III, Sec. 4 Appointments, and classification and compensation plans

Section 4.01. Position and Employee Actions.

(1) Establishment. Each appointing authority has a personnel complement. Any change to the complement must be approved by the AOC Director.

(2) Restructuring.

(a) Restructuring is a position action that occurs when a position is placed in a new classification and/or pay grade based on the overall needs of the organization. The action is at the direction of the appointing authority with the approval of the AOC Director.

(b) If a position classification is assigned to a higher pay grade, employees in that classification will have their salaries raised to at least the entry salary of the new pay grade on the effective date of the change.

(c) If a position classification is assigned to a lower pay grade, employees in that classification may have their salaries adjusted to that of like positions within that pay grade.

(3) Hiring.

(a) Appointment

(i) At the time of hire, employees are appointed to a tenured or non-tenured position identified in Section 4.02 of these Policies.

(ii) Probationary periods are applicable to employees appointed to tenured positions pursuant to Section 4.04 of these Policies.

(iii) Compensation is determined in accordance with the salary schedule and pay practices approved by the Supreme Court.

(iv) An employee who is receiving retirement payments through the Kentucky Public Pensions Authority prior to appointment is subject to the requirements of KRS 61.637 and is responsible for seeking approval from the Kentucky Public Pensions Authority before accepting employment with the KCOJ.

(b) Rehire

(i) Except as outlined in Section 4.01(3)(b)(ii) of these Policies, an employee who is rehired following resignation from KCOJ employment, in good standing, for reasons other than retirement, shall be appointed to a position in accordance with Section 4.01(3)(a) of these Policies.

(ii) An employee who is rehired within six months of separating from KCOJ employment and appointed to the same tenured position and same pay grade he or she most recently held:

a. Will not serve a probationary period; and

b. Will be a tenured employee upon rehire.

(iii) An employee who is recommended for rehire must be approved by the Chief Justice or AOC Director or their designees.

(4) Reclassification.

(a) Reclassification is a position action that occurs when a position's job duties are evaluated, and it is determined that the duties associated with the position do not accurately reflect the classification in which the position is placed.

(b) When a permanent and material change of the job duties of a position occurs, the appointing authority or designee may submit a written request to the AOC Director or designee to reclassify the position.

(c) Employees who are moved to a higher pay grade through a reclassification of their position will have their salary raised in accordance with pay practices approved by the Supreme Court. Any exceptions require the approval of the AOC Director.

(d) Tenured employees who are moved to a lower pay grade through a reclassification of their position will not have their salary adjusted.

(5) Promotion.

(a) A promotion is the appointment to a different position in a higher pay grade that carries greater discretion or responsibility for the promoted employee.

(b) Promoted employees will have their salary for the new position raised pursuant to the salary schedule and pay practices approved by the Supreme Court. Any exceptions require the approval of the AOC Director.

(6) Demotion.

(a) Involuntary Demotion

(i) An involuntary demotion is an employee action that occurs as a result of disciplinary action pursuant to Section 8.03 of these Policies, when a tenured or non-tenured employee is appointed to a different position in a lower pay grade that carries less discretion or responsibility for the demoted employee.

(ii) Employees demoted involuntarily may have their salary reduced or may keep the salary received prior to the demotion if authorized in writing by the AOC Director.

(iii) Tenured employees who are involuntarily demoted resulting in a reduced salary may exercise their appeal rights as set forth in Sections 8.05 and 8.06 of these Policies.

(b) Voluntary Demotion

(i) A voluntary demotion is an employee action that occurs when a tenured or non-tenured employee expresses interest in writing, accepts, and is appointed to a vacant position in a different position at a lower pay grade.

(ii) Employees who request and are voluntary appointed to a position at a lower pay grade will have their salaries adjusted to reflect the pay grade of the new position.

(iii) Requests for voluntary demotion are considered an application for a vacant position. Voluntary demotions are reviewed and approved at the discretion of the appointing authority or designee, following approval by the HR Director.

(7) Transfer.

(a) Involuntary Transfer

(i) An involuntary transfer is an employee action that occurs as a result of a disciplinary action pursuant to Section 8.03 of these Policies, when an employee is appointed to a different position in the same pay grade.

(ii) Tenured employees who are involuntarily transferred may exercise their grievance rights set forth in Section 8.02 of these Policies.

(b) Voluntary Transfer

(i) A voluntary transfer is an employee action that occurs when a tenured or non-tenured employee expresses interest in writing, accepts, and is appointed to a vacant position in the same pay grade.

(ii) Requests for voluntary transfer are considered an application for a vacant position. Voluntary transfers are reviewed and approved at the discretion of the appointing authority or designee, following approval by the HR Director.

(8) Assignment to Special Duty.

(a) Employees may be assigned to perform duties outside of their regularly assigned duties for up to 12 months. An assignment to special duty or an extension of special duty beyond a 12-month period may only be made with prior written approval of the AOC Director or designee.

(b) An employee who is approved for special duty to a position in a higher pay grade may have his or her salary raised to the entry salary of the pay grade for the class of the new position. Upon expiration of the special duty assignment, the salary of the employee will be adjusted to:

(i) The salary received prior to the assignment to special duty; and

(ii) Include all salary advancements and adjustments that would have been awarded if the employee had remained in his or her position prior to the assignment to special duty.

(c) An employee who is approved for special duty to a position in the same or lower pay grade will retain the salary he or she received prior to the assignment to special duty.

Section 4.02. Types of Positions.

(1) Full-time Position with Benefits: A full-time position with benefits, either tenured or non-tenured, is a position requiring an employee to account for 37.5 hours in a business week.

(2) Part-time Position Without Benefits: A part-time position without benefits is a non-tenured position requiring an employee to work no more than 80 hours in a calendar month. The 80-hour limit may only be exceeded under extraordinary circumstances and only with prior written approval of the AOC Director. An employee in a part-time position without benefits will not be approved to work more than 99.5 hours in a calendar month.

(3) Fee-based Positions: A fee-based position is a non-tenured position that is funded through a restricted fee-based source including, but not limited to, judicial sales, criminal histories, diversion fees, and court technology fees. A fee-based position is dependent on the source of the revenue remaining available. An employee appointed to a fee- based position will be required to sign form AOC-PER-RF01, Appointment to Fee- Based Position, prior to starting employment with the KCOJ, accepting the availability of revenue as a condition of employment. Form AOC-PER-RF01 will be submitted to the AOC HR Department.

(4) Federally Funded Time-limited Position: A federally funded time-limited position is a non-tenured position created as a result of restricted federal funding. The term of this position will not exceed the period of time for which the specific federal funding is provided. An individual who is appointed to a federally funded time-limited position may be entitled to employee benefits depending upon the number of hours worked during a business week or calendar month. Employees appointed to this position will be required to sign form AOC-PER-1.3, Appointment to Federally Funded Time-Limited Position, prior to starting employment with the KCOJ, accepting the limited time period as a condition of employment. Form AOC-PER-1.3 will be submitted to the AOC HR Department.

(5) Temporary Position: A temporary or interim position is a non-tenured position created for a specified period of time not to exceed nine months within a 12-month period. Employees appointed to temporary positions do not receive fringe benefits as set forth in Section 6 of these Policies. Interns, whether compensated or not, are appointed to temporary positions and do not receive benefits.

Section 4.03. Criminal Background Checks.

(1) The KCOJ supports the rehabilitation of offenders. However, certain convictions may render a person ineligible for employment in certain positions.

(2) Form AOC-PER-1.4, Employment Record Check Authorization, must be provided to an applicant for completion during his or her interview and submitted by the appointing authority or designee following a contingent offer of employment.

(3) An AOC Statewide Criminal Background Check must be obtained and reviewed by the appointing authority or designee and submitted to the AOC HR Department.

(4) As applicable to the position or the applicant, the appointing authority may request the AOC HR Department obtain a background check that extends beyond the scope of the AOC Statewide Criminal Background Check. If approved by the AOC HR Department, the results must be reviewed by the appointing authority or designee and submitted to the AOC HR Department.

(5) The AOC HR Department determines whether an applicant is able to perform all functions of the position applied for based upon the background check findings. If an applicant is unable to perform any function of the job because of the background check findings, the applicant will be disqualified from serving in that position.

(6) Pursuant to AOC departmental policies or procedures or KCOJ office policies, the appointing authority or designee may request periodic background checks for his or her employees to ensure they are properly reporting violations pursuant to Section 2.13 of these Policies and to verify that there are no unreported violations that may create a conflict of interest. The HR Director or designee must be consulted prior to the administration of any resulting disciplinary action.

Section 4.04. Probationary Period for Employees Appointed to Tenured Positions.

(1) Probationary Period

(a) The purpose of a probationary period is to observe, evaluate, and determine whether an employee appointed to a tenured position adequately performs the official duties of the particular position in accordance with these Policies.

(b) Length of Probationary Period

(i) The first six months of service from the effective date of appointment constitutes a probationary period for all employees appointed to a tenured position. This probationary period may be extended under the provisions of Section 4.04(1)(b)(ii) and (iii) of these Policies.

(ii) If an employee serving a probationary period is granted leave in excess of 10 working days, the employee's probationary period may be extended for the same length of time.

(iii) The appointing authority or designee may extend an employee's probationary period for up to six months if further evaluation is required. The appointing authority or designee must notify the employee in writing, stating the length of the probationary extension and the expectations of performance improvement during the extended period. A copy of the notification will be sent to the AOC HR Department with a PAR extending the probation and placed in the employee's official personnel file.

(iv) If an employee serving a probationary period transfers to a different tenured position in the same classification and pay grade, with a new appointing authority or designee, the probationary period begins anew.

(c) Expiration of Probationary Period

(i) Prior to the expiration of the probationary period, the appointing authority or designee must determine whether the employee will become a tenured employee, or the probationary period will be extended.

(ii) The probationary period will be considered successfully completed unless the appointing authority or designee notifies the employee that he or she is dismissed or that the probationary period will be extended. This notification must take place prior to the expiration of the probationary period.

(iii) Upon completion of the probationary period, an employee will become a tenured employee with grievance and appeal rights and receive a salary increase pursuant to the pay practices approved by the Supreme Court.

(iv) If an employee is dismissed before the expiration of the probationary period, the appointing authority or designee must comply with Section 8.04 of these Policies.

(2) Current Employees.

(a) Any current employee of the KCOJ who is promoted or transferred to a tenured position must serve a probationary period as described in Section 4.04(1) of these Policies. The first six months of service from the effective date of the promotion or transfer and any extensions as provided for in Section 4.04(1)(b) of these Policies will constitute the probationary period, during which time an employee will not have grievance or appeal rights.

(b) Any current tenured employee of the KCOJ who has successfully completed a probationary period, received a salary increase pursuant to the pay practices approved by the Supreme Court, and is subsequently transferred or promoted to a different tenured position is not entitled to a second salary increase upon completion of probation.

Section 4.05. Classification Plan.

(1) For each tenured position, the KCOJ classification plan includes a job title, pay grade, description of duties and responsibilities, and requirements relating to education and experience.

(2) Every position must be assigned to an appropriate KCOJ classification plan prior to taking any administrative action on appointments, reclassifications, promotions, demotions, transfers, or any other type of position or employee actions.

Section 4.06. Compensation Plan.

(1) The KCOJ compensation plan provides pay grades for all tenured positions listed in the KCOJ classification plan. Each class of positions is assigned to a pay grade depending upon the complexities and functions of the positions in the class as outlined in the KCOJ classification plan.

(2) Pay grades are based upon the level of duties and responsibilities of position classifications, current salary rates in other sectors of employment, and the financial resources of the KCOJ.

Section 4.07. Salary Schedule.

(1) The salary schedule is divided into pay grades, with an entry salary for each pay grade.

(2) The appointing authority or designee must appoint a new employee at the pay grade designated for that position pursuant to the salary schedule and pay practices approved by the Supreme Court. Any deviation from the salary schedule or the pay practices approved by the Supreme Court must be submitted in writing to the AOC Director, who will have the final approval.

Section 4.08. Layoffs. An employee of the KCOJ may be laid off whenever deemed necessary pursuant to a policy approved by the Supreme Court for reasons including, but not limited to, shortage of funds or work, abolishment of positions, or a material change in duties or organization.

Section 4.09. Furloughs. A furlough is the placing of an employee in a temporary, non-duty, non-pay status because of lack of work, lack of funds, or other non-disciplinary reasons. An employee of the KCOJ may be furloughed whenever deemed necessary by the Supreme Court.