This document is for informational purposes only and is not intended to be binding on the Department of Personnel director or staff or on the Personnel Resources Board. This information is for unrepresented state employees; however, it may apply to represented employees as well. Represented employees are advised to contact their union representative to determine whether they have the right to file an appeal. For more information on the Board’s appeal process, refer to Chapter 357-52 WAC.

 

Index:

 

Section 1: Appealable Actions

 

Section 2: Filing an Appeal

 

Section 3: Acknowledgement of an Appeal

 

Section 4: Mediation

 

Section 5: Settlements and Withdrawals

 

Section 6: Notification of Hearing Date

 

Section 7: Continuances

 

Section 8: Prehearing Conference

 

Section 9: Discovery Procedures

 

Section 10: Written Motions

 

Section 11: Appeal Hearings

 

Section 12: Exception Appeal Hearings

 

Section 13: Post-hearing actions

 

 

 

 

1. Appealable Actions

 

What actions can be appealed to the Personnel Resources Board?
A permanent employee may appeal the following directly to the Board:

• disciplinary actions including dismissal, suspension, demotion or reduction in base salary;
• nondisciplinary separations;
• layoff actions or alleged layoff rule violations; and
• exemption of his/her position.

Click here for more information on hearings for these types of appeals.

 

 

An employee or employer may appeal the following to the Board on exception to a director’s review determination:

• alleged rule violations,
• allocations or reallocations,
• remedial actions, or
• removal of the employee’s name from a layoff list.

Click here for more information on exception hearings.

 

 

 

2. Filing an Appeal

 

Who can file appeals with the Board?
Employees may file appeals, including appeals on exception to a director’s determination. In addition, employers may file appeals on exception to a director’s review determination.

 

How do I file an appeal with the Board?
Appeals must be filed within 30 days of the action appealed. Appeals must be filed in accordance with Chapter 357-52 WAC and must include the information required by WAC 357-52-020.

 

Is there a form available for filing an appeal?
Yes. The form is available on-line at the Personnel Resources Board web page at: http://prb.dop.wa.gov/forms.asp. Or, you may contact the Human Resources Office at your place of employment or the Department of Personnel for a printed copy of the form.

 

Am I required to use the Board’s appeal form?
No. But you are required to provide the information listed in WAC 357-52-020.

 

What happens after the Board receives my appeal?
Board staff reviews the appeal to assure that all the required information has been provided. If any information is missing, the basis for the appeal is not clear, or the appeal appears to be untimely, Board staff sends you a letter asking for additional information. If you don’t provide the information within the timeframe stated in the letter, your appeal may be dismissed.

 

 

 

3. Acknowledgement of an Appeal

 

What happens when all the required information is received?
Board staff sends a letter acknowledging receipt of the appeal. For disciplinary appeals, you and the employer are asked to contact the Board if you wish to participate in mediation of the appeal.

 

 

 

4. Mediation

 

What is mediation?
Mediation is a process used for settling an appeal. Mediation is conducted by a neutral third party called a mediator. The mediator helps you and the employer talk and reach an agreement to resolve the appeal.

 

Does mediation delay the hearing?
Mediation does not delay scheduling your appeal for a hearing. If your case is assigned to a mediator, your appeal is still scheduled for a hearing. If your appeal is settled, you will be expected to withdraw your appeal and the hearing will be cancelled.

 

Who determines whether an appeal will be assign to one of the Board’s mediators?
Both parties must first agree to participate in mediation and notify the Board. Then, Board staff considers additional factors such as location of the parties, time remaining before the hearing, cost of the mediation, and the type of appeal. When possible, the appeal is assigned to a mediator.

 

Is mediation available for all appeals?
Generally, exception appeals are not mediated.

 

How will I know if my case is assigned to a mediator?
Board staff sends you a letter assigning the case to a mediator. The mediator contacts the parties to schedule the mediation.

 

 

 

5. Settlements and Withdrawals

 

What happens when the appeal is settled?
The mediator tells the Board’s staff. However, the appeal will not be closed until you send notice to the Board withdrawing the appeal.

 

How is an appeal withdrawn?
You must send the Board a letter or notice stating that you wish to withdraw your appeal. A Withdrawal Notice is available on the Personnel Resources Board web page at: http://prb.dop.wa.gov/forms.asp#Withdraw

 

Do I need to provide the Board with a copy of the settlement agreement?
No. The parties maintain copies of the agreement.

 

What happens when the appeal is not settled in mediation?
The mediator tells the Board’s staff and the appeal proceeds to hearing.

 

What happens when the parties don’t agree to mediate an appeal?
The appeal is set for hearing.

 

 

 

6. Notification of Hearing Date

 

How are hearings scheduled?
Board staff sends the parties a notice of a proposed hearing date. If you are unable to attend the hearing on that date, you must contact Board staff. When both parties agree to a hearing date, Board staff confirms the date by sending the parties a notice of hearing. The notice of hearing confirms the date, time and location of the hearing.

 

 

 

7. Continuances

 

Can I request a continuance of the hearing?
Yes. Either party can request that a hearing be continued or rescheduled to a later date. When making such a request, the party making the request must show that there is a good reason for the request.

 

How do I request a continuance?
First, you must contact the opposing party to determine whether they agree with the continuance. The parties should also agree to a date for the new hearing in consultation with the Board’s hearing coordinator. Next, you must file a written request with the Board.

 

What must be included in a request for continuance?
Your request must include the specific reason for the continuance, whether the opposing party agrees with the request, and the date the parties selected for the new hearing.

 

When must a request for continuance be filed?
Requests for continuance should be filed with the Board as soon as possible or at least two weeks before the hearing. The Board considers last minute requests for continuances only when the reason for the continuance is unforeseeable and emergent.

 

How will I know whether the Board grants the continuance?
Board staff calls the parties and tells them the Board’s decision. The Board also sends a written order confirming their decision. For more information on continuances, see WAC 357-52-115.

 

 

 

8. Prehearing Conference

 

What is a pre-hearing conference?
A pre-hearing conference is a conversation between the parties and a member of the Board’s staff to discuss procedural matters in preparation for a hearing. Pre-hearing conferences are usually held by telephone several months prior to the scheduled hearing. The date and time for the conference is included in the notice of hearing.

 

Who participates in the pre-hearing conference?
Both parties or their representatives participate in the call. Board staff initiates the call and facilitates the conversation.

 

What happens if I don’t participate in the call?
If neither you nor your representative participates in the call, your appeal may be dismissed.

 

What is discussed during the call?
During the call, discovery deadlines, the number and timing of witnesses, exhibits, a date for a follow-up conference call, and other matters are discussed. The matters discussed contribute to an orderly and concise hearing before the Board. For more information, see WAC 357-52-080 through 357-52-095.

 

Are the results of the pre-hearing conference recorded?
Yes. Board staff sends the parties a document entitled “Statement of Results of Prehearing Conference”. This document contains the agreements made during the call.

 

 

 

9. Discovery Procedures

 

What is “discovery”?
Discovery is a formal process for asking the opposing party for information. Parties may engage in discovery consistent with the civil rules for superior courts of the state of Washington. However, you may wish to contact the opposing party and request the information prior to engaging in the formal discovery process. Usually, the parties can agree on the exchange of information through a less formal process.

 

 

 

10. Written Motions

 

What are motions?
Either party may file a motion when they want the Board to make a decision on an issue prior to a hearing. There are many different reasons for motions. For example, a party may file a motion asking the Board to:

• limit the issues on appeal;
• limit the scope of discovery or the number of witnesses;
• require the opposing party to provide information;
• require clarification of the issue(s) on appeal;
• dismiss the appeal; or
• decide the appeal as a matter of law.

For more information on motions, see Chapter 357-52 WAC.

 

 

 

11. Appeal Hearings

 

Will the Board staff contact the parties prior to the hearing?
Yes. As agreed to during the prehearing conference, approximately one week prior to the hearing, Board staff contacts the parties for a follow-up pre-hearing conference. This conference assures that there are no last minute issues or problems that will inhibit an orderly hearing.

 

What happens on the day of the hearing?
The parties are directed to arrive at the hearing one-half hour prior to the start of the hearing. During this time, they exchange and review exhibits, agree on the admission of exhibits, discuss any logistical matters, and resolve any other concerns that might prevent an orderly hearing. For more information about exhibits and witnesses, see WAC 357-52-235 through 357-52-250.

 

What happens during the hearing?
The Board calls the hearing to order. Following introductions, the Board asks if there are any preliminary matters. This is when the parties should ask the Board to admit any stipulated facts or exhibits into the record.

 

When all the preliminary matters are dealt with, the Board asks the parties if they wish to make opening statements. Your opening statement should be a brief overview of your case and what you will be proving to the Board.

 

After opening statements, the parties present their cases to the Board starting with the party who has the burden of proof. Cases are presented through the testimony of witnesses.

 

If a witness talks about an exhibit that has not been entered into the record, whoever is questioning the witness should ask the Board to admit the exhibit. If an exhibit is not admitted into the record, it will not be considered by the Board.

 

After both parties have questioned all of their witnesses, the Board asks the parties if they wish to make closing statements. Your closing statement should be a brief summary of the evidence you presented and the facts you proved. After closing statements, the hearing is closed.

 

Can I object to information presented by the opposing party or by a witness?
Yes, but it is important to remember that the rules of evidence do not apply to hearings before the Board except for the rules of privilege recognized by law (for example, doctor-patient, attorney-client, husband-wife). If you do make an objection, you must tell the Board you object. The Board listens to arguments by both parties and then rules on the objection. You should not object during open or closing statements.

 

 

 

12. Exception Appeal Hearings

 

What are exception appeals?
When the director reviews an allocation, reallocation, alleged violation of civil service laws or rules, or remedial action, the director’s review is the initial step of the appeal process. After the director issues a decision, either party may file written exceptions to the Board if they disagree with something in the director’s decision.

 

When the Board assigns an appeal for hearing before a hearing officer, the hearing officer issues either a final or a recommended decision. When the hearing officer issues a recommended decision, either party may file written exceptions to the Board if they disagree with something in the hearing officer’s decision.

 

Written exceptions should include the specific areas of the director’s or hearing officer’s decision with which a party disagrees. The written exceptions should also reference the exhibits that support the party’s position.

 

How are exception appeals decided?
Exception appeals are decided based on the record created during the director’s review or by the hearing officer and

• written arguments submitted by both parties; or
• oral arguments presented to the Board.

Generally, no new testimony or witnesses are allowed during exception hearings.

 

How will I know how my exception appeal will be decided?
Board staff sends the parties either a cutoff schedule for written arguments or a proposed hearing date for oral argument. If a proposed hearing date is offered, once the date is agreed upon by the parties, Board staff sends a hearing notice confirming the date, time and location of the hearing.

 

May I file additional information for the Board’s consideration?
Exception appeals are based on the record created during the director’s review or by the hearing officer. Usually, the Board does not accept additional information. However, if both parties agree that the information should be considered, they may ask the Board to accept it and the Board may grant the request.

 

 

 

13. Post-hearing actions

 

What happens after the hearing?
The Board reviews the evidence, deliberates the case and prepares a written order. The Board signs the written order and issues it to the parties and their representatives.

 

How are Board orders issued?
Board orders are issued by mail.

 

What can I do if I disagree with the Board order?
Orders of the Board are final and are not subject to appeal.