CHAPTER: 100
AGENCY ADMINISTRATION/MANAGEMENT


OPR:
DIR

DEPARTMENT ORDER MANUAL

DEPARTMENT ORDER: 113
INSTITUTION MANAGEMENT AND ORGANIZATIONAL STRUCTURE

SUPERSEDES:
DO 113 (09/01/96)
EFFECTIVE DATE:
MARCH 1, 2001

TABLE OF CONTENTS

PURPOSE
RESPONSIBILITY
APPLICABILITY
PROCEDURES
113.01 INSTITUTION CHAIN OF COMMAND/ORGANIZATIONAL STRUCTURE
113.02 WARDEN'S SUPERVISION OF SUPPORT STAFF FROM OTHER AREAS
113.03 SUPPORT STAFF MANAGER'S OBLIGATIONS AND RESPONSIBILITIES
DEFINITIONS
AUTHORITY

PURPOSE

This Department Order establishes an organizational chain of command and management structure for Department institutions and for Department staff assigned to private prisons. In addition to the chain of command this Department Order establishes guidelines authorizing Wardens to exercise functional supervision and authority over support staff assigned to the institution from other organizational units other than Prison Operations.

RESPONSIBILITY

Wardens are responsible for the operation of the prison to which they are assigned, including the overall management of the institution and its inmates, personnel, volunteers, programs and activities, and administrative functions; management of the support staff resources necessary to maintain security; and oversight of day-to-day operations and emergencies that arise at the facility.

Support staff managers are responsible for ensuring that staff activities are consistent with the Warden's efforts to comply with written instructions, the effective operation of the prison, and the institution's objectives and procedures.

Each support function is charged with providing a specific service. The primary responsibility of each support function is to provide their services in accordance with the standards of their discipline, without jeopardizing the general welfare of the inmate.

APPLICABILITY

This Department Order applies to all Department staff. Staff employed by Private Prisons shall follow the chain of command established by the private corporation and by the contract with the Department.

PROCEDURES

113.01 INSTITUTION CHAIN OF COMMAND/ORGANIZATIONAL STRUCTURE

1.1 The operation of an institution is the responsibility of a Warden who implements Department Orders or other written instruction issued by the Director. Deputy Wardens manage units within the institution.

1.1.1 Wardens report to the appropriate Regional Operations Director.

1.1.1.1 The following Wardens report to the Southern Regional Operations Director; ASPC-Douglas, ASPC-Lewis ASPC-Safford, ASPC-Tucson, and ASPC-Yuma.

1.1.1.2The following Wardens report to the Northern Regional Operations Director; ASPC-Eyman, ASPC-Florence, ASPC-Perryville, ASPC-Phoenix and ASPC-Winslow.

1.1.2 All employees assigned to a Department institution are administratively responsible to the Warden or Deputy Warden in accordance with the organizational chain of command in that institution and of the Department.

1.2 The Department shall assign staff to oversee a Private Prison's operations in accordance with applicable written instructions. The chain of command for these staff shall be established by the Deputy Director for Prison Operations.

113.02 WARDEN'S SUPERVISION OF SUPPORT STAFF FROM OTHER AREAS

1.1 Role of Support Staff - Support staff are assigned to an institution for the purpose of assisting the Warden in fulfilling the Department's mission of housing and caring for inmates committed to the Department.

1.2 Compliance with the Institution's Mission - All staff assigned to work at an institution are part of the institution's team and shall ensure that their work activities support the mission of the institution.

1.3 Warden's Obligations and Responsibilities - The Warden:

1.3.1 Shall conduct regular meetings with the managers of line and support staff to develop and communicate the institution's mission, goals and objectives and to share important information.

1.3.2 Shall review, with support staff managers, any authorized written instructions developed in the support areas.

1.3.3 Shall provide support staff managers with input on the job performance of support staff, which shall be used in completing performance evaluations.

1.3.4 Shall forward information, to the first-line supervisor of the offending support staff employee, regarding infractions of Department Orders or Institution Orders along with recommendations for the appropriate disciplinary action to be taken.

1.3.5 Shall ensure that all staff comply with duty schedules and with the Department's written instructions, including work hours and leave.

1.3.6 Shall ensure that support staff who work directly with inmates receive training on security issues.

1.3.7 May require support staff to complete special assignments and alter their day-to-day operations in the interest of the institution's safety and security.

1.4 Limitations - The Warden shall not direct support staff in the performance of their technical or professional job duties, e.g., the provision of health care by medical staff, the development of training curricula by the Staff Development/Training Bureau, or the investigating and report writing of Inspections and Investigations staff (although the Warden shall be kept informed of investigations and their progress).

1.5 Instructions by the Warden Requiring Immediate Action - Consistent with the limitation contained in section 113.02, 1.4 for support staff assigned to an institution, the Warden shall:

1.5.1 Provide guidance for carrying out their required duties and responsibilities.

1.5.2 Direct their activities:

1.5.2.1 Whenever the safe and orderly operation of the institution is a consideration.

1.5.2.2 To comply with Department Orders or State laws for meeting the mandatory needs of the inmate population.

1.6 Emergencies - In an emergency, support staff assigned to an institution shall take orders from the Warden or Incident Commander in all areas except the technical or professional areas of their jobs.

1.7 Immediate Action - When the Warden believes that a situation requires immediate action and determines that it is necessary to direct the activities of support staff in a manner that may be contrary to prior instruction from their first-line supervisor, the Warden shall attempt to contact the first-line supervisor. If the supervisor cannot be reached, the support staff employee shall follow the Warden's direction, and the Warden shall notify the employee's first-line supervisor as soon as possible thereafter.

1.7.1 When a staff member observes a support function being provided in a manner that jeopardizes the general welfare of an inmate, the staff member shall take immediate action to rectify the situation.

1.7.2 If the observing staff member lacks the authority to correct the situation, that staff member shall use the chain of command to notify a staff member who does have the authority to immediately correct the situation.

1.8 Disobeying Instructions - Support staff who knowingly violate this Department Order shall be disciplined in accordance with Department Order# 508, Employee Discipline.

1.9. Areas of Disagreement - When there is a disagreement that does not require immediate action, the Warden and the appropriate Deputy Directors or Assistant Director(s) shall resolve the issue. Issues that cannot be resolved at this level shall be elevated to the Director.

113.03 SUPPORT STAFF MANAGER'S OBLIGATIONS AND RESPONSIBILITIES

1.1 Support Staff Managers' Obligations and Responsibilities - Support staff managers shall:

1.1.1 Serve on the management team of the institution and actively participate in the establishment of the institution's goals and program development.

1.1.2 Consult with the Warden about all changes in written instructions that would impact the institution's operation.

1.1.3 Request input from the Warden on the job performance of support staff to use in completing performance evaluations.

1.1.4 Contact the Warden after reviewing the information surrounding misconduct infractions by support staff and, when applicable, discuss the recommended disciplinary action.

1.1.5 Ensure that work schedules meet the institution's needs as defined by the Warden.

1.1.6 Develop a leave approval process, with the Warden, to ensure that support staff's scheduled leave will not adversely affect the institution's operations.

1.1.7 Communicate with the Warden when selecting and hiring support staff and making support staff assignments.

1.1.8 Provide the Warden with copies of correspondence on issues relating to prison operations or staffing, which may impact the operation of the institution.

1.2 Business Administrator's Chain of Command

1.2.1 The Deputy Director, Assistant Director, Warden, or Bureau Administrator, as the Business Administrators first line supervisor, shall:

1.2.1.1 Direct and evaluate the Business Administrator's performance of daily operational duties and tasks.

1.2.1.2 Be the rater for the performance evaluation, and include comments from the Department's Chief Financial Officer on applicable performance documentation.

1.2.2 The Chief Financial Officer, on behalf of Administrative Services, shall:

1.2.2.1 Issue Technical Manual instructions that address the technical requirements of the Business Administrator's fiscal responsibilities.

1.2.2.2 Monitor and evaluate the Business Administrator's compliance with the Department's written instructions.

1.2.2.3 Forward comments regarding the Business Administrator's technical performance to the operational authority for inclusion on applicable performance documentation.

1.2.3 The Appointment of Business Administrators shall be conducted in accordance with Department Order #504, Recruitment and Hiring.

1.2.3.1 When hiring a Business Administrator, the first-line supervisor and the Chief Financial Officer shall jointly develop the oral board questions to be used in the hiring process.

1.2.3.2 The first-line supervisor shall select the oral board panel members and appoint the Business Administrator from the final applicants recommended by the oral board panel members.

DEFINITIONS

SUPPORT STAFF - Staff who are assigned to a facility, whose first-line supervisor may not be assigned to work in the same facility, including Health Services, Staff Development/Training, Inspections & Investigations, Arizona Correctional Industries staff and other staff.

SUPPORT STAFF MANAGER - A manager or supervisor who is assigned to an institution to oversee a particular support unit, functions and staff.

AUTHORITY

A.R.S. 41-1611, Number of Divisions or Units.



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