Library: Policy
OKDHS:2-1-7. Discipline
Revised 10-07-22
(a) Purpose. Oklahoma Human Services (OKDHS) disciplinary regulations and procedures ensure compliance with all applicable laws, rules, regulations, and standards through reasonable and consistent disciplinary action, with flexibility to vary penalties, based on the seriousness and aggravating or mitigating circumstances for each action.
(b) Scope. Discipline includes employee engagement through termination. OKDHS follows the principle of progressive discipline where, absent aggravating or mitigating circumstances, continued misconduct justifying disciplinary action is to be accompanied by an automatic progression to the next higher level of discipline. These regulations pertain to all employees unless otherwise exempted from the provisions of the Civil Service and Human Capital Modernization Act, Section 34.301 of Title 62 of the Oklahoma Statutes (62 O.S. § 34.301). OKDHS may amend its internal regulations at any time.
(c) Disclaimer and limitations. OKDHS personnel regulations are intended to assist OKDHS in implementing the Civil Service and Human Capital Modernization Act, the Oklahoma Personnel Act, the Civil Service and Human Capital Modernization Rules, and Progressive Discipline Standards for state employees and to provide administrative guidance to OKDHS. OKDHS personnel policies do not create an employment contract of any kind, including, but not limited to, duration or conditions of employment.
(d) Definitions. The following words and terms used in this Section have the following meaning, unless the context clearly indicates otherwise:
(1) "Corrective action plan (CAP)" means a written plan received in conjunction with discipline to help an employee correct behavior or improve performance.
(2) "Discipline" means employee engagement, written reprimand, suspension without pay, involuntary demotion, or termination.
(3) "Local administrator" means the chief officer, division director, regional or area director, district director or field manager, or supervisor authorized to make discipline decisions.
(4) "Personnel file" means the local file maintained in the employee’s work location or electronic file locations and the permanent file of the employee maintained by Human Resource Management (HRM) in electronic file locations, which includes disciplinary actions. Employees have a right to review and copy their personnel file(s).
(5) "Disciplinary file" means the record of all disciplinary actions leading up to a written reprimand, punitive transfer, suspension without pay, demotion, or termination, the final action taken, and relevant supporting documents.
(6) "Sexual harassment" means, per Section 1604.11 of Title 29 of the Code of Federal Regulations (29 C.F.R. § 1604.11), any unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when:
(A) submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment;
(B) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual; or
(C) such conduct has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment.
(7) "Continued misconduct" means any additional or subsequent violation of applicable policy, and is not limited to offenses of similar or identical nature as a prior offense.
(e) Reassignment or removal from duty status pending an investigation of disciplinary action. An employee under investigation or awaiting a decision in a disciplinary action remains on duty if possible. The employee may be temporarily reassigned or suspended with pay.
(f) Documentation and removal of actions. A copy of any disciplinary document placed in an employee's disciplinary file is given to the employee. All copies of employee engagements and written reprimands may be removed from all files after two years if the employee has had no subsequent discipline. An employee requests the removal of an employee engagement and written reprimand by submitting Form 11AD010E Discipline Removal Request, which is approved and signed by the employee’s immediate and reviewing supervisors. Form 11AD010E is then submitted to the HRM corrective discipline manager for final approval and discipline removal.
(g) Causes for disciplinary action. OKDHS, when necessary, takes disciplinary action against an employee for violations of statute, policy, practice, directive, standard, or procedure regarding work performance or conduct. The categories of work performance or conduct that warrant discipline are described in (1) through (7) of this subsection.
(1) Unsatisfactory performance. An employee's performance is unsatisfactory when performance fails to meet established standards and criteria for the position to which the employee is assigned. Unsatisfactory performance includes inefficiency or error. Unsatisfactory performance is, in most circumstances, correctable, and disciplinary action is normally preceded by appropriate efforts to identify and correct the performance problems.
(2) Misconduct. Misconduct includes any failure to comply with statute, policy, practice, directive, standard, or procedure directly governing performance and conduct. The specific policies or procedures governing an employee's work and conduct may vary depending on the individual job responsibilities and work location. Supervisory personnel are responsible for ensuring employees are informed of and have available for review all applicable policy. Each employee is responsible for making reasonable efforts to stay informed of policy or procedure and any changes governing his or her duties and conduct. Misconduct further includes items listed in (A) through (I) of this paragraph.
(A) Unauthorized disclosure of confidential information. Unauthorized disclosure of confidential information includes securing or attempting to secure access to confidential information without authorization or disclosing confidential information to unauthorized persons.
(B) Willful failure. Willful failure includes failure to follow established OKDHS policy and procedure; failure to attend training; and failure to complete required forms and reports.
(C) Violation of time and leave policy. Time and leave violations include excessive or abusive tardiness; unexcused, unapproved, or excessive absences; abuse of leave; or unauthorized leave without pay.
(D) Willful disobedience. Willful disobedience is the intentional disregard of supervisory directives or willful refusal to comply with such directives.
(E) Insubordination. Insubordination, as distinguished from willful disobedience, means a general course of conduct evidencing disrespect, disdain, or contempt for OKDHS administrators, supervisory personnel, or other proper authorities.
(F) Dishonesty. Dishonesty includes:
(i) fraud committed in securing any appointment, promotion, or other advantage in employment;
(ii) making false reports or claims;
(iii) making false entries to misrepresent work performed;
(iv) falsifying official forms or other documents;
(v) criminal acts;
(vi) knowingly withholding information of official interest; and
(vii) fraud committed in securing any service or benefit from any program administered by OKDHS.
(G) Intoxication or the use or possession of alcoholic beverages or controlled substances during duty hours or on OKDHS property. Employees are prohibited from unlawfully manufacturing, distributing, dispensing, possessing, using, or being under the influence of a controlled substance or alcohol:
(i) during scheduled work hours;
(ii) while operating a state vehicle;
(iii) on state property; or
(iv) at their assigned duty station.
(H) Discourteous treatment of clients, other employees, or the general public. All staff are responsible for treating all persons with respect and courtesy and for ensuring that procedures employed in carrying out their responsibilities do not violate privacy or personal dignity, constitute harassment, or violate constitutional rights.
(I) Misuse of state property or equipment. Misuse of state property or equipment includes:
(i) theft, destruction, or abuse of property or equipment;
(ii) careless, illegal, or reckless use of property or equipment, including operating state-issued or state-leased vehicles in violation of traffic laws;
(iii) careless misplacement of property or equipment;
(iv) careless or intentional waste of property or equipment; and
(v) use of state property for personal purposes, such as:
(I) personal long distance telephone calls charged to the State;
(II) misuse of OKDHS email, facsimile, computer, or cell phone; or
(III) the use of unauthorized software or applications.
(3) Neglect of duty. Neglect of duty includes absence from an assigned duty station without proper authorization, inexcusable failure to perform an assigned duty, or inexcusable inattention to assigned duties.
(4) Conduct unbecoming a public employee. Conduct unbecoming a public employee includes any failure by an employee to demonstrate good behavior either during or outside duty hours, which is of such a nature that it causes discredit to OKDHS.
(5) Felony convictions. Any employee convicted of a felony charge or who pleads guilty or nolo contendere to a felony charge that is directly related to the type of work performed while employed by OKDHS.
(6) Maltreatment of OKDHS clients. Employees and supervisors are aware of and follow policies and administrative directives concerning maltreatment of clients in the employee's personal or professional care. Maltreatment includes abuse, neglect, verbal abuse, exploitation, caretaker misconduct, sexual abuse, or sexual exploitation.
(7) Dereliction of duty. Dereliction of duty is the failure of an employee to appear for duty for three-consecutive working days and failure to contact his or her immediate or reviewing supervisor or other delegated authority, during that three-day period to request authorization to be absent from duty and explain the reason(s) for the request. Progressive discipline is unwarranted for the employee who is derelict in his or her duty, and the employee is terminated.
