CHAPTER: 500

PERSONNEL/HUMAN RESOURCES

OPR:

ACI

AS

HR/D

 

 

DEPARTMENT ORDER MANUAL

DEPARTMENT ORDER: 512

EMPLOYEE ASSIGNMENTS, WORK HOURS, COMPENSATION AND LEAVE

 SUPERSEDES:

SEE ATTACHMENT C
EFFECTIVE DATE:
SEPTEMBER 1, 1996

 

TABLE OF CONTENTS

  PURPOSE

PROCEDURES  
512.01 SCHEDULING, REPORTING HOURS WORKED, COMPENSATION
512.02 POST ASSIGNMENTS AND UNIT ROTATION
512.03 CORRECTIONAL OFFICER RESOURCES FOR ACI OPERATIONS
512.04 CALL OUTS
512.05 STANDBY DUTY
512.06 HIGH RISK ASSIGNMENT PAY
512.07 ADJUSTED OR FLEXIBLE WORK SCHEDULES (SEE DO #520, EMPLOYEE TRAVEL REDUCTION)
512.08 SALARY ADVANCE/ADMINISTRATIVE ADJUSTMENTS
512.09 PAYROLL DIRECT DEPOSIT
512.10 ACI SALES AND MARKETING COMMISSION
AND QUOTA PAY
512.11 OVERTIME COMPENSATION
512.12 REPORTING ATTENDANCE AND ABSENCES
512.13 LEAVE
512.14 TRANSFER OF ANNUAL LEAVE
512.15 RECOGNITION LEAVE
IMPLEMENTATION
DEFINITIONS
AUTHORITY
ATTACHMENTS

PURPOSE

This Department Order contains requirements and procedures for scheduling, assigning, tracking and reporting work hours and assignments and for authorizing, granting, approving and tracking leave.

PROCEDURES

512.01 SCHEDULING, REPORTING HOURS WORKED, COMPENSATION - Supervisors at all levels, including Assistant Directors, Wardens, Deputy Wardens, Administrators and Bureau Administrators shall:

1.1 Approve, report and monitor their subordinates' work schedules, absences and overtime.

1.2 Ensure that all employees under their supervision:

1.2.1 Are compensated in accordance with this Order.

1.2.2 Work their assigned schedules and designated hours only, unless a revised schedule is preapproved by the supervisor.

1.2.3 Obtain their supervisor's prior approval for changes to their regular work schedules.

1.2.4 List the actual time worked and leave taken on the Positive Attendance Report (PAR), Form 20300012.

512.02 POST ASSIGNMENTS AND UNIT ROTATION

1.1 Establishing Shifts and Assignments - Wardens and Deputy Wardens shall establish shifts and Correctional Officer post assignments based on the needs of the institution.

1.2 Correctional Officer Work day - The work day for a Correctional Officer begins when the officer is at the duty post.

1.2.1 Clearing the metal detector or other time spent getting to the assigned unit and duty post is not considered on-duty time.

1.2.2 Supervisors shall not assign Correctional Officers mandatory duties, such as picking up mail or waiting for paperwork to be approved, either prior to or after the end of their shifts.

1.2.3 When Correctional Officers are called upon for a work emergency before or after their shifts, this time shall be considered overtime in accordance with section 512.11.

1.3 Changes in Shifts or Assignments

1.3.1 Wardens and Deputy Wardens shall ensure that, whenever possible, employees are given at least two weeks notice of a change in post assignment or shift. This allows employees to make necessary personal arrangements to conform with the changes, such as child care and car pool arrangements.

1.3.2 Work assignments and shifts may be changed in emergencies without notice.

1.4 Rotation of Correctional Officer Assignments - Correctional Officer post assignments shall be regularly rotated to provide officers with experience that enables them to perform all duties and assignments of a Correctional Officer.

1.4.1 All Correctional Officers shall be able to perform all Correctional Officer functions and assignments, to avoid potential serious harm and disruption to the safe and secure operation of institutions and to provide greater management flexibility for assigning staff when normal operations are disrupted.

1.4.2 The following posts shall be excluded from regular annual rotation. No Correctional Officer shall be assigned to a specialty post for more than five years. Rotation prior to five years shall be at the sole discretion of the Warden/Administrator.

1.4.2.1 Assignments that require staff with specialized training, licensing, certification, and/or special weapons qualifications.

1.4.2.2 Assignments that are based upon special selection criteria.

1.4.3 All other Correctional Officer work assignments shall be rotated annually, at a minimum.

1.4.4 Supervisors shall ensure that every Correctional Officer, both male and female, has experience in all other posts at their location and on their shifts. Gender shall only be considered when specific, documented, bona fide, job-related criteria restrict an assignment to either a male or a female officer.

1.4.5 Seniority shall not be considered when making rotation assignments.

1.5 Unit Rotation - All classifications of Prison Operations employees, including Correctional Officers, who have direct inmate contact within a prison complex shall be rotated from unit to unit.

1.5.1 Each employee shall be subject to a unit rotation after three to five years of service in a particular unit.

1.5.1.1 No employee shall be assigned to a unit or specialty post longer than five years.

1.5.1.2 Agency management retains the right to rotate employees more frequently, if necessary.

1.5.1.3 To the extent possible, employees shall be rotated to a unit with a different custody level, in order to broaden the employee's experience and aid in professional development.

1.5.1.3.1 For example, unless prevented by extenuating circumstances, an employee shall not be transferred from one maximum security unit to another maximum security unit, such as SMU I to SMU II.

1.5.1.4 To the extent possible, employees shall retain their shift and regular days off.

1.5.2 Wardens shall develop and maintain a tracking process, to ensure that rotation of employees is conducted in an equitable and systematic fashion. This process shall be maintained, monitored and evaluated at both the complex and unit level.

1.6 Correctional Officer II Assignments - Supervisors shall vary work assignments of Correctional Officer IIs in order to prepare them for promotion to Sergeant, but shall retain ultimate responsibility for the consequences of a Correctional Officer II acting in a lead or temporary supervisory position.

1.6.1 A Correctional Officer II may be assigned to a lead position, which requires the officer to act as lead officer and to make independent decisions. Lead positions include, but are not limited to:

1.6.1.1 Supervising inmate work crews or search and inspection crews.

1.6.1.2 Serving as a trainer, Work Incentive Pay Plan (WIPP) officer, inmate housing movement officer, lead yard officer or lead main control officer.

1.6.2 Correctional Officer IIs may be temporarily assigned to supervisory positions in the absence of a supervisor for a period not to exceed 30 consecutive days.

1.6.2.1 Supervisors may delegate duties/responsibilities to Correctional Officer IIs. However, a Correctional Officer II shall not be a formal step in the chain of command.

1.6.2.2 Correctional Officer IIs shall submit written recommendations, regarding personnel actions to supervisors, when acting as a temporary supervisor.

1.6.2.3 Correctional Officer IIs shall not carry out employee disciplinary actions, conduct performance appraisals, or take any type of personnel action.

1.6.3 When a Correctional Officer II is not available, the supervisor may assign a Correctional Officer I to a lead position. However, Correctional Officer Is shall not be placed in positions that would supervise a Correctional Officer II.

512.03 CORRECTIONAL OFFICER RESOURCES FOR ACI OPERATIONS

1.1 ACI Owned-and-Operated Activities including ACI Agricultural Operations - Correctional Officer security requirements for these ACI operations shall be as recommended by the affected Warden and approved by the Deputy Director for Prison Operations for permanent staffing.

1.1.1 Once staffing is approved, the host institution shall pay the costs of Correctional Officer supervision for ACI owned-and-operated activities (including ACI farm operations).

1.1.2 Prior to approved staffing or in the event of additional temporary requirements to support existing operations, ACI shall reimburse the host institution for the personnel services expenses of security supervision, as determined by the Deputy Director for Prison Operations.

1.2 Full-Time, Year-Round ACI/Private Sector (ACI/PS) Work Programs - Security requirements for work programs in this category shall be developed and submitted for approval, as a joint recommendation, by the Assistant Director for ACI and the affected Warden to the Deputy Director for Prison Operations.

1.2.1 Correctional Officers assigned to provide security for these work programs shall be drawn from the host institution.

1.2.2 To offset the additional staffing requirements, the Deputy Director for Prison Operations shall assign an equitable number of Limited-Term Correctional Officer positions from Prison Operations to the host institution for use as the Warden deems appropriate.

1.2.2.1 The Deputy Director for Prison Operations shall submit recommendations for establishing Limited-Term Correctional Officer positions to provide security supervision for full-time, year-round ACI/PS work programs to the Director for approval.

1.2.3 ACI shall invoice the private sector partner for personnel services expenses for Correctional Officers (including salary, uniform allowance, employee related expenses and an appropriate relief factor) and shall subsequently reimburse Prison Operations.

1.3 Seasonal and/or Sporadic ACI/Private Sector Work Programs - Security requirements for work programs in this category shall be developed and submitted for approval, as a joint recommendation, by the Assistant Director for ACI and the affected Warden to the Deputy Director for Prison Operations.

1.3.1 The duty-status of Correctional Officers assigned to these work programs shall be determined on a case-by-case basis by the Deputy Director for Prison Operations.

1.3.2 ACI shall invoice the private sector partner for personnel services expenses for Correctional Officers (including salary, uniform allowance, employee related expenses and an appropriate relief factor) and shall subsequently reimburse the host institution.

1.4 The Assistant Director for ACI shall ensure all new Correctional Officer resource requirements for ACI operations are submitted for approval to the Deputy Director for Prison Operations.

1.5 Wardens shall ensure Correctional Officers assigned to ACI operations are experienced officers.

512.04 CALL-OUTS

1.1 Call-Out of Employees - Rotational Assignments - Employees may be called out on a rotational basis, by telephone or pager, when needed.

1.1.1 Criminal Investigations - All Criminal Investigations Bureau (CIB) staff shall be assigned a pager for communication.

1.1.1.1 The CIB Unit Manager shall give each institution Main Control Center a Criminal Investigations Unit call-out roster of investigators.

1.1.1.2 In case of an emergency, the Control Officer shall use the call-out roster of investigators, continuing down the list until the officer contacts an investigator who can respond.

1.1.2 Maintenance Staff - When there is a maintenance emergency, institutional staff shall start at the top of a current list of maintenance staff assigned to the institution and call until they reach a maintenance employee who can respond to the call-out.

1.1.2.1 The list shall be rotated monthly.

1.1.2.2 If no maintenance staff are available through this method, then alternate means shall be employed to correct the problem, such as contracted tradesman, inmate workers, or staff from the nearest Department facility.

1.2 Compensation for Call-Outs for Covered Employees

1.2.1 When employees are called out, the regular rate of pay shall begin from when the employee is ordered to report to work and shall continue through completion of the work and a reasonable transit time.

1.2.2 Deputy Directors, Assistant Directors, Regional Operations Directors, Regional Health Administrators, Wardens, Deputy Wardens, Administrators, Bureau Administrators and timekeepers shall:

1.2.1 Compensate employees for any overtime that results from travel time to and from their residence and their duty post, in accordance with their overtime election and this Department Order. Employees shall not, however, be reimbursed for mileage or other travel expenses, under these circumstances.

1.2.2 Consider travel time as hours worked and authorize travel expense reimbursement for employees who are called out to an assignment that places them in "travel status."

1.3 Compensation for Call-Outs for Uncovered Employees - These employees shall report time in accordance with section 512.12 when called out. These employees shall be compensated in accordance with section 512.11.

512.05 STANDBY DUTY

1.1 In emergencies, the Director, Deputy Director, Assistant Directors or Wardens may authorize standby duty. For the purposes of standby assignments, emergencies are considered to be those related to emergency searches, disturbances, or other emergencies or unusual circumstances declared by the Director, Deputy Director, Assistant Directors or Wardens.

1.2 Supervisors shall give precise instructions to employees assigned to standby duty, regarding where they are to stand by, any preparations that they shall make for the assignment, and any restrictions that apply.

1.3 Whenever possible, during an ongoing emergency situation, supervisors shall notify their employees at least 48 hours before the start of standby duty assignments.

1.3.1 Advance notice shall not be required for initial response to, or due to changing circumstances related to, the emergency.

1.4 While on standby duty, employees shall abstain from alcohol, be available for immediate response to duty and comply with other restrictions specified by their supervisors.

1.5 Standby duty shall be considered work. When placed on standby duty, employees may accumulate more than 40 work hours during the work week. If this occurs, the employee shall be compensated for the overtime in accordance with 512.11.

512.06 HIGH RISK ASSIGNMENT PAY - High Risk Assignment Pay (HRAP) is intended for employees whose duties are extraordinarily demanding due to exposure to dangerous inmates and/or dangerous situations.

1.1 Majors, Captains, Lieutenants, Sergeants, Correctional Officer Is, Correctional Officer IIs and Correctional Officer IIIs who are permanently assigned to the following units or tasks shall receive HRAP.

1.1.1 Level five Units:

1.1.1.1 ASPC - Florence - CB6 and Central Unit including Housing Unit Eight and In-Patient Component (IPC), Protective Segregation.

1.1.1.2 ASPC - Eyman - Special Management Units I and II.

1.1.1.3 ASPC-Phoenix - Alhambra Unit-Reception Area and Baker Ward, Flamenco.

1.1.1.4 ASPC-Perryville - Santa Maria and all Death Row areas.

1.1.1.5 Detention Units - Limited to employees permanently assigned to a Detention Unit and whose post assignment is restricted to the Detention Unit.

1.1.2 Other Units/Assignments:

1.1.2.1 ASPC-Tucson, Rincon Minors and IPC, St. Mary's Hospital and ASPC-Perryville, Santa Maria/Minors.

1.1.2.2 Duty assignments where the employee is permanently assigned to the Offender Services Special Services Unit and transports inmates to/from other states or where the employee is assigned to an institution Transportation Unit and transports level five inmates.

1.2 Qualified employees permanently transferring or promoting into one of these units/assignments shall receive HRAP effective on the first day of the assignment.

1.3 Other employees who are permanently or temporarily assigned, in excess of 80 hours in a calender month, to work in one of the units listed above may apply for consideration to receive HRAP.

1.3.1 The requesting employee shall complete and submit a High Risk Assignment - Threat Assessment Worksheet, Form 512-17P to the Deputy Warden. Inmate Health Service employees shall submit the worksheet to the Facility Health Administrator.

1.3.2 The Deputy Warden or Facility Health Administrator shall, within five work days, review the worksheet, evaluate and score the worksheet indicating agreement/disagreement with the information and forward the worksheet including a recommendation to the Warden.

1.3.3 The Warden shall, within five work days, review the form and approve or deny HRAP for the employee. The High Risk Assignment - Threat Assessment Worksheet shall be returned to the employee indicating the results of the assessment.

1.3.4 Employees assigned to Complex Security shall submit the worksheet to the Warden. The Warden shall evaluate and score the worksheet, and approve or deny HRAP for the employee.

1.3.5 Staff positions certified in accordance with the worksheet by the Warden, Deputy Warden or Facility Health Administrator to have 15 points or higher shall receive HRAP upon final approval by the Warden.

1.3.5.1 If an employee is determined ineligible and not approved for HRAP, the employee may request a review of this determination by submitting a memorandum that specifically outlines the reason(s) for disagreement and the High Risk Assignment - Threat Assessment Worksheet indicating disapproval by the Warden, to the appropriate Deputy Director within five work days of receipt of the results.

1.3.5.2 The Deputy Director shall review the information and make a final determination as to whether the employee is certified to receive High Risk Assignment Pay.

1.3.6 The Warden, Deputy Warden or Facility Health Administrator shall:

1.3.6.1 Initiate or cancel an employee's HRAP by forwarding a memorandum containing the authorization, and the effective date of the action, to the Personnel Liaison, with a copy to the employee.

1.3.6.2 Ensure that the Personnel Liaison directly enters, into the Human Resource Management System (HRMS), the information required to implement the action.

1.4 Employees who receive HRAP shall receive additional compensation up to a maximum of $720 per year added to the employee's base pay. The Administrative Services Payroll Unit shall ensure that HRAP is added to each eligible employee's base pay and included in the employee's regular biweekly paycheck.

1.5 Periods of Interrupted Service, or temporary assignment to a unit listed in section 1.1 resulting in less than eighty hours worked in a calendar month shall exclude an employee from receiving HRAP.

1.6 Wardens, Deputy Wardens and Administrators are not eligible for HRAP unless authorized by the Director.

1.7 The Director, at his sole discretion, may designate staff positions, posts or assignments not listed in section 1.1 through 1.1.2.2 as eligible for HRAP. In such cases, the Deputy Director for Administration shall:

1.7.1 Initiate or cancel an employee's HRAP by forwarding a memorandum containing the authorization, and the effective date of the action, to the Personnel Liaison, with a copy to the employee.

1.7.2 Ensure that the Personnel Liaison directly enters, into the Human Resource Management System (HRMS), the information required to implement the action.

1.8 Based upon budgetary constraints, the Director may suspend payment of all HRAP.

512.07  (SEE DO #520, EMPLOYEE TRAVEL REDUCTION)

512.08 SALARY ADVANCE/ADMINISTRATIVE ADJUSTMENTS

1.1 In unusual circumstances that have caused an extreme hardship, or when an employee has not received a paycheck after working three weeks or more, the Department may authorize a salary advance.

1.1.1 A salary advance shall not exceed $500. Permanent employees shall not receive salary advances of more than 60%, and temporary employees not more than 65%, of their gross earned income.

1.1.2 Employees who receive a salary advance shall repay the advance, in full, no later than the first payday immediately following the date the employee received the advance.

1.1.3 An employee who wants a salary advance shall submit a written request for a salary advance to the Budget Unit Supervisor or designee, with an explanation of the emergency that caused the hardship.

1.1.4 The Budget Unit Supervisor shall:

1.1.4.1 Determine whether the salary advance is justified and whether the requesting employee has sufficient earnings to cover the advance.

1.1.4.2 If so, contact the Business and Finance Bureau Administrator to request approval of the salary advance. No salary advances shall be dispersed without prior approval of the Administrator, or designee.

1.1.5 The Business and Finance Bureau Administrator shall:

1.1.5.1 Obtain approval of the request from the Assistant Director for the DOA Finance Division.

1.1.5.2 Forward written approval of the request to the Business Manager at the institution/facility/unit. This written approval shall be kept as supporting documentation for the check written.

1.2 Administrative Salary Adjustments - THIS SECTION HAS BEEN RESCINDED.

512.09 PAYROLL DIRECT DEPOSIT - Department employees may have their paychecks directly deposited into their bank accounts.

1.1 Eligible employees may request direct deposit by completing and submitting Employee's Authorization for Automatic Deposit, Form GAO065, to Central Office Payroll.

512.10 ACI SALES AND MARKETING COMMISSION AND QUOTA PAY

1.1 An Arizona Correctional Industries (ACI) Industrial Products Sales Representative (at pay grade 16) assigned to ACI's Sales and Marketing Bureau may receive:

1.1.1 A commission of additional monthly compensation as an additional incentive to sell ACI products and services. Commissions shall be based on a percentage of the sales price of ACI goods or services sold.

1.1.2 An annual bonus payment of additional compensation, from ACI's revolving fund, that is paid annually to eligible employees who achieve 100% or more of their quota for orders shipped. Quotas shall be based on a proportional part or share of the total sales objective assigned to an ACI Industrial Sales Representative.

1.2 The ACI Sales and Marketing Bureau Administrator shall:

1.2.1 Develop and recommend annual commission rates and quotas for eligible employees.

1.2.2 At least once a year, conduct a review of quotas and, where appropriate, recommend adjustments.

1.2.3 Consider the achievement of individual sales quotas as a factor in the annual Employee Performance Appraisal System. Individual Industrial Products Sales Representatives under this plan shall be ineligible for merit pay increases.

1.2.4 Include commission and bonus information in the monthly sales report submitted to the Assistant Director for ACI.

1.3 The ACI Finance Bureau Administrator shall:

1.3.1 Maintain a record, for each eligible employee, of all sales data and orders received and shipped.

1.3.2 Ensure that eligible employees receive authorized commissions and bonuses.

1.3.3 Compute and authorize appropriate monthly commissions and annual bonuses.

512.11 OVERTIME COMPENSATION

1.1 FLSA Provisions - The Fair Labor Standards Act (FLSA) provisions for earning overtime and for overtime compensation apply as follows:

1.1.1 The following chart shows eligibility for compensation for overtime for the different categories of positions:

  Uncovered Employees Covered Employees


Compensatory Time or Paid Compensation		 Excluded

FLSA

Exempt

 FLSA-

Non-

Exempt

 Excluded

FLSA

Exempt

 FLSA-

Exempt

 FLSA-

Nonexempt
Comp. time or pay No Yes No Yes Yes
Comp. time of one hour for each hour OT worked

No

No

No

Yes

No
1½ hours comp. time for each hour OT worked

No

Yes

No

No

Yes
Pay at 1½ times the current rate of pay for each hour OT worked

No

Yes

No

No

Yes
Specially approved hour-for-hour payment

No

No

No

Yes

No

1.1.2 Employees in Covered/Uncovered Excluded FLSA-Exempt Positions - These employees:

1.1.2.1 Do not receive additional compensation for overtime or extra hours, unless the Director approves hour-for-hour cash payment for overtime when:

1.1.2.1.1 The employee in that position works overtime hours during escapes or disturbances, if funds are available.

1.1.2.1.2 The DOA Director approves cash payment for any other reason.

1.1.2.2 Shall be paid hour-for-hour for extra hours if the total of regular (scheduled) hours worked, unscheduled hours worked and leave hours taken in one work week exceeds 40 hours, but the total hours worked is 40 hours or less. When over 40 hours are worked, the extra hours are overtime.

1.1.3 Employees in Covered/Uncovered FLSA-Nonexempt Positions - These employees shall receive hour-for-hour pay for extra hours, if the total of regular (scheduled) hours worked, unscheduled hours worked and leave hours taken in one work week exceeds 40 hours, but the total hours worked is 40 hours or less. When over 40 hours are worked, the extra hours are overtime.

1.2 Extra Hours - Attachment A includes examples of situations involving payment of extra hours.

1.3 Overtime Compensation Election by FLSA Non-Exempt Employees - All new employees in FLSA-nonexempt positions, either covered or uncovered, shall complete an Overtime Compensation Election to choose the method of overtime compensation each employee wishes to receive.

1.3.1 Selection - The employee shall complete an Overtime Compensation Election, Form 20300039, which shall indicate agreement between the employee and the Department, and shall select either compensatory leave or cash payment (subject to the Department's authorization and availability of funds).

1.3.2 Revised elections - Employees may change their election at any time after the initial implementation by submitting a new Overtime Compensation Election through their assigned Personnel Liaison. Subsequent changes may be made 90 days after the previous election change.

1.3.3 Failure to Elect Form of Compensation - If an employee fails or refuses to complete an Overtime Compensation Election, the employee shall receive either compensatory leave at a rate of 1½ hours or cash payment at the rate of 1½ times the regular rate of pay (subject to authorization by the Department and the availability of funds) for each hour of overtime.

1.3.4 Processing the elections - Upon receipt of an employee's new/revised Overtime Compensation Election, the assigned Personnel Liaison shall:

1.3.4.1 Key the changes into HRIS.

1.3.4.2 Distribute and file the copies as indicated on the Overtime Compensation Election form.

1.3.4.3 SECTION DELETED

1.3.4.4 SECTION DELETED

1.3.5 Updating the Personnel and Payroll Databases - The Personnel Services Bureau shall:

1.3.5.1 Update the HRMS and the Arizona Personnel, Payroll, Leave and Education System (APPLES) databases, upon receiving the Overtime Compensation Elections, in order for them to become effective on the first day of the first pay period following a five day processing period from the date the employee makes the election.

1.3.5.2 Update the HRMS and APPLES databases each time that:

1.3.5.2.1 New employees in FLSA-nonexempt positions elect overtime compensation.

1.3.5.2.2 Employees in FLSA-nonexempt positions change their overtime compensation election.

1.3.5.2.3 A change in an employee's employment status results in a different FLSA status.

1.3.5.2.4 The FLSA status of a position is changed by DOA.

1.3.6 Overtime Compensation Election Report - The Business and Finance Bureau shall issue the Overtime Compensation Election Report each month (during the pay period in which it is effective) to Assistant Directors, Wardens, Deputy Wardens, Administrators and Bureau Administrators, who shall ensure that the report is available to supervisors and timekeepers.

1.3.7 Management/Supervisory Compliance - Supervisors shall not, in any manner:

1.3.7.1 Influence an employee's Overtime Compensation Election.

1.3.7.2 Assign an employee to work in a status other than what the employee has selected.

1.3.7.3 Attempt to discipline or take any action whatsoever against an employee as a result of the employee's Overtime Compensation Election, or for failing or refusing to complete an Overtime Compensation Election.

1.4 Inquiries - Employees may inquire about whether their position, or a position that they supervise, is covered or uncovered, and whether it is excluded FLSA-exempt, FLSA-exempt or FLSA-nonexempt, by:

1.4.1 Comparing the Class Code and HRMS Position Numbers included in the DEFINITIONS section for each category of positions.

1.4.2 Contacting a Personnel Liaison or, if a Personnel Liaison is not available, the Central Office Payroll Section.

1.4.3 Checking the FLSA Status Code on the "past" section of the PAR.

1.5 Use of Compensatory Leave

1.5.1 Employees shall use compensatory leave in accordance with 512.13, 1.1.

1.5.2 Supervisors shall either:

1.5.2.1 Approve an employee's request for compensatory leave within a reasonable period of time based on normal and anticipated work loads, potential requirements for emergency staff and the availability of replacements for the employee taking compensatory leave.

1.5.2.2 Deny an employee's request for compensatory leave when they anticipate, in good faith, that the employee's absence during the time requested would unreasonably interfere with the ability to maintain acceptable operations. A simple inconvenience to operations shall not be a sufficient reason to deny compensatory leave.

1.6 Accumulation of Compensatory Leave

1.6.1 The maximum accumulation for compensatory leave is 480 hours for officers in the Correctional Service Series and 240 hours for other employees.

1.6.2 Employees in Covered/Uncovered Excluded FLSA-Exempt Positions are not eligible to receive compensatory leave. However, they may retain a balance of compensatory leave that was earned while employed in a previous position that was not excluded.

1.6.3 For employees in Covered FLSA-Exempt Positions, supervisors shall ensure that:

1.6.3.1 These employees do not work unscheduled hours or overtime when their compensatory leave balance reaches 80 hours, unless the Assistant Director authorizes an exception.

1.6.3.2 These employees submit a Request for Approval of Unscheduled Work Hours, Form 20300042, through the chain of command to the Assistant Director, with justification included for exceeding 80 hours.

1.6.3.3 These employees, except for Sergeants and Lieutenants, also submit a Paid Overtime Claim, Form 70501014, to be paid for overtime.

1.6.3.4 When an exception is authorized, these employees receive one hour of compensatory leave for each additional hour of overtime.

1.6.3.5 Under no circumstances require or allow these employees accumulate more than 240 hours of compensatory leave.

1.6.4 For employees in Covered/Uncovered FLSA-Nonexempt Positions, supervisors shall:

1.6.4.1 Not require or allow these employees to work unscheduled work hours or overtime when their compensatory leave balance reaches 80 hours, unless the Assistant Director authorizes an exception.

1.6.4.2 When an exception is authorized, require these employees to submit a Request for Approval of Unscheduled Work Hours for paid compensation through the chain of command to the Warden or Bureau Administrator, with justification included for exceeding 80 hours.

1.6.5 Employees in Excluded Positions are ineligible for overtime compensation.

1.7 Prior Approval and Control of Overtime/Extra Hours - Close control of overtime activity by supervisors is essential.

1.7.1 Cash payment for overtime shall be authorized only in emergencies involving escapes, disturbances or natural disasters.

1.7.2 Assistant Directors shall ensure that funds are available prior to authorizing cash payment for overtime, and that all restrictions are observed. Prior approval of unscheduled hours shall be obtained on the Request for Approval of Unscheduled Work Hours.

1.7.3 Whenever possible, employees shall obtain approval from their Assistant Director, Warden, Deputy Warden, Administrator or Bureau Administrator before working unscheduled hours.

1.7.4 Supervisors shall ensure that FLSA-nonexempt employees remain at their work stations during designated work hours only.

1.7.4.1 At the end of the assigned work hours, the employee shall leave the work area.

1.7.4.2 If the employee has a designated, unpaid lunch period, the employee may remain at the work station, but shall not be permitted to work.

1.7.4.3 Employees shall not be permitted to be at their work stations over 40 hours in a work week unless overtime is justified and authorized by the supervisor.

1.7.4.3.1 Employees may not waive overtime compensation in order to remain at work over 40 hours in a work week.

1.7.5 Department managers shall consider a supervisor's ability to control excessive leave balances when evaluating performance.

1.8 Overtime Justification and Reporting

1.8.1 Supervisors at all levels shall:

1.8.1.1 Carefully monitor unscheduled work and keep overtime to a minimum.

1.8.1.2 Adjust schedules during the work period, when practical, to avoid unnecessary overtime and extra hours.

1.8.1.3 Code all extra hours, paid overtime and compensatory leave earned appropriately on the PAR.

1.8.1.4 Obtain approval for paid overtime from the Warden, Bureau Administrator or designee before it is entered into the computer.

1.8.1.5 Submit a Paid Overtime Claim through the chain of command to their Deputy Director only for either exempt employees (other than Sergeants and Lieutenants) for paid overtime, or non-exempt employees who have either not reported paid overtime hours or reported them as compensatory leave earned.

1.8.1.5.1 If approved, the Deputy Director shall sign Paid Overtime Claims and return them to Payroll in order to expedite processing the overtime.

1.8.1.6 Include justification for unscheduled work hours on the Overtime Claim.

1.8.1.7 Ensure that employees and timekeepers report unscheduled work hours and overtime activity in accordance with the Department's PAR guidelines.

1.8.1.8 Report all approved requests to take compensatory leave to the timekeeper on the Leave Application, Form 70501051.

1.9 Carry-over and Payout of Unused Compensatory Leave - Except as provided in this section, employees shall not be permitted to carry-over more than 160 hours of compensatory leave into the following calendar year.

1.9.1 Employees who wish to carry-over more than 160 hours of compensatory leave shall submit a written exception request to the Director, through the chain of command, that contains a plan to use the excess hours during the first quarter of the following calendar year.

1.9.2 When an exception is authorized:

1.9.2.1 The employee shall have until April 1 of the following year to use the excess compensatory leave.

1.9.2.2 The employee and the employee's supervisor shall follow the plan to the maximum extent possible.

1.9.3 Prior to the end of each fiscal year, Deputy Directors and Assistant Directors shall, when funds are immediately available, authorize cash payment to any employee in a covered/uncovered FLSA-nonexempt position at the base rate of pay for the employee's compensatory leave balance that exceeds 160 hours.

1.9.4 Employees in covered FLSA-Exempt Positions can be paid only with the DOA Director's approval.

1.9.5 Any employee who has unused compensatory leave at the time of separation from State employment shall receive compensation for each hour of such compensatory leave at one of the following rates, whichever is higher:

1.9.5.1 The average rate received by the employee during the last three years of employment.

1.9.5.2 The final rate received by the employee.

1.9.6 Any employee who is transferred to another State service agency shall transfer all accumulated compensatory leave to the employee's compensatory leave account in the new agency.

1.10 Employee Grievances - An employee may file a grievance, in accordance with Department Order #517, Employee Grievances, if a conflict involving compensatory leave or overtime pay arises. If the dispute concerns an interpretation of the Personnel Rules or FLSA, The matter is not grievable but may be reviewed by the DOA Director.

1.11 Audits - The Business and Finance Bureau Administrator shall provide the Extra Hours Paid, Cash Only Overtime and Paid Overtime Report at the end of each pay period to each Assistant Director, Warden and Bureau Administrator and notify Assistant Directors of noncompliance with this Department Order.

512.12 REPORTING ATTENDANCE AND ABSENCES - Each employee shall report all actual hours worked, days off, and leave taken on the PAR. This information shall be verified every two weeks and used to calculate leave balances and the payroll.

1.1 PAR Procedures/Duties

1.1.1 Employees shall report daily attendance on the PAR and forward the signed PAR to their supervisors.

1.1.2 Supervisors shall ensure the validity and completion (including overtime hours to be paid) and sign and submit PARs to the Timekeeper.

1.1.3 Timekeepers shall:

1.1.3.1 Enter the attendance reported on PARs into APPLES in compliance with deadlines for each pay period.

1.1.3.2 Update employees' work schedules in APPLES as early as possible in the pay period.

1.1.3.3 Forward all reported paid overtime to the Warden, Bureau Administrator, or designee for approval.

1.1.3.4 Enter attendance recorded on signed PARs or APPLES within deadlines set by Central Office Payroll.

1.1.3.5 Collect all PARs, record all new hires and transfers, initial the PARs, and return signed white originals and copies of unsigned PARs to Central Office payroll.

1.2 Employee Duties

1.2.1 Employees in Uncovered/Excluded FLSA Exempt Positions shall:

1.2.1.1 Work at least five days of the seven-day work week, accounting for eight hours each day unless they are on an adjusted or flexible schedule as described in 512.07.

1.2.1.2 Report their actual work time and all leave hours taken. Leave hours of less than eight hours shall not be deducted from leave balances.

1.2.1.3 Sign the PAR when all hours have been recorded and coded correctly and forward it to the supervisor for verification.

1.2.1.4 Verify attendance for the previous pay period printed on PAR, verify discrepancies with the supervisor, and initial changes made on the PAR.

1.2.1.4.1 No corrections may be made after the past attendance has been verified, unless a Warden or Bureau Administrator approves the correction and documents the reason the correction was not made at the appropriate time.

1.2.2 Other employees shall record all hours worked and leave taken, projecting attendance as necessary to meet deadlines.

1.2.3 Before any planned, extended leave, employees shall complete and sign the PAR and forward it to the supervisor.

1.3 Supervisor Duties - First-line supervisors, or the supervisor who is next-in-line if the first-line supervisor is unavailable, shall:

1.3.1 Report work schedule changes to the timekeeper before the beginning of the pay period in which the schedule change takes place, whenever possible.

1.3.2 Review and verify:

1.3.2.1 Employees' reported current attendance (ensuring that unscheduled hours are coded correctly).

1.3.2.2 Any corrections for prior pay periods, initialling them to show agreement.

1.3.2.3 Employees' signatures on the PAR.

1.3.3 Sign the PAR.

1.3.4 Fill out PARs for any employees unable to complete a PAR form and provide a valid reason for failure by an employee to sign the PAR by the pay day, on the employee's signature line.

1.3.5 Forward all PARs to the timekeeper to ensure the entry deadlines are met.

1.4 Authorized Signers - Managers authorized to sign the PAR shall:

1.4.1 Ensure that all employees and supervisors are recording and verifying attendance.

1.4.2 Ensure that all PARs are received, completed, entered and sent to Payroll on time.

1.4.3 Certify that the attendance reported is true and correct as stated by signing the Certification sheet provided with the PARs.

1.5 Wardens, Administrators and Bureau Administrators - Shall:

1.5.1 Ensure that proper documents support each entry on the PAR and APPLES.

1.5.2 Send documentation for Administrative Leave (With or Without Pay), Military Leave, and suspensions to Central Office Payroll. All other documentation is maintained at the institution or bureau.

1.5.3 Approve all paid overtime (OT) hours on PAR sheets before Timekeepers enter them into the computer.

1.5.4 Ensure that the supporting documents and the duplicate copy of the PAR are stored for 6 months and destroyed after 6 months.

1.5.5 Ensure that the original signed PAR or copy of an unsigned PAR is received by Central Office Payroll by the last Friday of the pay period if located in the Phoenix area or the following Tuesday at noon if located in an outlying area.

1.6 Payroll Staff - Shall:

1.6.1 Audit returned PARs for required signatures.

1.6.2 Stop direct deposit the following pay day for any employee who does not sign the PAR by the pay day, unless the employee is on extended leave.

1.6.3 Enter in APPLES any approved changes indicated on the "past" section of the PAR when it has been returned to payroll

1.6.4 File and maintain PARs for five calendar years after the calendar year prepared.

1.7 All employees shall report and record accurate information on the PAR. Knowingly supplying false information, filing a document containing false information or tampering with a public record may result in criminal charges and/or disciplinary action.

1.7.1 Allegations of employee misconduct involving inaccurate attendance reporting and/or falsification of the PAR shall be reported and investigated in accordance with Department Order #601, Administrative Investigations.

512.13 LEAVE

1.1 Use of Leave - Employees and their supervisors shall mutually agree upon the most appropriate use of leave, considering the employees' regular work schedule, the employees' wishes for use of leave balances and the impact of schedule adjustments on the work unit.

1.2 Approval of Leave -

1.2.1 Supervisory approval shall be required for employees to use:

1.2.1.1  Annual leave, including holiday leave balances and compensatory leave, to ensure that the leave is consistent with the needs of the Department. Annual leave requests shall be approved based on seniority when more than one employee requests the same dates. Once an employee's annual leave is approved, the leave shall not be rescinded because another employee with more seniority requests annual leave during that same period.

1.2.1 .2 Other types of leave (sick, bereavement, jury duty, civic duty and military), to ensure that the reasons for the leave are consistent with the Personnel Rules.

1.2.2 Supervisors shall, if possible, endeavor to accommodate approved leave requests for employees who were transferred at their request. The request must be submitted and is subject to reconsideration under the circumstances of the new assignment. The employee's approved leave shall be honored when the institution or unit initiaes an employee's transfer.

1.3 FLSA Provisions for Use of Leave - FLSA provisions for leave for the various categories of positions are shown in the following chart:

  Uncovered Employees Covered Employees


Leave Usage		 Excluded

FLSA

Exempt

 FLSA-

Non-

Exempt

 Excluded

FLSA

Exempt

 FLSA-

Exempt

 FLSA-

Nonexempt
Leaves deducted:

Partial day

Full day

No

Yes

Yes

Yes

No

Yes

Yes

Yes

Yes

Yes
 

Pay reduced for absence without leave balances:

Partial day

Full day

 No

Yes

 Yes

Yes

 No

Yes

 Yes

Yes

 Yes

Yes

1.4 Leave Balance Control; Monitoring

1.4.1 The Assistant Director for Administrative Services shall report annual, sick and compensatory leave data for all employees on PAR printouts, which shall be used to monitor and schedule leave for all employees, consistent with Departmental needs and with the Personnel Rules, to avoid the accumulation of excessive leave balances or forfeited leave time at the end of the year.

1.4.2 Department managers shall consider a supervisor's ability to control excessive leave balances when evaluating performance.

1.4.3 Employees in Covered/Uncovered Excluded FLSA-Exempt Positions shall not have leave balances reduced for leaves of less than one full day, although employees shall be required to report on the PAR their actual work time and all leave hours taken.

1.4.4 Employees in Covered FLSA-Exempt Positions, and in Covered/Uncovered FLSA-Nonexempt Positions, shall have leave balances reduced for leaves of less than one full day.

1.5 Employees Who Do Not Accrue Leave - Employees in the following types of positions shall not accrue sick leave, annual leave or other types of leave:

1.5.1 Seasonal, temporary, emergency, clerical pool and part-time positions.

1.5.2 Part-time positions in which employees work less than one-quarter time.

1.6 Part-Time Employees - Employees in part-time positions who work one-quarter time, one-half time or three-quarter time shall accrue a proportional amount of sick and annual leave. Employees in part-time positions who work a percentage of full-time hours other than one-quarter time, one-half time or three-quarter time shall accrue sick and annual leave at the next lower rate.

1.7 Sick Leave Accrual, Accumulation and Use

1.7.1 Employees in Covered, Uncovered and Excluded Positions shall accrue 8 hours of sick leave per month.

1.7.2 Sick leave benefits shall accrue without limit.

1.7.3 For employees who separate from State Service:

1.7.3.1 Employees with at least 1,000 hours of sick leave shall, upon retirement, receive a one-time payment of $750.

1.7.3.2 Employees who reenter State Service within two years after separation shall be credited with all unused sick leave at the time of separation, provided the separation was not the result of disciplinary action and provided the employee was not paid for accumulated sick leave upon retirement.

1.7.3.3 In all other instances, all unused sick leave shall be forfeited.

1.7.4 Supervisors may require the submission of evidence substantiating the need for sick leave.

1.7.4.1 Every employee shall not be required to submit documentation for every sick leave hour used. The requirement to produce documentation shall be determined on a case by case basis. Submission of such evidence may be required when:

1.7.4.1.1 Chronic and/or extended periods of sick leave are taken.

1.7.4.1.2 A pattern indicates a possible abuse of sick leave such as frequent use of sick leave before and/or after regular days off, use of sick leave hours as soon as the hours are earned, use of sick leave on weekends when scheduled to work, and low sick leave balances for long-term employees who have no major illnesses.

1.7.4.2 Any sick leave of more than five days may require the submission of documentation from the employee's health care provider indicating that the employee is eligible to return to work. This documentation shall be submitted through the employee's supervisor to the Occupational Health Unit (OHU) in accordance with Department Order #519, Employee Health - Assessment, Accommodation, Alternate Assignment.

1.7.5 Each employee may use up to 40 hours of sick leave per calendar year for family illnesses. This leave may be included in an approved Family or Family Medical Leave Act (FMLA) medical leave.

1.7.5.1 If the employee has been approved for FMLA, any sick leave of, or totalling more than five work days used for the leave approved condition shall be considered FMLA leave.

1.8 Annual Leave Accrual and Accumulation

1.8.1 Employees in Covered, Uncovered and Excluded Positions shall accrue annual leave in accordance with the following schedule:

1.8.1.1 Beginning with initial employment - 8 hours per month.

1.8.1.2 At 3 years of service - 10 hours per month.

1.8.1.3 At 7 years of service - 12 hours per month.

1.8.1.4 At 15 years of service - 14 hours per month.

1.8.2 Employees shall not carry forward into a new calendar year more than 240 hours of annual leave and 24 hours of unused holiday leave. Annual leave hours in excess of 240 hours, or 264 hours with 24 hours of unused holiday leave, as of the last day of the last pay period starting in any calendar year, shall be forfeited.

1.8.3 Covered employees who accumulate annual leave in excess of the limits, may submit an Application to Carry Forward Excess Leave, Form 20300041, through the chain of command, to the Director of the DOA. The application shall contain a plan to use the excess hours during the following calendar year, pay the employee for the excess hours, or a combination of both. If the extension is granted, the employee and the supervisor shall then follow the plan to the maximum extent possible.

1.8.4 Upon separation from State Service:

1.8.4.1 Employees in Covered Positions shall be compensated at their current rate of pay for unused annual leave.

1.8.4.2 All payments to uncovered and excluded employees shall be preapproved by the Assistant Director for Administrative Services.

1.9 Military Leave - Military leave (a temporary leave of absence for active duty, training duty or to attend camps, maneuvers, formations or armory drills) shall be authorized for up to 240 hours in any two consecutive federal fiscal years, which run from October 1 through September 30.

1.9.1 Military leave shall be applied to the employee's normally scheduled work day up to 240 hours every two consecutive federal fiscal years.

1.9.1.1 An employee may take annual, compensatory time, holiday leave or LWOP to complete the full schedule for the day if military leave is exhausted.

1.9.1.2 Prior to taking military leave, the employee shall submit a copy of the Verification of Military Drill Attendance, Form 512-4P, with only the signatures of the employee and the supervisor along with the military orders to payroll.

1.9.1.3 Leave time shall be used in normally scheduled work day hours until all available time is exhausted; at that time, the employee shall be placed on AW until able to return to work.

1.9.1.4 If the employee does not want leave balances taken as outlined on the Verification of Military Drill Attendance form, the employee shall submit with their military orders a written plan to reflect the use of their available leave balances to take leave without pay.

1.9.2 Employees shall not be required or permitted to work on a day when military leave is taken.

1.9.3 Employees who are absent from work for military leave and, without a valid exemption, fail to attend the military drill and/or training shall have the time scheduled for military leave noted on their PAR as absent without approval.

1.9.4 An employee who is scheduled to participate in military training or weekend drills on a normally scheduled work day shall submit a written request for military leave to their immediate supervisor at least ten work days in advance, or as soon as they are notified of the training.

1.9.4.1 Within five days after returning to work, the employee shall submit a completed Verification of Military Drill Attendance form and military orders as outlined in section 1.9.1.2.

1.9.4.2 The Verification of Military Drill Attendance form shall be signed by the employee, the supervisor and the Military Unit Commander, or authorized representative.

1.9.4.3 Leave balances shall be charged when orders are not provided. The Leave balances shall be adjusted after the orders and Verification of Military Drill Attendance forms are provided.

1.9.5 An employee may request to participate in an annual, two-week summer encampment by submitting a written request for military leave to their immediate supervisor at least 30 days in advance, if possible. The employee’s military orders shall be attached to the request, if available.

1.9.6 Employees who do not receive their military orders or letter before mobilizing may fax, mail or e-mail a copy to their immediate supervisor once they receive their orders after being mobilized, or submit a copy within five work days after returning to work. Verification of military duty shall be documented as outlined in 1.9.1.2, 1.9.4 and 1.9.4.1 of this section.

1.9.7 Supervisors and staff shall not directly or indirectly use or threaten to use any official authority to influence, discipline or discourage staff from the use of military leave.

1.9.8 Supervisors and timekeepers shall ensure that all military leave is documented and any orders, letters and/or verifications are attached to the PAR.

1.10    Voting - Absence from work for the purpose of voting pursuant to A.R.S. 16-402 and A.A.C R2-5-406

 

1.10.1    Employees entitled to vote at a primary or general election held within the state may receive paid leave to exercise their voting privileges providing the following conditions apply:

 

1.10.1.1    There are less than three consecutive hours between the opening of the polls and the beginning of the employees regular work hours; or

 

1.10.1.2    There are less than three consecutive hours between the end of the employee’s regular work shift and the closing of the polls.

 

1.10.1.3    The employee has submitted a leave request to their supervisor prior to the day of the election.

 

1.10.1.4    Employees may be absent to vote for the length of time to satisfy the three-hour time provision; however, supervisors may specify the hours during which the employee may be absent.

 

1.10.2    These provisions for voting do not apply to staff who have already voted by mail.

512.14 TRANSFER OF ANNUAL LEAVE - Employees may transfer some of their accumulated annual leave hours to other Department employees whose leave balances are insufficient for an extended (three or more weeks) leave resulting from a seriously incapacitating illness or injury.

1.1 Requests

1.1.1 The employee requesting donations or the employee's representative may contact the supervisor, timekeeper and other potential contributors in the work place to advise of the need for annual leave contributions and to request assistance and/or contributions of annual leave.

1.1.2 Concerned employees and supervisors may assist the recipient by advising other employees of the recipient's needs, by distributing or posting information and by individually requesting to contribute annual leave.

1.1.3 Employees who request annual leave contributions shall complete an Agreement to Receive Annual Leave Contributions, Form 70204000 and submit it to the Personnel Services Bureau along with the following verification documents:

1.1.3.1 The attending physician's statement, on an appropriate form or letterhead, verifying:

1.1.3.1.1 The type of illness and/or extent of injury.

1.1.3.1.2 That the illness and/or injury is seriously incapacitating.

1.1.3.1.3 The prognosis and, if applicable, the date the employee may return to work at full duty.

1.1.3.2 A certification by the employee or the employee's representative that:

1.1.3.2.1 (THIS SECTION DELETED)

1.1.3.2.2 The employee's sick, compensatory and annual leave balances are insufficient for an extended leave.

1.1.3.3 A certification by the employee or the employee's representative, if a family member has a seriously incapacitating illness or injury, that:

1.1.3.3.1 The family member is the employee's child, either natural, adopted, foster or step, or the employee's spouse.

1.1.3.3.2 The employee has taken 40 hours of sick leave if available for this purpose during the calendar year in which the extended leave occurs.

1.1.3.3.3 The employee's compensatory and annual leave balances are insufficient for an extended leave.

1.2 Agreement Review/Approval - Upon receipt of an Agreement to Receive Annual Leave Contributions, the Personnel Services Bureau Administrator shall:

1.2.1 Determine if the packet contains the verification required by 512.14, 1.1.3.

1.2.2 Complete the section of the agreement that is marked "For Personnel Services Bureau use."

1.2.2.1 Detach the physician's statement and forward a duplicate of the approved agreement to the recipient and the Central Office Payroll Section.

1.2.2.2 File and retain the original of approved agreements for four years from the date of receipt.

1.2.2.3 Return rejected agreements, with reasons for the rejection, to the submitting employees or their representatives.

1.2.2.4 Refer employees who do not qualify as recipients but who may have an industrial injury or occupational illness to Department Order #519, Employee Health - Assessment, Accommodation, Alternate Assignment.

1.3 Verification and Submittal of Annual Leave Transfer Requests - An employee who wishes to contribute annual leave shall complete a Contributor's Voluntary Request to Contribute Annual Leave, Form 70204001, to Central Office Payroll. Upon receipt of a request, designated staff in the Central Office Payroll Section shall:

1.3.1 Verify that the employee's annual leave balance is sufficient for the requested contribution.

1.3.2 Record the transfer on the attendance screen.

1.3.3 Transfer contributed leave to the recipient's balance.

1.3.4 Forward a duplicate of the approved request to the contributor.

1.3.5 File and retain the original of approved requests for four years from the date of receipt.

1.3.6 Return rejected requests to the requesting employee.

1.3.7 Return unused contributed leave, if any, to the contributor.

1.4 Disagreements - Employees who disagree with the reasons for a rejected agreement may:

1.4.1 Revise and resubmit previously rejected agreements to the Administrator in accordance with these procedures, with additional documentation included that is sufficient to respond to the reasons for the rejection.

1.4.2 Submit a grievance in accordance with Department Order #517, Employee Grievances.

512.15 RECOGNITION LEAVE - The Department recognizes exemplary service and extraordinary contributions to the Department's goals by providing paid recognition leave.

1.1 Categories of Recognition Leave - Recognition leave may be granted in the following categories, as specified in Attachment B. Recognition leave is granted for:

1.1.1 Exemplary Employee Service to each of the Department's employees of the year and any Department employee who is a recipient of an annual Arizona Administrators Association recognition award.

1.1.2 Extraordinary Contribution to Accomplishing the Department's Goals for employees who submit a suggestion to the Employee Suggestion Program that has a moderate or exceptional impact determination.

1.1.3 Other for employees approved by the Director, for exemplary duty or acts of achievement not provided for elsewhere in this Department Order including, but not limited to, successful recruitment of Correctional Officers, independent of RUSH hiring activities, which result in a new recruit(s) graduating from COTA.

1.2 Nomination Process - The nomination processes are described in Department Order #506, Employee Awards/Recognition and in Attachment B.

1.3 Distribution of Recognition Leave

1.3.1 For Exemplary Employee Service, award winners shall receive 16 hours of recognition leave.

1.3.2 For Extraordinary Contribution to Accomplishing the Department's Goals, employees shall receive:

1.3.2.1 A maximum of 8 hours per employee for suggestions of a moderate impact.

1.3.2.2 A maximum of 16 hours per employee for suggestions of exceptional impact.

1.3.3 Employees approved for Other recognition leave in accordance with this order shall receive the specific number of hours as determined by the Director.

1.3.4 The Administrative Officer for Management shall:

1.3.4.1 Keep a running total of recognition hours used.

1.3.4.2 Ensure that necessary documents are prepared so that approved employees are notified.

1.3.4.3 Provide the Department's payroll manager with the number of hours to be credited to the employee's recognition leave account and the date the recognition leave expires.

1.3.4.4 Ensure that recognition awards do not exceed the total rate of 384 hours per calendar year, which are allocated to the Department by DOA.

1.4 Use of Recognition Leave

1.4.1 The employee shall take recognition leave during the calendar year in which it is received.

1.4.1.1 A single, nonrenewable extension period of 60 calendar days may be granted by the Director.

1.4.2 Unused leave not taken during the allocated time period shall be forfeited.

1.4.3 An employee who transfers to another state agency shall transfer any unused recognition leave subject to the requirements of this Department Order.

1.4.4 An employee who separates from State Service shall be paid for all unused recognition leave at the employee's current rate of pay.

 

                                                        

Terry L. Stewart

Director

ATTACHMENTS

Attachment A - Examples - Payment of Extra Hours

Attachment B - Eligible Employees and Nomination Processes for Recognition Leave

Attachment C - Supersedes

FORMS LIST

20300039, Overtime Compensation Election

20300041, Application to Carry Forward Excess Leave

20300042, Request for Approval of Unscheduled Work Hours

70204000, Agreement to Receive Annual Leave Contributions

70204001, Contributor's Voluntary Request to Contribute Annual Leave

70501014, Paid Overtime Claim

70501050, Verification of Military Drill Attendance

70501051, Leave Application

IMPLEMENTATION

Within 90 days of the effective date of this Department Order, the Assistant Director for Administrative Services shall issue a Technical Manual on the PAR, which addresses, at a minimum, the following requirements for Timekeepers and Payroll staff:

Within 90 days of the effective date of this Department Order, the Assistant Director for ACI shall ensure that the ACI Technical Manual authorized by Department Order #115, Authority and Responsibility Delegated to ACI includes ACI sales and marketing commissions and quotas, and other topics necessary to implement this Order.

Within 90 days of the effective date of this Department Order, Wardens shall develop and issue an Institution Order for Employee Assignments, Work Hours, Compensation and Leave that addresses the requirements of this Department Order and may:

DEFINITIONS

ANNUAL LEAVE - Includes all periods of approved absence with pay which are not chargeable to another category of leave, such as sick leave, industrial disability leave, civic duty leave, military leave, educational leave, administrative leave, bereavement leave and maternity leave.

APPLES (Arizona Personnel, Payroll, Leave and Education System) - An on-line computer program which enables timekeepers to input current attendance.

CALL-OUT - Contact of an off-duty employee authorized by a Deputy Warden or Manager, that results in the employee going to the work site or other specified work location, or using the telephone to conduct State business.

CONTRIBUTOR - A Department employee whose request to contribute available annual leave hours from his/her balance to that of a recipient is approved by the Central Office Payroll Section Supervisor.

COVERED POSITIONS - Employees/positions in State service that are subject to the State's Personnel Rules. The Class Code for a covered position is a five digit number that does not begin with zero, e.g., Correctional Service Officer I, 39002. Covered positions include:

EXCLUDED POSITIONS - Positions that are not eligible for overtime compensation, which include:

EXEMPT POSITIONS - Positions that are exempt from FLSA requirements to compensate for overtime, but which are eligible under the Personnel Rules to receive compensatory leave for each hour of overtime worked.

EXTENDED LEAVE - A period of three or more weeks of absence from work due to a physician's determination that an illness and/or injury is seriously incapacitating and extended.

EXTRA HOURS - Unscheduled hours that occur when the total of leave hours taken and hours worked in one work week is more than 40 hours, but the total hours worked is 40 hours or less. (When more than 40 hours are worked, the hours worked in excess of 40 hours are overtime hours.) (See Attachment A.)

FULL-TIME, YEAR-ROUND ACI/PRIVATE SECTOR (ACI/PS) WORK PROGRAMS - Work programs that operate on a year-round basis for a minimum of 40 hours per week.

HOURS WORKED - All time that an employee is on duty on the Department's premises or at any other prescribed place of work, in standby status, traveling to an assignment during duty hours or traveling to an assignment after being called out. Hours worked are calculated to the nearest hundredth of an hour.

INTERRUPTED SERVICE - For the purpose of this Department Order, absent from the assigned duty post for any of the following reasons; Administrative Leave, suspension or demotion, Industrial Leave, Civic Duty Leave, Military Leave, Maternity Leave, Sick Leave or Annual Leave.

NON-EXEMPT POSITIONS - Positions that are covered by (not exempt from) FLSA requirements. These positions shall be compensated for overtime worked by additional pay, at 1½ times their base rate, or compensatory leave at the rate of 1½ hours for each hour worked.

OVERTIME - Time worked in excess of 40 hours in a work week.

OVERTIME COMPENSATION - Any compensation for overtime, by either compensatory leave or cash payment, for hours worked in excess of 40 hours in a work period.

POSITIONS - Official class titles and descriptions, with identifying numbers (the Class Code and the HRMS Position Number).

SICK LEAVE - Any approved period of absence granted to an employee due to: disability caused by pregnancy, childbirth, miscarriage or abortion; examination or treatment by a licensed health care practitioner; or illness or injury which renders the employee unable to perform the duties of the position. (Minor, non-disabling injuries and illnesses do not qualify an employee for sick leave); or up to 40 hours for the illness, injury, examination or treatment by a licensed health care practitioner of an employee's spouse, dependent child or parent.

SEASONAL/SPORADIC ACI/PS WORK PROGRAMS - Work programs that operate less than on a full-time and/or year-round schedule. Generally, these programs involve short-term (less than 90 days) contracts for inmate labor in support of private sector agricultural operations.

STANDBY DUTY - Time when employees who would otherwise be off duty are required, only when authorized by the Director, Deputy Director, Assistant Director or Warden, to remain on duty at or near the work site; time during which employees are required to remain available for call at or near the work site, or so close thereto that they cannot use the time effectively for their own purposes.

STANDBY DUTY PAY - Standby duty is considered work, is included when calculating regular and unscheduled hours worked during the work week, and is compensated in accordance with the provisions of this Department Order.

STATE SERVICE - The employment of all positions in the Department that are subject to the Personnel Rules, as provided by A.R.S. 41-762.

UNCOVERED POSITIONS - Positions that are not subject to the Personnel Rules, in accordance with A.R.S. 41-762. The Class Code for an uncovered position is a five-digit number beginning with zero (such as the Assistant Director for Adult Institutions, 01344). Uncovered positions include:

UNSCHEDULED WORK HOURS - Work time that is in excess of daily scheduled hours. Depending upon the total hours worked and leave taken within a week, unscheduled work hours may become overtime or extra hours (or regular hours if scheduled work time is adjusted during the work week so that overtime or extra hours do not occur).

WORK WEEK - A period of seven consecutive days beginning Saturday at 12:00 midnight and ending on Friday at 11:59:59 p.m. Each full-time employee is scheduled to work 40 hours during this period.

WORK PERIOD - A period of 168 hours during seven consecutive twenty-four hour periods beginning each Saturday at 12:00 midnight.

AUTHORITY

A.R.S. 13-2311, Fraudulent Schemes and Practices; Willful Concealment.

A.R.S. 13-2407, Tampering with a Public Record.

A.R.S. 39-161, Presentment of False Instrument for Filing.

A.R.S. 23-391, Overtime Pay; Workweek.

A.R.S. 26-168, Absence From Employment for Military Duty; Vacation and Seniority Rights.

A.R.S. 26-171, National Guard Training; Inspection by Department of Defense, Camp or Field Duty Ordered by Governor.

A.R.S. 35-193, Arizona Accounting Manual Section II.

A.R.S. 38-610, Leave of Absence for Military Training.

A.R.S. 41-762, Definitions.

A.R.S. 41-783, Personnel Rules.

A.R.S. 41-796.01, Adjusted Work Hours.

A.R.S. 41-1492 et seq, Arizonans With Disabilities Act of 1992.

A.R.S. 41-1663, Council; Meetings; Compensation; Duties; Correctional Officer Training standards.

A.A.C. R2-1-601 through 605, Adjusted Work Hours.

A.A.C. R2-5-305, Overtime Pay and Compensatory Leave.

A.A.C. R2-5-306, Standby Duty Pay.

A.A.C. R2-5-401 et seq, Benefits.

A.A.C. R2-5-403, Annual Leave.

A.A.C. R2-5-404, Sick Leave.

A.A.C. R2-5-407, Military Leave.

A.A.C. R2-5-411, Parental Leave.

A.A.C. R2-5-412, Medical Leave Without Pay.

A.A.C. R2-5-413, Leave Without Pay.

A.A.C. R2-5-421, Recognition Leave.

A.A.C. R2-5-502.C, Variation of Work Schedules.

A.A.C. R2-5-601, Employee Attendance, Holidays and Leave.

29 U.S.C. Section 201, Fair Labor Standards Act.

Americans With Disabilities Act of 1990, Titles I-V.

Family and Medical Leave Act of 1993.

U.S. Civil Rights Act of 1964.

 

ATTACHMENT A

DEPARTMENT ORDER 512

EXAMPLES

Payment of Extra Hours

1. Employee, normally scheduled to work eight-hour shifts, Monday through Friday, works two unscheduled work hours and eight scheduled work hours on Monday, and takes two hours of annual leave on Wednesday.

SAT SUN MON TUE WED THU FRI
    8 8 6 8 8
    2 EH   2 AL    

= 40 hours worked

2 hours annual leave (extra hours)

42 paid hours

2. Employee, normally scheduled to work eight-hour shifts, Monday through Friday, works ten hours of unscheduled work hours on Sunday and then takes 8 hours of sick leave on Tuesday.

SAT SUN MON TUE WED THU FRI
    8 8 SL 8 8 8
  8 EH

2 OT (or CE)

         


= 42 hours worked

8 hours sick leave (extra hours)

48 paid hours + two hours OT or CE, depending on method of compensation.

3.. Employee, normally scheduled to work eight-hour shifts, Monday through Friday, works two hours of unscheduled work hours on Tuesday, and then the supervisor adjusts the schedule so that the employee works only six hours on Wednesday, thereby avoiding the unnecessary accumulation of overtime.

SAT SUN MON TUE WED THU FRI
    8 10 6 8 8
             

= 40 hours worked and paid

(no leave used)


 

ATTACHMENT B

DEPARTMENT ORDER 512

ELIGIBLE EMPLOYEES AND NOMINATION PROCESSES

FOR RECOGNITION LEAVE

AWARD CATEGORY ELIGIBLE

EMPLOYEES

NOMINATIONS
Exemplary Employee Service Employees of the year:

Correctional Service Officer

Correctional Program Officer

Supervisor

Support

Administrator*

 Employees may be nominated for the annual employee of the year award in accordance with Department Order #506, Employee Awards/Recognition.
  Recipients of the following Arizona Administrators Association Awards:

Employee of the Year

Professional of the Year

Supervisor of the Year

Administrator of the Year*

 Employees may be nominated for the Arizona Administrators Association awards based on criteria published by that association.
Extraordinary Contribution to Accomplishing the Department's Goals Employees who submit a suggestion to the Employee Suggestion Program, which is determined to have a moderate or exceptional impact The Employee Suggestion Review Committee provides the names of employees who are recommended to receive the leave and the amount of hours each employee should receive.
Other - To include, but not limited to, successful recruitment of Correctional Officers, independent of RUSH hiring activities, which result in a new recruit(s) attending COTA. Employees recommended for this award to the Director for exemplary duty or acts of achievement not provided for elsewhere. Recommendation by the Department's Award Committee or by an Assistant Director, Warden, Deputy Warden, Administrator, or Bureau Administrator

* Only if in a covered position                                                                                            REVISED NOVEMBER 10, 1997)

 

ATTACHMENT C

DEPARTMENT ORDER 512

SUPERSEDES

Department Order 512, Employee Assignments Work hours, Compensation and Leave, supersedes the following:

Director's Instruction 55, High Risk Assignment pay (11/03/97)

DMO 91-18, Employee Recognition Leave (09/19/91)

DMO 91-21, Rotation of Correctional Service Officer Assignments (10/24/91)

DMO 93-08, Industrial Sales Incentive Payment Plan (04/15/93)

DMO 94-20, On-Call and Standby Duty (08/19/94)

IMP 202.4, High-Risk Assignment Pay (10/01/94)

IMP 202.14.1, Use of Privately-Owned Vehicles on State Business (Sections 5.6, 5.7 and 6.3 addressing pay issues only) (03/28/91)

IMP 206.12, Correctional Service Officer (CSO) II Assignments/Limitations (11/03/89)

IMP 206.15, Positive Attendance Reporting (P.A.R.) (06/17/86)

IMP 206.22, Seniority (Sections 5.2.3 and 5.2.3.1 addressing annual leave) (05/13/92)

IMP 206.24, Military Leave (03/24/89)

IMP 206.26, Leave Accrual and Control (01/13/88)

IMP 206.26.1, Calculation of Workhours, Extra Hours and Overtime Compensation (08/8/94)

IMP 206.26.2, Adjusted and Flexible Work Schedules for Staff in Metropolitan Areas (02/15/90)

IMP 206.26.3, Transfer of Annual Leave (06/15/90)

MO 3, CSO Work Assignments and Shifts (07/27/94)

MO 38, Administrative Salary Adjustments (06/12/95)

MO 47, Use of Leave (07/24/95)

MO 53, Overtime (08/14/95)

MO 58, Employee Overtime (09/14/95)

MO 59, Employee Sick Leave (10/03/95)

MO 63, CSO Resources For ACI Operations (11/22/95)

MO 65, Security Staff Work Hours (11/22/95)

MO 66, Employee Seniority (12/11/95)

FSP 2136, Employee Salary Advances (10/19/89)

FSP 5003, Direct Deposit Eligibility (03/05/87)

Revised March 3, 1999