies or applicable laws.
• Off-duty or outside of work conduct that violates city, department, or division policies, applicable law, or negatively impacts the city, provided that the city articulates how the conduct negatively impacts the city.

Factors for determining the appropriate tier of corrective action or discipline.

• Consideration will be given to the nature of the violation and the actual or potential impact of the employee's performance, conduct, or behavior at issue.
• Safety implications
• Impact on services
• Financial implications
• Level of disruption caused
• City, department or division policies, procedures, or expectations at issue.
• Violation of applicable law
• The employee's past history, including all non-disciplinary intervention and disciplinary actions received.
• The employee will be advised in writing of the corrective action or disciplinary action being taken.
• The written notice will include general information regarding any applicable appeal process.
• A copy of the notice will be placed in the employee's official personnel file.

Corrective Action and Disciplinary Considerations

• Before taking corrective action or considering discipline, the employee's immediate supervisor or manager should attempt to ensure the employee is aware of the expectations of the job.
• Reviewing the employee's job description.
• Reviewing city, department, or division policies, procedures, or expectations with the employee.
• Communicating expectations to the employee during the hiring process
• Communicating expectations to the employee during an orientation.
• Engaging in performance discussions with the employee.
• Reviewing previous corrective action or discipline against the employee.
• Performance discussions and written warnings are corrective action designed to promote improvement in performance, conduct, or behavior.

Documentation of performance discussions

• Performance discussions should be documented in some form, such as a memo or e-mail to the employee, or the performance discussion form.
• These documents will not be placed in the employee's official personnel file but may be reviewed in determining whether disciplinary action should be taken.

Other considerations

• In some instances, corrective action may be issued without prior warning.
• In the case of discipline, a pre-determination hearing notice will be provided.
• Before taking corrective action or considering discipline, the supervisor or manager should consult with their human resources consultant.
• The issuing supervisor or manager will determine which tier is appropriate.
• Before taking corrective action or considering discipline, a review of the relevant information will be conducted, which may include an investigation.
• An investigative interview may be held if a supervisor or investigator determines it is needed.
• If an investigation interview is held, all applicable MOU provisions must be followed.
• Where broader institutional issues are implicated, the appropriate department director or city official may issue disciplinary action.

Dates

• Initial Effective Date: October 1, 1995
• Approved and passed this 31st date of August, 2018

Explore workplace disciplinary actions, progressive discipline sequences, and conditions for deviation. Understand the role of prior corrective actions and various disciplinary action tiers. Review employee rights, suspension guidelines, and the appeals process.