No. 31194 (Amendment): R477-9. Employee Conduct

DAR File No.: 31194
Filed: 04/25/2008, 09:35
Received by: NL

RULE ANALYSIS

Purpose of the rule or reason for the change:

Amendments add clarifying language and align Conflict of Interest rule with the Governor's Executive Order of 02/14/2007. Language is changed to specify new procedures for employees interested in filing for candidacy for a partisan Office. This aligns with the federal Hatch Act and establishes clear guidelines regarding the state's and employee's responsibilities. Nonsubstantive changes are also made to comply with rulemaking style.

Summary of the rule or change:

In Subsection R477-9-1(5), the word "personal" is inserted to clarify what is meant by current mailing address. Subsection R477-9-3(3) is changed to reflect language found in the Governor's Executive Order on Ethics of 2007 and eliminates exceptions for receipt of gifts or honoraria in accordance with the order. Section R477-9-4 is changed by iterating federal Hatch Act restrictions and adding procedural steps for employees to follow if they desire to file for candidacy for a partisan political office. The section also outlines dismissal consequences for violating these rules.

State statutory or constitutional authorization for this rule:

Sections 67-19-6 and 67-19-19

Anticipated cost or savings to:

the state budget:

There is no direct budget impact to the state from these amendments as they merely outline administrative and procedural processes required for employees to comply with.

local governments:

This rule only affects the executive branch of state government and will have no impact on local governments.

small businesses and persons other than businesses:

This rule only affects the executive brand of state government and will have no impact on other persons.

Compliance costs for affected persons:

This rule only affects agencies of the executive branch of state government.

Comments by the department head on the fiscal impact the rule may have on businesses:

Rules published by the Department of Human Resource Management (DHRM) have no direct effect on businesses or any entity outside state government. DHRM has authority to write rules only to the extent allowed by the Utah Personnel Management Act, Title 67, Chapter 19. This act limits the provisions of career service and these rules to employees of the executive branch of state government. The only possible impact may be a very slight, indirect effect if an agency passes costs or savings on to business through fees. However, it is anticipated that the minimal costs associated with these changes will be absorbed by agency budgets and will have no effect on business. Jeff Herring, Executive Director

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Human Resource Management
Administration
Room 2120 STATE OFFICE BLDG
450 N MAIN ST
SALT LAKE CITY UT 84114-1201

Direct questions regarding this rule to:

J.J. Acker or Tina Sweet at the above address, by phone at 801-537-9096 or 801-538-3761, by FAX at 801-538-3081 or 801-538-3081, or by Internet E-mail at [e-mail] or [e-mail]

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

06/16/2008

This rule may become effective on:

06/23/2008

Authorized by:

Jeff Herring, Executive Director

RULE TEXT

R477. Human Resource Management, Administration.

R477-9. Employee Conduct.

R477-9-1. Standards of Conduct.

An employee shall comply with the standards of conduct established in these rules and the policies and rules established by agency management.

(1) Employees shall apply themselves to and shall fulfill their assigned duties during the full-time for which they are compensated.

(a) An employee shall:

(i) comply with the standards established in the individual performance plans;

(ii) maintain an acceptable level of performance and conduct on all other verbal and written job expectations;

(iii) report conditions and circumstances, including controlled substances or alcohol impairment, that may prevent the employee from performing their job effectively and safely;

(iv) inform the supervisor of any unclear instructions or procedures.

(2) An employee shall make prudent and frugal use of state funds, equipment, buildings, and supplies.

(3) An employee who reports for duty or attempts to perform the duties of the position while under the influence of alcohol or nonprescribed controlled substances shall be subject to corrective action or discipline in accordance with Section R477-10-2, Rule R477-11 and R477-14.

(a) The agency may decline to defend and indemnify an employee found violating this rule, in accordance with Subsection 63-30-36(c)(ii) of the Utah Governmental Immunity Act.

(4) An employee [shall]may not drive a state vehicle[,] or any other vehicle, on state time, while under the influence of alcohol or controlled substances.

(a) An employee who violates this rule shall be subject to corrective action or discipline [pursuant to]under Section R477-10-2, Rules R477-11 and R477-14.

(b) The agency may decline to defend or indemnify an employee who violates this rule, according to Subsection 63-30-36(3)(c)(i) of the Utah Governmental Immunity Act.

(5) An employee shall provide the agency with a current personal mailing address.

(a) The employee shall notify the agency in writing of any change in address.

(b) Mail sent to the current address on record shall be deemed to be delivered for purposes of these rules.

 

R477-9-3. Conflict of Interest.

(1) An employee may receive honoraria or paid expenses for activities outside of state employment under the following conditions:

(a) Outside activities must not interfere with the employee's efficient performance in his state position.

(b) Outside activities must not conflict with the interests of the agency or the State of Utah.

(c) Outside activities must not give reasons for criticism or suspicion of conflicting interests or duties.

(2) An employee [shall]may not use his state position or any influence, power, authority or confidential information received in that position, or state time, equipment, property, or supplies for private gain.

(3) An employee [shall]may not accept economic benefit tantamount to a gift, under Section 67-16-5 and the Governor's Executive Order on Ethics dated February 14, 2007, or other compensation that might be intended to influence or reward the employee in the performance of official business.[receive outside compensation for performing state duties, except for the following:

(a) Gifts or compensation defined in the Governor's Executive Order on Ethics dated February 14, 2007; or

(b) honoraria or expenses paid for papers, speeches, or appearances on an employee's own time with the approval of agency management, which are not compensated by the state or prohibited by rule.]

(4) An employee shall declare a potential conflict of interest when required to do or decide something that could be interpreted as a conflict of interest. Agency management shall then excuse the employee from making decisions or taking actions that may cause a conflict of interest.

 

R477-9-4. Political Activity.

A state career service employee may voluntarily participate in political activity, except as restricted by this section or [ according to the provisions in this rule or other federal laws. The employee shall comply with the provisions of ]the federal Hatch Act, 5 U.S.C. Sec. 1501 through 1508.[ The following rules apply to a career service employee in any salary range and position.]

(1) The federal Hatch Act restricts the political activity of state government employees who work in connection with federally funded programs.

(a) State employees in positions covered by the Hatch Act may run for public office in nonpartisan elections, campaign for and hold office in political clubs and organizations, actively campaign for candidates for public office in partisan and nonpartisan elections, contribute money to political organizations, and attend political fundraising functions.

(b) State employees in positions covered by the federal Hatch Act may not be candidates for public office in a partisan election, use official authority or influence to interfere with or affect the results of an election or nomination, or directly or indirectly coerce contributions from subordinates in support of a political party or candidate.

(c) Prior to filing for candidacy, a state employee who is considering running for a partisan office shall submit a statement of intent to become a candidate to the agency head.

(i) The agency head shall consult with DHRM.

(ii) DHRM shall determine whether the employee's intent to become a candidate is covered under the Hatch Act.

(iii) Employees in violation of section R477-9-4(1)(c) shall be disciplined up to termination of their employment.

(d) If a determination is made that the employee's position is covered by the Hatch Act, the employee may not run for a partisan political office.

(i) If it is determined that that the employee's position is covered by the Hatch Act, the state shall dismiss the employee if the employee files for candidacy.

([1]2) Any state career service employee elected to any partisan or full-time nonpartisan political office shall be granted a leave of absence without pay while being monetarily compensated for service in political office. An employee [shall]may not [receive]use annual leave while serving in a political office.

([2]3) During work time, no career service employee may engage in any political activity. No person shall solicit political contributions from employees of the executive branch during hours of employment. However, a state employee may voluntarily contribute to any party or any candidate.

([3]4) Decisions regarding employment, promotion, demotion or dismissal or any other human resource actions [shall]may not be based on partisan political activity.

([4]5) Regardless of other provisions in these rules, no member of the Utah State Highway Patrol may use official authority or influence to interfere with an election or to affect election results. No person may induce or attempt to induce any member of the Utah State Highway Patrol to participate in any prohibited activity.[

(5) This rule shall not apply to an employee who is restricted or prevented from engaging in political activity through the provisions of the federal Hatch Act. Agency management shall dismiss any employee whose employment is found to be in violation of the provisions of this law by the Merit Systems Protection Board.]

 

R477-9-7. Policy Exceptions.

The Executive Director, DHRM, may authorize exceptions to [the provisions of ]this rule, consistent with Subsection R477-2-2(1).

 

KEY: conflict of interest, government ethics, Hatch Act, personnel management

Date of Enactment or Last Substantive Amendment: [July 1, 2007]2008

Notice of Continuation: June 9, 2007

Authorizing, and Implemented or Interpreted Law: 67-19-6; 67-19-19