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OR 98-854 Amends Employee Policy Handbook AN ORDINANCE OF THE CITY OF COPPELL, TEXAS ORDINANCE NO. 98854 AN ORDINANCE OF THE CITY OF COPPELL, TEXAS, AMENDING THE CITY OF COPPELL EMPLOYEE POLICY AND PROCEDURES HANDBOOK BY ADOPTING THE AMENDMENTS ATTACHED HERETO AS EXHIBIT "A"; PROVIDING A REPEALING CLAUSE; PROVIDING A SEVERABILITY CLAUSE; AND PROVIDING AN EFFECTIVE DATE. WrlEREAS, the City Employee Personnel Policies Committee and City Council have reviewed the attached policies and determined the need and appropriateness to adopt the attached amendments; and WHEREAS, the City Council desires to adopt the attached amendments effective November 1, 1998; NOW THEREFORE, BE IT ORDAINED BY THE~ CITY COUNCIL OF THE CITY OF COPPELL, TEXAS: SECTION 1. That Ordinance No. 93584 and the City of Coppeil Employee Policy and Procedure Handbook, as heretofore amended, be and the same are hereby amended by adding the following policies, attached hereto as Exhibit "A", effective Novamber 1, 1998. Revised Policies SOP # 1182 - Employee Appeals SECTION 2. That all provisions of the Ordinances of the City of Coppcll, Texas, in conflict with the provisions of this ordinance be, and the same are hereby, repealed, and all other provisions not in conflict with the provisions of this ordinance shall remain in full force and effect. SECTION 3. That should any word, phrase, paragraph, section or phrase of this ordinance be held to be unconstitutional, illegal or invalid, the same shall not affect the validity of this ordinance I SS21034 as a whole, or any part or provision thereof other than the part so decided to be unconstitutional, illegal or invalid, and shall not affect the validity of the Ordinm~ce as a whole. SECTION 4. That this ordinance shall take effect immediately from and after its passage as the law and charter in such cases provide. DULY PASSED by the City Council of the City of Coppell, Texas, this the/~t/~ day of C _1, "', Y . A~:T~HE~ MA OR / KATHLEEN ROACH, CITY SECKETARY APPROVEI) AS TO FORM: PETER G. SMITH, CITY ATTORNEY (PGs/ttl 1015198) 2 SS21034 CITY OF COPPEI ,L STANDARD OPERATING PROCEDURES SOP NUMBER: ~IY.,.C~: Employee Appeals 1182 AUTHORITY: BY. gLA{2~: Personnel Policy effective January 15, 1993 PAGE: _1 of _ 12 REVISED D_ATE: EFFECTWE DATE: REVIEW DATE: October 27, 1998 November 1, 1998 Annual PREPARED BY: Personnel Policy Task Force APPRO1 BY CITY MANAGER: Jim Witt 1.01 It is the policy of the City of Coppell to employ a uniform process of resolving employee appeals of any application of city and/or departmental role(s) and regulation(s), unequal treatment within a department or work group, annual performance evaluation, and/or disciplinary actions of suspension of more than one (1) day, demotion and termination in a timely manner and at the lowest possible supervisory level. Any appeal(s) must be in writing along with all supporting documentation specifying any rule(s)/regulation(s) violated, adverse treatment/disciplinary action taken, being questioned as well as the specific remedy(ies) being sought. 1.02 All appeals with the exception of an appeal of disciplinary action will be reviewed by the City Manager and/or his designee and the Director of Human Resources and/or his designee. All disciplinary appeals will be heard by a Disciplinary Appeals Advisory Board. 1.03 The City Manager shall establish the process by which employee appeals will be handled through successive higher levels of management review and the time requirements in which appeals will be resolved in an expeditious manner giving due consideration to all the participants responsible and the essential operations of all affected departments. 1.04. Failure of an employee to appeal from one level to the next level within the time limits established by the City Manager will result in the employee appeal being considered settled on the basis of the last decision rendered and the appeal shall not be subject to any further appeal consideration. 194 1.05 Failure by management to reply to an employee's appeal within the time limits established by the City Manager will result in the employee's appeal automatically being directed to the next higher level of review and in accordance with established time limits. . 1.06 The appeal process and applicable time requirements may be suspended or waived due to the following: A. When either the appealing employee(s) or the involved supervisor is on appmved leave, the time limits established shall be suspended for the period of the leave. B. When by mutual agreement confii'med in writing and good cause, any level of review or time limits established may be suspended, extended, or waived. C. When in the best interest of the City and/or the appealing employee, the City Manager, in his discretion, extends, suspends or waives the appeal process. 1.07 Groups of similar employee appeals that develop shall be treated as one (1) appeal. The affected employee group shall select not more than two (2) spokespersons and/or an employee representative to act on behalf of all involved. The acceptance of the decision by the selected representative(s) at any step will be binding on all parties. 1.08 An unreasonable number of appeal submittals by one individual or group obviously designed to thwart orderly processing or appeals which are patently irrelevant or incomprehensible as deemed by the City M~nager, shall be rejected as "nonappealable" and remmed to the appealing party(ieg). 1.09 All hearings conducted in the adjudication of an appeal shall be processed on City time without loss of pay, if the employee is scheduled to work and on normal business days, taking into donsideration the appealing employee's work schedule, departmental operating requirements, and the need for wimesses, representatives, or other participants as required. Requests for witnesses by beth management and the appealing employee will be coordinated by H.R. Voluntary off-duty witnesses will not be compensated unless the hearing falls during their regular work schedule. 195 2.0 ICEY WORDS 2.01 Appeal 2.02 Hearing - Appeal 2.03 Review Board - Appeal 3.0 AFFECTED DEPARTMENTS 3.01 All City Departments 4.0 REFERENCES 4.01 Home Rule Charter. City of Coppell, Seaion 4.09 Personnel Systems, Subsection C.3. The adopted roles shall provide for procedures providing for due proce~ for the hearing and adjudication of grievances. 5.0 DEFINITIONS 5.01 Appeal - The act and/or process by which an employee may obtain successive higher level of management review of any application of City and deparmaental rule(s)/regnlation(s), unequal gem wig a dapartment or work group, employee performance evaltmtion(s); and/or disciplinary actions of suspension of more than one (1) day, demotion, and termination. Any appeal(s) must be in ~witing on a form provided, must specify the role, regulation, unequal treatment, disciplinary action, or performance factors being questioned. The employee must also specify the remedy being sought. 5.02 Business Day - Regtllar day iS Monday through Friday (8:00 a.m. to 5:00 p.m.), excluding City-designated holidays. 5.03 Appeal Hearing - A proceeding convened by the City Manager during which the involved parties (Department Director, supervisor(s), and/or employees), appointed representatives, or wimesses may be heard for the purpose of receiving evidence and testimony concerning the appeal of an employee. 5.04 Work Group - Immediate group of employees with whom the employee(s) work. May be defined as their particular shift, crew, station, etc., and in some cases may cross departmental lines. 5.05 Management - Administrator of the City, including but not limited to: City Manager, Department Directors, Departmental Supervisors. 5.06 Disciplinary Appeals Advisory Board - A board consisting of three (3) members, two (2) of whom are City employees and a Deputy City Manager as provided 196 herein which conducts disciplinary appeals hearings for the purpose of reviewing documentation and/or testimony for the purpose of formulating its findings and recommendations for submission to the City Manager. 5.07 Employee members of the Disciplinary Appeals Advisory Board will consist of the Deputy City Manager or, in his/her absence, a designee of the City Manage~, one exempt (non Director) and one non-exempt employee selected by lot by the City Manager or his designee to serve a twelve month tc,~,~ fi'om October to October of each year. In order to be eligible to serve on the Appeals Board, an employee cannot have been subject to any discipline in excess of a written reprimand for a twelve month period and must have completed initial probation. Should an employee board member receive disciplinary action or be placed on performance probation during his/her terns, or the pending disciplinary action to be heard by the Board is from the board member's department a replacement member will be selected. Employee board members will receive orientation from Hutnan Resources as to their responsibilities and appeal protocol prior to heating any appeal. (see exhibit 8.02) 6.0 RESPONSIBILITY/ALrrHORITY 6.01 Depmment Director/Supervisor(s) - It shall be the responsibility of each Department Director and Supervisor to ensure compliance with this Standard Operating Procedure, address any and all employee appeals in a professional manner in an attempt to resolve such issues at the lowest possible supervisory level, and make available himself/herself and all involved personnel upon request of the Appeal Review Board. 197 7.0 PROCEDURES/PRACTICES (Steps 1 through 5) Step One - Initiation of Appeal to Immediate Supervisor RF,SPONSIBILITY ACTION 7.01 Employee/Representative A. Is encouraged to informally discuss problems/concerns regarding the application of rules/regulations, unequal treatment, performance evaluations, and/or pending disciplinary action with their supervisor prior to .: formallyfiling , an appeal for consideration. B. May when all informal discussions have been exhansted. file a written appeal within five (5) business days of the incident's occurrence utilizing the form provided (See Exhibit 8.01) and attaching all supporting documentation for consideration. 7.02 Employee/RepresentativeA. May, in cases where the Department Director is the immediate Supervisor, progress to Step 4, Section 7.08 herein and within five (5) business days file an appeal for consideration by the City Manager by indicating their desire to appeal on the original appeal form. B. May, in cases where the Department Director has taken disciplinary action of suspension more than one (1) day, demotion, and termination against an employee, progress to Step 4, of this policy within five (5) business days file an appeal for consideration by the City Manager by indicating their desire to appeal on the original appeal form. 198 7.03 Supervisor A, Shall upon receipt of the written appeal provide a written response to the employee apl:~al within five (5) business days aRer submission on the form submitted by the appealing employee. 7.04 Employee/Representative A. Shall upon receipt of the written response from their immediate supervisor, review the decision and within five (5) business days of receipt may seek further consideration by filing the written appeal to the next sup~isory level utilizing the original form by indicating their desire to appeal the decision of their immediate supervisor. Step Two - Al>peal Review CAl~peal to Successive Levels of Authori.ty, if_any) 7.05 Supervisor k Shall review all information, meet with the employee and/or employee representative in an attempt to resolve the issue, and provide a written response within five (5) business days of receipt of written apl:~al. The written response shall be recorded on the original form submitted by the employee and returned within the prescribed time frame. :7.~ Employee/Representative A. May review the written response rece'~ed and in five (5) business days file the written appeal for further c6nsideration by indicating on the original api:~al form their desire to appeal the decision to the Department Director. /99 Step Thre~- Appeal to Del~artment Director 7.07 gent Director A. Shall upon receipt of the written appeal, conduct a meeting within five (5) business days. B. If during the meeting the Department Director finds that additional information and/or documentation is warranted, the Director may suspend the conference to be rescheduled at a time mutually agreeable to eac.h paxty and not to. exceed five (5) business days. C. Shall provide a written decision within five (5) business days of the completion of the meeting to the employee on the original appeal form, stating the following: 1) Recap of details of the incident(s) resulting including rules/regulation(s), policy(ies), procedure(s), law(s), etc., sun'ounding the appeal action. 2) The Depamnent Director's decision with the appropriate action to be taken, if any. 3) The employee's right to appeal in accordance with this policy, the time frame (five (5) business days), and that failure to appeal within specified time frame will result in the action taken being final. Step Four :.Appeal to City Manager (Aplxal Review Board) This step is available to employees who have a qualified appeal as set out in Section 1.01 of this SOP, other than disciplinary action (see step five for Disciplinary Appeals process). 7.08 Employee/Representative .A. Upon receipt and review of the Department Director's response, may subsequently submit his/her appeal to the City Manager by indicating the decision to appeal on the original appeal form and within five (5) business days of receipt. 200 7.09 City Manager/Designee A. Shall, upon receipt of a bona fide appeal endeavor to convene a hearing within five (5) business days utilizing the appropriate appeal board and/or review process. B. Performance evaluation appeals and all other nondisciplinary appeals will be referred to the Human Resources Director or Designee for review with the Deputy City Manager and the appealing employee. A meeting will be scheduled by H.R. ,.vii 5 days of his/h~r receipt of the appeal. 7. I0 City Manager/Designee A. Upon receiving the recommendation of the H.R. Director or Designee and DCM, shall endeavor to render a final decision on performance evaluation appeals within five business days. B. Shall endeavor to notify the employee in writing within five (5) business days of his/her decision. 'Ilqe City Manager's (or his/her designce's) decision shall be final and binding on all involved parties. Step Five - Disciplinary Appeal to City Manager (Disciplinary Appeal Advisory Board) This step is available only to employees who have been suspended for more than one (1) day, demoted or terminated. 7.11 Employee/Representative A_ May upon receipt and review of the Department Director's decision, submit his/her appeal to the City Manager by indicating the decision to appeal on the original appeal form within five (5) business days of receipt. 7.12 City Manager/Designee A. Shall upon receipt of the appeal, endeavor to convene a hearing within five (5) business days utilizing the Disciplinary Appeals Advisory Board. 7.13 City Manager/Designee A. Shall select the Deputy City Manager, one non-exempt employee and one non-director 201 exempt employee to serve on the Disciplinary Appeals Advisory Board. Employees and supervisors shall be drown by lot and shall serve a 12-month term. 7.14 Disciplinary Appeals A. Shall upon appointment endeavor to convene Advisory Board within five (5) business days to consider the emptoyee's appeal. The employee(s) shall be entitled to be assisted by a representative if he/she so chooses. The Department Director may also be represented. The Disciplinary Appeals Advisory Board may permit the employee and the Department Dir&:tor/Supervisor to ,call witnesses to present evidence. The formal rules of evidence shall not apply. Time li~ts lll~ process at_the mutual agreement of the employee and the City. B. Shall strive to render a recommendation to the City Manager within five (5) business days of holding its hearing. 7.15 City IVuanager/Designee A. Shall upon receiving the Disciplinary Appeals advisory Board recommendation, endeavor to notify the employee of his/her decision in writing within five (5) business · days. The City Manager/Designee's decision shall be final and binding on all involved parties. 7. 16 Human Resource Director A Shall be available to consult with Department Directors/Supervisors and/or employee(s) regarding application of departmental/City rule and regulation, and /or pending disciplinary action. The Human Resources staff shall be not be named as a member of the Appeals Advisory Board B. May play a ministerial role in assisting the Appeal Review Board to conduct its meeting and deliberate, but shall take no part in the final recommendations. 202 8.0 EXHIBITS 8.01 City of Coppell Employee Formal Appeal 8.02 Appeal Hearing Protocol 203 ~ CITY OF COPPELL E~IPLOY'EE FOR~%IAL APPEAL A E A L E P E i p T W&~vcf/TTrne Extension Agreed Upon Thru: Ernp Initial: Supv Ir~tla~: E P EMPLOYE~: I...O ACC~ 0 A~L ~ o{c~z~H. EM~OY~'S S~A~: P 4 NOTE: ATTACH AOOITIONAL PAGES IF NECESSARY. .204 APPEAL TC~' CITY I~*At4AGER C~[y Manager"' Signatute/Oate ' Recv'd: 205 Exhibit 8.02 APPEAL HEARING PROTOCOL The Appeal Hearing Process is not a 1 al process; however, there are certain protocols that must be fol~gwed in order to ensure a fair and factual hearing. 1. The Rule will be invoked. This means that no witnesses can be present in the hearing rodm except during his or her testimony. 2. A Court Reporter may be requested to ensure the facts and testimonies presented are properly recorded when legal representatives are present. In the absence of a court reporter, hearings will be recorded. 3. The City Department will present its case first. 4. The Deputy City Manager shall serve as the chairperson. 5. The Human Resources or Designee will attend the hearing in order to interpret policy and maintain the protocol. 6. witnesses are sworn in. ~ 7. All parties are asked to present information relative to the issue. It is not the responsibility of the Appeals Board to sort out issues that are not relevant to the discipline being reviewed. 8. All hearing partici ts will be treated with respect by all attorneys, pan%~.mbers, witnesses, and hearing participants. 9. It is the responsibility of the Appeals Board to review the facts presented and make a reconTnendation to the Cit~z Manager as to whether, in their opinion, discipline ms warranted. It is not the responsibility of the Appeals Board to recomnend the level of discipline. 206 Employee Appeals SOP #1182 Chart B Step 4 (Section 7.09) Appeal to: (other than Discipline) iSupervisor(s) l I I icity ManagerI Convene Deputy City Manager & Human Resources Rep -_q~.5(Se:lkmZ13) [:lsdplinedl DayS_~cncrr~h~ I I I Qty~ Q:n~ne DsrdyQtyNtFCrr~ see Section 1.06 (B) (hlb~ldOfG~:u~ See Section 1.06'(C) ~EM~l~51~O~e , ' 5mpt(N::nEl.:,_~c,)F:nlJo/ae Section 1.06 (B) When by mutual agreement confirmed in writing and good cause, any level of review or time limits established may be suspended, extended, or waived. Section 1.06 (C) When in the best interest of the City and/or the appealing employee, the City Manager, in his discretion, extends, suspends, or waives the appeal process.