SCDC POLICY/PROCEDURE

NUMBER: ADM-11.04

ISSUE DATE: AUGUST 1, 2004

RESPONSIBLE AUTHORITY: DIVISION OF HUMAN RESOURCES

OPERATIONS MANUAL: ADMINISTRATION

ACA/CAC STANDARDS: 4-ACRS-7E-07, 3-4048

STATE/FEDERAL STATUTES: State Office of Human Resources Regulations

PURPOSE: To establish uniform guidelines for the application and administration of corrective action for employees who have committed rules infractions.

1. GENERAL:

1.1 The specific procedures contained herein are applicable to all Agency personnel in covered positions, and may be applicable to contract personnel, if stipulated in the employment contract.

1.2 Employees attending the Basic Officer Certification Class may be terminated by the Assistant Division Director of Security and Training for academic failure or violation of Agency/Academy rules or regulations. Employees failing to qualify under Continuing Law Enforcement Education (CLEE) requirements will be terminated by the applicable Warden or Division Director. In these cases, the termination provisions of this policy/procedure are not required.

1.3 Employees may be terminated as directed by the Division Director of Human Resources for defaulting on the repayment of certain guaranteed government student loans, upon indictment of a crime that carries a potential sentence of one year or more, upon conviction of crimes that would cause decertification for any reason as directed by the state Criminal Justice Academy (for those positions requiring certification), or for workers’ compensation cases which prevent the employee from returning to work and performing the essential functions of their position or which cause them to exceed leave requirements of the State of South Carolina. Employees may be terminated if convicted of certain crimes which are serious enough in nature to create a substantial security risk or pose a threat to the Agency or a detriment to the Agency's image, or for failure to report arrests and/or dispositions or restraining orders in a timely manner as required in policy/procedure. In those cases listed above, the termination provisions of this policy/procedure are not required.

1.4 There is no requirement for this policy to be applied to probationary status employees who may be disciplined and terminated, at the discretion of the Agency. Probationary status employees may only be terminated with the concurrence of the Chief, Employee Relations Branch or designee.

2. EMPLOYEE REVIEW MEETINGS:

2.1 Employees suspected of committing a rules infraction(s) will be afforded the opportunity to have his/her case heard by the Reprimanding Authority to review the information concerning each case; to determine whether the employee has committed a violation; to properly characterize the violation; and, if necessary, to assess corrective action. All employee corrective actions taken must conform with directives outlined in this policy/procedure.

2.2 Employees will be notified at least 24 hours in advance of their scheduled Review Meeting with the Reprimanding Authority.  This notification may be served on the employee by the Reprimanding Authority, any supervisor in their chain of command or by certified mail as stated in Section 4.2.  SCDC Form 16-50, "Employee Corrective Action," will be used for this purpose.  In some cases, however, circumstances (i.e., employee incarceration, out of state, illness/injury, etc.) may prevent a formal scheduled review meeting.  Documentation of the inability to have a review meeting or of the employee’s receipt of this notification should include the employee’s signature, certified mail receipt, or a signature of a witness (if the employee refuses to sign).  The 24-hour notice of the review meeting may be waived by the employee.  The waiver must be noted on SCDC Form 16-50, "Employee Corrective Action." 

2.3 There is no review meeting required for employees charged with violation 270 – Positive Drug Test Results and 280 - Failure to Submit to a Drug Test. Upon notification of the positive test result, the Reprimanding Authority will immediately place the employee on suspension. If the employee requests a reconfirmation test, s/he will remain on suspension until the results are confirmed. If no reconfirmation test is requested, the Reprimanding Authority will proceed with the termination process. 

3. REVIEW MEETING PROCESS:

3.1 Employee Review Meetings should be conducted within ten (10) calendar days after the employee has been notified of the meeting. For the Division of Investigation cases, the Reprimanding Authority should convene the hearing within 15 calendar days from the date that the investigative report/summary is received by him/ her.

3.2 The Employee Review Meeting will be convened at the appointed date and time, and the employee will, again, be advised of the alleged violation. Should the employee fail to appear as scheduled, the Reprimanding Authority may conduct the meeting in the employee’s absence. All participants will be advised that the issues being addressed are confidential in nature and should not be discussed outside the meeting. The employee may NOT be represented by counsel at this meeting.

3.3 The Reprimanding Authority will allow the employee the opportunity to respond to the allegation(s), present a defense on his/her behalf, and present pertinent supportive documentation relating to the allegation. (NOTE: Supportive documentation used by the Reprimanding Authority may include written documentation, statements, investigative reports/summaries, incident reports, and any other material available to the Reprimanding Authority concerning the allegation. If such information is used, the information or a summary must be provided to the employee prior to the meeting.  Based upon the available information, the Reprimanding Authority must determine if an alleged violation did, in fact, occur. The review meeting will also serve to determine the proper characterization of the violation. (For example, employees may have been notified that they were suspected of "negligence," but at the review meeting, it was determined they were asleep on their duty post. The characterization of the violation would then be changed to "sleeping on duty.") 

3.4 If the Reprimanding Authority determines that a violation has occurred, s/he will complete SCDC Form 16-50, "Employee Corrective Action." The guidelines described in Attachment 1-A to these procedures have been established to assist the Reprimanding Authority in identifying the violation and imposing appropriate corrective action. The Reprimanding Authority will then arrive at a decision for corrective action based on the following:

• the seriousness of the violation;

• prior corrective actions against the employee (when considering such disciplinary matters, the Reprimanding Authority will give consideration to the amount of time that has elapsed since the employee’s last corrective action);

• the employee’s work record, length of service, and job performance; and

• multiple violations, associated with a single incident, may warrant more severe corrective action than a single violation.

3.5 Where an employee is found to have committed multiple violations, associated with a single incident, all the violations should be listed on SCDC Form 16-50, "Employee Corrective Action."  The corrective action imposed should be in accordance with the range of corrective actions recommended for the most serious violation listed.

3.6 For any case heard by the Reprimanding Authority that results in no corrective action being imposed, the Reprimanding Authority must record his/her decision and reason in the "NO ACTION IMPOSED" space on SCDC Form 16-50, "Employee Corrective Action."  The form should be retained at the work site, but not placed in the employee's personnel file.

3.7 Office of Record: All original signed SCDC Forms 16-50, "Employee Corrective Action" will be placed in the employee’s personnel file with copies to the Employee Relations Branch. Records of all corrective actions will be maintained by the Employee Relations Branch to be used in all matters relating to the employee. All corrective actions, with support documentation from both the employee and the Reprimanding Authority, will be forwarded to the Employee Relations Branch within five (5) workdays after final action is taken. Employee corrective action information will also be entered on the mainframe Automated Employee Disciplinary System by the Reprimanding Authority or designee immediately after final action has been taken.

3.8 Informal Resolution:  At the discretion of the Reprimanding Authority, and after the employee has been informed of the corrective action, s/he may be offered the opportunity to voluntarily accept a lesser action as an informal resolution of the charge.  (NOTE:  Informal resolution cannot be used when the employee does not come to the review meeting nor when termination is the only option.) 

3.9 When an employee accepts the informal resolution, the employee agrees to waive any available appeal rights.  The employee must sign and date the informal resolution section on SCDC Form 16-50, "Employee Corrective Action." 

3.10 An employee may, within seven (7) calendar days, by certified letter to the Reprimanding Authority, reconsider his/her decision to accept informal resolution and have the original corrective action restored.  

4.1 General:  All corrective actions must be documented on SCDC Form 16-50, "Employee Corrective Action," and, if possible, should be signed by the employee. (Refer to Section 4.2, below.) All corrective actions will become a permanent part of the employee’s official personnel file, except written warnings. The employee may request that written warnings be removed from his/her file after a 24 month period if no additional corrective actions of any kind have been issued.  (NOTE:  Written warnings issued for violation of the following policies/procedures are permanent documents and may not be removed from the record):

• Sexual Harassment;

• Employee-Inmate Relations; and

• EPMS; Substandard Job Performance.

4.2 In lieu of the employee’s signature on SCDC Form 16-50, "Employee Corrective Action," the following documentation will serve to verify the employee’s receipt of the form or the inability to serve the form:

4.2.1 If certified mail was used to notify the employee of the corrective action, "CERTIFIED MAIL" and the number assigned to the certified mail receipt will be written in the employee’s signature space by the Reprimanding Authority.  The Reprimanding Authority and one (1) witness must sign the form.

4.2.2 If the employee refuses to sign, "REFUSED TO SIGN" will be entered in the employee signature space by the Reprimanding Authority. The Reprimanding Authority and one (1) witness must sign the form.

4.2.3 In the case of inability to serve the form, "Unavailable for Signature," will be entered in the employee's signature space.  The Reprimanding Authority and one (1) witness must sign the form.  

4.3 Reprimanding Authorities are required to discuss the procedural actions that can be taken for repeated infractions as well as recommendations for improvement with the employee. 

4.4 Corrective Actions:  The appropriate corrective action(s) will be determined after the particular circumstances of the case have been considered.  The Sanctions/Violations (see Attachment 1-A) should only be used as a guide and are intended to be flexible rules except when termination is the only option.  Corrective actions imposed outside the Sanctions/Violations (see Attachment 1-A) must be approved by the Employee Relations Branch, appropriate member of the Director's staff, and/or the Agency Director.  Attachment 2-A is intended to be used as a guide for the Reprimanding Authority to ensure that the appropriate approvals are obtained and forms are completed based on action taken.  Corrective action should be progressive in nature when possible.  It is the Agency's position that each situation requiring corrective action is unique.  Thus, the Reprimanding Authority should consider the totality of the circumstances and identify any aggravating or mitigating factors when determining an appropriate course of corrective action.  The factors which should be considered by the Reprimanding Authority include, but are not limited to the following:

• Employee's work history;

• Previous disciplinary history;

• Employee Performance Management System (EPMS) appraisals;

• Action inadvertent or intentional; and

• Security, safety, or mission of the institution/division jeopardized.

The Reprimanding Authority may impose the following actions: (NOTE: These actions will be documented on SCDC Form 16-50, "Employee Corrective Action.")

4.4.1 Written Warning; Disciplinary probation may be added at the discretion of the reprimanding authority to indicate the severity of the offense. 

4.4.2 Suspension; (See Attachment 1-A)  The Reprimanding Authority is advised to contact the Employee Relations Branch for additional guidance.

4.4.4 Demotion, Reassignment, or Other Appropriate Action may also be implemented to address undesirable conduct or a disciplinary offense.  A demotion and/or reassignment may be used as an alternative to suspension or termination in some cases.  The Reprimanding Authority is advised to contact the Employee Relations Branch for additional guidance.

4.4.5 Temporary Assignment: In addition to the above, but not necessarily as a corrective action, the Reprimanding Authority may deem it in the best interest of the Agency, or the individual, to temporarily reassign (less than 90 days) the employee from one position to another in order to limit contact with inmates or other employees. In such cases, the following actions will be taken in the order listed:

• Work the employee in a non-contact position in the unit/department;

• Coordinate with the Warden, Division Director, or appropriate members of the Director's staff to temporarily move the employee to another unit/department; and/or

• Coordinate through the Employee Relations Branch, if necessary.

4.4.6 Employee Assistance Program (EAP):  An employee may be given the opportunity to participate in the EAP as outlined in SCDC Policy/Procedure ADM-11.19, "Employee Assistance Program."

4.5 The Reprimanding Authority may place an employee on administrative suspension (a period of suspension without pay that may exceed  15 workdays) if the alleged violation requires that an employee not be allowed to return to work pending the outcome of an internal/external investigation or when the presence of an employee presents a perceived threat or danger to the health and/or safety of other employees or to the operation or security of an office or institution.  (NOTE:  If an employee is authorized to return to work, reimbursement for back pay may or may not be approved by the Division Director of Human Resources based on the circumstances of the administrative suspension.) 

5. JOB ABANDONMENT: Any employee absent for three (3) consecutive workdays, regardless of his/her work schedule (7.5, 8, or 12 hours), without notifying his/her unit/department supervisor or a supervisor in his/her chain-of-command or other Agency official designated by his/her Warden or Division Director, will be considered to have voluntarily resigned his/her employment. This is an administrative procedure and will not be reported as a corrective action, nor will it be a grievable action. Upon notification from the employee’s work location, the Employee Relations Branch will be responsible for forwarding a certified letter to the employee accepting his/her voluntary resignation in these cases.

6. SUBSTANDARD JOB PERFORMANCE:  Action issued for "Substandard Job Performance" will be in accordance with all SCDC policies/procedures related to the employee performance management system and must be coordinated through the Employee Relations Branch.  Final approval on measures taken in these cases must have the concurrence of the Division Director of Human Resources.

10. DEFINITIONS:

Administrative Suspension refers to a period of suspension without pay that may exceed  15 workdays if the alleged violation requires that an employee not be allowed to return to work pending the outcome of an internal/external investigation or when the presence of an employee presents a perceived threat or danger to the health and/or safety of other employees or to the operation or security of an office or institution.  (NOTE:  If an employee is authorized to return to work, reimbursement for back pay may or may not be approved by the Division Director of Human Resources based on the circumstances of the administrative suspension.) 

Aggravating Factor refers to the existence of facts that make the offense worse or more serious.

Appropriate Director's Staff Member refers to the Division Director of Office of Budget and Resource Management, Programs and Services, Operations, Health Services; the Chief of Staff; the Inspector General; and the General Counsel. 

Charging Party refers to the supervisor making the initial charge allegation. (If a Warden, Division Director, or an appropriate member of the Director's staff is the charging party, s/he may also serve as the Reprimanding Authority.  If s/he does not wish to serve as the Reprimanding Authority, s/he will consult with his/her supervisor, who may serve as the Reprimanding Authority or may select another Warden, Division Director, or appropriate member of the Director's staff, or higher authority to serve as the Reprimanding Authority.)

Date of Corrective Action refers to the effective date of the corrective action entered by the Reprimanding Authority on the "Employee Corrective Action Form."

Demotion refers to the movement of an employee from one position to another position having a lower pay band.

Disciplinary Probation refers to corrective action imposed by the Reprimanding Authority upon an employee for a period of 30 to 180 calendar days. Disciplinary probation may be imposed as the only corrective action for an offense; however, disciplinary probation may also be included as a part of the corrective action if suspension or demotion is imposed. Multiple disciplinary probations will be served consecutively, not concurrently. In determining the starting date for disciplinary probation, the following guidelines are established:

• If an individual is not currently on disciplinary probation, the disciplinary probation period will start on the effective date of the corrective action as determined by the Reprimanding Authority. Disciplinary probation periods must not be back dated to the date of the violation, nor should the effective date be postponed in order for the employee to receive a pay increase, promotion, etc.

• While on disciplinary probation, an employee may not be recommended for or receive a performance pay increase, salary adjustment/reclassification, voluntary demotion, or voluntary promotion. Employees on disciplinary probation will receive legislated cost-of-living increases, merit increases, and class reallocation increases as authorized by the State Office of Human Resources.

• If an individual is currently serving a period of disciplinary probation, any subsequent period of disciplinary probation will start the calendar day after the current disciplinary probation period ends.

• Following the initial period of suspension, any time an employee’s disciplinary probation period is interrupted due to removal from the payroll for any reason, upon the employee’s return to work, the amount of time off the payroll will be added to the ending date of his/her disciplinary probation period.

Dual Supervision refers to situations in which an employee is accountable to both the security and technical (e.g., food service, support services, and prison indistries) lines of authority. Should it become necessary to impose corrective action upon a dual supervision employee, the following guidelines for determining the appropriate Reprimanding Authority must be followed:

• If the violation is technical in nature (e.g., food service, support services, and prison industries), the technical line of authority may, in agreement with security, issue the corrective action with communication and notification to the security supervisor prior to administering the action to the employee.

• If the violation is general in nature, or security related, the security line of authority may, in agreement with the technical supervisor, issue the corrective action, with communication and notification to the technical supervisor prior to administering the action to the employee.

Employee Review Meeting refers to a meeting between the Reprimanding Authority and the employee to determine if a violation occurred; to determine the proper classification of the violation; and to assess whether corrective action is warranted.

Mitigating Factor refers to the existence of facts that lessen the severity of the offense.

Probationary Status refers to the status of a full-time or part-time employee occupying a part or all of an FTE position in the initial working test period of employment with the State of 12 month's duration.

Reassignment refers to an assignment of a position in one class to another class which is the result of a natural or an organizational change in duties or responsibilities.

Reprimanding Authority refers to an individual occupying a position who has been empowered to impose corrective action upon employees in accordance with the procedures outlined in these guidelines.  Individuals temporarily filling these positions may administer corrective action commensurate with the position during their tenure. The following positions are designated as Reprimanding Authorities: 

• Agency Director;

• Appropriate Director's Staff member or designee;

• Wardens or designee (i.e., the Warden may elect to designate the Associate Warden when imposing a written warning as indicated in Attachment 2-A) or;

• Associate Wardens (In official absence of the Warden); and

• Division Directors or designee (i.e., the Division Director may elect to designate the Assistant Division Director when imposing a written warning) or the Assistant Division Director in the official absence of the Division Director as indicated in Attachment 2-A. 

Rules Infraction refers to one (1) or more of the violations listed in this directive, or any rule or regulation of the Agency, or the provisions of any proper order or orders. An infraction may consist of, but is not limited to, any of the following:

• Engaging in the specified behavior;

• Attempting to engage in the specified behavior;

• Conspiring to engage in the specified behavior; and/or

• Aiding others in conspiring to or attempting to engage, or actually engaging in the specified behavior.

Subsequent Violations refers to a process whereby violations are considered cumulative in nature and subsequent violations must result in additional corrective action being imposed. Subsequent violations will be considered in the following manner:

• Prior violations, regardless of the previous number of violations, that resulted in the employee receiving a "Written Warning" will be considered for two (2) years from the date the Reprimanding Authority imposed corrective action;

• Prior violations, regardless of the previous number of violations, which resulted in the employee receiving a "Reprimand other than a Written Warning" (e.g., suspension, probation, etc.) will be considered for three (3) years from the date the Reprimanding Authority imposed corrective action;

• For repeated infractions, the employee should receive the recommended corrective action for a second, third, or fourth offense, depending on the circumstances.

Support(ive) Documentation refers to all written material submitted to and used by Reprimanding Authorities in arriving at their decision in the case.

Suspension refers to action taken to remove the employee from pay status. Periods of suspension for corrective action may be from 1 to 15 workdays depending upon the violation. To ensure uniformity throughout the SCDC and for all work schedules, each day of suspension will equal 8.0 hours for those employees working a 40 hour work week or 28 day cycle, and 7.5 hours for those employees working a 37.5 work week.    

Use of Force refers to any physical contact with an inmate, or application of chemical agents, or mechanical physical restraints, or electronic stun devices to modify the inmate's behavior or anticipated behavior.  The SCDC authorizes the minimum reasonable use of force to promote the safety and security of the inmate, other inmates, and staff members; as a precaution against escape; to prevent self injury or injury to others; and/or to prevent property damage. For the purposes of this policy/procedure, use of force does not include the use of restraints for the movement or transportation of inmates based on their custody level.  Refer to SCDC Policy/Procedure OP-22.01, "Use of Force," for more information.

Violation Codes refers to numbers and descriptions used to define the rules violation and the method used to establish recommended corrective action for the violations listed.

Written Warning refers to a written document that outlines the rules infraction(s) committed by an employee and informs him/her of future corrective action if similar rules infractions occur.

SIGNATURE ON FILE

ORIGINAL SIGNED COPY MAINTAINED IN THE DIVISION OF POLICY DEVELOPMENT.

ATTACHMENT 1-A

SANCTIONS/VIOLATIONS

(NOTE: Accumulation of any three (3) offenses of any type in a 90-day period where the first offense calls for a oral or written warning may result in corrective action of a suspension up to termination on the third offense.)

ATTACHMENT 2-A

GUIDELINES FOR EMPLOYEE CORRECTIVE ACTION