CHAPTER: 500
PERSONNEL/HUMAN RESOURCES


OPR:
DIR

DEPARTMENT ORDER MANUAL

DEPARTMENT ORDER: 501

EMPLOYEE PROFESSIONALISM, ETHICS AND CONDUCT

SUPERSEDES:
DO 501, 09/01/96
EFFECTIVE DATE:
JULY 6, 1998

TABLE OF CONTENTS

PURPOSE
PROCEDURES
501.01 GENERAL RESPONSIBILITIES
501.02 STAFF/INMATE RELATIONSHIPS
501.03 STAFF ARRESTS
501.04 SEXUAL HARASSMENT
501.05 EMPLOYMENT DISCRIMINATION
501.06 SECONDARY EMPLOYMENT
DEFINITIONS
AUTHORITY
ATTACHMENT

PURPOSE

This Department Order affirms the dignity and worth of Department employees and ensures that the optimum level of professionalism is maintained. The Department expects of its employees the highest ethical standards of honesty, integrity, impartiality and conduct in their interaction with inmates, other employees and the general public. Employees' observance of law is required at and away from the job. These standards are necessary to merit continued respect and confidence from the public.

The Department requires a work place absent of sexual harassment and employment discrimination. Qualified persons are recruited, selected and employed, consistent with existing bona fide occupational qualifications, and without regard to race, color, sex, religion, national origin, age, disability, veteran status or political affiliation.

PROCEDURES

501.01 GENERAL RESPONSIBILITIES

1.1 All employees shall:

1.1.1 Accept responsibility and delegated authority to efficiently and effectively perform their assigned functions in a courteous, considerate and prompt manner.

1.1.2 Ensure that their personal conduct is, at all times, in compliance with the requirements expressed in this Department Order.

1.1.3 Immediately report misconduct to their supervisors.

1.1.4 Cooperate with the Department's official investigations.

1.1.5 Ensure they maintain a professional demeanor at all times while on duty and while in uniform.

1.2 Approving authorities shall:

1.2.1 Consider knowledge and application of laws, rules, policies and procedures when preparing Performance Appraisal for Correctional Employees (PACE) files.

1.2.2 Ensure that their subordinates are held accountable for compliance with this Department Order, and that allegations of misconduct by employees at any level are thoroughly investigated and resolved.

1.2.3 Investigate or cause to be investigated allegations of misconduct, in accordance with Department Order #601, Administrative Investigations.

1.2.4 Administer appropriate corrective discipline for each sustained finding of employee misconduct, in accordance with Department Order #508, Employee Discipline, and the Supervisors Handbook for Corrective Discipline, which includes a summary of causes for discipline in State Service, including a re-print of A.A.C. R2-5-501, Standards of Conduct.

1.2.5 Be responsible for taking prompt and appropriate initial and final administrative action and/or corrective disciplinary action regarding criminal charges filed against subordinate staff, and related allegations of misconduct.

1.2.6 Seek, when appropriate, the prosecution of employees:

1.2.6.1 Failing to discharge their custodial responsibility, provided the failure resulted in the escape of an inmate or the serious physical injury or death of another person or inmate.

1.2.6.2 Engaging in sexual contact, oral sexual contact or sexual intercourse with an inmate or any offender under supervision by the Department, with the following exception:

1.2.6.2.1 An employee and an offender on release status, provided they were married prior to the offender being sentenced.

501.02 STAFF/INMATE RELATIONSHIPS - Employees shall limit their relationships with inmates and inmate's families to officially authorized activities.

1.1 Department employees shall:

1.1.1 Maintain professional, fair and consistent relationships with inmates in accordance with their assigned duties.

1.1.2 Conduct themselves in a manner to avoid being placed in a situation which could compromise their professional integrity, compromise security, or cause embarrassment to the Department of Corrections or the State of Arizona.

1.1.3 Maintain a professional but firm and fair demeanor in their dealings with inmates, the families and friends of inmates.

1.1.4 Deal with inmates on a courteous and professional basis.

1.1.5 Avoid undue familiarity with inmates.

1.1.6 Report all family relationships with inmates to their Warden, Deputy Warden or Bureau Administrator.

1.1.7 Immediately report, to their immediate supervisor, any request to engage in an unauthorized activity with inmates or their families.

1.1.8 Immediately report to their immediate supervisor any bribery, attempted bribery or solicitation of bribery by any inmate, any attempt to jeopardize accepted employee-inmate relationships and/or any unauthorized contact by inmates.

1.1.9 Take corrective action on all inmate rule violations to ensure impartiality and fairness with all inmates.

1.2 Department employees shall not:

1.2.1 Establish a personal relationship with inmates, unless they are related to the inmate by family.

1.2.2 Engage in intimate contact or other inappropriate behavior with an inmate.

1.2.3 Engage in sexual contact, oral sexual contact or sexual intercourse with an inmate or any offender under supervision by the Department.

1.2.3.1 A Department employee and an offender on release status are exempt from 501.02, 1.2.3, provided the employee was married to the offender prior to sentencing.

1.2.4 Engage in horseplay with inmates.

1.2.5 Visit any institution or any areas to which they are not assigned, except as is necessary in the performance of their assigned duties, or with the prior approval of the Warden or Deputy Warden of the involved institution.

1.2.6 Take or send, except as required as part of their assigned duties, any inmate letter, writing, message, verbal or written, literature or reading matter or any other item without the written permission of the Warden or Deputy Warden.

1.2.7 Contact or correspond with inmates or inmate families/friends unless as part of the employee's duties, or when permission is granted in writing by the Warden or Deputy Warden.

1.2.8 Give, except as required as part of their assigned duties, any food or beverage brought from outside the institution or purchased from an institutional canteen, store or vending machine, to an inmate, without the written permission of the Warden or Deputy Warden.

1.2.9 Barter or deal with inmates.

1.2.9.1 An employee may purchase inmate arts and crafts or business products in accordance with Department Order #906, Inmate Recreation.

1.2.10 Lend, borrow, exchange, receive from or give or take to any inmate, any member of the inmate's family or any friend of the inmate any gift, present, cash or property without written permission from the Warden or Deputy Warden.

1.2.11 Deal directly with, be involved in, or sponsor personal activities (e.g., taking inmates to a show, shopping or other activities) without official approval.

1.2.12 Discuss personal issues with inmates, or with employees while in the presence of inmates.

1.2.13 Address an inmate as "Mister," "Madam," "Ma'am" or any other inappropriate manner.

1.2.13.1 Inmates shall be addressed as "inmate" followed by their surname, for example: "Inmate Smith" or "Inmate Jones."

1.2.13.2 This format shall be used in all written correspondence with inmates, e.g., Inmate Letters and Forfeiture/Restoration of Release Credits.

1.2.14 Submit unauthorized verbal or written recommendations on the behalf of an inmate.

1.2.14.1 During scheduled inmate evaluations, staff shall only prepare and submit the Inmate Monthly Work/Training/ Education/Treatment Evaluation, Form 40000020.

1.2.14.2 If approved, unscheduled evaluations prepared by staff shall be submitted on the Inmate Monthly Work/Training/Education/ Treatment Evaluation, with the words "Special Evaluation" clearly written on the form.

1.2.14.2.1 Comments shall be limited to factual information. Personal opinions or recommendations shall not be included. No other form of recommendation is authorized.

1.3 Department employees shall avoid any association with ex-inmates that could:

1.3.1 Bring discredit or embarrassment to the Department of Corrections or the State of Arizona.

1.3.2 Place them under any kind of personal obligation which could lead any person to expect official favors.

1.3.3 Compromise their professional integrity.

1.4 Rotation of employees shall be required to prevent over-familiarity with individual inmates.

1.5 The Staff Development/Training Bureau Administrator shall ensure comprehensive training is provided to employees regarding appropriate staff-inmate relations.

501.03 STAFF ARRESTS

1.1 Employees shall immediately:

1.1.1 Notify their supervisor or designee if they are arrested, cited (for other than minor traffic violations), served a criminal summons or indicted.

1.1.1.1 Employees shall report, at the earliest opportunity, all contacts or confrontations with law enforcement authorities that could cause embarrassment to the Department.

1.1.2 Contact a supervisor in their chain of command when involved as the principal in a staff arrest incident, and provide the facts of the situation.

1.1.3 Keep their supervisors informed by submitting Information Reports when there are any developments in the status of their case, including the final disposition.

1.2 Upon being advised of a staff arrest incident involving a subordinate, supervisors shall:

1.2.1 Immediately notify their Deputy/Assistant Director or designee through the chain of command.

1.2.2 Notify the supporting Criminal Investigations Unit (CIU) of the incident and promptly forward Information Reports and any other related documentation to the CIU.

1.2.3 Submit an initial Significant Incident Report and appropriate follow-up reports, in accordance with Department Order #105, Information Reporting.

1.3 The supporting CIU shall:

1.3.1 Contact, upon being notified, the appropriate law enforcement agencies and obtain copies of their reports and/or other information relevant to the staff arrest incident.

1.3.2 Forward the case information to the Professional Standards Bureau (PSB), with a copy to the approving authority, within five work days after being notified.

1.4 Within ten work days of receipt of the staff arrest information, the PSB shall:

1.4.1 Open a major investigation and conduct additional investigations into the significant details of the documentation provided, as necessary.

1.4.2 Forward the case file and cover sheet to the employee's Assistant Director.

1.5 Within five work days, the employee's Assistant Director shall evaluate the information to determine if:

1.5.1 It adequately details the principal elements of the staff arrest incident as reported.

1.5.2 The employee's behavior during the contact with law enforcement authorities reflects adversely on the Department, pursuant to A.A.C. R2-5-501, Standards of Conduct.

1.5.3 There is sufficient evidence to support a dismissal of the employee without regard to the ultimate outcome of the criminal or civil process.

1.5.3.1 If there is sufficient evidence, the approving authorities shall take immediate action, and not wait for the court process to conclude.

1.5.3.2 If the evidence is insufficient, the approving authorities shall withhold a decision on administrative and/or corrective disciplinary action pending final disposition of the charges.

1.6 If additional information is needed, the employee's Assistant Director shall return the case to the PSB, specifying the information needed.

1.6.1 The PSB shall conduct the additional investigating and return the case to the employee's Assistant Director within five work days.

1.6.2 If it is determined that initial administrative and/or corrective disciplinary action is warranted, the employee's Assistant Director shall give prompt and appropriate direction to the approving authority.

1.6.3 The approving authority shall forward a copy of any documentation related to completed initial administrative and/or corrective disciplinary action to the PSB, via the employee's Assistant Director.

1.7 The supporting CIU shall:

1.7.1 Continue to monitor the status of disposition of the staff arrest incident.

1.7.2 Obtain all copies of relevant documentation when the final disposition is made, and provide the documentation to the PSB.

1.7.2.1 Upon receiving the documentation, the PSB shall provide an addendum report to the approving authority.

1.8 Upon receipt of the addendum report, the approving authority shall take corrective disciplinary action, if appropriate, and if disciplinary action was not taken upon initial determination of findings in accordance with Department Order #508, Employee Discipline, and return the case file to the PSB.

1.9 Criminal activity involving a Department employee as a suspect or a victim, but not involving Department operations, shall be immediately reported to the local law enforcement agency having jurisdiction.

1.9.1 The location of the alleged offense, whether it is on or off State property, is not a factor.

1.10 If the criminal activity involves a Department operation, it shall be reported to the supporting CIU.

1.10.1 The CIU shall coordinate with the local law enforcement agency to ensure the incident is investigated in accordance with A.R.S. 41-1604, B, i.

1.10.2 Any questions of alleged offenses involving Department operations shall be resolved by the Assistant Director for Inspections and Investigations (I&I), and the local law enforcement agency.

1.11 In all cases, coordination with the local law enforcement agency shall be through I&I, and in accordance with this Department Order.

501.04 SEXUAL HARASSMENT

1.1 Supervisors at each level shall:

1.1.1 Ensure that their subordinates are provided with sufficient training, in accordance with Department Order #509, Employee Training and Education, to enable them to understand the elements of sexual harassment as defined by this Department Order.

1.1.2 Clearly communicate to their subordinates that sexual harassment will not be tolerated.

1.1.3 Take immediate and appropriate action to stop sexual harassment if they observe it occurring or are aware or have been made aware that it is occurring or has occurred.

1.1.4 Request or initiate an investigation of any allegation of sexual harassment.

1.1.5 Request investigation of incidents involving sexual harassment, and take immediate and appropriate corrective action.

1.2 Employees who wish to file a sexual harassment complaint shall submit a memorandum outlining their charges to their immediate supervisor, or to the Equal Opportunity (EO) Liaison or the EO Administrator, in accordance with Department Order #601, Administrative Investigations.

1.2.1 If the employee's immediate supervisor is the subject of the complaint, the memorandum shall be submitted to their second-line supervisor, or to the EO Liaison or the EO Administrator.

1.2.2 Recipients of sexual harassment complaints shall, in accordance with Department Order #601, Administrative Investigations, determine the details of the situation that led to the complaint and provide them, in writing, to the PSB and to the EO Administrator.

1.2.3 Employees may use the employee grievance procedure, in accordance with Department Order #517, Employee Grievances, to file a grievance regarding sexual harassment.

1.3 The PSB Administrator shall, in accordance with Department Order #601, Administrative Investigations, ensure that:

1.3.1 A complaint file is initiated and the complaint is investigated.

1.3.1.1 After the investigation, the complaint file is forwarded, for review, to the Deputy/Assistant Director of the employee against whom the complaint was made.

1.3.2 Employees shall respond truthfully when interviewed about their complaint.

1.4 The Deputy/Assistant Director of the employee against whom the complaint was made shall, in accordance with Department Order #601, Administrative Investigations, ensure that:

1.4.1 The complaint file is returned through the appropriate Deputy/Assistant Director to the Warden, Deputy Warden or Bureau Administrator to determine findings and recommend applicable corrective discipline.

1.4.2 The completed complaint file, including findings and recommended corrective action, are forwarded to the Employee Relations Officer (ERO). The ERO shall review all complaint files.

1.4.2.1 If the ERO determines that the actions in review did not constitute sexual harassment, the complaint file shall be reviewed by the EO Administrator. If the ERO and the EO Administrator are in agreement on this conclusion, the complaint file shall be returned to the appropriate Deputy/Assistant Director for final imposition of corrective or disciplinary action, if appropriate.

1.4.2.2 If the ERO or the EO Administrator determine that the actions in review did constitute sexual harassment, the complaint file shall be forwarded to the Director, along with recommended corrective or disciplinary action.

1.5 The Director shall review the file and determine the findings and, if appropriate, any recommended corrective discipline.

1.5.1 After the Director's review, the complaint file is returned through the appropriate Deputy/Assistant Director to the Warden, Deputy Warden or Bureau Administrator for information and implementation of any approved corrective or disciplinary action.

1.5.2 A copy of any corrective or disciplinary action is provided to the EO Administrator.

1.6 Deputy Directors, Assistant Directors, Wardens, Deputy Wardens and Bureau Administrators shall:

1.6.1 Maintain records of sexual harassment complaints in accordance with Department Order #103, Correspondence/Records Control.

1.6.2 Ensure that documentation related to sexual harassment complaints is not placed in a complainant's Institution/Work Unit Personnel Files or supervisors' PACE files.

1.6.3 Ensure that complainants are not subjected to any form of retribution.

1.7 The Personnel Services Bureau Administrator shall ensure that documentation related to sexual harassment complaints is not placed in a complainant's Central Office Personnel File.

1.8 The EO Administrator shall provide a quarterly report to the Director outlining all sexual harassment complaints filed with the Equal Employment Commission or the Arizona Civil Rights Division during the quarter and the current status of each complaint.

501.05 EMPLOYMENT DISCRIMINATION

1.1 Supervisors at each level shall:

1.1.1 Ensure that their subordinates understand the elements of employment discrimination as defined by this Department Order, and clearly communicate that employment discrimination will not be tolerated.

1.1.2 Take immediate and appropriate action to stop employment discrimination if they observe it occurring or are aware or have been made aware that it is occurring or has occurred.

1.1.3 Ensure that complaints or grievances about discriminatory employment practices are immediately referred to their supervisors and that an information copy of each complaint or grievance is forwarded to the EO Administrator.

1.2 Employees who wish to file an employment discrimination complaint shall submit a memorandum outlining their charges to their immediate supervisor, or to the EO Liaison or the EO Administrator.

1.2.1 If the employee's immediate supervisor is the subject of the complaint, the memorandum shall be submitted to their second-line supervisor, or to the EO Liaison or the EO Administrator.

1.3 Recipients of employment discrimination complaints (the immediate supervisor, the second line supervisor, or the EO Liaison) shall:

1.3.1 Contact the complainant to discuss the complaint (or to attempt to resolve the complaint).

1.3.1.1 The EO Liaison shall notify the employee's supervisor at the appropriate level, consistent with Section 501.05, 1.2.1, before discussing the matter with the complainant.

1.3.2 Conduct a preliminary investigation to determine:

1.3.2.1 If facts regarding the complaint warrant further investigation.

1.3.2.2 Whether the complaint can be resolved (this includes listening to ideas the employee may have about how to correct the situation).

1.3.2.3 Whether immediate intervention is necessary.

1.3.3 Provide findings and recommendations to the appropriate Warden, Deputy Warden or Bureau Administrator within ten workdays after receiving the complaint.

1.3.3.1 If additional time is needed, the Warden's approval shall be obtained.

1.3.3.2 Complainants shall respond truthfully when interviewed about their complaint.

1.4 After receiving the complaint, the Warden, Deputy Warden or Bureau Administrator shall:

1.4.1 Provide details of the complaint to the EO Liaison and the EO Administrator.

1.4.2 Meet with the complainant and attempt to resolve complaints informally.

1.4.3 Advise the EO Liaison and the EO Administrator, within ten workdays after receiving the complaint, of reasonable resolution of the complaint, or future action to be taken to resolve the complaint.

1.5 Within five workdays after receiving the findings and recommendations, the Warden, Deputy Warden or Bureau Administrator shall determine (whether or not the complaint is sustained) if:

1.5.1 Additional investigation is required.

1.5.1.1 If further investigation is required, the Warden, Deputy Warden or Bureau Administrator shall ensure that the most appropriate method of investigation is initiated and completed.

1.5.1.2 If employee misconduct is involved, the investigation shall be conducted in accordance with Department Order #601, Administrative Investigations.

1.5.2 If additional investigation is not required.

1.6 If the complaint is sustained, the Warden, Deputy Warden or Bureau Administrator shall:

1.6.1 Provide written notification of finding to the complainant.

1.6.2 Forward a copy of all documentation related to the complaint to the EO Administrator.

1.7 If the complaint is unsustained, the Warden, Deputy Warden or Bureau Administrator shall:

1.7.1 Provide written notification of that finding to the complainant.

1.7.2 Forward copies of all documentation related to the complaint, including the investigative reports and a report explaining why the complaint is unsustained, to the Deputy/Assistant Director(s) of the division(s) to which the complainant and the subject of the complaint are assigned.

1.7.3 Forward a copy of all documentation related to the complaint to the EO Administrator.

1.8 The complainant's Assistant Director shall determine, within five workdays after receiving the documentation of an unsustained complaint, whether to accept, modify or reverse the finding.

1.8.1 If the finding is accepted, the completed file shall be forwarded to the EO Administrator.

1.8.2 If the finding is modified or reversed, the EO Administrator and the Warden, Deputy Warden or Bureau Administrator who submitted the finding shall be notified.

1.8.3 The Warden, Deputy Warden or Bureau Administrator shall make whatever revisions are necessary and implement the appropriate corrective action.

1.9 The EO Administrator shall:

1.9.1 Assist the Warden, Deputy Warden, Bureau Administrator or designee or the EO Liaison with the investigation and resolution of employment discrimination complaints when requested.

1.9.2 Ensure that all complaints alleging employment discrimination are thoroughly reviewed, investigated and resolved at the lowest appropriate level.

1.9.3 Conduct follow-up investigations when necessary.

1.9.4 Upon receipt of a resolved complaint that has also been filed with an agency outside of the Department, contact the complainant and provide instructions on how to withdraw the complaint, should they wish to do so.

1.9.5 Upon receipt of an unresolved complaint filed with an agency outside of the Department, review the complete report, investigate and provide the findings and recommendations to the Director, who shall then make a final determination.

1.10 Assistant Directors, Wardens, Deputy Wardens and Bureau Administrators shall:

1.10.1 Maintain records of employment discrimination complaints in accordance with Department Order #103, Correspondence/Records Control.

1.10.2 Ensure that documentation related to employment discrimination complaints filed by a complainant is not placed in the Institution/Work Unit Personnel Files or supervisors' PACE files.

1.10.3 Ensure that complainants are not subjected to any form of retribution.

1.11 Employees may use the employee grievance process, in accordance with Department Order #517, Employee Grievances, to grieve employment discrimination if not otherwise resolved through the use of this process.

1.12 The Personnel Services Bureau Administrator shall ensure that documentation related to employment discrimination complaints is not placed in the complainant's Central Office Personnel File.

1.13 The EO Administrator shall provide a quarterly report to the Director outlining all employment discrimination complaints filed with the Equal Employment Commission or the Arizona Civil Rights Division during the quarter and the current status of each complaint.

501.06 SECONDARY EMPLOYMENT - Secondary employment, outside official work hours, is permitted provided no conflict of interest exists between the employee's job responsibilities within the Department and the secondary employment.

1.1 Within one workday of accepting secondary employment, the employee shall submit a completed Notification of Secondary Employment, Form 501-1P, to their immediate supervisor.

1.2 The notification shall be reviewed by the employee's immediate supervisor to determine if:

1.2.1 There is a "conflict of interest," in accordance with the criteria listed in the Definitions section of this Department Order.

1.2.2 The secondary employment has an adverse impact on the Department.

1.2.3 The secondary employment would impair the employee's capacity to perform the duties and responsibilities of the employee's job in an acceptable manner.

1.3 If there appears to be a conflict, the supervisor shall:

1.3.1 Contact the employee and discuss the secondary employment in detail.

1.3.2 Discuss the information with the Warden or Bureau Administrator and determine if a conflict actually does or does not exist.

1.3.3 Forward the completed Notification of Secondary Employment, through the chain of command, to the Assistant Director of the respective division .

1.4 The Assistant Director shall review the notification, decide if a conflict of interest does or does not exist, sign the notification and forward the decision to the employee's supervisor.

1.5 Upon receipt of the signed notification form from the Assistant Director, the employee's supervisor shall meet with and advise the employee whether a conflict does or does not exist. If a conflict exists:

1.5.1 The employee shall decide which job they wish retain; the primary employment with the Department or the secondary employment.

1.5.2 The employee shall communicate his/her decision to the immediate supervisor within three workdays.

1.5.3 If the employee refuses to choose between the two jobs, the Department shall take appropriate disciplinary action up to and including dismissal.

1.6 The employee may appeal the Assistant Director's decision in accordance with Department Order #517, Employee Grievances.

1.7 If, at any time, the secondary employment adversely impacts on the Department or impairs the employee's capacity to perform the duties and responsibilities of the job, the Department shall advise the employee. The employee shall decide which job he/she wishes to retain; the primary employment with the Department or the secondary employment.

1.7.1 If a decision is not made within the established time frame or the employee refuses to choose between the two jobs, the immediate supervisor shall take appropriate disciplinary action up to and including dismissal.

ATTACHMENTS

Attachment A, Code of Ethics

FORMS LIST

Notification of Secondary Employment, Form 501-1P

DEFINITIONS

APPROVING AUTHORITIES - Individuals to whom the Director has delegated authority to recommend corrective disciplinary action and implement that which is approved. Approving authorities include Deputy Directors, Assistant Directors, Regional Operations Directors, Regional Health Administrators, Wardens, Deputy Wardens and Bureau Administrators, and are designated in accordance with the pay grade level of the employee to be disciplined, and the severity of the corrective disciplinary action. See Department Order #508, Employee Discipline.

COMPLIANCE - Any employee's on and off duty behavior that conforms to the requirements of State and Federal laws, State Rules and Department Orders, including those related to employee conduct, conflict of interest, and political activity listed in the Authority section of this Order. Additionally, the on and off duty behavior of any employee that conforms to the Department's Code of Ethics (See Attachment A).

CONFLICT OF INTEREST - Any activity or conduct that is prohibited by Arizona Administrative Code R2-5-501, Standards of Conduct, as well as by related Arizona Revised Statute and Department Orders, to include positions:

CORRECTIVE DISCIPLINARY ACTION - Sanctions that an approving authority may take for sustained allegations of misconduct, pursuant to Department Order #601, Administrative Investigations, and Department Order #508, Employee Discipline, following an PSB investigation of a staff arrest incident/serious traffic violation.

CUSTODIAL RESPONSIBILITY - Having responsibility for the care, management or control of an inmate committed to the Department, or an offender under supervision of the Department.

EMPLOYEE - Any person compensated for working full-time, part-time or under temporary appointment, or providing services under volunteer, internship or contractual arrangement with the Department.

EMPLOYMENT DISCRIMINATION - Any personnel transaction/employment decision that has an adverse effect, whether intentional or unintentional, on an employee under the law, regarding matters of race, color, sex, religion, national origin, age, disability, veteran status or political affiliation.

EMPLOYMENT DISCRIMINATION COMPLAINT - Complaints related to employment discrimination, with the exclusion of sexual harassment.

EQUAL OPPORTUNITY ADMINISTRATOR - A position assigned to the Director's Office in which the incumbent coordinates all Equal Opportunity matters.

EQUAL OPPORTUNITY LIAISON - Staff members designated by Wardens, Deputy Wardens and Bureau Administrators to be the EO Administrator's liaison for local Equal Opportunity issues and complaints.

HIRING AUTHORITY - Individual or area to whom authority has been delegated to offer employment to qualified applicants.

INITIAL ADMINISTRATIVE ACTION - Temporary administrative remedies (e.g., immediate temporary reassignment of an employee from current duties or administrative leave with pay pending review of the investigation report) that an approving authority may take immediately following a PSB investigation of a staff arrest incident/serious traffic violation involving a subordinate, or incidents involving employee misconduct.

INMATE - A person who is convicted and committed to the custody and supervision of the Department by any court of record, or who is confined by the Department under the provisions of any agreement or compact to which the State or Department is a party.

INMATE'S FAMILY - An inmate's legal spouse, parents, step-parents, siblings, natural or adopted children, step-children, grandparents and in-laws. Also a person who was primarily responsible for the rearing of the inmate in the absence of a parent, such as uncle, aunt or God-parent.

MISCONDUCT - An employee's criminal act or behavior that is not in compliance with Department Orders, rules and regulations while on or off duty.

PERSONNEL TRANSACTION (EMPLOYMENT DECISION) - A decision made or an action taken regarding an employee including, but not limited to, recruitment, hiring, placement, reclassification, training, licensing, transfer, promotion, demotion, rate of pay, lay-off, termination, or reinstatement.

PROFESSIONAL DEMEANOR - Personal conduct and behavior that exemplifies a courteous, business-like attitude. As examples of professional demeanor, employees shall:

SERIOUS TRAFFIC VIOLATION - Any criminal violation under the provisions of A.R.S. Title 28 (Traffic Code), e.g., hit and run, driving under the influence, reckless driving, or other violations that could result in the imposition of a jail sentence and/or suspension/revocation of the violator's driver license.

SEXUAL HARASSMENT - Verbal or physical conduct of a sexual nature in the work place imposed upon any employee as a condition of employment or creating a sexually intimidating, hostile or offensive work environment. There are two basic types of sexual harassment:

Specific acts that constitute sexual harassment include but are not limited to:

Sexual harassment involves a variety of circumstances, including, but not limited to the following:

In determining whether alleged conduct constitutes sexual harassment, a person needs to study the issues as a whole and the totality of circumstances, such as the nature of sexual advances and the context in which the alleged incidents occurred. The determination of legality of a particular action will be made from facts, on a case-by-case basis.

STAFF ARREST - Arrest, citation, summons or indictment of staff for a felony or misdemeanor, including serious traffic violations, or other contacts/confrontations with law enforcement that could cause embarrassment to the Department.

UNAUTHORIZED BEHAVIOR - Any activity or contact with an inmate or an inmate's family that is unrelated to the employee's assigned duties and/or Department business.

AUTHORITY

A.R.S. 13-1419, Unlawful Sexual Conduct.

A.R.S. 13-2513, Failure to Discharge Duties.

A.R.S. 31-203, Persons Disqualified as Officers or Employees; Removal for Intoxication.

A.R.S. 31-204, Interest of Employee in Contracts; Gift to or from Prisoner; Penalty.

A.R.S. 31-204.A, Interest of Employee in Contracts; Gifts to or from a Prisoner; Penalty.

A.R.S. 31-231, Unauthorized Communications With Prisoner.

A.R.S. 38-501, et seq, Conflict of Interest.

A.R.S. 38-532, Disclosure of Information by Public Employees.

A.R.S. 41-770, Cause for Discipline or Dismissal from State Service.

A.R.S. 41-772, Political Activity.

A.R.S. 41-773, Improper Use of Official Position.

A.R.S. 41-775, Criminal Penalty - Violation of Statutes Prohibiting Political Activity, Improper use of Office.

A.R.S. 41-1401, et seq, Arizona Civil Rights Act.

A.R.S. 41-1602, The Department of Corrections; Purpose.

A.R.S. 41-1643, et seq, Discrimination of Race, Color, Religion, Sex, Age, Handicap or National Origin; Unlawful Practices of Employers, Employment Agencies and Labor Organizations; Exceptions; Definition.

A.A.C. R2-5-501, Standards of Conduct.

A.A.C. R2-5-701., Grievance System.

A.A.C. R2-5-702., Grievance Procedures.

U.S. Civil Rights Act of 1964, Title VII, 703, as amended, 42 U.S.C. 2000e-2.

5 U.S.C., Sections 1501 to 1508 (Hatch Act prohibiting improper political activity by public employees.)

28 CFR, Part 36; 29 CFR, Parts 1602, 1627 and 1630, The Americans With Disabilities Act.

29 CFR, Chapter 14, Part 1607, Uniform Guidelines on Employment Procedure (1978), et seq.


ATTACHMENT A

DEPARTMENT ORDER 501


ARIZONA DEPARTMENT OF CORRECTIONS

CODE OF ETHICS


The Arizona Department of Corrections is committed to a code of ethics that will guide the performance, conduct and behavior of its employees. This code will ensure that our professionalism is reflected in the operation and activities of the Department and is recognized by all interested parties. In this light, the following principles are practiced:

I shall maintain high standards of honesty, integrity, and impartiality, free from any personal considerations, favoritism, or partisan demands.

I shall be courteous, considerate, and prompt when dealing with the public, realizing that we serve the public.

I shall maintain mutual respect and professional cooperation in my relationships with other staff members of the Department of Corrections.

I shall be firm, fair, and consistent in the performance of my duties. I shall treat others with dignity, respect, and compassion and provide humane custody and care, void of all retribution, harassment, or abuse.

I shall uphold the tenets of the United States Constitution, its amendments, the Arizona Constitution, Federal and State laws, rules and regulations, and policies of the Department.

Whether on or off duty, in uniform or not, I shall conduct myself in a manner that will not bring discredit or embarrassment to the Department of Corrections and the State of Arizona.

I shall report without reservation any corrupt or unethical behavior which could affect either inmates, employees, or the integrity of the Department of Corrections.

I shall not use my official position for personal gain.

I shall maintain confidentiality of information that has been entrusted to me and designated as such.

I shall not permit myself to be placed under any kind of personal obligation which could lead any person to expect official favors.

I shall not accept or solicit from anyone, either directly or indirectly, anything of economic value such as a gift, gratuity, favor, entertainment, or loan, which is or may appear to be, designed to influence my official conduct.

I will not discriminate against any inmate, employee, or any member of the public on the basis of race, gender, creed, or national origin.

I will not sexually harass or condone sexual harassment with or against any person.

I shall maintain the highest standards of personal hygiene, grooming, and neatness while on duty or otherwise representing the Department.


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