Current through Register Vol. 49, No. 9, September, 2024
1084.0.0 EMPLOYEE DISCIPLINE
1084.0.1 This establishes the Department of
Human Services (DHS) rules regarding disciplinary measures and is applicable to
all employees.
1084.0.2 Discipline
applied by supervisors should be aimed at improving employee conduct. Conduct
is defined as actions or lack of actions by employees related to work rules,
policies, procedures, office mission, or safety.
1084.0.3 Only supervisors who have completed
supervisor training provided by the DHS Office of Finance & Administration
(OFA) Staff Development or THE COURSE provided by the Department of Finance and
Administration will be allowed to take disciplinary action against an employee
without first obtaining the written approval of a higher level supervisor who
has completed the training. The failure of a supervisor to attend mandatory
supervisor training will be immediately reported to the DHS Director by OFA,
Staff Development Unit Manager.
1084.1.0
Disclaimer
Nothing in these rules and regulations shall alter the
employment-at-will relationship between the employees and DHS. Any agency error
that is trivial, formal, or merely academic and does not prejudice the
substantive rights of an affected party will be deemed harmless error and shall
not be grounds for overturning the agency decision.
1084.2.0
Types of Discipline
1084.2.1 The following levels of discipline
may be applied:
A. Written warning recorded
in the employee's file.
B.
Suspensions without pay or demotion. (For exempt employees under the Fair Labor
Standards Act, a five-day minimum suspension is required.)
C. Termination.
NOTE: Demotion may be used as an alternative to
suspension or termination or in combination with suspension.
1084.2.2
Impact on future
discipline - For purposes of progressive discipline, written
warnings will be considered for 24 months after the action was documented.
Suspensions and demotions will be counted for progressive discipline purposes
for a period of 48 months after the action was documented.
1084.3.0
Points accumulation
1084.3.1 Employees are also subject to
discipline for the accumulation of disciplinary points. The accrual of points
will be determined as follows:
|
* Written Warning |
= 3 points |
|
* Suspension |
= 6 points |
|
* Demotion |
= 8 points |
1084.3.2 Points for each disciplinary action
will be counted for one year after the disciplinary action was documented on a
Form DHS-1173, Notice of Disciplinary Action.
1084.3.3 Any employee who accrues 13 or more
disciplinary points within a 12-month period will be
terminated.
1084.4.0
All Pertinent Information Should be Gathered
When supervisors become aware of possible conduct violations,
they should take steps to gather any information not already known to them that
is necessary to decide if discipline is required and what level of discipline
is appropriate. (Note: See paragraph 1084.6.1)
1084.5.0
Temporary Removal from Duty
Assignment Pending Investigation
1084.5.1 Any employee whose alleged actions
or behavior have the potential to be an immediate or direct threat to public
health or safety or might threaten the safety of a child, client, or co-worker,
or which might impede an investigation shall be temporarily removed from his or
her duty assignment pending a review of the allegations by the employee's
division director/designee. This action shall not be construed as an indication
of wrongdoing by the removed employee, but is imposed to allow adequate time to
conduct an investigation.
1084.5.2
The division director/designee shall determine the length of time during which
the employee will be temporarily removed from duty and shall arrange for the
employee to temporarily assume other duties not involving direct contact with
children or clients. A change of work location or residential campus may also
be made, if appropriate under the circumstances. If circumstances require that
the employee is to be sent home, the employee will be placed on call, with pay,
during normal work hours, and be immediately available to participate in the
investigation.
1084.6.0
Employee Interview
1084.6.1 An
Employee Interview must be conducted prior to disciplinary action. The
supervisor will schedule a formal interview with any employee facing possible
disciplinary action and assure the employee knows the purpose of the
interview.
1084.6.2 The supervisor
and employee will meet within five (5) working days of the supervisor's
determination that disciplinary action may be warranted. The supervisor will
provide all known facts to the employee and allow the employee an opportunity
to refute the information or identify any extenuating factors. During the
meeting the employee may provide, in written form, additional information or
names of persons who may have relevant information.
1084.6.3 A determination of whether
disciplinary action will be taken must be made within five (5) working days
following the interview. The need for an extension of this time frame will be
documented. A written notice will be provided to the employee and will explain
the cause for the delay and provide a date that the determination will be
made.
1084.6.4 If disciplinary
action is warranted, the supervisor must follow guidelines outlined in this
policy and DHS 1085, Minimum Conduct Standards for DHS Employees.
1084.6.5 If disciplinary action is not
warranted, the supervisor must immediately notify the employee.
1084.6.6 Supervisors must attempt a telephone
conference with employees unable or unwilling to meet with them. (Example: the
employee has abandoned his/her job, is physically unable to travel, or has been
prohibited from entering the workplace.) Unsuccessful attempts to discuss the
proposed disciplinary action with the employee must be
documented.
1084.7.0
Factors to Consider in Determining Level of Discipline
1084.7.1 Once the supervisor has determined
that a disciplinable act has occurred he or she should determine the
appropriate level of discipline by considering the following factors:
A. Whether the employee knew or should have
known that the behavior could result in discipline. Laws, written departmental,
divisional and institutional policies, work practices, memos, and posted
notices shall be considered proof that an employee knew or should have known
any matters discussed in the document and that discipline could result from
disobeying any directives contained in the document or reasonably implied by
its contents.
B. Whether a
reasonable employee in similar circumstances would realize the behavior would
be inappropriate or improper.
C.
Whether the behavior disrupted work or interfered with services to
customers.
D. Whether the behavior
resulted in an increased risk of legal liability by the Department and the
perceived seriousness of the risk.
E. Whether the behavior endangered the safety
of the employee, co-workers or customers and the level of risk involved.
Endangerment is presumed if the behavior violates a safety law or
rule.
F. Whether the behavior was
intentional in nature.
G. Whether
the employee has reasonable explanation for his or her behavior or presents
other mitigating circumstances.
H.
The employee's work history.
I. Any
other factors the supervisor considers relevant.
1084.7.2 After considering the above factors
the supervisor should document his or her findings and select the level of
discipline that equates to the seriousness of the offense. The DHS-2813,
Disciplinary Investigation Checklist, should be completed if the supervisor is
considering termination.
1084.8.0
When a Specific Level of
Discipline is Set by Policy
Some departmental or divisional policies may set a specific
level of discipline for certain offenses, if so the recommended level of
discipline must be considered as the minimum discipline unless mitigating
circumstances can be documented.
1084.9.0
Applying Discipline
1084.9.1 The discipline should be applied
immediately, consistently and impartially. The
employee must be warned of the consequences of repeated offenses in writing.
After an appropriate initial level of discipline has been selected, the
principles of progressive discipline should be followed for subsequent
offenses. (i.e., the next level of discipline should be applied for the next
substantially similar offense and continue sequentially thereafter, unless
aggravating or mitigating circumstances can be demonstrated for the subsequent
offenses.) Employees must be notified of the disciplinary action using
DHS-1173, Notice of Disciplinary Action. If the employee refuses to sign the
DHS-1173 another supervisor should act as witness and it should be documented
in writing.
1084.9.2 If the
severity of the offense, the frequency of unrelated offenses, the employee's
overall work record, and other relevant factors warrant termination, the
employee will not be eligible for re-employment for a period of two (2) years
from the date of discharge. In cases of extreme violations of conduct, the
employee will not be eligible for re-employment with DHS.
1084.10.0
Effective Date of
Disciplinary Action
If the decision to discipline results in suspension without pay
or termination, the effective date of such action will be the date the decision
is made, and will not be backdated to the date the employee was removed from
his or her duty assignment pending investigation.
NOTE: All suspensions and terminations must be
approved by the division director/designee.
1084.11.0
Grievance Submission
Following the imposition of disciplinary action, an employee
has five (5) working days from the date of notification of the disciplinary
action to submit a grievance statement to the Employee Relations Office
(ERO).
1084.12.0
Conflicting Policies Superseded
This rule supersedes DHS 1084, Employee Discipline, dated
August 30, 2002, and any existing policies or specific sections of existing
policies that conflict with the terms of this policy.
1084.13.0
Originating
Section/Department Contact
Office of Finance and Administration Human Resources/Support
Services Section Policy and Administrative Program Management P.O. Box
1437/Slot Number W403 Little Rock, AR 72203-1437 Telephone:
682-5835
