Preamble - Definitions and Application of Personnel Rules Preamble.1 Authority

SMC 4.04.050, and subsequent revisions thereto, Rule Making Authority

Preamble.2 Definitions

The following definitions shall be used for the interpretation and administration of all Personnel Rules, except where subchapters to these Rules provide otherwise.

1. “Administrative reassignment” means paid leave status which an appointing authority may authorize for any City officer or employee in his or her department or office, when such employee is the cause of or subject of, or otherwise significantly affected by an active official investigatory process related to alleged violations of personnel rules, policies of the City and/or City Department, City ordinances, or state or federal laws and/or an investigation intended to determine the employee’s fitness for duty. Administrative reassignment shall not be considered discipline.

2. “Alternative Dispute Resolution Program” or “ADR” shall mean a Citywide function located in the Seattle Department of Human Resources to promote the resolution of workplace disputes through training, mediation, conciliation and facilitated discussion.

3. “Appointing authority” shall mean the head of an employing unit authorized by ordinance or City Charter to employ others on behalf of the City. The term includes and can be used interchangeably with department head, department director, superintendent, or chief.

4. “Appointment” shall mean the placement of an employee in a position by initial hire, promotion, transfer, demotion or reduction.

5. “Civil Service Commission” shall mean the Civil Service Commission of the City of Seattle, which is charged with hearing appeals regarding the administration of the personnel system.

6. “Classification specification” shall mean a written description of a classification that includes a title, a description of distinguishing characteristics, a statement of duties and responsibilities, and a statement of minimum qualifications.

7. “Classified service” shall mean all employment positions in the City that are not excluded by ordinance, City Charter or State law from the provisions of Seattle Municipal Code 4.04 or Personnel Rules passed pursuant thereto related to the

selection, discipline, termination or appeals of personnel actions to the Civil Service Commission.

8. “Demotion” shall mean the movement of an employee from his or her current classification to a classification with a lower maximum salary rate, for justifiable cause.

9. “Discharge” shall mean separation from employment, for justifiable cause.

10. “Disciplinary action” shall mean an action taken by the appointing authority or a designated management representative in response to a proven act of employee misconduct or uncorrected poor work performance. Disciplinary actions include verbal warnings, written reprimands, suspension, demotion and discharge.

11. “Discrimination,” “discriminate,” and/or “discriminatory act” shall mean any act, by itself or as part of a practice, which is intended to or results in different treatment or differentiates between or among individuals or groups of individuals by reason of race, color, age, sex, marital status, sexual orientation, gender identity, political ideology, creed, religion, ancestry, national origin, honorably discharged veteran or military status; or the presence of any sensory, mental, or physical disability.

12. “Elected official” shall mean the Mayor, City Councilmembers, City Attorney, and all Municipal Court Judges whether elected or appointed.

13. “Employing unit” shall mean any department of the City and, within the Executive and Legislative Departments, any office created by ordinance.

14. “Exempt employee” shall mean one who serves at the discretion of the appointing authority in a position which is exempted by the City Charter or SMC Chapter

4.13 from compliance with this chapter regarding selection, discipline and discharge of employees, and appeals of personnel actions to the Civil Service Commission.

15. “Exempt position” shall mean a position of employment held by an at-will employee who serves at the discretion of the appointing authority in a position that is excluded by ordinance, City Charter or State law from compliance with the provisions of Seattle Municipal Code Chapter 4.04 or the Personnel Rules adopted pursuant thereto related to selection, discipline, termination or appeals of personnel actions to the Civil Service Commission.

16. “External applicant” shall mean an applicant for employment with the City who is not a regularly appointed employee.

17. “Facilitated conversation” shall mean an informal conversation between parties assisted and coached by a trained neutral person.

18. “Finance Director” shall mean the Director of Finance at the Department of Finance and Administrative Services who is charged with managing the City's financial accounts.

19. “Grievable incident” shall mean an alleged action or event that resulted from the alleged misapplication of the provisions of Seattle Municipal Code Chapter 4.04 or the Personnel Rules and any policies or procedures adopted pursuant thereto which aggrieves the employee who files the grievance. The scope of ‘grievable incidents’ may be limited further as defined by Personnel Rule 1.4.

20. “Harassing conduct” shall mean but is not limited to epithets, slurs, and negative stereotyping; threatening, intimidating or hostile acts; or written or graphic materials that denigrate or show hostility or aversion that is placed on walls, bulletin boards, electronic bulletin boards, e-mail or otherwise placed or circulated in the workplace; when such actions or materials are related to or directed at an individual or group because of race, color, religion, creed, sex, sexual orientation, gender identity, national origin, ancestry, age, disability, marital status, families with children status, veteran status, or political ideology.

21. “Harassment” may include but is not limited to verbal or physical conduct toward an individual because of his or her race, color, religion, creed, sex, sexual orientation, gender identity, national origin, ancestry, age, disability, marital status, families with children status, veteran status, or political ideology, or that of his or her relatives, friends or associates, when such harassing conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or otherwise adversely affects an individual's employment opportunities. The term includes sexual harassment.

22. “Harassment complaint” shall mean any oral or written complaint alleging an incident or incidents of harassment made by an employee to a management representative, or any information obtained by a management representative indicating that harassment has occurred or may be occurring in the workplace.

23. “Hourly employee” shall mean an employee who is compensated on an hourly basis for each hour of work performed, including time worked beyond 40 hours in a workweek.

24. “Inappropriate pressure” shall mean any written or verbal suggestion to a City employee the effect of which would preclude open consideration of qualified

applicants, or result in the selection of an employee for reasons other than relative ability, knowledge and skills.

25. “Initial appointment” shall mean the first appointment of an individual to a non- temporary position, or the re-appointment of a former City employee after separation from City employment, or after the exhaustion of the reinstatement or reversion/recall period.

26. “Internal applicant” shall mean a regularly appointed City employee or an active temporary worker who applies for another position of City employment who applies for a regular position of City employment.

27. “Management representative” shall mean any individual working at or above the level of supervisor or crew chief who is responsible for directing the work of employees and who exercises independent judgment with respect to the direction of such work. The term includes human resources representatives, strategic advisors, and departmental equal employment opportunity officers, but excludes individuals employed in the City's Alternative Dispute Resolution Program.

28. “Mediation” shall mean an informal voluntary meeting between the parties to a dispute and one or more trained neutral mediators who assist them to find a mutually acceptable resolution to their conflict.

29. “Opportunity for Advancement Bulletin” or “OFA” shall mean the City's official internal communication of job vacancies.

30. “Overtime threshold” shall mean a combined total of 40 straight-time hours of work and/or paid leave per workweek. Hours worked beyond the overtime threshold must be compensated at the appropriate overtime rate of pay.

31. “Performance evaluation” shall mean a formal assessment or appraisal by a supervisor of an employee’s job performance.

32. “Period of war or armed conflict” shall include World War I; World War II; the Korean conflict; the Vietnam era; the Persian Gulf War; the period beginning on the date of any future declaration of war by the United States Congress and ending on the date prescribed by presidential proclamation or concurrent resolution of the United States Congress; or the following armed conflicts if the person was awarded the respective campaign badge or medal: the crisis in Lebanon, the invasion of Grenada, Panama—Operation Just Cause, Somalia— Operation Restore Hope, Haiti—Operation Uphold Democracy, or Bosnia— Operation Joint Endeavor, Operation Noble Eagle; southern or central Asia— Operation Enduring Freedom; and Persian Gulf—Operation Iraqi Freedom.

33. “Pre-disciplinary hearing” shall mean an opportunity for an employee to meet with the appointing authority to respond to the charges made against him or her that may result in the appointing authority’s decision to impose a suspension, demotion or discharge.

34. “Probation” shall mean an extension of the selection process during which period an employee is required to demonstrate his or her ability to perform the job for which he or she was hired. Employees shall serve one 12-month probationary period, except that their probation may be extended in accordance with the Seattle Municipal Code and these Rules.

35. “Probationary employee” shall mean an employee who has not yet completed a probationary period of employment.

36. “Progressive discipline” shall mean a process of applying and documenting disciplinary actions progressing from less to more serious depending on the employee’s history and the nature of his or her offense.

37. “Project Hire” shall mean a program administered by the Seattle Human Resources Director that provides job referrals to individuals who are at risk of layoff or who are on a reinstatement list.

38. “Promotion” shall mean an appointment to a class or position with a higher maximum pay rate that occurs subsequent to an employee's initial appointment.

39. “Reduction” shall mean the non-disciplinary voluntary or involuntary movement of an employee to a position with a lower maximum pay rate at the request of the employee to be reduced, or by the appointing authority or his or her designated representative for reasons of organizational change, reduction in force, poor job match or poor work performance.

40. “Regular employee” shall mean an employee who has been appointed to a position in the classified service and who has completed a probationary period of employment.

41. “Regular status” shall mean the status an employee holds after completion of a probationary period.

42. “Regularly appointed employee” shall mean an individual with a probationary, trial service, regular or exempt appointment to a position of City employment.

43. “Reinstatement” shall mean the appointment from a reinstatement list of an employee within 12 months of layoff to a position in a class in which he or she previously held probationary, trial service or regular status.

44. “Reinstatement list” shall mean a list maintained by the Seattle Human Resources Director of regular, probationary, and trial service employees who are eligible for reappointment to a position in a class in which they were laid off.

45. “Reversion recall list” shall mean a list maintained by the Seattle Human Resources Director of individuals who did not complete their trial service period and who could not revert to their former classifications due to lack of appropriate vacancies.

46. “Salaried employee” shall mean an employee who regularly receives each pay period a predetermined amount of compensation. In general, this base salary will not be reduced because of variations in the quality or quantity of work performed. However, unpaid suspensions can be issued pursuant to Personnel Rule 1.3.2(B)

47. “Scholarship” shall mean funds used to assist employees with education expenses paid to colleges, universities, and vocational institutions by issuing advance and/or reimbursement payments to the employee or directly to the educational institution.

48. “Seattle Human Resources Director” shall mean the head of the Seattle Department of Human Resources, or his or her designee.

49. “Sexual harassment” includes but is not limited to unwelcome advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment; submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting the individual; or such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile or offensive work environment.

50. “Standing” shall mean the classification in which an employee accrues service credit for layoff purposes.

51. “Supervisor file” shall mean files maintained by the employee’s supervisor which may include, but are not limited to, documents or electronic files reflecting workplace or performance expectations, the employee’s performance or conduct, communications between employee and supervisor, and counseling efforts and discipline. A supervisor file shall not contain confidential employee medical information.

52. “Suspension” shall mean the temporary discontinuation without pay of an employee from employment for a specified period of time, for justifiable cause.

53. “Transfer” shall mean the movement of an employee within the same employing unit from one position to another position in the same class or with the same maximum pay rate.

54. “Trial service” shall mean a 12-month trial period of employment for a regular employee who has completed a probation period and who is subsequently appointed via promotion or transfer to a position in another classification, except that the trial period may be extended in accordance with the Seattle Municipal Code and these Rules.

55. “Trial service employee” shall mean an employee who has not yet completed a period of trial service.

56. “Verbal warning” shall mean a verbal notification from the appointing authority or designated management representative to an employee that specified activities or conduct are inappropriate for the work place, that performance standards have not been met, and/or that a violation of work place rules or policies has occurred; and that continuation thereof will result in more severe discipline, up to and including discharge.

57. “Veteran” shall mean one who has received an honorable discharge or received a discharge for medical reasons with an honorable record, where applicable, and who has served in at least one of the following capacities: (1) As a member in any branch of the armed forces of the United States, including the national guard and armed forces reserves, and has fulfilled his or her initial military service obligation; (2) As a member of the women's air forces service pilots; (3) As a member of the armed forces reserves, national guard, or coast guard, and has been called into federal service by a presidential select reserve call up for at least one hundred eighty cumulative days; (4) As a civil service crewmember with service aboard a U.S. army transport service or U.S. naval transportation service vessel in oceangoing service from December 7, 1941, through December 31, 1946; (5) As a member of the Philippine armed forces/scouts during the period of armed conflict from December 7, 1941, through August 15, 1945; or (6) A United States documented merchant mariner with service aboard an oceangoing vessel operated by the department of defense, or its agents, from both June 25, 1950, through July 27, 1953, in Korean territorial waters and from August 5, 1964, through May 7, 1975, in Vietnam territorial waters, and who received a military commendation.

58. “Workweek” shall mean a designated block of 168 hours within which an employee’s work schedule is contained.

59. “Written reprimand” shall mean a written notification from the appointing authority or designated management representative to an employee that specified

activities or conduct are inappropriate for the work place, that performances standards have not been met, and/or that a violation of work place rules or policies, and that continuation thereof will result in more severe discipline, up to and including discharge.

Preamble.3 Application of Personnel Rules

All Personnel Rules shall be applied to City employees as described below, except where subchapters to these Rules provide otherwise.

A. The Personnel Rules apply to all regularly appointed employees.

B. For regularly appointed employees who are represented under the terms of a collective bargaining agreement, the Personnel Rules shall prevail except where they conflict with the employee’s collective bargaining agreement, any memoranda or agreement or understanding signed pursuant to the collective bargaining agreement, or any established and recognized practice relative to the members of the bargaining unit.

C. The Personnel Rules do not apply to individuals who are hired under the terms of a grant that includes provisions that conflict with this Rule, nor do they apply to individuals hired under contract to the City. These individuals are subject to all applicable federal, state and City laws.

D. Except for Chapter 11, the Personnel Rules do not apply to individuals hired by the City on a temporary, intermittent, or seasonal basis, or for a work schedule of fewer than 20 hours per week, nor do they apply to individuals hired under contract to the City. These individuals are subject to all applicable federal, state and City laws.

E. Appointing authorities may establish written policies and procedures for the implementation of the Personnel Rules to facilitate the management of the personnel system within their employing units, provided that such policies and procedures do not conflict with the provisions of the Personnel Rules.

Personnel Rule 1.1 – Discrimination and Workplace Harassment

1.1.0 Authority

SMC 4.04.050 and subsequent revisions thereto, Rule-making Authority

SMC 4.80.020 and subsequent revisions thereto, Affirmative Action Plan—Policy

SMC Chapter 14.04 and subsequent revisions thereto, Fair Employment Practices Ordinance

Council Resolution 30291 and subsequent revisions thereto, Workplace Harassment Policy and Investigation Procedures

Mayor's Executive Order Affirming All Employees' Right to a Workplace Free from Harassment

Title VII, Civil Rights Act, 42 U.S.C. 2000e, et seq.

RCW 49.60, Discrimination—Human Rights Commission

1.1.1 Application of this Rule

A. This Rule does not apply to employees of City departments that have alternative internal investigation procedures established by ordinance unless the affected employees are not subject to such internal investigation procedures.

B. The provisions of this subchapter shall be applied to employees of the Seattle Municipal Court except where they conflict with any policy promulgated by the Court and/or General Court Rule 29.

1.1.2 Anti-discrimination

It is the policy of the City of Seattle to provide a work environment for its employees that is free from discrimination and promotes equal employment opportunity for and equitable treatment of all employees. Any individual who believes he or she has been discriminated against in employment may make an internal complaint to any management representative or file a complaint with the Seattle Office of Civil Rights, Washington State Human Rights Commission, or the Equal Employment Opportunity Commission.

1.1.3 Anti-Harrassment

Harassment of an individual is illegal conduct and a violation of this Rule. The City of Seattle will not tolerate harassment of its employees by co-workers, supervisors, managers, officers of the City or from non-employees conducting business with the City.

1.1.4 Making a Harassment Complaint

A. Employees shall promptly report to any management representative any allegations or complaints of harassment. Where the complaint is against an elected official, it shall be filed with the Seattle Office of Civil Rights, the Ethics and Elections Commission, the Washington State Human Rights Commission, or the Equal Employment Opportunity Commission. Reporting a harassment complaint to or discussing a complaint with a management representative will result in an investigation.

1. Employees may make informal inquiries about legal rights and agency procedures to the Seattle Office of Civil Rights, the Washington State Human Rights Commission, and the Equal Employment Opportunity Commission. Such inquiries do not constitute a harassment complaint.

2. Employees may seek confidential assistance, counseling and referral through the City's Employee Assistance Program. Contacting the Employee Assistance Program for assistance, counseling and referral does not constitute a harassment complaint.

B. A harassment complaint may be oral or written. Where possible, it should include the date(s) the incident(s) occurred, name(s) of the individual(s) involved, name(s) of witness(es), and a description of the incident(s). It may also include a statement of the desired remedy.

C. Employees have the right to consult with or file a harassment complaint with the Seattle Office of Civil Rights, the Washington State Human Rights Commission, or the Equal Employment Opportunity Commission, or to pursue other legal action, in addition to their rights and responsibilities under this Rule.

D. Retaliation against an employee who brings a complaint of harassment, reports allegations of harassment, or participates in an investigation of a harassment complaint is prohibited and shall not be tolerated. “Retaliation” for the purposes of administering Personnel Rule 1.1.4(D) means an adverse job action(s) taken against an employee because he or she has complained about harassment, given a statement about a harassment investigation, participated in a harassment investigation, or supported a harassment complainant.

1.1.5 Investigating Harassment Complaints

A. A management representative who is told or otherwise becomes aware that harassment may be occurring is obligated immediately to report the allegation or complaint to the alleged harasser's appointing authority.

1. The appointing authority or designated management representative shall, as soon as practicable, notify the alleged harasser that he or she has been named in a harassment complaint and that it will be investigated.

2. The appointing authority or designated management representative shall, as soon as practicable, assess the need to relocate either or both the complainant and the alleged harasser to another work unit, or to place either or both on administrative reassignment. The complainant shall not be given work or placed at a work site that is, in the judgment of the appointing authority or designated management representative, in any way less desirable than his or her current position and work site.

B. The appointing authority or designated management representative shall designate a qualified City investigator or contract with an independent investigator to immediately commence an investigation of the complaint. If either the complainant or the alleged harasser raises a reasonable objection to the investigator assigned, the appointing authority or designated management representative shall attempt to reassign the investigation.

C. The investigator shall complete his or her investigation as promptly as possible while ensuring that the investigation is fair, complete and impartial. It shall be the City's objective to complete all investigations within 90 days unless compelling circumstances require more time. The department shall regularly inform the complainant about the status of the investigation.

1. The investigation shall include interviews with the complainant and the alleged harasser and any other person(s) whom the investigator has reason to believe has information directly related to the complaint or the investigation thereof.

2. The investigator shall assure compliance with any employee's right to union representation, including the right of the alleged harasser, who may reasonably believe that disciplinary action may be taken based upon his or her statements to the investigator or on the outcome of the investigation.

3. The investigator shall maintain records of the investigation and shall prepare and provide a report of the investigation to the appointing authority. The appointing authority shall provide a written summary of the allegations and the investigation findings to the complainant and to the alleged harasser.

4. In determining from the totality of the circumstances whether conduct is sufficiently severe or pervasive to create an intimidating, hostile or offensive work environment, the investigator shall consider the conduct from the perspective of a reasonable person of the alleged victim's race, color, religion, creed, sex, sexual orientation, gender identity, national origin, ancestry, age, disability, marital status, families with children status, veteran/military status or political ideology.

5. To the extent that it does not hinder the investigation or the resolution of the complaint and is permitted under local, state and federal laws, management representatives and any independent investigator shall maintain the confidentiality of a harassment complaint.

D. To avoid duplication of efforts or otherwise conserve City resources, the appointing authority or designated management representative may suspend or close an investigation for any reason that does not conflict with this Rule, including the reason that the complainant is actively pursuing his or her complaint in another forum or has agreed to participate in a mediation of the complaint.

1.1.6 Resolution of Harassment Complaints

A. If the investigation substantiates the complaint of harassment by a City employee, an appropriate City official shall make a determination regarding the appropriate resolution, including disciplinary action. Before making the decision to impose

disciplinary action, the appointing authority or designated representative shall ensure that the harasser has been given the opportunity to review the results of the investigation, has been told of the evidence obtained, and has had an opportunity to provide to the appointing authority or designated representative a response to the outcome of the investigation. The appointing authority or designated representative shall take the employee’s response into account before taking final action on the complaint.

B. In addition to any disciplinary action taken, substantiated complaints shall be noted in the employee's personnel file and referenced in his or her first performance evaluation following the conclusion of the investigation. The employee shall be ineligible for consideration for any performance pay program or any individual performance award program for which he or she might otherwise qualify, for a period of one year following the resolution of the complaint. The prohibition against performance pay or awards for the individual employee shall not adversely affect awards extended to work groups or teams on which the employee is a participant.

C. If during the course of the investigation, the investigator determines that the allegation or complaint of harassment or discrimination was reported to a management representative, and that management representative failed to promptly report the allegation or complaint to the appointing authority or designated management representative, the appointing authority shall investigate and take appropriate action against the management representative, to include disciplinary action. In addition, the failure to report shall be noted in the management representative's personnel file and referenced in his or her first performance evaluation following completion of the investigation. The management representative shall forfeit for one year following resolution of the complaint any eligibility for individual performance pay or performance awards.

Following determination of a substantiated complaint of harassment, the appropriate management representative should inquire of the complainant at a frequency and for whatever duration is necessary to ensure that the harassment has not resumed and that the complainant has not been retaliated against for making a complaint. After the investigation has been completed, the complainant continues to have an obligation to promptly report to any management representative any allegations or complaints of harassment.

Personnel Rule 1.2 – Alternative Dispute Resolution

1.2.0 Authority

SMC 4.04.040 and subsequent revisions thereto, Administration

SMC 4.04.050 and subsequent revisions thereto, Rule-making Authority

SMC 4.04.075 and subsequent revisions thereto, Alternative Dispute Resolution Program RCW 5.60.070 and subsequent revisions thereto, Mediation—Disclosure—Testimony RCW 7.07 and subsequent revisions thereto, Uniform Mediation Act

RCW 7.75 and subsequent revisions thereto, Dispute Resolution Centers

1.2.1 Application of this Rule

A. The provisions of this subchapter shall be applied to employees of the Seattle Municipal Court except where they conflict with any policy promulgated by the Court and/or General Court Rule 29.

1.2.2 Administration

A. The Seattle Human Resources Director shall implement and administer an Alternative Dispute Resolution Program as an option for the management of conflicts or disputes in the workplace, in order to mitigate their negative impact on workplace productivity and livability.

B. Types of workplace conflicts or disputes that may be appropriate for a facilitated conversation or mediation include, but are not necessarily limited to, interpersonal conflicts, claims of discrimination and harassment, employee-to-employee relationships, employee-to-supervisor relationships, and work team conflicts.

C. The ADR program staff shall conduct an intake process and determine whether a given conflict or dispute is suitable for a facilitated conversation, a mediation, or neither. Where the ADR Coordinator determines that a facilitated conversation or mediation would be contractually or legally prohibited or otherwise inappropriate, he or she will attempt to refer the parties to the appropriate venue for resolution. The decision of the ADR Coordinator regarding the appropriateness of a facilitated conversation or mediation shall not be subject to appeal.

D. The Seattle Human Resources Director shall establish and maintain a neutral pool of trained volunteer mediators.

1.2.3 Terms of Participation

A. Employees whose complaint, dispute or disagreement is accepted for either a facilitated conversation or for mediation must

1. Enter into the facilitated conversation or mediation voluntarily;

2. Be willing and able to share all information, listen to the other party or parties, move from their original position, and keep any agreements they make;

3. Be willing and able to participate fully in the facilitated conversation or mediation process, with or without accommodation.

B. Records of an employee's participation in a facilitated conversation or mediation process, as well as the information shared and any agreements reached, shall be confidential to the extent provided under state laws.

C. Time spent in a facilitated conversation or mediation process, including time spent in the intake process, is considered regular pay hours for compensation purposes.

D. Participation in a facilitated conversation or mediation process shall not deprive the participants of their ability to exercise any other contractual or legal rights to seek resolution of the dispute or conflict.

1.2.4 Remedies Permitted

The parties to a facilitated conversation or mediation process may agree to any remedy as long as it does not alter or affect issues that must be collectively bargained, obligate the City without proper authorization, or violate any federal, state or local law.

1.2.5 Effect of Mediation on Employee Grievances

An employee who files a grievance under the employee grievance procedure may, at any time prior to the disposition of the grievance at Step Three, request that the Alternative Dispute Resolution Coordinator determine whether a mediation process would be an appropriate way to address the grievance. If the dispute is accepted for a mediation process, the appointing authority shall waive the timelines for the employee grievance procedure until the completion of that process. If the dispute is not resolved through ADR, the employee may resume his or her pursuit of a remedy through the employee grievance procedure.

Personnel Rule 1.3 – Progressive Discipline

1.3.0 Authority

SMC 4.04.050 and subsequent revisions thereto, Rule-making Authority SMC 4.04.230 and subsequent revisions thereto, Progressive Discipline

SMC 4.20.065 and subsequent revisions thereto, Administrative Reassignment

SMC 4.77 and subsequent revisions thereto, Drug-free Workplace and Drug and Alcohol Testing

City Charter Article XVI, Section 7, Suspension or Dismissal Drug-free Workplace Policy, last revised February 2011

1.3.1 Application of this Rule

A. The provisions of this Rule apply to regularly appointed employees in the classified service.

B. This Rule does not apply to employees who are exempted by state law, the City Charter or SMC Chapter 4.13 from compliance with the Personnel Rules or SMC Chapter 4.04 related to selection, discipline, termination or appeals of personnel actions to the Civil Service Commission.

C. The provisions of this subchapter shall be applied to employees of the Seattle Municipal Court except where they conflict with any policy promulgated by the Court and/or General Court Rule 29.

1.3.2 Order of Severity of Disciplinary Action

A. In order of increasing severity, an appointing authority or designated management representative may take the following disciplinary actions against an employee for misconduct or poor work performance:

1. A verbal warning, which shall be accompanied by a notation in the employee’s personnel file. A verbal warning is appropriate only when the supervisor determines that there are sufficient mitigating factors related to the employee’s conduct or performance that a written reprimand suspension, demotion or discharge is unwarranted.

2. A written reprimand, a copy of which must be placed in the employee’s personnel file. A written reprimand is appropriate only when the supervisor determines that there are sufficient mitigating factors related to the employee’s conduct or performance that suspension, demotion or discharge is unwarranted.

B. In order of increasing severity, the disciplinary actions which a supervisor may recommend and the appointing authority may approve against an employee include:

1. Suspension up to 30 calendar days.

a) Salaried employees shall be suspended in minimum increments of one workweek, except that suspensions for major safety violations may be imposed for at least 1 workday but less than 1 workweek.

2. Demotion.

a) The appointing authority may demote an employee to a vacant position in a lower-paying classification or title in the same employing unit for disciplinary reasons. The employee must meet the minimum qualifications for the lower-paying classification or title. An employee who is demoted shall lose all rights to the higher class.

3. Discharge.

C. The disciplinary action imposed depends upon the seriousness of the employee’s offense and such other considerations as the appointing authority or designated management representative deems relevant. In the absence of mitigating circumstances, a verbal warning or a written reprimand shall not be given for a major disciplinary offense.

D. A regular employee may be suspended, demoted or discharged only for justifiable cause. This standard requires that:

1. The employee was informed of or reasonably should have known the consequences of his or her conduct;

2. The rule, policy or procedure the employee has violated is reasonably related to the employing unit’s safe and efficient operations;

3. A fair and objective investigation produced evidence of the employee’s violation of the rule, policy or procedure;

4. The rule, policy or procedure and penalties for the violation thereof are applied consistently; and

5. The suspension or discharge is reasonably related to the seriousness of the employee’s conduct and his or her previous disciplinary history.

E. The appointing authority may suspend, demote or discharge a probationary employee without just cause. A written statement of any such action shall be provided to the Seattle Human Resources Director and the Civil Service Commission.

1.3.3 Major Disciplinary Offenses

A. The following is a nonexclusive list of major disciplinary offenses where a verbal warning or written reprimand will not be appropriate in the absence of mitigating circumstances:

1. Committing an act of workplace violence, including but not limited to verbal assault, threatening behavior or physical assault occurring in or arising from the workplace;

2. Testing positive for or being impaired or affected by alcohol or other controlled or illegal substance during working hours;

3. Possession or sale of alcohol for use in the workplace or during working hours;

4. Possession without a lawful prescription for or sale of a controlled or illegal substance in the workplace or during working hours.

5. Reporting to work while taking a lawfully prescribed controlled substance or over-the-counter medication without obtaining a recommendation in writing from a health care provider, if the substance could affect the employee’s ability to work safely;

6. Use of City time, equipment or facilities for private gain or other non-City purpose;

7. Falsifying or destroying the business records of the employer at any time or place, without authorization;

8. Knowingly making a false statement on an application for employment or falsifying an employment-related examination document;

9. Intentional damage to or theft of the property of the City, another employee, or others;

10. Carrying or otherwise possessing firearms or any type of dangerous weapon and/or ammunition or similar devices or materials in the course of employment or on City property, except as authorized by the appointing authority;

11. Making a bribe, accepting a bribe, or soliciting a bribe;

12. Unauthorized absence;

13. Endangering the safety of, or causing injury to, the person or property of another through negligence or intentional failure to follow policies or procedures;

14. Conviction of any felony or misdemeanor crime or release from imprisonment for such conviction within the last 10 years when such conviction is work-related or may impair the employee’s ability to perform his or her job duties;

15. A knowing or intentional violation of the City Code of Ethics or other ordinances, the Personnel Rules, or the employing unit’s adopted policies, procedures and workplace expectations;

16. Acts of harassment or acts of discrimination that are prohibited by federal, state or local laws, or a failure to fulfill a responsibility to report incidents of harassment or discrimination to an appropriate City management representative;

17. Acts of retaliation against City employees or members of the public.

18. Other offenses of parallel gravity.

B. In determining the level of discipline to impose, the appointing authority or designated management representative shall consider factors that he or she deems relevant to the employee and his or her offense, including but not necessarily limited to:

1. The employee’s employment history, including any previously imposed disciplinary actions;

2. The extent of injury, damage or disruption caused by the employee’s offense;

3. The employee's intent; and

4. Whether the offense constituted a breach of fiduciary responsibility or of the public trust.

1.3.4 Reassignment During Investigation

A. While investigating an employee’s alleged misconduct the appointing authority may remove the employee or other employees who are the cause of or otherwise significantly affected by such investigation from the workplace. The employee(s) may be temporarily reassigned to another work unit, or may be placed on administrative reassignment.

B. An employee who is reassigned to another work unit pending the outcome of an investigation shall not have his or her pay rate reduced as a result of such reassignment.

C. The appointing authority shall place an employee on paid administrative reassignment only when he or she determines that the employee’s absence from the workplace is in the best business interest of the employing unit and there is no workplace to which the employee may be reassigned.

1.3.5 Pre-Disciplinary Hearing

A. Prior to suspending, demoting or discharging a regular employee, the appointing authority shall conduct a pre-disciplinary hearing to permit the employee to respond to the charges made against him or her.

1. The appointing authority shall provide the employee with oral or written notice of the charges made against him or her, an explanation of the evidence and the disciplinary action contemplated, and a reasonable opportunity for the employee to present an account of his or her conduct or performance.

2. Upon receipt of a notice of recommended disciplinary action, an employee may choose to respond verbally or in writing. If the employee chooses to respond verbally, the appointing authority shall schedule a pre-disciplinary hearing.

3. An employee may have a representative accompany him or her to a pre- disciplinary hearing. However, the pre-disciplinary hearing is not an evidentiary hearing, nor will the employee or his or her representative be permitted to cross-examine witnesses.

B. Following his or her evaluation of the information presented by the employee, the appointing authority shall determine whether to impose or modify the disciplinary action contemplated against the employee.

1.3.6 Right of Appeal

A. A written notification signed by the appointing authority of a suspension, demotion or discharge shall be delivered to the affected employee not later than 1 working day after the action becomes effective. The notification shall include the reason for the action taken. In the case of a regular employee, the notification shall also include a description of the employee’s rights for appeal.

1. In order to appeal the disciplinary action imposed, the employee must file a grievance provided by Personnel Rule 1.4 within 20 calendar days of the decision to impose discipline by the appointing authority.

2. An employee who has exhausted the Employee Grievance Procedure under Personnel Rule 1.4 and remains dissatisfied with the outcome may file an appeal with the Civil Service Commission.

B. A copy of the written notification to the employee shall be provided to the Civil Service Commission and to the Seattle Human Resources Director concurrent with or prior to the effective date of the disciplinary action.

C. An employee may grieve a verbal warning or written reprimand using the Employee Grievance Procedure provided in Personnel Rule 1.4. Verbal warnings and written reprimands may not be appealed to the Civil Service Commission.

Personnel Rule 1.4 – Employee Grievance Procedure

1.4.0 Authority

SMC 4.04.050 and subsequent revisions thereto, Rule-making Authority

SMC 4.04.240 and subsequent revisions thereto, Employee Grievance Procedure

SMC 4.04.260 and subsequent revisions thereto, Appeals to Civil Service Commission

1.4.1 Application of this Rule

A. The provisions of this Rule apply to regularly appointed employees who have probationary, trial service or regular status except as specifically provided within the Rule.

B. This Rule does not apply to employees who are exempted by state law, the City Charter or SMC Chapter 4.13 from compliance with the Personnel Rules or SMC Chapter 4.04 related to selection, discipline, termination or appeals of personnel actions to the Civil Service Commission.

C. The provisions of this subchapter shall be applied to employees of the Seattle Municipal Court except where they conflict with any policy promulgated by the Court and/or General Court Rule 29.

1.4.2 Procedure

A. A regular, trial service or probationary employee may initiate a grievance when there is a disagreement between the employee and his or her supervisor or employing unit concerning the proper application of provisions of the Seattle Municipal Code Chapter 4.04 or Personnel Rules and any policies or procedures adopted pursuant thereto, except as follows:

1. An employee who is represented under the terms of a collective bargaining agreement between the City and an authorized bargaining unit may utilize this grievance procedure to grieve the improper application of provision of the Seattle Municipal Code Chapter 4.04, or the Personnel Rules, policies and procedures adopted pursuant thereto. Alleged violations of the collective bargaining agreement are not grievable using the procedure provided in this Rule.

2. The classification and compensation decisions rendered by the Seattle Human Resources Director are not grievable under this Personnel Rule. An employee may, however, grieve an alleged violation of any provisions of SMC 4.04, the Personnel Rules and policies or procedures adopted pursuant thereto that govern the processes of classifying and setting compensation for employment positions if the employee believes that those processes were not followed.

B. The employee grievance procedure shall consist of three steps. In an effort to expedite the grievance process, grievances shall be filed at the step in which there

is authority to adjudicate, provided that the supervisor(s) be notified of any step that is skipped. If the employee and the department are not able to agree on which step the grievance shall be initiated, the employee shall file the grievance at Step One. The employee and his or her departmental management shall make a reasonable effort to settle grievances at the lowest possible step.

1. Step One. The employee shall present a written request for a meeting with his or her immediate supervisor within 20 calendar days following the grievable incident. At the meeting, the employee shall identify

a. The grievable incident;

b. The provision of Seattle Municipal Code Chapter 4.04 or the Personnel Rule or policy or procedure adopted pursuant thereto that he or she believes was improperly applied; and

c. The remedy he or she seeks.

Within 14 calendar days of the meeting, the supervisor shall provide a response, verbally or in writing, to the grievant, indicating whether the supervisor found that the grievance has merit, the reasons for that determination, and, if the grievance has merit, what remedy he or she proposes.

If the supervisor does not have the authority to resolve the grievance or denies the grievance at Step One, the supervisor shall instruct the employee that he or she may proceed to Step Two.

2. Step Two. If the grievance is not resolved at Step One, the employee shall present the grievance in writing to his or her division director within 14 calendar days following receipt of the Step One response. The employee’s written description of his or her grievance must be signed and dated and shall include the information provided at Step One as well as an explanation of why the employee found the Step One outcome unacceptable. If the grievance is initially submitted at Step Two, the employee shall present the grievance in writing to his or her division director within 20 calendar days of the grievable incident. The employee’s written description of his or her grievance must be signed and dated and shall include the information required at Step One.

The division director shall provide a written response within 14 calendar days of the presentation of the Step Two grievance, informing the grievant of the outcome of his or her review and any proposed remedy. Denial of the grievance shall permit the employee to proceed to Step Three.

If the division director denies the grievance, does not have the authority to resolve the grievance, or if the division director is the employee’s immediate supervisor and has responded to the grievance at Step One, the division director shall instruct the employee that he or she may proceed to Step Three.

3. Step Three. If the grievance is not resolved at Step Two, the employee shall submit a Step Three grievance to the City Seattle Human Resources Director within 14 calendar days after the date of the division director’s response. The Step Three grievance shall consist of:

a. The written Step Two grievance;

b. The division director’s response to the Step Two grievance;

c. An explanation of any and all reason(s) the employee finds the Step Two response unacceptable; and

d. A cover sheet signed and dated by the grievant that clearly identifies the submittal as a Step Three grievance.

If the grievance is initially submitted at Step Three, the employee shall present the grievance in writing to the Seattle Human Resources Director within 20 calendar days of the grievable incident. The employee’s written description of his or her grievance must be signed and dated and shall include the information required at Step One.

The Seattle Human Resources Director shall review the grievance and may meet with the grievant and any other individuals the Director identifies as having additional relevant information about the grievable incident. The Seattle Human Resources Director shall provide a report of his or her investigation to the grievant and the grievant’s appointing authority within 14 calendar days after receipt of the Step Three grievance or within 7 calendar days after meeting with the grievant, whichever is later.

In addition, the Seattle Human Resources Director shall provide to the appointing authority a confidential recommendation for resolution of the grievance. The appointing authority may consider the Seattle Human Resources Director’s recommendation for resolution, but he or she shall be responsible for determining the grievance resolution.

The appointing authority will answer the grievance setting forth his or her decision in writing within seven (7) calendar days after receipt of the Seattle Human Resources Director’s recommendation. The appointing authority shall notify the employee of his or her right to appeal the suspension, demotion or termination to the Civil Service Commission.

C. The timelines provided in Personnel Rule 1.4.2 B may be extended by mutual written agreement of the aggrieved employee and the appropriate management representative at the relevant step. The employee’s failure to comply with these timelines, absent an agreement to extend them, shall constitute his or her withdrawal of the grievance. Failure of the appropriate management representative to comply with these timelines shall allow the employee to proceed to the next step.

1.4.3 Alternative Dispute Resolution

An employee who files a grievance under the employee grievance procedure may at any time prior to the disposition of the grievance at Step Three request that the Alternative Dispute Resolution Coordinator determine whether a mediation process would be an appropriate way to address the grievance. If the dispute is accepted for a mediation process, the appointing authority shall waive the timelines for the employee grievance procedure until the completion of that process. If the dispute is not resolved through ADR, the employee may resume his or her pursuit of a remedy through the employee grievance procedure.

1.4.4 Appeal to Civil Service Commission

If a regular employee exhausts this grievance procedure and remains dissatisfied with the outcome of an action that falls within the jurisdiction of the Civil Service Commission, he or she may file an appeal with the Civil Service Commission in accordance with Seattle Municipal Code Section 4.04.260:

A. In order to appeal an action that is upheld by the grievance process, the employee must file a “Notice of Appeal” with the Civil Service Commission within 20 calendar days of the delivery of the Step Three grievance response.

B. The 20 calendar days begins to run on the date of delivery of the notice of the Step 3 grievance response and right to appeal is given to the employee personally or delivered by messenger to the employee’s most recent address as shown on departmental records. If the notice of grievance response and right to appeal is mailed, the 20 calendar days begins to run on the third calendar day after the notice is mailed.

Personnel Rule 1.5 – Performance Management

1.5.0 Authority

SMC 4.04.050 and subsequent revisions thereto, Rule-making Authority SMC 4.04.180 and subsequent revisions thereto, Performance evaluation

1.5.1 Application of this Rule

A. This Rule applies to regular, trial service and probationary employees.

B. For regular, trial service and probationary employees who are represented under the terms of a collective bargaining agreement, this Rule prevails except where it conflicts with the collective bargaining agreement, any memoranda of agreement or understanding signed pursuant to the collective bargaining agreement, or any recognized and established practice relative to the members of the bargaining unit.

C. This Rule does not apply to employees appointed to exempt positions; however, the appointing authority may implement a performance evaluation system for exempt employees.

D. The provisions of this subchapter shall be applied to employees of the Seattle Municipal Court except where they conflict with any policy promulgated by the Court and/or General Court Rule 29.

1.5.3 Performance Management Training

A. Appropriate performance management training is a component of the City’s performance management systems. Performance management training for supervisors and managers may include but need not be limited to:

1. Engaging in effective communication,

2. Participating in setting and communicating expectations,

3. Providing and receiving ongoing feedback,

4. Recognizing good individual and team performance,

5. Assessing the causes of deficient job performance,

6. Assisting employees in performance improvement,

7. Conducting effective performance evaluations,

8. Appropriately implementing progressive discipline, and

9. Appropriately seeking assistance.

B. Performance management training for employees may include but need not be limited to:

1. Engaging in effective communication,

2. Participating in setting and communicating expectations,

3. Providing and receiving ongoing feedback,

4. Participating in performance improvement processes,

5. Participating in performance evaluation processes, and

6. Appropriately seeking assistance.

1.5.3 Job Expectations

A. The setting and communication of job expectations is a goal of the performance evaluation system. All supervisors and employees should identify employees’ job expectations:

1. On at least an annual basis to set expectations for the coming year,

2. When the employee begins a new job,

3. When there are changes in job expectations, and

4. When an employee needs or requests clarification about his or her job expectations.

B. Job expectations should be reasonable and fair and should align with the employee’s class specification as well as the overall organizational priorities, goals and strategies for the employing unit and the City.

C. Each supervisor and employee may identify any training and other resources necessary for the employee to meet his or her job expectations.

D. Any documentation of job expectations by the supervisor shall be maintained in the supervisor file, with a copy to the employee.

1.5.4 Performance Evaluation

A. Every employing unit is expected to develop and maintain a performance evaluation system which may include but need not be limited to:

1. Annual job-related performance evaluations,

2. Provision for employee comment on formal performance evaluations,

3. Review of formal performance evaluations by the rater’s supervisor, and

4. The employee’s right to have his or her formal performance evaluation reviewed by the supervisor’s chain of command up to and including the appointing authority.

B. The results of performance evaluations shall be used to:

1. Improve communications with employees,

2. Help identify and recognize outstanding employee performance,

3. Help identify and correct inadequate employee performance, and

4. Help demonstrate just cause for personnel actions.

C. The Seattle Human Resources Director may conduct regular audits of performance evaluation records to monitor employing units’ implementation and maintenance of a performance evaluation system.

1.5.5 Communicating Performance Deficiencies

A. Supervisors should address deficiencies in an employee’s job performance immediately, rather than waiting for the formal performance evaluation, by conducting a counseling session with the employee to:

1. Review job expectations for the employee’s position,

2. Communicate to the employee the job performance deficiencies, and

3. Begin to assess the cause of the job performance deficiencies.

B. Supervisors should document an assessment of the cause of the employee’s job performance deficiencies, addressing issues that may include but may not be limited to:

1. Are the job expectations consistent with the employee’s position classification?

2. Were the job expectations communicated to the employee?

3. How does the employee’s performance compare with others in the same classification?

4. Did the employee receive appropriate job-related training and/or equipment?

5. Has the employee previously demonstrated the ability to meet his or her job expectations?

C. The supervisor should document all meetings held to discuss job performance deficiencies and shall maintain the documentation in the supervisor file, with a copy to the employee.

1.5.6 Employee Failure to Correct Performance Deficiencies

A. If, after counseling an employee, a supervisor concludes that he or she still does not adequately perform his or her job, the supervisor should consult with the human resources professional(s) in his or her employing unit to determine whether to proceed with progressive discipline.

B. If a supervisor determines that progressive discipline is the appropriate course of action, he or she shall proceed in accordance with Personnel Rule 1.3.

1.5.7 Alternative Dispute Resolution Program

The parties to a performance management process may mutually agree to use the services available through the Alternative Dispute Resolution Program at any time. Mediation is not a substitute for performance management. However, communication problems or workplace conflict may aggravate an employee’s job performance deficiencies.

Mediation may help address communication problems or workplace conflict, thereby improving the employee’s ability to correct performance deficiencies.

Personnel Rule 2.1 – Classification of Position in the Classified Service

2.1.0 Authority

SMC 4.04.040 and subsequent revisions thereto, Administration

SMC 4.04.050 and subsequent revisions thereto, Rule-making authority SMC 4.04.130 and subsequent revisions thereto, Classification

SMC 4.20.080 and subsequent revisions thereto, Changes in incumbent status

2.1.1 Definitions

A. “Allocation” shall mean the placement of a position in the appropriate classification within the classified service.

B. “Appointing authority” shall mean the head of an employing unit, or a designated management representative,` authorized by ordinance or City Charter to employ others on behalf of the City. The term includes and can be used interchangeably with department head, department director, superintendent and chief.

C. “Classification” shall mean any group of positions the Seattle Human Resources Director determines is sufficiently similar in nature and level of work that the same title may be applied to all.

D. “Classification determination” shall mean a signed and dated report issued by the Seattle Human Resources Director indicating the proper allocation of a classified service position.

E. “Classification review” shall mean a review of a position’s assigned duties and responsibilities to determine its proper allocation to a classification based on a comparison with the typical duties, responsibilities and requirements of other City classifications.

F. “Classification series” shall mean two or more classifications that perform similar tasks or work but differ in degree of difficulty and responsibility.

G. “Classification specification” shall mean a written description of a classification in the Step Progression Pay Program that includes a title, a description of distinguishing characteristics, a statement of typical duties and responsibilities, and a statement of minimum qualifications.

H. “Classified service” shall mean all employment positions in the City that are not excluded by ordinance, City Charter or State law from the provisions of Seattle Municipal Code Chapter 4.04 or the Personnel Rules adopted pursuant thereto.

I. “Out-of-class assignment” shall mean the assignment of an eligible employee to perform the ongoing duties and accept the responsibilities of a higher-paying title on a temporary basis in order to avoid a significant interruption of services.

J. “Seattle Human Resources Director” shall mean the director of the Seattle Department of Human Resources or his or her designated management representative.

K. “Position” shall mean the selection of duties and responsibilities that constitute the body of work an employee is assigned to perform.

L. “Position incumbent” shall mean the employee who has a regular appointment to a specified position.

M. “Reallocation” shall mean the placement of a position in a different classification because its management has made a deliberate decision to assign to it a new body of duties that substantively changes its nature and scope.

N. “Reclassification” shall mean the placement of a position in a different classification due to the gradual accretion of duties over a period of 6 months or longer, that substantively changes its nature or scope.

O. “Reconsideration” shall mean a process whereby a position incumbent or departmental management may, following the issuance of a classification determination, submit additional information to the Seattle Human Resources Director that they believe may change such determination.

P. “Regularly appointed employee” shall mean an employee who has a probationary, regular or exempt appointment to a position of City employment.

Q. “Status” shall mean the condition of being probationary or regular in the current classification.

R. “Step Progression Pay Program” shall mean a compensation system that provides for salary progression based on length of service.

2.1.2 Application of this Rule

A. This Rule applies to regularly appointed employees in the classified service.

B. For regularly appointed employees in the classified service who are represented under the terms of a collective bargaining agreement, this Rule prevails except where it conflicts with the collective bargaining agreement, any memoranda of agreement or understanding signed pursuant to the collective bargaining agreement, or any recognized and established practice relative to the members of the bargaining unit.

C. This Rule does not apply to individuals who are employed under the terms of a grant that includes provisions that conflict with this Rule.

D. This Rule does not apply to individuals hired by the City on a temporary, intermittent or seasonal basis, or for a work schedule of fewer than 20 hours per week; nor does it apply to individuals hired under contract to the City.

E. Appointing authorities may establish written policies and procedures for the implementation and administration of this Rule to facilitate the management of the personnel system within their employing units, provided that such procedures do not conflict with the provisions of this Rule.

2.1.3 Classification of Positions

A. The Seattle Human Resources Director is authorized to classify each position in the classified service.

B. The Seattle Human Resources Director shall allocate to the same classification positions that are assigned substantially similar work at similar levels of complexity and responsibility.

C. The Seattle Human Resources Director shall allocate to the same classification series positions that are assigned substantially similar work at differing levels of complexity and responsibility.

D. The appointing authority is responsible for the delegation and management of work within the employing unit.

2.1.4 Review of Position Classification

A. A classification review is required when:

1. The appointing authority changes, on other than an out-of-class basis, the body of work that is assigned to a position such that the current allocation no longer applies to the body of work performed.

2. A position incumbent accretes, over a period of at least 6 months, additional tasks and responsibilities such that the current allocation no longer applies to the body of work performed.

3. The appointing authority proposes the establishment of a new position within the employing unit.

B. The appointing authority shall timely submit a request for classification review, including a signed and dated position description questionnaire, to the Seattle Human Resources Director.

C. The incumbent of a position may request a classification review of the work assigned to his or her position with or without the concurrence of the appointing authority if:

1. The position incumbent has accreted over a period of at least 6 months a body of work that is not adequately described by the current classification specification or other official job description for the position on file with the Seattle Human Resources Director; and

2. The new or additional tasks and responsibilities do not represent an out-of- class assignment.

D. Effective September 30, 2003, retroactivity of classification determinations is limited to 30 calendar days prior to the date a completed position description questionnaire is received by the Seattle Human Resources Director A position incumbent may submit a signed and dated position description questionnaire directly to the Seattle Human Resources Director, in which case retroactivity of the classification determination is limited to 30 calendar days prior to the date it is received by the Director. A request for an exception to the effective date as specified in this Rule must have the written concurrence of the appointing authority and the City’s Finance Director.

2.1.5 Implementation of a Classification Determination

A. The appointing authority must approve a classification determination before it is implemented. If the appointing authority determines that a classification

determination is the result of improperly assigned or accreted duties, he or she may reassign the duties in question to another properly classified position rather than implement the classification determination. The appointing authority shall notify the Seattle Human Resources Director of his or her decision not to implement the classification determination within 30 calendar days of the date of the Seattle Human Resources Director’s transmittal of such determination. The reassignment of duties must be reviewed by the Seattle Human Resources Director to ensure no impact on the second position’s allocation.

B. The incumbent of the first position must be correctly compensated for the performance of any higher level duties from the time the duties were assigned or fully accreted, according to the classification determination, until they are reassigned to another position.

2.1.6 Effect of Classification Changes on Incumbent

A. Retitling: When the title of a classification is changed without a change in duties or responsibilities, the incumbent will have the same status in the class (i.e. probationary or regular) as he or she previously held. The employee’s service credit for purposes of layoff shall carry forward into the new classification.

B. Reclassification:

1. When a position is reclassified because of a gradual change in the nature, scope or complexity of the duties, the incumbent will have the same status (i.e., probationary or regular) as previously held. The employee’s service credit for purposes of layoff in the new classification shall accrue from the effective date of the classification determination.

2. In the case of a reclassification which results in a reduction to a position with a lower maximum pay rate, the appointing authority may transfer the incumbent to a vacant position in the original classification in the same employing unit. If there is no vacant position in the original classification in the employing unit, the appointing authority will reduce the incumbent to the lower-paid classification.

3. Assignment of duties on an out-of-class basis does not constitute a gradual change in duties.

C. Reallocation: When an appointing authority, deliberately and usually prospectively, assigns a new body of work to a classified service position resulting in a classification change, the reallocated position will be filled by a selection process. If the appointing authority intends to consider the position incumbent for appointment, the selection process may be limited to a qualifications audit by the Seattle Human Resources Director.

1. If the incumbent is not selected for the reallocated position and cannot be moved to a vacant position in the previous classification, the appointing authority shall request an order of layoff be prepared for the position’s previous classification.

2. If the incumbent is selected for the reallocated position, the appointment thereto will be treated as a promotion, reduction, or transfer, depending

upon the relationship between the maximum pay rate of the new classification and the maximum pay rate of the previous classification.

2.1.7 Effective Date of Classification Change

A. A classification change which results in the allocation of a position to a classification with a lower maximum pay rate becomes effective 30 calendar days following the expiration of the reconsideration request period, or 30 calendar days following the issuance of a final classification determination from a reconsideration process, whichever is later .

B. A classification change which results in the allocation of a position to a classification with a higher maximum pay rate becomes effective on the date that the substantive change to the position can be verified by the Seattle Human Resources Director, but no earlier than 30 calendar days prior to the receipt by the Seattle Human Resources Director of the completed position description questionnaire and request for a classification review as provided by Rule 2.1.4 (D). The effective date of the classification change shall be confirmed in the classification determination.

C. A reallocation becomes effective on the date that the position’s supervisor, manager, or appointing authority assigns a new body of duties thereto, but no earlier than 30 calendar days prior to the receipt by the Seattle Human Resources Director of the completed position description questionnaire and request for a classification review as provided by Rule 2.1.4 (D). The effective date of the reallocation will be confirmed in the classification report.

Personnel Rule 2.2 – Exemption From the Classified Service

2.2.0 Authority

SMC 4.04.040 and subsequent revisions thereto, Administration

SMC 4.04.050 and subsequent revisions thereto, Rule-making authority

SMC 4.04.130 and subsequent revisions thereto, Determinations regarding exemptions from Civil Service

SMC 4.13.010 and subsequent revisions thereto, Exemptions from the Civil Service and Public Safety Civil Service Systems

SMC 4.34.065 and subsequent revisions thereto, Payment in lieu of use of vacation credit City Charter Article 16, Section 3, Civil Service

2.2.1 Definitions

A. “Acting appointment” shall mean an appointment by the Mayor to be the appointing authority of an employing unit, either pending confirmation by the City Council or on an interim basis pending the nomination of the Mayor’s candidate for confirmation.

B. “Appointing authority” shall mean the head of an employing unit, or a designated management representative, authorized by ordinance or City Charter to employ others on behalf of the City. The term includes and can be used interchangeably with department head, department director, superintendent and chief.

C. “Classified service” shall mean all employment positions in the City that are not excluded by ordinance, City Charter or State law from the provisions of Seattle Municipal Code Chapter 4.04 or the Personnel Rules adopted pursuant thereto related to selection, discipline, termination or appeals of personnel actions to the Civil Service Commission .

D. “Employing unit” shall mean any department of the City and, within the Executive and Legislative Departments, any office created by ordinance.

E. “Exempt position” shall mean a position of employment held by an at-will employee who serves at the discretion of the appointing authority in a position that is excluded by ordinance, City Charter or State law from compliance with the provisions of Seattle Municipal Code Chapter 4.04 or the Personnel Rules adopted pursuant thereto related to selection, discipline, termination or appeals of personnel actions to the Civil Service Commission.

F. “Seattle Human Resources Director” shall mean the director of the Seattle Department of Human Resources or his or her designated management representative.

G. “Reallocation” shall mean the placement of a position in a different classification because its management has made a deliberate decision to assign to it a new body of duties that substantively changes its nature and scope.

H. “Reconsideration” shall mean a process whereby a position incumbent or departmental management may, following the issuance of a position exemption recommendation, submit additional material to the Seattle Human Resources Director that they believe may change such determination.

I. “Regularly appointed employee” shall mean an employee who has a probationary, regular or exempt appointment to a position of employment in the City.

2.2.2 Application of this Rule

A. This Rule applies to regularly appointed employees.

B. For regularly appointed employees who are represented under the terms of a collective bargaining agreement, this Rule prevails except where it conflicts with the collective bargaining agreement, any memoranda of agreement or understanding signed pursuant to the collective bargaining agreement, or any recognized and established practice relative to the members of the bargaining unit.

C. This Rule does not apply to individuals who are employed under the terms of a grant that includes provisions that conflict with this Rule.

D. This Rule does not apply to individuals hired by the City on a temporary, intermittent or a seasonal basis, or for a work schedule of fewer than 20 hours per week; nor does it apply to individuals hired under contract to the City.

E. Appointing authorities may establish written policies and procedures for the implementation and administration of this Rule to facilitate the management of the personnel systems within their employing units, provided that such procedures do not conflict with the provisions of this Rule.

2.2.3 Designation of Exempt Status

A. The Seattle Human Resources Director shall review the duties and responsibilities of positions to determine whether they shall be allocated to the classified service or designated as exempt, and shall identify the appropriate title for those positions designated as exempt.

B. Positions exhibiting the following characteristics may be exempted from the classified service:

1. Positions requiring a particularly high degree of professional responsiveness and individual accountability; or

2. Positions requiring a confidential or fiduciary relationship with the appointing authority; or

3. Judicial positions requiring insulation as a third branch of government.

2.2.4 Position Exemption

A. Any position may be exempted from the classified service by State law, the City Charter, or by approval of two thirds of the City Council. An exempt position may

be returned to the classified service upon the approval of two thirds of the City Council.

B. The Seattle Human Resources Director shall have the sole authority to determine whether a position has been exempted from the classified service.

2.2.5 Review of Exempt Positions

A. The Seattle Human Resources Director may conduct a review of the exempt designation of any position when he or she deems it necessary.

B. The appointing authority shall report to the Seattle Human Resources Director any substantive changes to the duties and responsibilities of exempt positions and shall request a review of a position’s exempt designation at the time the assigned duties and responsibilities change.

C. When an exempt position is transferred between employing units, the appointing authority in the receiving employing unit shall submit to the Seattle Human Resources Director a description of its new duties and responsibilities.

2.2.6 Implementation of Position Exemption

A. The effective date of a position’s exemption from the classified service shall be the same as the effective date of the legislation that exempts it.

B. The position incumbent may request reconsideration only of the Seattle Human Resources Director’s recommendation to exempt a classified service position.

C. The appointing authority may request reconsideration of the Seattle Human Resources Director’s title determination as well as the recommendation to exempt a classified service or a new position.

2.2.7 Effects of Exemption on Position Incumbent

A. An employee who is appointed to an exempt position shall not serve a probationary period in the exempt position.

B. An exempt employee’s appointment may be terminated at any time for any reason not prohibited by law.

2.2.8 Movement from Exempt to Classified Service Position

A. An employee who is appointed from a classified service position to an exempt position in the same employing unit has the right to return to the same or like classification in which he or she last held regular standing prior to exempt appointment upon termination of the exempt appointment, unless such termination was for cause.

1. The right to return to the classified service only applies to an employee’s first exempt appointment from the classified service. Subsequent exempt appointments terminate the return rights.

2. The employee may only exercise his or her return right if the classified service position in which he or she last held regular standing prior to the

exempt appointment, the exempt position from which he or she wishes to exercise the return right, and the classified service position to which he or she would return are all in the same employing unit.

3. Upon return to the classified service, an employee’s service credit for purposes of layoff shall be calculated from the date of regular appointment to a position in the classification in which the employee held regular standing immediately prior to the exempt appointment, provided there was no break in service and provided that the return is to the same classification. Time served in the exempt position shall not be included in the service credit calculation for layoff.

4. If the employing unit does not have a position vacancy in the classification to which an employee has return rights, the appointing authority shall request an order of layoff for the classified service title.

B. The movement of a position from an exempt designation to the classified service shall be treated as a reallocation. A selection process shall be required to fill the reallocated position.

2.2.9 Acting Appointment

A. The Mayor may fill an appointing authority vacancy by appointing a current City employee to be the acting head of an employing unit. The employee shall remain in his or her regular position and shall be compensated using the out-of-class mechanism and pay structure except as provided by Rule 2.2.8(B). The employee’s service credit for layoff and salary step progression purposes, if applicable, shall not be affected by the acting appointment; nor will his or her eligibility to accumulate and use vacation, executive leave or merit leave be affected.

B. At the Mayor’s discretion, a current City employee designated by him or her to be the acting head of an employing unit may be appointed to the vacant position for the duration of the appointment, rather than paid out-of-class.

1. An employee who is appointed to the position of appointing authority shall cash out any unused vacation balance accumulated pursuant to SMC

4.34.020 and Rule 7.5.4(D). He or she shall be awarded 30 days (i.e., 240 regular pay hours) of vacation immediately and every January 1st thereafter that the employee retains the acting appointment. The vacation award may not be cashed out or carried over into the subsequent calendar year. Upon reappointment to his or her previous position, the employee shall be permitted to retain and use the unused balance of the current 30- day award until the end of the current calendar year.

2. An employee who has an acting appointment may use any unused executive and merit leave balances while serving in such capacity. Executive leave shall not be awarded to an employee who has an acting appointment during the first full pay period of January; however, upon return to an eligible title, he or she shall receive 1 day of executive leave for each calendar quarter that the employee is in the eligible title during the first full pay period of the quarter. The employee shall be ineligible for

consideration for merit leave during the period of time that he or she has an acting appointment.

3. The accrual of service credit for layoff and salary step progression purposes, if applicable, shall be suspended during the acting appointment. Upon return from the acting appointment, service credit shall be calculated from the date of initial regular appointment to the classification, provided there was no break in service, but time served in the acting appointment shall not be included in the calculation of credit.

C. The Mayor may appoint an individual who is not a current City employee to be the acting head of an employing unit. The appointee shall receive all the benefits of the position, including 30 days of vacation upon appointment and each subsequent January 1 that he or she is in the position.

Personnel Rule 2.3 – Classification Reconsideration Process

2.3.0 Authority

SMC 4.04.040 and subsequent revisions thereto, Administration

SMC 4.04.050 and subsequent revisions thereto, Rule-making authority SMC 4.04.130 and subsequent revisions thereto, Classification

2.3.1 Definitions

A. “Allocation” shall mean the placement of a position in the appropriate classification within the classified service.

B. “Appointing authority” shall mean the head of an employing unit, or a designated management representative, authorized by ordinance or City Charter to employ others on behalf of the City. The term includes and can be used interchangeably with department head, department director, superintendent and chief.

C. “Classified service” shall mean all employment positions in the City that are not excluded by ordinance, City Charter or State law from the provisions of Seattle Municipal Code Chapter 4.04 or the Personnel rules adopted pursuant thereto.

D. “Exempt position” shall mean a position of employment held by an at-will employee who serves at the discretion of the appointing authority in a position that is excluded by ordinance, City Charter or State law from compliance with the provisions of Seattle Municipal Code Chapter 4.04 or the Personnel Rules adopted pursuant thereto related to selection, discipline, termination or appeals of personnel actions to the Civil Service Commission.

E. “Out-of-class assignment” shall mean the assignment of an eligible employee to perform the ongoing duties and accept the responsibilities of a higher-paying title on a temporary basis in order to avoid a significant interruption of services.

F. “Seattle Human Resources Director” shall mean the director of the Seattle Department of Human Resources or his or her designated management representative.

G. “Position incumbent” shall mean the employee who has a regular appointment to a specified position.

H. “Reallocation” shall mean the placement of a position in a different classification because its management has made a deliberate decision to assign to it a new body of duties that substantively changes its nature and scope.

I. “Reconsideration” shall mean a process whereby a position incumbent or departmental management may, following the issuance of a classification determination, submit additional information to the Seattle Human Resources Director that they believe may change such determination.

J. “Regularly appointed employee” shall mean an employee who has a probationary, regular or exempt appointment to a position of City employment.

2.3.2 Application of this Rule

A. This Rule applies to regularly appointed employees.

B. For regularly appointed employees who are represented under the terms of a collective bargaining agreement, this Rule prevails except where it conflicts with the collective bargaining agreement, any memoranda of agreement or understanding signed pursuant to the collective bargaining agreement, or any recognized and established practice relative to the members of the bargaining unit.

C. This Rule does not apply to individuals who are employed under the terms of a grant that includes provisions that conflict with this Rule.

D. This Rule does not apply to individuals hired by the City on a temporary, intermittent or a seasonal basis, or for a work schedule of fewer than 20 hours per week; nor does it apply to individuals hired under contract to the City.

E. Appointing authorities may establish written policies and procedures for the implementation and administration of this Rule to facilitate the management of the personnel systems within their employing units, provided that such procedures do not conflict with the provisions of this Rule.

2.3.3 Reconsideration Process

A. The reconsideration process is an opportunity to provide additional information about a position’s assigned duties and responsibilities before a classification determination is finalized and implemented.

B. Proper subjects for a reconsideration process are the classification allocation, designation of a position as exempt, and/or the effective date of a classification action.

C. A position incumbent or the appointing authority for the position may request a reconsideration of the Seattle Human Resources Director’s determination regarding the proper classification allocation or classified service exemption of the position. A position incumbent may not request a reconsideration of the Seattle Human Resources Director’s determination regarding the classification reallocation of his or her position except as provided below:

1. If a management request to reallocate a position is submitted to the Seattle Human Resources Director after the new duties and responsibilities have been assigned to the position and the position incumbent has been performing such new duties on other than an out-of-class basis, the position incumbent may request a reconsideration of the reallocation.

2. If an employee and/or his or her appointing authority submit a request for a classification review of the position to which the employee is appointed and the Seattle Human Resources Director determines that the proper action is a reallocation rather than a reclassification, the position incumbent may request a reconsideration of the classification reallocation.

D. A request for reconsideration must be delivered to the Seattle Human Resources Director within 30 calendar days of the date of the Seattle Human Resources Director’s transmittal of the classification determination or exempt designation report to the employing unit. The request for reconsideration need not include information about the nature of or supporting documentation for the desired change; however, the requesting party should be prepared to provide to the

reconsideration panel any materials that were not submitted for the original position analysis, or that the requesting party believes were not given proper weight in the original analysis.

E. Within 30 calendar days of receipt of a request for reconsideration, the Seattle Human Resources Director shall appoint a reconsideration panel and schedule a meeting between the party who submitted the request and the panel.

F. The requesting party may invite up to 3 additional individuals to the reconsideration meeting. The additional participants may include individuals in similarly situated positions, the position’s supervisor, manager, or appointing authority, or any other individual who is able to provide information about the duties and responsibilities assigned to the position(s) in question.

G. Reconsideration meetings shall be scheduled during normal working hours and employees shall be paid their regular rates of pay for attending. Insofar as it is possible, the Seattle Human Resources Director shall schedule reconsideration meetings so as to have the least possible impact on the employing unit’s workload and schedule.

2.3.4 Outcome of Reconsideration Meetings

A. The Seattle Human Resources Director shall notify the human resources section of the employing unit in which the position is located of the outcome of the reconsideration process. It is the responsibility of the human resources staff to notify the position incumbent and other affected parties in a timely manner.

B. Notification of the reconsideration process outcome shall be made within 30 calendar days of the reconsideration meeting, or the Seattle Human Resources Director shall notify the affected party or parties of the need for additional time.

C. Although the reconsideration request does not require the support of the position’s management, the appointing authority must indicate at the reconsideration meeting if he or she disagrees with the position incumbent’s description of the duties and responsibilities assigned.

D. In the event both a contract classification grievance and a request for reconsideration have been filed regarding the duties assigned to a position during the same time period, the reconsideration request shall be considered withdrawn.

Personnel Rule 3.1 – Step Progression Pay Program

3.1.0 Authority

SMC 4.04.040 and subsequent revisions thereto, Administration

SMC 4.04.050 and subsequent revisions thereto, Rule-Making Authority

SMC 4.20 and subsequent revisions thereto, Compensation and Working Conditions Generally

3.1.1 Definitions

A. "Appointing authority" shall mean the head of an employing unit authorized by ordinance or City Charter to employ others on behalf of the City, or a designated management representative. The term includes and can be used interchangeably with department head, department director, superintendent or chief.

B. "Classified service" shall mean all employment positions in the City that are not excluded by ordinance, City Charter or State law from the provision of Seattle Municipal Code Title 4 or the Personnel Rules.

C. "Compensation review" shall mean an evaluation of the salary range assigned to a classification or title.

D. "Demotion" shall mean the movement of an employee from his or her current classification to a classification with a lower maximum salary rate, for cause.

E. "Exempt employee" shall mean an at will employee who serves at the discretion of the appointing authority in a position that is exempted by ordinance, City Charter or State law from compliance with the provisions of the Personnel Rules or Seattle Municipal Code Title 4 related to selection, discipline, termination or appeals of personnel actions to the Civil Service Commission.

F. "FLSA" shall mean the Fair Labor Standards Act, which regulates minimum wage and overtime compensation requirements.

G. "Hourly employee" shall mean an employee who is compensated on an hourly basis for each hour of work performed, including time worked beyond 40 hours in a work week.

H. "Incumbency rate of pay" shall mean the rate of pay an employee receives when his or her position has been the subject of a classification or compensation action that resulted in assignment to a salary range with a maximum rate of pay that is lower than the rate of pay the employee received prior to the action. The incumbency rate of pay is the same as the pay rate the employee received immediately before the current classification or compensation action became effective.

I. "Initial appointment" shall mean the first appointment of an individual to a non- temporary position.

J. "Lateral movement" shall mean the movement of an employee from one position to another position with the same classification or job title or salary range.

K. "Out-of-class assignment" shall mean the assignment of an eligible employee to perform the normal ongoing duties of a higher-paying position or classification on a temporary basis in order to avoid a significant interruption of services.

L. "Pay program" shall mean a grouping of job titles that are compensated using the same pay structure and placement and progression rules.

M. "Seattle Human Resources Director" shall mean the director of the Seattle Department of Human Resources or his or her designated management representative.

N. "Promotion" shall mean an appointment to a position with a higher maximum pay rate than the position from which the employee is appointed, that occurs subsequent to an employee's initial appointment.

O. "Reduction" shall mean the non-disciplinary movement of an employee from a higher-paying classification to a lower-paying classification at the request of the employee to be reduced, or by the appointing authority or his or her designated representative, for reasons of organizational change, reduction in force, poor job match, or to accommodate an injured or disabled worker.

P. "Regularly appointed employee" shall mean an individual who has a probationary, regular or exempt appointment to a position of City employment.

Q. "Salaried employee" shall mean an employee who is not covered by the Fair Labor Standards Act who regularly receives each pay period a predetermined amount constituting all or part of compensation. This base salary cannot be reduced because of variations in the quality or quantity of work performed.

R. "Salary range" shall mean the minimum and maximum pay rates for a classification and all of the incremental pay rates between.

S. "Step Progression Pay Program" shall mean a compensation system that provides for salary progression based on length of service.

3.1.2 Application of this Rule

A. This Rule applies to regularly appointed employees in titles assigned to the Step Progression Pay Program.

B. For regularly appointed employees who are represented under the terms of a collective bargaining agreement, this Rule prevails except where it conflicts with the collective bargaining agreement, any memoranda of agreement or understanding signed pursuant to the collective bargaining agreement, or any recognized and established practice relative to the members of the bargaining unit.

C. This Rule does not apply to individuals who are employed under the terms of a grant that includes compensation provisions that conflict with this Rule.

D. This Rule does not apply to individuals hired by the City on a temporary, intermittent or seasonal basis, or for a work schedule of fewer than 20 hours per week, nor does it apply to individuals hired under contract to the City.

E. Appointing authorities may establish written policies and procedures for the implementation and administration of this Rule to facilitate the management of the personnel system within their employing units, provided that such procedures do not conflict with the provisions of this Rule.

3.1.3 Assignment of Salary Range

A. The Seattle Human Resources Director shall determine the proper salary ranges for all job classifications compensated under the Step Progression Pay Program. This determination will be based on criteria established by the Seattle Human Resources Director, which may include but need not be limited to recruiting and retention problems, relevant labor markets, internal comparisons, and scope and complexity of assigned work. The City Council must legislate and the Seattle Human Resources Director shall publish all new titles and compensation rates.

B. The Seattle Human Resources Director may conduct a compensation review for an existing classification when the appointing authority or the position incumbent(s) in the classification provides evidence of need, or when otherwise deemed necessary by the Seattle Human Resources Director. The City Council must legislate a change to an existing classification's salary range.

C. The rate of compensation set for a position by the Seattle Human Resources Director may not be appealed.

3.1.4 Salary Step Placement for the Step Progression Pay Program

A. Initial Appointment. Employees will be placed at the first step of the salary range assigned to a classification upon initial appointment to a position in the classification, unless the appointing authority approves a salary step exception for reasons of recruiting difficulties, or because the first step creates an inequity for a potential appointee relative to his or her qualifications and current or expected compensation package.

B. Promotion. An employee who is promoted will be placed at the step in the new salary range which provides an increase closest to but not less than one salary step over the most recent step received in the previous salary range immediately preceding the promotion, not to exceed the maximum step of the new salary range. If the promotion is from a position within the classified service to an exempt position, or is from one exempt position to another, the appointing authority may grant placement at any step in the higher salary range, not to exceed the top step of the higher salary range.

All regular straight-time hours worked in an out-of-class assignment will count toward salary step placement upon appointment to the same classification as such out-of-class assignment, provided:

1. The out-of-class assignment ended not more than 12 months prior to the regular appointment; and

2. The appointment is to a position compensated under the Step Progression Pay Program.

C. Reduction. When an employee is reduced for non-disciplinary reasons to a position in a classification with a lower maximum salary step, step placement will be at the step in the lower range which is closest to the step received in the higher range immediately before the reduction. Such step placement shall not result in a loss of pay unless the step the employee received before the reduction exceeds the

top step of the lower range. For purposes of calculating credit for salary step progression, all service since the last step increment in the higher range is counted, provided the reduction is from a position in the Step Progression Pay Program.

If an employee subsequently returns from non-disciplinary reduction to the former classification, the salary step placement will be to the step from which he or she was originally reduced.

D. Demotion. When an employee is demoted to a position in a classification with a lower maximum salary step, the salary step placement will be at the step of the lower range which is closest to the step most recently received in the higher salary range, not resulting in a salary increase. For purposes of calculating credit for salary step progression, all service since the last step increment in the higher range is counted, provided the demotion is from a position in the Step Progression Pay Program.

An employee who is demoted has no right of return to his or her former classification. If he or she is subsequently appointed to the former classification as the result of a competitive selection process, salary step placement is calculated as in promotion.

E. Lateral movement. An employee who moves from one classification or job title to another classification or job title with the same salary range will be placed at the same step in the range as he or she holds immediately prior to the movement. Time served in both the old classification or title and the new classification or title will be combined for purposes of step progression, provided the lateral movement is between positions in the Step Progression Pay Program.

F. Appointment to the classified service from an exempt position. An exempt employee who does not have prior standing in the classification to which he or she is appointed shall be placed as in initial appointment unless the appointing authority approves a salary step exception. An exempt employee who returns to the classified service shall be placed as in promotion, reduction or lateral movement.

G. Salary step placement in case of reclassification will be calculated as follows:

1. When a position is reclassified to a higher-paying classification, the incumbent's salary step placement is calculated as if the reclassification were a promotion as provided by Personnel Rule 3.1.4 (B).

2. When a position is reclassified to a classification having the same salary range as the original classification, the incumbent's salary step placement is calculated as if the reclassification were a lateral movement as provided by Personnel Rule 3.1.4 (E).

3. When a position is reclassified to a classification with a salary range the maximum step of which is lower than the pay rate the incumbent received immediately prior to the reclassification, and the incumbent is reduced to the new classification, he or she will receive the incumbency rate of pay with no increases or adjustments thereto, until the maximum rate of the

lower range is equal to or exceeds the incumbency rate of pay or until the employee leaves the classification, whichever is earlier.

H. When a classification reallocation results in a change to the salary range assigned to a position, and the position incumbent is appointed to the position, his or her salary step placement shall be determined as in reduction as provided by Personnel Rule 3.1.4 (C), if the new salary range is lower, or promotion as provided by Personnel Rule 3.1.4 (B), if the new salary range is higher.

I. When the number of steps in a salary range is changed, an employee in a classification affected thereby will be placed at the step of the new range that is closest to the current pay rate without a loss in pay, not to exceed the maximum step of the new range. Time served in both ranges will count toward the next salary step increment.

J. There is no retroactivity associated with an employee's change in FLSA status from hourly to salaried as a result of a classification or compensation change. No salary adjustment is owed the employee on any overtime compensation he or she was paid during the period of retroactivity. If an employee's FLSA status changes from salaried to hourly as a result of a classification or compensation change, payment is owed for any overtime worked but not compensated during the period of retroactivity.

K. If a cost of living adjustment is added to each step of a salary range, it will not affect step placement or service credit. A cost-of-living adjustment is not added to incumbency rates.

L. When an employee is in a position subject to a classification or compensation action which becomes effective on the same date as a cost-of-living adjustment is awarded, and the effect of the action is to freeze his or her pay rate, the cost-of- living adjustment will be considered as having occurred prior to the classification or compensation action.

M. When an employee is appointed to a position that is administered under a different pay program, his or her pay rate shall be determined in accordance with the rules of that pay program.

3.1.5 Salary Progression for Step Progression Pay Program

A. Employees who are appointed at the first step of a salary range will advance to the second step following 1,044 hours of regular service (the equivalent of six months full-time), excluding overtime hours worked. Employees appointed to other than the first step will advance to the next step following 2,088 hours of regular service (the equivalent of 12 months full-time), excluding overtime hours worked. Subsequent step increments to the maximum step of the range will be awarded following each additional 2,088 hours of service.

B. An increase in salary based on service shall be effective on the first day following the applicable period of service.

C. For purposes of salary progression, an employee will not be penalized for authorized unpaid absences of 45 or fewer calendar days per year, or the equivalent of 240 regular work hours for a full-time employee.

D. An individual who returns to City employment following a break in service is treated as an initial appointment for purposes of salary step placement and progression, unless the break in service was the result of a layoff and reinstatement occurs within 1 year of such layoff. An employee who is reinstated within one year of layoff from the same classification will be placed at the same salary step as he or she held immediately prior to the layoff, and the combined service will count toward the next salary step increment date.

Personnel Rule 3.2 - Accountability Pay for Executives (APEX) Pay Program

3.2.0 Authority

SMC 4.04.040 and subsequent revisions thereto, Administration

SMC 4.04.050 and subsequent revisions thereto, Rule-Making Authority

SMC 4.20 and subsequent revisions thereto, Compensation and Working Conditions Generally

3.2.1 Definitions

A. "Accountability Pay for Executives (APEX) Pay Program" shall mean the pay delivery system for individuals in positions assigned to Executive 1, Executive 2, Executive 3 and Executive 4.

B. "Appointing authority" shall mean the head of an employing unit, authorized by ordinance or City Charter to employ others on behalf of the City. The term includes and can be used interchangeably with department head, department director, superintendent, or chief.

C. "Compensation review" shall mean an evaluation of the pay zone assigned to a title.

D. "Executive" shall mean the title of a position assigned to the Accountability Pay for Executives (APEX) Program.

E. "Exempt employee" shall mean an at will employee who serves at the discretion of the appointing authority in a position that is exempted by State Law, the City Charter or SMC 4.13 from compliance with the provisions of the Personnel Rules or SMC Title 4 related to selection, discipline, termination or appeals of personnel actions to the Civil Service Commission.

F. "Market adjustment" shall mean an adjustment to an employee's pay rate that the appointing authority may approve in response to a structure adjustment.

G. "Pay program" shall mean a grouping of job titles that are compensated using the same pay structure and placement and progression rules.

H. "Pay zone" shall mean the span of possible pay rates defined by the minimum rate of pay and the maximum rate of pay established for Executive 1, 2, 3 and 4.

I. "Seattle Human Resources Director" shall mean the director of the Seattle