1.5.0 Authority

SMC 4.04.180 and subsequent revisions thereto, Performance evaluation

1.5.1 Definitions

1. "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 his or her designated management representative. The term includes and can be used interchangeably with department head, department director, superintendent or chief.
2. "Employing unit" shall mean any department of the City and, within the Executive and Legislative Departments, any office created by ordinance.
3. "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.
4. "Performance evaluation" shall mean a formal assessment or appraisal by a supervisor of an employee’s job performance.
5. "Personnel Director" shall mean the director of the Personnel Department or his or her designated management representative.
6. "Probation" shall mean an extension of the selection process following appointment to a position in a classification in which the employee does not have standing, during which period an employee is required to demonstrate his or her ability to perform the job for which he or she was hired. Each probationary period shall not exceed one year of actual service.
7. "Probationary employee" shall mean a regular employee who has not yet completed a 1-year probationary period of employment in his or her current classification and is not in an exempt position.
8. "Regular employee" shall mean an employee who has completed a 1-year probationary period of employment in his or her current classification and is not in an exempt position.
9. "Supervisor file" shall mean files maintained by the employee’s supervisor which may include, but are not limited to, documents 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 include any documents containing confidential employee medical information.

1.5.2 Application of this Rule

1. This Rule applies to regular and probationary employees.
2. For regular 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.
3. This Rule does not apply to employees appointed to exempt positions; however, the appointing authority may implement a performance evaluation system for exempt employees.
4. This Rule does not apply to individuals who are employed under the terms of a grant that includes provisions that conflict with this Rule.
5. This Rule does not apply to individuals hired by the City to work in temporary assignments; nor does it apply to individuals hired under contract to the City.
6. 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.

1.5.3 Performance Management Training

1. 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.
2. 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.

1.5.4 Job Expectations

1. 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.
2. 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.
3. Each supervisor and employee may identify any training and other resources necessary for the employee to meet his or her job expectations.
4. Any documentation of job expectations by the supervisor shall be maintained in the supervisor file, with a copy to the employee.

1.5.5 Performance Evaluation

1. Every employing unit is expected to develop and maintain a performance evaluation system which may include but need not be limited to:
   1. nnual 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.
2. 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 cause for personnel actions.
3. The Personnel Director may conduct regular audits of performance evaluation records to monitor employing units’ implementation and maintenance of a performance evaluation system.

1.5.6 Communicating Performance Deficiencies

1. 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.
2. 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?
3. 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.

1.5.7 Employee Failure to Correct Performance Deficiencies

1. 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.
2. 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.

1.5.8 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.