Arkansas Administrative Code › Agency 004 - DEPARTMENT OF CORRECTIONS › Rule 004.00.96-003 - Reg. 225 - Employee Conduct Standards

Current through Register Vol. 49, No. 6, June, 2024
225
I.
AUTHORITY
:
The Board of Correction and Community Punishment (BCCP) is vested
			 with the authority to promulgate this administrative regulation by Ark. Code
			 Ann. ss
			 12-27-105
			 (Michie Supp. 1995).
II.
PURPOSE
:
The purpose of the ADC Employee Conduct Standards policy is to
			 define Department Standards that each Unit/Division must adhere to. These
			 policies are written so that any Unit/Division may adopt and implement with
			 little or no change or adaptation required. Any changes and/or adaptations must
			 have the Director's approval prior to implementation. Nothing herein is
			 intended to imply that the standards are all inclusive. The standards are
			 intended to identify "common" problems associated with employee conduct and
			 through positive progressive actions to help the employee achieve success.
			 After it has been determined that an employee has violated a standard or
			 engaged in conduct warranting disciplinary action, the supervisor and manager
			 shall follow the principle of progressive discipline, except in cases of
			 offenses or extenuating circumstances under which management must react
			 immediately - including discharge of the employee.
As described in this policy, all formal disciplinary action (s)
			 are progressive in nature except when action (s) adversely affect security and
			 the good order of departmental operations. In those situations, progressive
			 disciplinary action (s) are unnecessary.
When applying progressive discipline, supervisors and managers
			 should be consistent in all future decisions that are similar in nature. The
			 Personnel Administrator may be contacted for consultation in applying
			 disciplinary sanctions. A committee consisting of five members appointed by the
			 Director may be utilized when applying disciplinary decisions. When necessary,
			 the Personnel Administrator, who chairs the committee, and at least two other
			 members shall confer.
III.
APPLICABILITY
:
To all employees of the Department of Correction.
IV.
DEFINITIONS
:
1.
Conduct Standards
: Rules of behavior by which
		  employees must abide while on duty, while in uniform and/or on state property
		  unless otherwise specified in this policy.
2.
Personnel File
:
		  The document maintained by the Central Personnel Office which serves as the
		  official copy of an employee's file.
3.
Inmate
: A person
		  incarcerated within the Department of Correction, or one who has been released
		  and is under release supervision by the Department.
4.
Contraband
: Any
		  article not authorized nor issued to an employee for performance of duties nor
		  authorized by unit/center standard operating procedure(s).
V.
POLICY
:
It is the policy of the Department of Correction to ensure that
			 all conduct standards be administered in an objective and good-faith
			 manner.
The ADC is an equal opportunity employer providing equal
			 employment opportunities without regard to race, color, sex, religion, national
			 origin, age, disability, or veteran status. This policy and practice relates to
			 all phases of employment including, but not limited to recruiting, hiring,
			 placement, promotion, transfer, layoff, recall, termination, rates of pay or
			 other forms of compensation, training, use of all facilities and participation
			 in all department-sponsored employee activities and programs.
A. SCOPE
Each employee shall be made fully aware of this policy upon
			 employment. The Central Personnel Office will issue Employee Handbooks and AR
			 225: Employee Conduct Standards to all personnel (Form 225-1).
B. Responsibilities
1. Employee
a. To be familiar with conduct
		  standards.
b. To clearly understand
		  conduct standards.
c. To strictly
		  adhere to conduct standards.
d. To
		  participate, with good faith effort, in administrative investigations of
		  standards violation.
e. To carry
		  out activities as defined in any penalty which may be assessed for violation of
		  conduct standards.
2.
		  Management
a. To effectively provide notices
		  to the employees of changes/revisions in the conduct policy through the
		  appropriate chain of command. Revisions to this policy shall be made available
		  to employees through their supervisor.
b. To monitor employee conduct to determine
		  compliance with conduct standards.
c. To establish and maintain a work
		  environment to help assure employees can meet the conduct standards.
d. To determine, based on guidelines and the
		  individual employee's prior conduct and discipline record, the penalty to be
		  assessed upon violations of standards.
e. To administer all conduct standards and
		  penalties in an objective and good-faith manner.
VI.
PROCEDURES
:
The principle of progressive discipline requires warnings of
			 progressive penalties and assistance to be given in improving unacceptable
			 behavior. Progressive discipline actions may include verbal warnings, written
			 warnings, suspension, discharge, and other actions as specified in this
			 policy.
To the extent that is reasonable and within the scope of
			 requirements of this policy, employees shall be given opportunity to alter
			 negative behavior through the use of constructive corrective action.
A. Penalties
Penalties for violation of standards shall be administered by
			 supervisors, managers, and administrators in a neutral, consistent, and
			 non-discriminatory manner. Management is expected to use good judgement in
			 determining the seriousness of violations and the disciplinary penalties.
			 Supervisors must be able to justify by documented facts in each case that there
			 has been a violation and that the penalty is appropriate. All mitigating
			 circumstances must be considered before taking final action.
1. Oral Warning: A verbal notice is to inform
		  the employee that he or she has violated a conduct standard and that a more
		  severe disciplinary action will be taken if an equal or more substantial
		  violation occurs within a six month period from the date of the violation. The
		  six month period will be considered an automatic probationary period.
A copy of the documentation of the oral warning will be placed in
			 the supervisor's employee file.
2. Written Warning: The written notification
		  must inform the employee that his or her violation of a standard has been
		  documented and that a more severe disciplinary action will be taken if an equal
		  or more substantial violation occurs within twelve months from the date of the
		  violation. The twelve month period will be considered an automatic probationary
		  period. A copy of the written warning will be placed in the employee's
		  personnel file.
3. Suspension: A
		  strong action to be used for major violations of standards, repeated violations
		  of standards or when management determines that the charge and/or the job
		  atmosphere or circumstances warrants the immediate removal of the employee for
		  a specified period of time. A more severe disciplinary action will be taken if
		  an equal or more substantial violation occurs within 18 months of the date of
		  violation. The 18 month period will be considered an automatic probationary
		  period.
Dates of suspension are to be scheduled as soon as possible
			 following the imposition of the penalty. Suspension shall be without pay for a
			 minimum of one working day but not to exceed a maximum of thirty working days.
			 The suspensions shall be deducted in increments of days. The number of days
			 will be determined by the seriousness of the violation. Within a twelve month
			 period from the date of the first suspension, an employee may not be suspended
			 more than twice or an accumulation of more than thirty working days. Further
			 violations will result in discharge. The decision to suspend must be approved
			 by the Unit/Division Administrator or the next level of management below the
			 Director, if the Director chooses to delegate the authority.
4. Discharge: An action to be imposed against
		  an employee where the nature of the violation affects the security and good
		  order of departmental operations or the accumulation of violations has
		  exhausted available disciplinary sanctions up to discharge.
A recommendation to discharge an employee may be made by the
			 immediate supervisor after a thorough and documented administrative review of
			 the situation, but the final decision to discharge must be approved by the
			 appropriate Unit/Division Administrator or the next level of management below
			 the Director, if the Director chooses to delegate the authority to that level
			 of management. Any discharge must comply with the provisions of the Uniform
			 Grievance Procedure and the Employee Handbook.
5. Cumulative Violations: Three violations
		  that are active at the same time and call for the same penalty will
		  automatically raise the penalty to the next level.
B. Appeal Process
Any employee against whom disciplinary and/or termination action
			 has been taken may appeal such action as appropriate through the
			 Grievance/Appeal Procedure. Employees within their initial one year
			 probationary period have no appeal rights except in cases of alleged
			 discrimination.
C.
		  Documentation
Management will be responsible for documenting each disciplinary
			 action taken. Appropriate documentation of standard violation(s) will be made
			 the day the violation is verified and disciplinary action taken. Documentation
			 will be specific and detailed in clear factual statements. Documentation in the
			 records must include:
1. Cause for
		  disciplinary action including nature of offense and the standard (rule) which
		  has been violated.
2. Disciplinary
		  action taken.
3. Assistance and/or
		  advice given to employee to eliminate the need for more drastic future
		  action.
4. Standards expected in
		  the future. Specify date by which expectations are to be met.
5. Consequences if standards are not
		  followed.
6. A signed
		  acknowledgement by both the supervisor and employee (Form 225-2).
a. If the employee refuses to sign the
		  acknowledgement, a third party shall witness the refusal.
b. With the exception of oral warnings, a
		  copy of the documentation shall be placed in the employee's personnel file.
Documentation of an oral warning shall be signed and dated by the
			 supervisor and employee and placed in the supervisor's employee file (notation
			 should be made in the event an employee refuses to sign). At the request of the
			 employee, documentation of an oral warning may be removed from the supervisor's
			 employee file at the end of six months if no other infraction has occurred for
			 the same conduct.
Documentation of written warning shall be signed and dated by the
			 employee and the supervisor. A copy of the documentation will be placed in the
			 employee's personnel file. If the employee refuses to sign the written warning
			 a statement regarding the employee's refusal must be signed by the supervisor
			 and added to the documentation.
Documentation of suspension must be signed and dated by the
			 employee, supervisor and the appropriate Unit/Division Administrator or the
			 next level of management below the Director if the Director has delegated the
			 authority to suspend to that level of management. A copy of the documentation
			 will be placed in the employee's personnel file.
After the below listed time periods, documented information
			 regarding disciplinary action
shall not
be used as a
			 consideration for further progressive disciplinary actions or other personnel
			 actions. These time periods are considered to be an automatic probationary
			 period.
Verbal Warnings - Six months from the date of disciplinary
			 action;
Written Warnings - 12 months from the date of disciplinary
			 action;
Suspensions - 18 months from the date of disciplinary
			 action.
Employees shall not be eligible for promotions for a six month
			 period after receiving an oral warning, a 12 month period after receiving a
			 written warning, nor an 18 month period after receiving a suspension. Any
			 exception must be approved by the Director.
D. Conduct Standards and Penalties
		  for Non-Compliance
Each employee of the Department of Correction shall be provided a
			 copy of AR 225: Employee Conduct Standards. New employees will be given a copy
			 of this policy at the time of employment or their first day on the job. Policy
			 dissemination will be documented by the employee signing an acknowledgement of
			 receipt of the policy. The receipt will be placed in the employee's personnel
			 file. The employee is responsible for reviewing and becoming familiar with the
			 conduct policy. If further explanation of the policy is needed, upon request of
			 the employee, the immediate supervisor shall provide clarification.
Accordingly, all employees of the Department shall be expected to
			 abide by the following standards which are established as guidelines to give a
			 measure of consistency in the administering of discipline within the Department
			 and any other conduct standards which may be subsequently adopted by the
			 Department.
NOTE
: Disciplinary rules pertaining to
			 abuse/neglect of inmates and failure to report same will be as specified within
			 administrative regulation(s) pertaining to treatment of inmates. In the absence
			 of specific administrative regulation(s), this policy will apply.
ORAL
WRITTEN
SUSPENSION
DISCHARGE
1.
Employees are expected to go about their work quietly,
						remain at their assigned duty station and/or work site during working hours,
						restrict personal phone calls to a minimum and strive for high quality
						productivity.
a. Loitering, visiting, excessive personal use of
						telephone.
X
X
X
X
b. Disruptive horseplay and/or practical
						jokes.
X
X
X
c. Unauthorized leaving or not reporting to one's duty
						station and/or work site.
1. Leaving duty station or work
						site.
a. Non-security staff
X
X
X
b. Security to include non-security staff who are
						responsible for the supervision of inmates.
X
X
c. Armed post
X
2. Not reporting as scheduled to duty station/work site
						or giving proper notification within three working
						days.
X
2
The Federal Wage Garnishment Law prohibits an employer
						from discharging any employee because his/her earnings have been subject to
						garnishment for any one indebtedness. The term "one indebtedness" refers to a
						single debt, regardless of the number of levies made or the number of
						proceedings brought for its collection.
a. Garnishment of wages - each step of progression is for
						a different indebtedness.
X
X
X
X
3.
Authorization by administrator/ manager is mandatory for
						an employee to solicit or sell goods to other employees. (Unauthorized
						solicitation or selling goods to inmates is prohibited.)
a. Unauthorized selling to and/or solicitation of
						employees during work time.
X
X
X
X
b. Unauthorized solicitation of and/or selling goods to
						inmates.
X
4.
Posting of notices on bulletin boards will be confined to
						job duties, or if not job-related, authorized by Central Personnel, or Unit
						Administrator/Personnel Officer.
a. Posting personal items, or altering or removing
						business notices without authorization.
X
X
X
X
5.
Employees are expected to perform at a level commensurate
						with the job specifications, performance standards, and other duties as
						assigned.
a. Unsatisfactory work performance.
X
X
X
or X
b. Inability to perform assigned duties.
X
X
X
or X(or Reassignment which may include reduction in pay
						and/or grade)
c. Gross Malfeasance - deleted
d. Gross Negligence - deleted
6.
Employees are expected to report immediately to their
						supervisor when unable to be at duty station. Time away from duty station must
						have prior approval. Working hours and lunch periods will be strictly observed.
						Each action will be considered an independent violation.
a. Unauthorized absence.
X
X
X
b. Verified misuse of sick leave.
X
X
X
c. Failure to adhere to work hours.
X
X
X
X
d. Abandonment of job.
X
7.
Employees will maintain a courteous and respectful
						attitude in dealing with co-workers, subordinates, supervisors, inmates, and
						members of the public.
a. Discourteous treatment to others.
X
X
X
b. Actions abusive to any person which in any way take
						advantage (actual or attempted) for any personal gain.
X
X
X
c. Retaliation against employees or inmates who have
						filed lawsuits or grievances.
X
X
X
8.
Employees will refrain from any racial and/or sexual
						discrimination or harassment toward employees, inmates, or public.
a. Discrimination or willful harassment.
X
b. Non-willful action resulting in the effect of
						discrimination or harassment.
X
X
9.
Employees are expected to remain alert at all times
						during business hours.
a. Sleeping while on duty.
(Sleeping while on duty may be substantiated by firsthand
						witness testimony or circumstantial evidence which shows that employee's
						actions were so significantly failing to meet the standards of being alert,
						that there can be found no substantive difference between the alleged behavior
						in question and the behavior of one who would be found asleep under the same
						circumstances.)
X
b. Inattentiveness while on duty.
X
X
X
10.
Employees shall exercise reasonable and responsible care
						of Department equipment, materials, property and facilities. Possession of
						Department equipment must have proper approval from their
						supervisor.
a. Unauthorized possession, misuse or abuse of equipment,
						materials, property or facilities.
X
X
X
11.
Employees are to be familiar with and adhere to
						common-sense health and safety rules. Any on-the-job injury will be reported
						immediately. Likewise, employees are responsible for reporting inmate injuries
						according to established policies.
a. Failure or delay in reporting injury of employees or
						injury or illness of inmates.
X
X
X
b. Practical jokes/horseplay that result or could result
						in harm and/or injury to employee or inmate.
X
X
X
12.
Employees are expected to perform work assignments within
						the scope of the job descriptions and follow all reasonable instructions issued
						by supervisors. Refusal to perform or carry out such duties, responsibilities
						or instructions will be construed as insubordination.
a. Failure to perform or carry out work related
						instructions, when such instructions are reasonable and within the employee's
						ability to perform and would not pose a safety or welfare hazard to the
						employee.
X
X
X
b. Refusal to respond to supervision by lack of
						cooperation with, and/or being argumentative to supervisor(s).
X
X
X
13.
Employees are required to give a clear, complete and
						accurate picture in completing applications, work records, written statements/
						verbal information, inmate records, investigations, and claims for
						reimbursement.
a. Falsification of work records, employment
						applications, other forms or applications.
X
b. Falsification of written/verbal
						statements/information.
X
c. Falsification of inmate information and/or
						files.
X
d. Fraudulent claims for reimbursement or
						benefit.
X
14.
The property of others will be respected by all
						employees. All funds are to be properly handled as required by Department
						accounting system.
a. Theft and/or mishandling of Department
						funds.
X
b. Theft of property.
X
15.
Employees will be familiar with rules and regulations
						regarding confidential information in Department records. Information in these
						records will be used only to conduct Department business.
a. Unauthorized release of confidential/sensitive
						information/reports.
X
b. Disclosure of confidential information, records/files
						of Department, inmates and/or personnel.
X
16.
The personal conduct of an employee shall be such as to
						pose no threat to himself/herself and/or others or interfere in any way with
						the operation of the Unit/Division.
a. Bribery
X
b. Gambling
X
X
X
c. Abuse of other employee(s), other employee(s) ,
						inmates and/or member(s) of the public.
1. Verbal abuse
X
X
X
2. Unnecessary use of force
3. Physical abuse
X
X
X
d. Unauthorized possession of firearms and/or other
						weapons deemed to be lethal.
X
X
e. Reporting for work under the influence of illegal
						drugs or alcohol and/or possession or use of illegal drugs or alcohol during
						working hours or while in uniform.
X*
*Refereal for assistance/treatment to be made if
						requested by the employee.
X
f. A positive result in a specimen provided by the
						employee used to identify illegal drug usage.
Requires enrollment in Employee Assistance Program.
X*
X
g. Refusal or failure to provide urine sample pursuant to
						departmental policy(ies)
X
X
h. Conviction or admission of guilt after an arrest
						criminal offense.
(1) Felony
X
(2) Class A misdemeanor*
X
X
*Progression of discipline will depend upon the adverse
						impact on the Department, inmates and/or other employees.
X
i. Failure to report incidents of arrests in accordance
						with the administrative directive regarding employee arrests.
X
X
X
17.
The conduct of the employee shall be such that duties and
						behavior will be conducted in conformance with policies and regulations related
						to:
a. Simultaneous violation of more than one
						rule.
X
X
X
b. Failure to carry out duties
X
X
X
c. Careless or unsafe handling of firearms or other
						equipment.
X
*(If injury or death or threat of injury or death
						occurred.)
X
X*
d. Sexual misconduct (during working hours).
X
X
X
e. Failure to submit to polygraph as prescribed by
						existing policies
X
X
X
f. Trafficking and/or unauthorized trading with
						inmates.
X
X
X
g. Violation of established uniform dress
						codes.
X
X
X
X
h. Possession of contraband.
X
X
X
X
i. Conduct unbecoming a public employee while on duty,
						while in uniform, or while acting as a representative of the
						agency.
X
X
X
X
j . Willful violations of regulations, directives or
						policy statements.
X
X
X
X
k. Willful destruction of evidence.
X
1. Violation of published regulations/policies/procedures
						governing employee relationships with inmates, parolees, and persons on release
						supervision.
X
X
X
m. Employees may not personally accept and/or receive any
						gifts, compensation, donations, etc., for their services rendered or on behalf
						of employees under their supervision or inmates under direction other than
						those legally provided by the state. Any attempted action of this sort shall be
						reported to the supervisor immediately.
X
X
VI.
A.C.A. REFERENCES
: 3-4067