Docstoc

Arkansas Doc Employee Handbook Department of Finance and Administration

Document Sample
Arkansas Doc Employee Handbook Department of Finance and Administration Powered By Docstoc
					             Department of Finance and Administration
            Employee Orientation Handbook




About this Handbook:

This Handbook does not constitute any employment contract or agreement, either expressed or
implied, between the Department and its employees. This Handbook is subject to change without
notice either wholly or in part.

Discrimination by any officer or employee based upon race, creed, religion, national origin, age,
sect, or gender shall constitute grounds for dismissal. When it is determined by any court of law
that an employee of the State of Arkansas is guilty of discrimination based on the above, such
determination shall be grounds for dismissal from employment.




                                         Revised 3/29/2010
                                                    TABLE OF CONTENTS

                                                                                                                              Page Number
Welcome from the Director..........................................................................................              3
History of the Department of Finance & Administration ..............................................                             4-5
Functions of the Department of Finance & Administration ..........................................                               6
Organizational Chart ...................................................................................................         7
DFA Management Phone List. ....................................................................................                  8
General Policies ..........................................................................................................      9-10
Pay Scale (Hourly and Yearly) ....................................................................................               11
Paid Holidays …………………………………….. .........................................................                                         15-16
Leave and Attendance Policy ......................................................................................               17-23
Workers’ Compensation ..............................................................................................             23
Vehicle Safety Program...............................................................................................            24
Americans with Disabilities Act Compliance ...............................................................                       24
Uniform Grievance/ADR Policy ...................................................................................                 25-31
Veteran’s Preference Law ...........................................................................................             30-31
General State Benefits ................................................................................................          33
Helpful Telephone Numbers .......................................................................................                34
Affirmative Action Commitment ...................................................................................                35-40
Administrative Memoranda .........................................................................................               41-81




                                                                        2
                  STATE OF ARKANSAS                                  OFFICE OF THE DIRECTOR
                                                                     1509 West Seventh Street, Suite 401
                  Department of Finance                                               Post Office Box 3278
                                                                        Little Rock, Arkansas 72203-3278
                                                                                   Phone: (501) 682-2242
                  and Administration                                                  Fax: (501) 682-1029
                                                                                    www.arkansas.gov/dfa




                                                 January, 2009


Dear Employees:

I am happy, on behalf of the employees of the Department of Finance and Administration, to
extend a warm welcome to you. We are pleased that you have chosen to join us and it is our
desire to assist you in adjusting quickly to your new position. This Orientation Handbook is aimed
at providing some assistance. It will answer many of the questions you may have concerning
salaries, insurance, leave, and other policies and benefits of employment. For those topics not
covered and questions not answered, I encourage you to discuss them with your supervisor.

The employees of this Department are proud of their reputation for the friendly, courteous and
helpful assistance they give to those whom they have the opportunity to serve. We take pride in the
professional manner in which our business is conducted. We are a service organization that offers
various types of administrative, managerial, and technical assistance to other departments and
agencies of State government. We also are responsible for collecting the taxes that finance most of
State government, issuing drivers' licenses, registering motor vehicles, and assisting in the
administration of racing and alcoholic beverage laws. Our work requires dedication and
commitment on the part of each of us. We are responsible for insuring the public that they are
receiving the best possible return on their investment of tax dollars.

Again, I extend a sincere welcome to you and best wishes for your success.



                                                 Sincerely,




                                                 Richard A. Weiss
                                                 Director


RAW:rb



                                                3
                  DEPARTMENT OF FINANCE AND ADMINISTRATION


                                              History

Act 255 of 1917 established the Comptroller’s Office and the State Auditorial Department. The
Comptroller was charged with the execution of all laws relating to the inspection and supervision of
all books containing the accounts of the departments and institutions of the State and such other
duties as set out in the Act. Act 49 of 1925 abolished the position of Comptroller and created a
Board of Charities and Correction, composed of three members appointed by the Governor (one of
whom was designated the ex-officio State Comptroller). Act 49 of 1925 was repealed by Act 37 of
1927, which re-established the position of Comptroller to be filled by gubernatorial appointment.
Act 41 of 1953 abolished the Comptroller’s Office and set up the Department of Finance and
Administration. Act 315 of 1955 established a general accounting office, which was designated as
the Office of State Comptroller, and included the Division of Legislative Audit.

Act 62 of 1957 established the Social Security Division and Act 177 of 1957 created the Arkansas
State Employees’ Retirement System. The latter act stipulated that the State Comptroller be
responsible for administration of the Retirement System and serve as its executive secretary.

Acts 153 and 154 of 1965 transferred the administrative duties of Social Security coverage and
State Retirement for public employees from the State Comptroller’s Office to the Board of Trustees
of the Arkansas Employees’ Retirement System, effective June 9, 1965.

Act 466 of 1967 created a Personnel Division of the State Administration Department.

Act 468 of 1967 created a State Administration Department. Act 468 stipulated that qualifications of
the Director of Administration would be those required for the State Comptroller under Section 3 of
Act 315 of 1955 and the Director be appointed by the Governor. The duties and powers of the
State Comptroller and his staff, together with the assets of the State Comptroller’s Office, were
transferred to the State Administration Department, effective July 1, 1967. The act abolished the
Office of State Comptroller and created divisions of the State Administration Department, including
the State Purchasing Department as a division of the State Administration Department.

Act 44 of 1968 authorized the creation of a Marketing and Redistribution Section within the
Purchasing Division of the State Administration Department.

Act 46 of 1968 authorized an electronic Data Processing Center to be operated by the State
Administration Department and authorized the use of the Center by other State agencies, boards,
commissions, and departments.

Act 47 of 1968 authorized the State Administration Department to establish and maintain a central
telephone service for other State Agencies.

Act 199 of 1969 established a Personnel Classification and Compensation Plan for designated
State agencies. The Act also established procedures to be followed by the State Administration
Department in exercising pre-audit and other controls to ensure compliance with the authorized
salary positions approved in the respective appropriation acts for agencies covered by the
Personnel Classification and Compensation Plan.



                                                 4
Act 286 of 1969 transferred all powers, functions and duties of the division of Local Affairs and
Audits of the State Administration Department to the Division of Legislative Audit.

Act 38 of 1971 created a Department of Finance and Administration with its Director to be
appointed by the Governor. The State Administration Department, the Department of Revenue and
the Surplus Property Program and their functions, powers and duties were transferred to the
Department of Finance and Administration effective February 4, 1971. In addition, the Arkansas
Racing Commission, and the Alcoholic Beverage Control Division were transferred to the
Department of Finance and Administration for administrative supervision and direction.

Act 742 of 1975 transferred the Office of Criminal Justice and Highway Safety Information from the
Department of Finance and Administration to the Department of Public Safety.

Act 884 of 1977 established the Department of Computer Services and transferred the duties of
the Administrative Services Division to the new department.

An Executive Order by Governor David Pryor transferred the Merit System Council to the
Department of Finance and Administration on July 1, 1977.

An Executive Order by Governor Bill Clinton transferred the A-95 Clearinghouse from the
Department of Local Services to the Department of Finance and Administration.

Act 729 of 1981 transferred the Alcoholic Beverage Control Enforcement Division from the
Department of Public Safety to the Department of Finance and Administration.

Act 764 of 1981 transferred the Intergovernmental Personnel Act Program, the HUD 701 Program
and State Planning Grants from the Department of Local Services to the Department of Finance
and Administration.

An Executive Order by Governor Frank White transferred the duties of the Arkansas Crime
Commission to the Department of Finance and Administration on July 1, 1981. Operations of the
Commission were phased out at the end of the 1981-82 fiscal year.

Act 691 of 1983 transferred the Natural Resources Leasing Program from the Department of
Commerce to the Department of Finance and Administration.

Act 509 of 1993 transferred the Natural Resources Leasing Program to the Commissioner of State
Lands Office effective July 1, 1993.

Acts 795 and 957 of 1993 transferred the Child Support Enforcement Unit from the Department of
Human Services to the Department of Finance and Administration, Revenue Division, effective July
1, 1993.

Act 751 of 2007 transferred the Information Technology planning function from the Office of
Information Technology to the Department of Finance and Administration.




                                                  5
                      DEPARTMENT OF FINANCE AND ADMINISTRATION

                                              Functions

The primary functions of the Department of Finance and Administration are:

1. To provide assistance to all State agencies in the management of their appropriated funds,
   personnel, and property while exercising statutory controls over the agencies in these areas.
   The Director of the Department is the State’s Chief Fiscal Officer and executes the
   responsibilities of making certain that expenditures, use of personnel, and use of property are
   carried out in accordance with the laws of the State.

2. To collect the general and special revenues assessed by law in an efficient and fair manner.

3. To register all motor vehicles in the State and to issue all drivers’ licenses.

4. To establish and enforce child support obligations, including the establishment of paternity.

In addition, the Department administers the laws governing the sale and consumption of all
alcoholic beverages, enforces alcoholic beverage laws, and administers pari-mutuel horse and dog
racing regulations.

The two major divisions of the Department are:

1. DIVISION OF MANAGEMENT SERVICES, which includes the Office of the Director, Office of
   Accounting, Office of Budget, Office of Personnel Management, Office of State Procurement,
   Office of Intergovernmental Services, Office of Administrative Services, Office of Information
   Services, Employee Benefits Division, and Criminal Detention Facilities Review.

2. DIVISION OF REVENUE, which includes the Offices of the Revenue Assistant Commissioners,
   Office of Income Tax Administration, Office of Excise Tax Administration, Office of Field Audit
   Administration, Office of Driver Services Administration, Office of Motor Vehicle Administration,
   Office of Revenue Legal Counsel, Office of State Revenue Office Administration, and Office of
   Child Support Enforcement.

The Office of the Director of the Department of Finance and Administration and Deputy
Director/Commissioner of Revenue is located in Room 401 of the Department of Finance and
Administration Building (DFA Building) at 1509 West 7th Street.

The Offices of the Revenue Assistant Commissioners are located in Room 2047 in the Ragland
Building (Operations and Administration) and Room 215 in the Joel Y. Ledbetter Building (Policy
and Legal) at 7th and Wolfe Streets. All offices within the Division of Revenue are located in the
Ragland and Joel Y. Ledbetter Buildings with the exception of the Office of Child Support
Enforcement. It is located at 400 East Capitol.




                                                   6
7
DEPARTMENT OF FINANCE AND ADMINISTRATION             FAX        PHONE     RM./BLDG.                                                           FAX       PHONE      RM./BLDG.
OFFICE OF THE DIRECTOR                                                                       OFFICE OF STATE PROCUREMENT (OSP)
Richard A. Weiss, Director                          682-1029   682-2242   401 / DFA          Jane Benton, Administrator                      324-9311 324-9312     301    /   DFA
Timothy J. Leathers, Deputy Director/                                                          Robin Rogers, Deputy Administrator                      371-6067    302    /   DFA
 Commissioner of Revenue                                       682-2242   401 / DFA            ATTORNEY, OSP, Vacant                                   371-6060    301    /   DFA
Rita Barlow, Executive Assistant                               682-5323   401 / DFA            P-CARD/TRAVEL CARD MANAGER, Jeff Spears                 371-1405    301    /   DFA
John Shelnutt, Admin. Economic Analysis & Tax Research         682-1688   404 / DFA            PROFESSIONAL CONSULTANT SERVICES, Rick Smith            371-6072    301    /   DFA
                                                                                               SUPPORT SERVICES MANAGER, Shelia Kinslow                683-2220    301    /   DFA
OFFICE OF ADMINISTRATIVE SERVICES (OAS)                                                        MARKETING & REDISTRIBUTION
Janis Harrison, Administrator                        324-9070 324-9057    700 /   1515          MANAGER, David Justice                                 565-8645    Young Road*
  ADMIN. OF JUSTICE FUND, Vacant, Manager            682-5354 371-6007    700 /   1515       *MAIL: MESSENGER: 6620 Young Road, Little Rock, Arkansas 72209
  FISCAL ACCOUNTING, Richard Drilling, Manager       324-9070 324-9060    700 /   1515
  ACCOUNTS PAYABLE, Barbara Evans, Supervisor                 324-9060    732 /   1515       REVENUE DIVISION                                FAX        PHONE      RM./BLDG.
  GOV.’S OFF. & MANSION LIAISON, Cathy Browning               324-9137    700 /   1515       ASSISTANT COMMISSIONER
  HUMAN RESOURCES, Amy Valentine, Manager            683-2174 324-9063    102 /   1515        OPERATIONS & ADMINISTRATION
  PAYROLL, Diane Bunten, Supervisor                           324-9065    102 /   1515       Mike Munns                                      682-1683 682-7025     2047   / Ragland
  EMPLOYMENT SERVICES, Abbi Bruno, Supervisor        371-6014 324-9063    101 /   1515        CASHIER’S OFFICE, Vacant, Manager                       682-7162     1210   / Ledbetter
  PURCHASING, Gail Archer, Manager                   324-9212 324-9067    712 /   1515        GENERAL SERVICES, Aaron Thomas, Manager                 682-7168     1230   / Ledbetter
 ASSET MGMT., Cleara Adams, Supervisor                        324-9138    712 /   1515        INTERNAL AUDIT, Aaron Thomas, Manager                   682-7150     1230   / Ledbetter
OFFICE OF INFORMATION SERVICES                                                             ASSISTANT COMMISSIONER
Stan King, Chief Information Officer                 324-9073 324-9058    601 / 1515        POLICY & LEGAL
 Ken Williams, Assistant Administrator               324-9073 324-9058    600 / 1515       John H. Theis                                 683-1161       682-7000 2440 / Ledbetter
 AASIS Support Center                                682-2999 682-2993    124 W. Capitol    HEARINGS & APPEALS                           683-2098       682-7003 2360 / Ledbetter
 AASIS Help Desk                                              683-2255    124 W. Capitol    PROBLEM RESOLUTION & TAX INFORMATION 683-0066               682-7751 2460 / Ledbetter
 ADMINISTRATION, Amy Embry, Manager                  324-9073 682-7009    600 / 1515
 APPLICATIONS, Linda Carpenter, Manager              682-4554 682-7013    2140 / Ragland OFFICE OF CHILD SUPPORT ENFORCEMENT
 TECHNICAL SUPPORT, Sheila Losey, Manager            683-5572 371-6027    1240 / Ledbetter Dan McDonald, Administrator                   682-6002       682-6169 400 E. Capitol
 OCSE, Jeff Moritz, IT Coordinator                   324-8544 324-8537    105 W. Capitol    COLLECTIONS, Gwen Terrell, Manager                          682-8415 400 E. Capitol
 OPERATIONS                                          682-4574 682-7021    B170 / Ragland    COMMUNICATIONS AND OUTREACH,
 QUICK COPY                                          682-4574 324-9072    B170 / Ragland     Twana Porter, Manager                                      682-6079 400 E. Capitol
 TECHNICAL SUPPORT                                   682-4179 683-2183    B302/ Ledbetter CUSTOMER SVCS./QUALITY ASSURANCE,
                                                                                              Rose Harris, Manager                                      371-5349 400 E. Capitol
ALCOHOLIC BEVERAGE CONTROL – ADMINISTRATION                                                 FIELD OPERATIONS/CUSTOMER SERVICE,
Michael Langley, Director                682-2221 682-1105                503 / 1515          Barbara Morris-Williams, Manager                          682-6195   400 E. Capitol
                                                                                            FINANCE AND ADMINISTRATION, Robert Hallmark, Mgr.           682-6306   400 E. Capitol
ALCOHOLIC BEVERAGE CONTROL – ENFORCEMENT                                                    GENERAL COUNSEL, Kay Demailly, General Counsel              682-6038   400 E. Capitol
Carl Kirkland, Director                682-3874 682-8174                  204 / 1515        PROGRAM SUPPORT, Annette Trammell, Mgr.                     371-5333   400 E. Capitol
                                                                                            TECHNICAL ASSISTANCE/POLICY,
CRIMINAL DETENTION FACILITIES REVIEW                                                          Mary Smith, Manager                                       682-6828 400 E. Capitol
Randy Rankin, Coordinator                            682-3874 324-9493    220 / 1515        STATE DISBURSEMENT UNIT, Ruth Ann Jefferies, Mgr.           683-7900 105 W. Capitol
EMPLOYEE BENEFITS DIVISION                                                                   OFFICE OF DRIVER SERVICES ADMINISTRATION
Jason Lee, Executive Director                        682-1168 682-5502    500 / 501          Tonie Shields, Administrator                  682-7688     371-5581   2067   / Ragland
                                                                                              CDL HELP DESK, James Elliott, Manager                     682-1400   2110   / Ragland
RACING COMMISSION                                                                             DRIVER CONTROL, Anita Gottsponer, Manager                 682-7211   1080   / Ragland
Ron Oliver, Commission Manager                       682-5273 682-1467    505 / 1515          DRIVER LICENSE ISSUANCE, James Elliott, Manager           371-5669   2120   / Ragland
                                                                                              DRIVING RECORDS, Anita Gottsponer, Manager                682-7211   1130   / Ragland
                                                                                              INSURANCE VERIFICATION, Coy Fulfer, Manager               682-7930   1120   / Ragland
                                                                                              SAFETY RESPONSIBILITY, Coy Fulfer, Manager                682-7098   1120   / Ragland
MANAGEMENT SERVICES DIVISION                         FAX       PHONE      RM./BLDG.
                                                                                             OFFICE OF EXCISE TAX ADMINISTRATION
OFFICE OF ACCOUNTING                                                                         Tom Atchley, Administrator                      682-7900   682-7200   2420   / Ledbetter
Paul Louthian, Administrator                         683-0823 682-1515    403 /   DFA         MISCELLANEOUS TAX, Robert Bushmiaer, Mgr.      682-1103   682-7187   2240   / Ledbetter
 Lisa Wilkerson, Asst. Admin., Funds/Appropriation            682-5404    403 /   DFA         MOTOR FUEL TAX, Rodney Richard, Manager        682-5599   682-4800   2350   / Ledbetter
 Connie Honeycutt, Asst. Admin., CAFR Unit                    682-5228    300 /   1515        SALES & USE TAX, Roberta Overman, Manager      682-7904   682-1895   1340   / Ledbetter
 Melanie Hazeslip, Manager, G/L Reconciliation                682-5229    403 /   DFA         TAX CREDITS/SPECIAL REFUNDS,
 Vacant, Manager, Service Bureau                              682-1916    100 /   DFA          Tom Rugger, Manager                           682-4986 682-7106 2370 / Ledbetter
OFFICE OF ACCOUNTING – INTERNAL AUDIT
Ricky Quattlebaum, Administrator                     371-1471 371-2093    215 / 1515         OFFICE OF FIELD AUDIT ADMINISTRATION
                                                                                             Danny Walker, Administrator                 683-2082       682-4616   1420 / Ledbetter
OFFICE OF BUDGET                                                                              AUDIT COOR., John Wellenberger, Manager    683-2214       682-4620   1450 / Ledbetter
Mike Stormes, Administrator                          682-1086 682-5372    402 /   DFA         NEXUS GROUP, Walter Anger, Manager         683-2214       683-2210   1450 / Ledbetter
 Martha Henry, Assistant Administrator                        682-5373    402 /   DFA         CENTRAL DIST., Rudy Gates, Manager         682-4870       682-4600   1310 / Ledbetter
 Carla Wooley, Budget Manager                                 682-5387    402 /   DFA         COLLECTIONS, Wayne McLean, Manager         682-3534       682-4720   1360 / Ledbetter
 Steve Little, Budget Manager                                 682-5379    402 /   DFA         ELECTRONIC GAMES OF SKILL, Susan Day, Mgr. 682-4870       683-4495   1310 / Ledbetter
 Brandon Sharp, Budget Manager                                682-5384    402 /   DFA
 Budget Analysts                                              682-1941    402 /   DFA        OFFICE OF INCOME TAX ADMINISTRATION
                                                                                             Clarence Collins, Administrator                 682-1691 682-1130     2220   / Ledbetter
OFFICE OF INTERGOVERNMENTAL SERVICES (IGS)                                                    CORPORATION INCOME TAX, Joe Ellis, Mgr.                 682-4775     2250   / Ledbetter
Ann Purvis, Administrator                  683-2598            682-5242   400 / 1515          INDIVIDUAL INCOME TAX, Warren Fagan, Mgr.               682-7225     2300   / Ledbetter
 Doris Smith, Assistant Administrator      683-2598            682-5260   400 / 1515          TAX PROCESSING, Gary Keadle, Manager                    682-7075     B430   / Ledbetter
 DRUG LAW ENFORCEMENT PROGRAM
  Harold Clayton, Program Manager                              682-1074   330 / 1515         OFFICE OF MOTOR VEHICLE ADMINISTRATION
 STATE CLEARINGHOUSE, Tracy Copeland, Mgr.                     682-1074   400 / 1515         Roger Duren, Administrator                     682-1116 682-4661 2042 / Ragland
 VICTIM JUSTICE & ASSISTANCE GRANTS,                                                          DIRECT SERVICES, Terry Kersey, Manager                 371-5549 2041 / Ragland
  Sandra Cook, Program Manager             682-5155            682-1074   400 / 1515          INTERNATIONAL REGISTRATION PLAN,
                                                                                                Christy Earnhart, Manager                            682-4651 1010 / Ragland
OFFICE OF PERSONNEL MANAGEMENT (OPM)                                                          MV SYSTEMS SUPPORT SECTION,
Kay Barnhill Terry, Administrator                682-5104      682-5077   201 /   DFA           Joann Stoots, Manager                                682-4702 2032 / Ragland
 CLASS. & COMP., Callan Callaway, Manager                      682-5145   205 /   DFA         REGISTRATION & TITLES, Linda J. Johnson, Mgr.          371-5549 2043 / Ragland
 CLASS. & COMP. HIGHER ED., Herb Scott, Dep. Admin.            682-5122   203 /   DFA
 INTER-AGENCY TRAINING, Steve Keeton, Manager                  682-5351   101 /   DFA        OFFICE OF REVENUE LEGAL COUNSEL
 PAYROLL SYSTEMS, Vicki Mills, Manager          682-5094       682-5111   202 /   DFA        Martha Hunt, Chief Counsel                      682-7599 682-7030 2380 / Ledbetter
 RESEARCH & TECHNICAL SERVICES, Don Lukas, Mgr.                682-5139   205 /   DFA
                                                                                             STATE REVENUE OFFICE ADMINISTRATION
                                                                                             Marla McHughes, Administrator                   682-7094 682-7087 2062 / Ragland
Revised 11/2008
                                                                                             THE AIRS PROJECT, David Foster, Administrator   682-0255 683-1002 410C / 501


                                                                                         8
                                        GENERAL POLICIES

1. Working Hours: All State administrative offices will be open for business from 8:00 a.m. until
   4:30 p.m. The normal work day for full-time employees working in an administrative office shall
   consist of 8 hours. Divisions or sections operating on a 24-hour basis or other than the normal
   work week shall be responsible for setting effective schedules. Consult your supervisor
   regarding your working hours and the policy on absences.

2. Work Breaks: Work breaks may be authorized each day at the discretion of your supervisor.
   Work breaks are a privilege rather than a right and should not interfere with work schedules or
   deadlines.

3. Parking: Parking facilities differ at each location. Carpooling is encouraged.

4. Telephone Calls: Carrying on the business of the State often depends on the telephone.
   Consequently, local calls are permitted but should be kept to a minimum. Personal cell phones
   are to be set on vibrate or at the lowest possible level and may be used on work breaks or
   during meal periods.

5. Dress and Appearance: It shall be the policy of Arkansas State Government to encourage all
   employees to use good judgment and discretion in their dress and appearance. Personal
   appearance shall be appropriate to the job assignment and location. Each Administrator may
   establish dress and appearance standards as deemed necessary.

6. Political Activity: Arkansas State law prohibits State employees from engaging in partisan
   political activities during the hours they are performing work for and being paid by an agency of
   State government. Employees are not to endorse candidates, including the Governor, in their
   official capacity as State employees. The State further prohibits the use of any campaign
   literature (including bumper stickers) on a vehicle belonging to the State. The solicitation or
   collection of contributions for elected officials, candidates for office, or for any political activity is
   specifically prohibited during working hours. In addition, employees who receive more than
   50% of their salary from Federal funds are covered by the Federal Hatch Act in addition to
   State laws, which may restrict off-duty activities.

7. Public Information: Most information in State government is public record and is available to
   all citizens. However, many confidential matters are entrusted to those working for the State.
   You should be certain (check with your supervisor) that information requested may be made
   available to the inquiring public.

8. Other Employment: It is not permissible for a State employee to engage in private
   employment during the time he or she is scheduled to be working for the State. Further, it is
   unlawful for a State employee to engage in any occupation outside working hours in a manner
   or to an extent which constitutes a conflict of interest as defined in the law.

   Otherwise, it is permissible for State employees to engage in private employment if they so
   desire. It should be noted, however, that employees are subject to dismissal for inadequate
   performance of their jobs. Anyone considering employment in addition to his or her job with the
   State should carefully consider whether such employment would make demands on his or her
   time and energies which would adversely affect job performance in the State job. This, of
   course, is a personal matter and requires the use of good judgment on the part of anyone
   considering such an arrangement.

                                                      9
9. Union Activity: Freedom of organized labor to bargain collectively and freedom of organized
   labor to bargain individually is the public policy of the State under Amendment 34 to the
   Constitution:” No person shall be denied employment because of membership in, or affiliation
   with, a labor union; nor shall any person be denied employment because of a failure or refusal
   to join, or affiliate with a labor union, nor shall any person, unless he/she shall voluntarily
   consent in writing to do so, be compelled to pay dues, or any other monetary consideration to
   any labor organization as a prerequisite to, or condition of, employment.”

10. Discrimination: Acts 1301 and 1318 of 1995 state that discrimination by any officer or
    employee of a State agency based upon race, creed, religion, national origin, age, sex, or
    gender shall constitute grounds for dismissal. If a court of law determines that any employee of
    the State is guilty of such discrimination, the employee shall be dismissed from employment.




                                                 10
State of Arkansas
 FY10 Pay Plan




       11
12
13
14
HOLIDAYS

The following days are the official holidays applicable to State Government in Arkansas:

                    HOLIDAY                                           OBSERVED
  1. New Years Day                                   January 1

  2. Dr. Martin Luther King, Jr.’s                   The third Monday in January

  3. Presidents Day/Daisy Gaston Bates Day           The third Monday in February

  4. Memorial Day                                    The last Monday in May

  5. Independence Day                                July 4

  6. Labor Day                                       The first Monday in September

  7. Veterans Day                                    November 11

  8. Thanksgiving Day                                The fourth Thursday in November

  9. Christmas Eve                                   December 24

 10. Christmas Day                                   December 25

 11. Employee’s Birthday                             The employee is granted one holiday to observe
                                                     his/her birthday.


ELIGIBILITY FOR HOLIDAY PAY AND/OR EQUIVALENT TIME:

1. Holiday Pay: To be eligible for holiday pay, the employee must be in pay status at least one (1)
   hour the last scheduled work day before the holiday, and at least one (1) hour the first
   scheduled work day after the holiday.

2. Holiday During Leave: When a holiday falls while an employee is on annual or sick leave, that
   day is charged as a holiday and will not be charged against the employee’s annual or sick
   leave.

3. Holiday During Day Off: When a holiday falls on an employee’s regularly scheduled day off,
   the employee will be given equivalent time off. The following provisions apply to employees
   who cannot take holidays as scheduled:

   a. Employees must work on holidays when the needs of the agency require it. Each
      Administrator will determine the need.

   b. Days off for holidays may be taken at a time approved by the employee’s supervisor.
      Holidays will not be forfeited if unused.


                                                15
   c. Supervisors are responsible for scheduling days off in lieu of holidays for their employees.
      Department heads and supervisors are responsible for informing their employees of the
      schedule and the observation of all provisions.

4. Holidays Falling on a Weekend: When a holiday falls on Saturday, the holiday will be
   observed on the preceding Friday. Holidays falling on a Sunday will be observed on the
   succeeding Monday. This is true with the exception of the Birthday Holiday; a birthday
   occurring on Saturday or Sunday may be observed on the following Monday.

The Governor, by Executive Proclamation, may proclaim additional days when State offices shall
be closed in observance of special events, or for other reasons at his discretion.




                                                16
                               LEAVE and ATTENDANCE POLICY
                                  (Reference Act 567 of 1975)

The following includes information related to a variety of leave policies within the Department of
Finance and Administration. Should you have questions, please do not hesitate to ask your
supervisor or timekeeper for information.

ATTENDANCE

Each office has a policy which details how to request leave, requirements for reporting tardies and
absences, reporting emergency absences, and other attendance related issues. Contact your
supervisor for more information.

                                         ANNUAL LEAVE

Each regular or probationary employee shall be entitled to annual leave with full pay computed on
the basis of the following schedule for each complete month of service, including the probationary
period. (Extra-help employees are ineligible for annual leave.)

YEARS OF SERVICE                    ACCRUAL PER MONTH                   AMOUNT PER YEAR
Through 3 years                     1 day (8 hours)                     12 days per year
4 through 5 years                   1 day, 2 hours (10 hours)           15 days per year
6 through 12 years                  1 day, 4 hours (12 hours)           18 days per year
13 through 20 years                 1 day, 6 hours (14 hours)           21days per year
Over 20 years                       1 day, 7 hours (15 hours)           22 1/2 days per year

Annual leave shall be cumulative, provided that no employee shall have more than thirty (30) days
annual leave accumulated at the end of each calendar year. The employee may accumulate more
than thirty (30) days of annual leave during the calendar year. At the end of the calendar year,
annual leave accumulated in excess of thirty (30) days will be forfeited.

Annual leave can be taken only with the prior approval of the supervisor and will be granted at
such time or times as will least interfere with the efficient operation of the division. Saturdays,
Sundays, holidays, and other non-working days within a period of annual leave shall not be
charged as annual leave. The minimum charge for absence on account of annual leave shall be
fifteen (15) minutes. Employees may not borrow against their unearned annual leave. Annual leave
will not be accrued during a calendar month which contains leave without pay (LWOP) totaling ten
(10) days or more or 80 hours or more. Annual lave accrues on the last day of the month.

Employees transferring between State agencies without a break in service will, at the time of
transfer, retain all accumulated annual leave.

Regular, probationary, and job share employees who are working less than full time will accrue
annual leave in the same proportion as time worked. Annual leave must be earned before it can be
used.

Whenever an employee is separated from the agency, the unused annual leave to their credit as of
their last day of work shall be liquidated by a lump sum payment, not to exceed thirty (30) working
days, inclusive of holidays.



                                                 17
                                            SICK LEAVE

Sick leave with pay will be granted to regular and probationary employees (extra help is ineligible
for sick leave) when they are unable to perform their duties due to (1) sickness or (2) injury, or for
(3) medical, dental, or optical treatment.

Sick leave with pay is also granted to an employee due to the death or serious illness of a member
of the employee’s immediate family. Immediate family shall be defined as: the father, mother,
sister, brother, husband, wife, child, grandparent(s), grandchild, in-law(s), or any individual acting
as a parent/guardian of the employee. In-laws are defined as father-in-law, mother-in-law, sister-in-
law or brother-in-law.

Regular or probationary employees are entitled to sick leave with full-pay computed on the basis of
one day for each complete month of service including the probationary period. Regular,
probationary, and job share employees, working less than full-time, will receive sick pay in the
same proportion as time worked. Sick leave with pay will not be granted to hourly or extra help
employees.

Sick leave will be accrued at a rate of one (1) day of each completed month of service. The
maximum number of sick leave days that can be carried forward at the end of December is 120
days. An employee may accrue in excess of 120 days (960 hours) of sick leave during the
calendar year; however, sick leave in excess of 120 days (960 hours) will be lost if not used by
December 31st Sick Leave accrues on the last day of the month.

Sick leave will not be accrued during a calendar month which contains leave without pay (LWOP)
totaling ten (10) days or more or 80 hours or more.

Sick leave should be requested in advance; however, if the nature of the illness makes advance
notice impossible, notification must be given to the supervisor or designated alternate on the first
day of absence. A request for sick leave must be submitted within two (2) days after return to work.
If notification is not made in accordance with established procedures, the absence will be charged
to annual leave, compensatory time, or leave without pay, at the discretion of the supervisor or
his/her designee. Absence due to illness or disability will be charged against cumulative leave
totals in the following order: (1) earned sick leave, (2) earned annual leave, (3) catastrophic leave,
when authorized, (4) leave without pay, when authorized. Absences of 5 or more days on sick
leave require a physician’s note documenting the illness and releasing the employee to return to
work.

If an employee is receiving Workers’ Compensation benefits, special rules apply to the use of leave
time, depending on the circumstances in each case. For guidance in each situation, the timekeeper
should call the Human Resources Office at 501-324-9065.

An employee requesting maternity leave may elect to take leave without pay (LWOP) without first
exhausting accumulated annual and sick leave. The same procedures used to request sick leave
apply to maternity leave requests. (Reference Leave of Absence Without Pay and Family and
Medical Leave sections of this handbook.)

Effective July 1, 1999, upon retirement, sick leave accrued but not taken, will be paid as a lump
sum payment. For schedule, reference Sick Leave Incentive Program in the Supervisory Leave
Manual.



                                                  18
                               FAMILY AND MEDICAL LEAVE ACT

The federal Family and Medical Leave Act (FMLA) of 1993 requires all public agencies to provide
up to 12 weeks of unpaid, job-protected leave to “eligible” employees for certain family and medical
reasons. DFA employees are “eligible” if they have worked within State government for at least
one year, and for 1,250 hours over the previous 12 months.

Unpaid FMLA leave must be granted for any of the following reasons:

   1. to care for the employee’s child after birth, or placement for adoption or foster care;

   2. to care for the employee’s spouse, son or daughter, or parent, who has a serious health
      condition; or

   3. for a serious health condition that makes the employee unable to perform the employee’s
      job.

Per the OPM Policy and Procedures Manual:

Section 105.6.2 Designation of Family and Medical Leave (FML)
A. FML leave is without pay. However, if an eligible employee has accumulated, unused sick,
   annual, or holiday leave, or accrued compensatory time, the employee is required to
   substitute such paid leave, including any paid catastrophic leave benefits, for any FMLA
   leave taken during the 12-week period, with the exception that an employee taking
   maternity leave may elect to not substitute accrued, unused sick, annual, and holiday
   leave, or accrued compensatory time, while on FMLA leave. Paid leave to handle personal
   and family medical needs is currently available under existing sick, annual, and holiday
   leave, accrued compensatory time, and catastrophic leave policies. An employee is
   required to substitute such paid leave for FML related absences before utilizing leave without
   pay (LWOP).

   If the agency has knowledge that an employee’s requested leave period is covered by
   FMLA, it is the responsibility of the agency to notify the employee that they have been
   placed on FMLA leave.

   The agency/institution must determine whether leave will be counted within two business
   days of the time the employee gives notice of the need for leave, or if the employer does
   not initially have sufficient information to make a determination, at the point this information
   becomes available. If the employer learns that the leave is for an FMLA purpose after
   leave has begun or within two days of the employee’s return to work, the entire or some
   portion of the leave period may be retroactively counted as FMLA. An employee desiring to
   have a leave period designated as FML and obtain FMLA protections for the absence must
   so notify the employer within two business days of returning to work.

B. FML may be taken "intermittently or on a reduced leave schedule" under certain
   circumstances.
   1. Leave may be taken on an intermittent or a reduced leave (part-time) schedule so long
      as this does not result in a reduction in the total amount of leave to which the employee
      is entitled. Only the amount of leave actually taken may be counted toward the 12
      weeks of leave to which an employee is entitled. For example, if an employee who
      normally works five days a week takes off one day, the employee would use 1/5 of a

                                                  19
      week for FML.
   2. Leave may be taken intermittently when medically necessary. If an employee requests
      intermittent leave that is foreseeable based on planned medical treatment, the employer
      may require such employee to transfer temporarily to an available alternative position
      with equivalent pay and benefits but which better accommodates recurring periods of
      leave.
   3. When leave is taken after the birth or placement of a child for adoption or foster care, an
      employee may take leave intermittently or on a reduced leave schedule only if the
      employer agrees. Such a schedule reduction might occur where an employee, with the
      employer’s agreement, works part-time after the birth of a child, or takes leave in
      several segments.

      The employer’s agreement is not required for leave during which the mother has a
      serious health condition in connection with the birth of her child or if the newborn child
      has a serious health condition.
   4. An expectant mother may take FMLA leave before the birth of the child for prenatal care
      or if her condition makes her unable to work.
   5. An employee may request leave before the actual placement or adoption of a child if an
      absence from work is required for the placement for adoption or foster care to proceed.
      For example, the employee may be required to attend counseling sessions, appear in
      court, consult with his or her attorney or doctor(s) representing the birth parent, or
      submit to a physical examination.
   6. An employee may request intermittent or reduced leave schedule to care for a family
      member in situations where the family member’s condition itself is intermittent or where
      the employee may be needed to share care responsibilities with another party or to
      make arrangements for changes in care, such as transfer to a nursing home.
   7. Intermittent leave may be taken for a serious health condition which requires treatment
      by a health care provider periodically, rather than for one continuous period of time.
   8. Intermittent or reduced schedule leave may be taken for absences where the employee
      or family member is incapacitated or unable to perform the essential functions of the
      position because of a chronic serious health condition even if he/she does not receive
      treatment by a health care provider.

Under FMLA, job benefits and protection include:

   1. for the duration of FMLA leave, the department will maintain the employee’s health
      insurance coverage under any “group health plan”, under the conditions that the coverage
      would have been provided if the employee had continued to work (matching portion paid by
      DFA while employee continues to pay his/her portion);
   2. upon return from FMLA leave, most employees must be restored to their original or
      equivalent positions with equivalent pay, benefits, and other employment terms;
   3. the use of FMLA leave cannot result in the loss of any employment benefit that accrued
      prior to the start of the employee’s leave.




                                                  20
                        CHILDREN’S EDUCATIONAL ACTIVITIES LEAVE (CEAL)

Act 1028 of 2007 provides leave for state employees to participate in their children’s educational
activities. Below is a summary of the guidelines and definitions found in the Act.

      All regular, non-temporary full-time employees, excluding part-time employees shall be granted
       eight (8) hours per calendar year to participate in their children’s educational activities. This is
       eight hours per employee, regardless of the number of children involved.

      Leave that is unused during a calendar year may not be carried over to the next year, nor is
       such unused leave payable at termination.

      A child is defined as a person enrolled in pre-kindergarten through grade 12 who is related to
       the employee as a natural child, adopted child, stepchild, foster child, grandchild, ward of the
       state employee by virtue of the state employee having been appointed the person's legal
       guardian or custodian, or any other legal capacity where the employee is acting as a parent for
       the child.

      Educational activity is defined as a parent-teacher conference, participation in school-sponsored
       tutoring, participation in a school-sponsored volunteer program, field trip, classroom program,
       school committee meeting, academic competition, or assisting with an athletic, music, or theater
       program.

                                       CATASTROPHIC LEAVE

The Catastrophic Leave Bank (CLB) program was established to provide paid leave for employees
with a catastrophic illness who have exhausted all other paid leave. Effective April 7, 1999, the
program was expanded to include the medical condition of a spouse, parent, or child of the
employee which requires the employee’s absence from duty for a prolonged period of time. The
Department of Finance and Administration participates in the Office of Personnel Management’s
CLB program which includes leave donations from DFA employees and several other smaller
agencies.

Donations: An employee may donate sick or annual leave in whole hour increments to the CLB at
any time during the year. However, an employee may not designate the leave to a specific
employee.

Recipients: An employee may be eligible for catastrophic leave under the following provisions:

1. The employee is a current state employee who has been employed by the State for at least two
   years in a regular, full-time position. State service must be continuous.

2. The employee must not have been disciplined for leave abuse within the past two years.

3. The employee, at the onset of the illness or injury, had to his or her credit at least eighty (80)
   hours of combined sick and annual leave and has exhausted all such leave (or foresees
   exhausting all such leave). Effective February 21, 2003, the “80-hour requirement” may be
   waived. Reference “Catastrophic Leave Bank Program” in the DFA Supervisory Leave Manual.

4. The employee must have a current “Physician’s Certification” of a medical condition which
   prevents the employee from performing the employee’s job duties for a prolonged period of
   time (a minimum of 30 working days) and which will result in substantial loss of income.

5. An employee whose accident or injury is covered by Workers’ Compensation is not eligible until
                                                    21
   such benefits have been exhausted.

Catastrophic leave cannot be retroactive; therefore, it is important that the employee, or the
employee’s legal representative, request the catastrophic leave before the employee’s leave is
exhausted. Employees who receive catastrophic leave will continue to accrue leave and receive
other benefits; however, leave earned while on catastrophic leave and unused leave will be
returned to the program.



                                        MILITARY LEAVE

Effective July 15, 1991, employees who are members of the National Guard or any of the reserve
branches of the armed forces shall be granted leave at the rate of fifteen (15) days per calendar
year, plus necessary travel time for annual training requirements. Any military leave not used in a
calendar year will accumulate for use in the succeeding calendar year until it totals fifteen (15)
days at the beginning of a calendar year, for a maximum of thirty (30) days of military leave
available in any one calendar year.

The leave shall be granted without loss of pay and in addition to regular vacation time. Each
employee who requests military leave shall furnish a copy of his/her orders for his/her personnel
file. Personnel called to duty in emergency situations, by the Governor or the President shall be
granted leave with pay not to exceed thirty (30) working days after which leave without pay will be
granted. This leave shall be granted in addition to regular annual leave.

Copies of military orders will state “Active Duty” and be attached to the request for leave form
maintained by the timekeeper. The timekeeper will also forward a copy of the military orders to the
Human Resources Office to be placed into the employee personnel file.

                                       MATERNITY LEAVE

Maternity leave shall be treated as any other leave for sickness or disability except for the
provisions of Act 129 of 1983. This act states that an employee may elect to take leave without
exhausting accumulated annual or sick leave. An employee may also utilize Family and Medical
Leave for maternity purposes.




                           DISASTER SERVICE VOLUNTEER LEAVE

Act 268 of 1997, effective February 25, 1997, allows state employees certified by the American
Red Cross to volunteer for disaster service if they meet the following conditions:

1. Their specialized disaster relief services are requested by the American Red Cross for a
   disaster; and

2. The leave is approved by the chief executive officer of his/her state agency.

The employee may be granted up to fifteen (15) working days in a twelve-month period without
loss of pay, seniority, annual or sick leave or compensatory or overtime pay.


                                                 22
                                    COURT AND JURY LEAVE

Effective July 1, 2003, Act 835 of 2003 authorizes court leave with pay only where an employee
serves in cases that do not involve personal litigation. “Any employee serving as a juror or
subpoenaed as a witness to give a deposition in a court or hearing, not involving personal litigation
or service as a paid expert witness outside the scope of state employment, shall be entitled to full
compensation in addition to any fees paid for such services, and such services or necessary
appearances in any court shall not be counted as annual leave”. The employee shall furnish the
appropriate documentation to the supervisor for attachment to the request for leave form
maintained by the timekeeper.


                                 LEAVE WITHOUT PAY (LWOP)

A state employee, upon written request and approval of the DFA Director or his designee, may be
eligible to obtain a continuous leave of absence without pay (LWOP) up to six (6) months, other
than the provisions granted for military leave. If the DFA Director or his designee determines that
the employee’s leave of absence without pay request would cause an undue hardship on the
agency, the request may be denied. At the expiration of such leave, the employee will be
reinstated in state service without loss of any benefits unless the director or his designee
determines that reinstatement would cause an undue hardship on the agency or the position is no
longer available due to a budgetary reduction in staff. A request to extend the leave of absence
without pay up to an additional six (6) months may be granted unless the director or his designee
determines that continuing the leave would cause and undue hardship on the agency or the
position is no longer available due to a budgetary reduction in staff. Failure on the part of the
employee to report promptly at the end of the leave of absence except for satisfactory reasons
submitted in writing in advance will be cause for dismissal. The DFA Director’s designee is the
appropriate Administrator or Director.

Leave of absence without pay shall not be granted until all of such employee’s accumulated leave
has been exhausted. Exceptions to this include maternity leave, Family and Medical Leave, and
disciplinary leave, inclement weather as designated by state policy, or due to necessary budget
reductions as determined by the DFA Director.

Any employee on leave of absence without pay for a period of 80 hours or more in a month shall
not accumulate leave time, participate in agency group insurance programs in which the State
contributes, nor receive pay for any legal holiday. The employee may pay the total cost of agency
group insurance during such leave and be reinstated into such programs upon return to duty.

                                  WORKERS’ COMPENSATION


Workers’ Compensation is a benefit provided to injured workers, or their dependents in the event of
the worker’s death. It provides compensation when employees are unable to work because of a job
related disability, no matter who was at fault.

All state employees are covered by Workers’ Compensation Insurance which is administered by
the Public Employees Claims Division of the State Insurance Department. Each agency is
assessed a premium based on its experience ratio. No contribution is required of the employee.
Benefits are tax free and not subject to Social Security tax. Injuries involving lost time must be
coordinated through payroll processing.

Geri Jones, DFA Human Resources, 371-6036, is responsible for coordinating all claims with
                                                 23
individual employees, Public Employees’ Claims Division, and DFA Human Resources. She is the
contact point for supervisors and employees. It is incumbent upon the injured employee and the
supervisor to provide Ms. Jones with all claims determination and monetary awards (if any). This
will ensure the proper coordination of benefits with the payroll process.

The Public Employees Claims Division will determine eligibility for claims and determine medical or
compensatory benefits an injured worker is entitled to receive.




                                  VEHICLE SAFETY PROGRAM

In 1986, the Risk Management Division of the Arkansas Insurance Department developed a
Vehicle Safety Program for all agencies covered under the State Master Vehicle Policy. The
purpose of the program is to ensure that only licensed drivers with acceptable driving records
operate vehicles on state business, thereby protecting the state from unnecessary liability
exposure.

The processes for obtaining employee driving records in DFA are as follows:

1. Each new DFA employee will sign the required authorization (VSP-1), and will receive a copy of
   the signed authorization and the Driving Safety Tips. The original VSP-1 will be forwarded to
   the DFA Human Resources Office along with the usual hire documents.

2. Driving records will be checked automatically by the Office of Driver Services each week.
   Administrators will be notified if an employee’s driving status has changed. It will be the
   administrator’s responsibility to then ensure compliance with the DFA requirements for the
   Vehicle Safety Program.

3. Employees leaving employment with DFA will be removed from the DFA database.

4. If an applicant’s hire is dependent on having an acceptable driving record, the supervisor may
   request an immediate review of the record by contacting the Human Resources Section at 501-
   324-9065. At the time of this request, the supervisor must have a signed copy of the VSP-1
   from the applicant.

5. For more information about the Vehicle Safety Program, contact the DFA Vehicle Safety
   Program Coordinator at 501-324-9065.

                     AMERICANS WITH DISABILITIES ACT COMPLIANCE

The Department of Finance and Administration (DFA) is committed to providing reasonable
accommodations to the known physical or mental limitations of qualified applicants or employees
with disabilities unless it can be shown that the accommodations would impose an undue hardship
on the Department.

Specifically, the Department provides reasonable accommodations to ensure equal opportunity in
the application process, to enable a qualified individual with a disability to perform the essential
functions of a job, and to enable an employee with a disability to enjoy equal benefits and
privileges of employment.


                                                 24
The Department’s ADA Coordinators are:

         Mike Munns, ADA Coordinator for all Offices in the Revenue Division, including OCSE.

         Tracy Mitchell, ADA Coordinator for all other divisions or offices within the department.

It should be understood that the Department cannot make an accommodation when it is unaware
of the need. It is primarily the responsibility of the applicant or employee with a disability to inform
the Department that an accommodation is needed to participate in the application process, to
perform essential job functions, or to receive equal benefits and privileges of employment.

If you feel you need a reasonable accommodation, please submit a written request to your
supervisor. Together the supervisor and the ADA Coordinator will review the request to determine
the most appropriate action. Our goal is to provide reasonable accommodations that reduce
barriers to employment related to an applicant’s or employee’s disability.

   DFA UNIFORM GRIEVANCE AND ALTERNATIVE DISPUTE RESOLUTION PROCEDURE

Purpose

This grievance procedure is established to provide employees with a prompt review, impartial
consideration, and equitable disposition of their grievances. Any employee who presents a
grievance or complaint in good faith and in a reasonable manner will be free from restraint,
interference, discrimination, or reprisal.

This procedure is intended to encourage employees to discuss problems with their supervisor,
thereby providing a basis to talk over matters of mutual interest, to explain, to reach agreement, to
make adjustments if necessary, and to foster better understanding between employees and
supervisors. Such discussions will lead to better employee/supervisor understanding of policies,
procedures, and practices.

The Alternative Dispute Resolution (ADR) or Mediation component of this procedure is provided to
promote collaborative problem solving. The mediation process may be utilized for resolution of any
work-related disputes, which include issues that may not necessarily be defined as grievance
issues.

Policy

It is the policy of this agency that all employees are given the opportunity to resolve complaints or
grievances which they believe adversely affect their employment or working conditions. This
opportunity is provided through established steps and procedures to ensure fair resolution within a
reasonable time frame.

It is also our policy that reasonable efforts be made to settle complaints or grievances as quickly as
possible. Direct contact between supervisor and employee has always been a policy of the agency.

These Grievance and ADR Procedures are not intended, nor will they be allowed, to become a
barrier to the supervisor/employee relationship.

Employees should submit only grievances or complaints that meet the following criteria:
1. made in good faith
2. expressed in reasonable terms
3. include causes for the grievance
                                                   25
4. include corrective action desired, and
5. include sufficient information upon which to base decisions.

Access to this procedure is at the employee’s option and does not create any expectation of
continued employment, but provides an avenue of review and resolution of internal situations.

Definitions

     1. Employee: An individual who is a non-probationary, full-time employee of the agency who
         occupies a regular position and who works a minimum of 1,000 hours per year. This policy
         will not apply to employees who hold administrative posts, appointed positions, and


         employees who are on initial new hire probationary status. Part-time, temporary,
         intermittent, and extra help employees do not have access to this procedure.

     In DFA, the employees occupying the following positions do not have access to these
     procedures:

     DFA Director                                  DFA Deputy Director
     DFA Revenue Assistant Commissioner            ABC Enforcement Director
     Racing Commission Manager                     ABC Administration Director
     DFA Administrators                            Criminal Detention Facilities Review Coordinator
     Managers                                      Attorney Supervisors
     Attorney Specialists                          Attorneys
     Anyone occupying an unclassified position

2.   Grievance: A complaint by an employee regarding an aspect of his or her employment,
     including, but not limited to:

     annual leave                    sick leave                        compensatory time
     dismissal                       suspension                        promotion
     demotion                        disciplinary actions              discrimination

     or any other work-related problem except compensation and conditions which are beyond the
     control of agency management or are mandated by law

     Complaints about performance evaluations may be appealed utilizing the separate
     performance evaluation appeals process. Complaints concerning performance evaluation will
     not be reviewed by the State Grievance Review Committee, the State Employee Grievance
     Appeal Panel, or through ADR.

     Reduction-in-force (RIF) appeals will be processed through a separate appeals procedure. The
     ADR mediator, the State Grievance Review Committee and/or the State Employee Grievance
     Appeal Panel will not hear complaints concerning reduction-in-force.

     Non-selection for promotion or lateral transfer will not be heard by the State Grievance Review
     Committee or the State Employee Grievance Appeal Panel, unless discrimination is the basis
     of the complaint. Non-selection may be heard, internally, through mediation or the grievance
     procedure.

3. Alternative Dispute Resolution (ADR) or Mediation: a process that allows parties to
   constructively manage conflicts through collaborative problem solving and joint decision
   making, through utilization of a neutral third party (mediator).

                                                  26
Procedure

All grievances, complaints, steps in the procedure, and any appeal steps will be processed through
the agency grievance officer and should be handled in accordance with the following procedures:

NOTE: Participation in any portion of this procedure is voluntary. This includes both the ADR
     component and the grievance procedure component. If ADR is the process selected by the
     employee to attempt resolution of the dispute, the employee will not have access to the
     grievance procedure. If the employee elects to utilize the grievance procedure, the
     employee will not have access to mediation (ADR). Regardless of the issue, the employee



       will not have access to the State Grievance Review Committee or the State Employee
       Grievance Appeal Panel if ADR is the chosen resolution process.

The grievance and/or ADR may be terminated at any stage if an agreement between parties is
reached. The grievance procedure may be terminated at any step by the grievant. The ADR
process may be terminated at any point by the grievant, supervisor, and/or mediator if the sessions
are not productive.

The employee and agency may be represented by someone of his or her own choosing at each
step of this procedure except during informal discussions prior to initiating the formal grievance
procedure or ADR process.

The internal grievance procedure will be completed within 25 working days, and the ADR
procedure will be completed within ten working days after the employee files a written grievance,
unless an extension is agreed to by all parties involved. The total number of days, including
extensions and/or appeals to the agency director, the State Grievance Review Committee, or the
State Employee Grievance Appeal Panel, is not to exceed 35 working days.

It is recognized that supervisors and employees have frequent discussions of work-related
problems or disagreements. These candid conversations are generally healthy and helpful to both
participants and this procedure is not intended to inhibit these exchanges. Before filing a written
grievance or using the ADR process, an employee is encouraged to discuss the problem with his
or her immediate supervisor to attempt to reach a satisfactory solution. (If the complaint involves
sexual harassment, the employee will not be required to meet with the supervisor alone, if the
supervisor is the accused.) Most problems can be cleared up or resolved at this point.
Collaborative problem-solving is encouraged.

If the problem is not resolved by an informal meeting between the employee and the supervisor,
the employee may contact the department’s grievance officer who will assist him or her in starting
the ADR process or the formal grievance procedure at the appropriate step. If, for whatever
reason, the grievance officer cannot process the grievance, a substitute grievance officer will be
designated.

The employee and the appropriate level of management may have any persons having knowledge
of matters relevant to the grievance present at any and all steps of the grievance or ADR
procedure. Both parties may also submit or request the submission of relevant written documents
at any and all steps.

Under special circumstances, the grievance officer has the authority to modify, waive, or otherwise
change the Uniform Grievance/ADR Procedure to fulfill the intent of the procedures, provided such
modification, waiver, or change is agreed to by the Department Director and the employee. This

                                                 27
will include combining grievances. The grievance officer will document the justification for and the
details of any variation from the procedure.

The Department Director may intervene at any step in the grievance or ADR procedure if he/she
decides that direct action is necessary to resolve the complaint. The Director will make every effort
to resolve all matters involving allegations of unlawful discrimination, termination, suspension
without pay, involuntary demotion, and/or failure to award compensatory time.

Should any person within the Department intentionally interfere with, hinder, block, or otherwise
impede the processing of a grievance, that employee will be subject to disciplinary action. Also, if
any employee or supervisor willfully fails to meet any of the deadlines set forth within this



procedure in an attempt to delay the resolution or disposition of a grievance, the employee or
supervisor will be deemed to have forfeited any participation which he/she might otherwise have
under this procedure. Additionally, if an employee is determined to have filed frivolous grievances
or complaints, the employee will be subject to disciplinary action.

                                Determination of Grievable Matters

If the grievance officer and the employee cannot agree about whether the complaint is grievable
within the scope of these procedures, Executive Order 86-01, and/or Executive Order 93-01, the
grievance officer will request a determination from the State Grievance Review Committee
(SGRC). To request this determination, the grievance officer will file information concerning the
nature of the complaint with the Administrator of the Office of Personnel Management. The
employee and the agency supervisor will submit position statements concerning the nature of the
complaint. These statements will be filed with and attached to the grievance officer’s request for
the determination. Determination matters include whether the matter is grievable, whether the
employee has access to the procedure, and/or whether the matter is grievable to the State
Employee Grievance Appeal Panel (SEGAP), State Grievance Review Committee (SGRC), or is
eligible for ADR.

The Administrator of the Office of Personnel Management (OPM) will promptly report to the
grievance officer and/or employee (where applicable) the Committee’s decision concerning the
determination. Neither the Administrator of OPM nor any member of the SGRC will make any
finding at this stage regarding the complaint. Their review will be limited to the determination of
whether the complaint is a grievable matter, whether the employee has access to the process,
and/or to which process the complaint should be addressed.

                                         Special Notations

Meetings and hearings at all steps of the grievance procedure may be transcribed and will become
part of the case file record if appealed to the agency director, SGRC, or SEGAP. Meetings and
hearings of the ADR process will not be recorded.

Grievances involving allegations of unlawful discrimination, termination, suspension without pay,
involuntary demotion, and/or failure to award compensatory time will begin at Step 3 of this
procedure unless the employee chooses to utilize the ADR process to attempt resolution.

At the conclusion of each step of the procedure, including ADR, written notification of decisions,
agreements, or recommendations will be provided to all parties involved, including the employee’s
immediate supervisor (when appropriate). If ADR is utilized, the only documentation will be a
written agreement or a statement which reports that an agreement was not reached.

                                                  28
The employee should attempt to resolve any work-related problems with the supervisor in an
informal meeting prior to initiating the ADR process or the grievance procedure.

To initiate the grievance or ADR component of this procedure, the employee must submit the
complaint or grievance in writing to the agency grievance officer within five working days of the
occurrence of the incident.


Step 1

The grievance officer will contact the appropriate supervisor within three working days of the filing
of a grievance and arrange for a meeting within three working days between the employee and the
supervisor with the grievance officer present. The grievance officer will explain the ADR process
and grievance procedure to both parties. The employee will have two working days to select the
process (ADR/Mediation—Option 1 or Grievance—Option 2) to be utilized.

Option 1: (For the purposes of this policy, the terms ADR and Mediation will be used
interchangeably.) If ADR is chosen, the grievance officer will contact the Office of Personnel
Management to secure a mediator. The mediator will contact the employee and appropriate level
of management within two working days of notification to schedule the initial mediation session.

If the ADR process is successful, the mediator will formalize the agreement in writing. The
agreement will be signed by the grievant, agency management, representatives (if present), and
the mediator. The agreement will be filed with the grievance officer within five working days of the
conclusion of the ADR session.

If a resolution is not reached through ADR within ten working days, the mediator will prepare a
statement to that effect. The statement, specifying that a resolution was not achieved, will be
signed by the grievant, management, and the mediator. At this point, the employee’s access to
internal resolution procedures is exhausted. The statement will be filed with the grievance officer
within two working days of the conclusion of the ADR process.

Option 2: If the grievance procedure option is selected, the grievance officer will contact the
supervisor and arrange a meeting between the supervisor and employee, with the grievance officer
present, within three working days. The supervisor will submit his/her decision in writing to the
employee and the grievance officer within one working day of the conclusion of this meeting. If the
employee wishes to continue the grievance, written notice will be provided to the grievance officer
within two working days of receipt of the supervisor’s written decision. The process will continue to
Step 2.

Step 2

The employee, if not satisfied with the results of Step 1, may, in writing, request a review by the
next appropriate level of management. The request will be submitted to the grievance officer within
two working days of receipt of the decision at Step 1. The grievance officer will arrange and attend
a hearing between the employee and management (referred to as the deciding official). The
deciding official may require the employee to submit a written statement of his/her disagreement
with the decision in Step 1 prior to the hearing. The deciding official may take testimony from
relevant witnesses and the employee’s supervisor. This hearing will be recorded. The deciding
official will submit his/her decision in writing to the employee, the grievance officer, and the
supervisor within three working days following the conclusion of the hearing.



                                                 29
Step 3

If not satisfied with the results of Step 2, the employee may, in writing, request a hearing by the
Department Director (or designee). The request will be submitted to the grievance officer within two
working days of the receipt of the decision at Step 2. The grievance officer will submit the matter to
the Department Director. The hearing must be recorded and may be transcribed, and will become
a part of the case file (if appealed).

The grievance officer will, within three working days, arrange and attend a meeting between the
employee and the Department Director or his/her authorized representative (e.g.: special hearing
officer, Deputy Director, etc.). Subordinate managers will attend at the request of the hearing
officer. The hearing officer may take testimony and accept exhibits. The hearing will be recorded.
Within three working days of the conclusion of the hearing, the Department Director will submit
his/her decision in writing to all parties involved, including the immediate supervisor (if appropriate).

Step 4

If the employee is not satisfied with the decision of the Department Director (or designee), he or
she may, within five working days of receipt of the Director’s written decision, appeal the decision
to SGRC or SEGAP (as appropriate).

Within five working days from the date of receipt of the grievant’s written appeal, the Administrator
of the Office of Personnel Management will set a hearing date with SGRC (Committee) or SEGAP
(Panel). The Committee or Panel will conduct whatever review of the grievance it deems
necessary. The Panel will hear unresolved grievances concerning allegations of unlawful
discrimination, termination, suspension without pay, involuntary demotion, and/or failure to award
compensatory time. The Committee will hear all other unresolved grievances.

The Committee will conduct its review and make recommendations to the Director and the
appealing party (and designated representatives) within ten working days of the appeal.

The Panel will conduct a hearing and make its decision within five working days following the
conclusion of the hearing. The written decision will be forwarded to the Director, appealing party,
representatives of either or both parties, and the employee’s immediate supervisor within ten
working days following the conclusion of the hearing. The decision will be binding on all parties.

Step 5

If the review body is the Committee, the director will review the Committee’s recommendations and
will submit, within three working days of receipt of the written SGRC recommendation, his or her
decision in writing to all parties, representatives, and supervisors involved. The Committee will be
copied on this decision. The decision of the Director will be final and binding on all concerned.

If the review body is the Panel, the Director will review the Panel’s decision and effect
implementation of the decision. If the Director does not agree with the Panel’s decision, he or she
may, within ten working days of receipt of the Panel’s written decision, provide the Chief Fiscal
Office of the State and the aggrieved employee with written justification of the agency’s action, and
request a formal review of the Panel’s decision by the Chief Fiscal Officer. The employee may also
submit comments regarding the agency director’s justification to the Chief Fiscal Officer. These
responses to an agency appeal will be submitted to the Chief Fiscal Officer within ten calendar
days of the date of the agency appeal. (Appeals to the Chief Fiscal Officer should be processed by
the agency grievance officer or authorized representative.) Within fifteen days of receipt of the
agency director’s justification and written request for review, the Chief Fiscal Officer will issue a

                                                   30
final administrative order affirming, reversing, or modifying the Panel’s decision. This order will be
binding on the agency.


NOTE: Since the Chief Fiscal Officer of the State is also the Department Director of DFA, Step 5
      may not be available to employees of the Department of Finance and Administration.
      However, the DFA Director may designate the DFA Deputy Director or DFA Revenue
      Assistant Commissioner to hear the grievance at Step 3. The Director, as Chief Fiscal
      Officer, would then be able to review the appeal at Step 5.

This, however, does not prohibit employees from using remedies outside these procedures. Each
employee retains the right to file a complaint with the Equal Employment Opportunity Commission
or pursue other legal remedies.

Documentation

It will be the responsibility of the grievance officer to maintain the official file of the grievance or
complaint, the procedures followed, and the ultimate disposition, along with copies of all
documentary evidence. In addition, when an employee begins the formal grievance procedures or
ADR at any step, it will be the responsibility of the grievance officer to immediately document the
name of the employee and of his/her immediate supervisor, the employing unit, the name of the
grievance officer, a statement of the nature of the grievance, the chosen method of resolution, and
the date formal proceedings began. All documentation relating to an employee grievance will be
maintained in the department’s Human Resources Office, separate from the employee’s personnel
file. No information relating to the grievance will become a part of any employee’s permanent
personnel record. However, these records will be maintained in hard copy for five years, and
maintained permanently in a manner that complies with applicable state and federal laws regarding
retention of such records.

                                     Veterans Preference Law

In accordance with ACA 21-3-302, DFA abides by the following:

(a) This section shall be entitled the "Veterans Preference Law".

(b) For purposes of this section, "veteran" means:

   (1) A person honorably discharged from a tour of active duty, other than active duty for training
       only, with the armed forces of the United States; or

   (2) Any person who has served honorably in the National Guard or reserve forces of the United
       States for a period of at least six (6) years, whether the person has retired or been
       discharged or not.

(c) In every department or agency of state government or institution of higher education with
    employee positions subject to the Uniform Classification and Compensation Act, § 21-5-201 et
    seq., a veteran who voluntarily submits official proof of his or her status as a veteran, disabled
    veteran, or a surviving spouse of a deceased veteran who remains unmarried at the time the
    preference is sought and who is a citizen and resident of this state shall be entitled to
    employment preference in a position over other applicants after meeting substantially equal
    qualifications.

(d) (1) If there is an examination, evaluation, or similar instrument given for the purpose of
        establishing an interview or employment list for such public sector jobs and a person
        entitled to preference attains a passing grade thereon, he or she shall have five (5) points
                                                  31
       added to his or her final earned rating if the examination, evaluation, or similar instrument is
       subject to numerical scoring.

   (2) If the examination, evaluation, or similar instrument is not subject to numerical scoring, the
       selection authority must be able to demonstrate how veterans preference was arrived at in
       the selection process.

   (3) A veteran who established by the records of the federal Department of Veterans Affairs the
       existence of a service-connected disability, or a veteran who is over fifty-five (55) years of
       age, disabled, and entitled to a pension or compensation under existing laws, or the spouse
       of such a veteran, whose disability disqualifies him or her for appointment shall have ten
       (10) points instead of five (5) points added to his or her final earned rating on the
       examination, evaluation, or similar instrument.

(e) The qualified veteran's status shall be considered on questions of promotion and retention of
    employees according to § 21-3-304.

(f) The names of candidates who have qualified in an examination, evaluation, or similar
    instrument given for the purpose of establishing an interview or employment list shall be
    entered on an appropriate register or list of eligibles in the following order:

   (1) Names of ten-point-preference eligibles shall be placed at the head of the register or
       applicant list of persons certified as having equal eligibility points;

   (2) Names of five-point-preference eligibles shall be placed at the head of the register or
       applicant list of persons certified as having equal eligibility points; and

   (3) Names of all other eligibles who do not have preference as provided in this section shall be
       placed on the register or applicant list in accordance with their ranking of eligibility points.

(g) The persons entitled to preference shall not be disqualified from holding any position on
    account of age or by reason of any physical disability, provided that the age or disability does
    not render the person incapable to perform properly the duties of the position for which he or
    she applied.

(h) Nothing in this section shall be construed to apply to the position of elective or political
    appointees in any department, agency, or institution of higher education or to any person
    holding a strictly confidential administrative or secretarial position in relation to the appointing
    officer.

History. Acts 1981, No. 527, §§ 1-4; A.S.A. 1947, §§ 12-2322.1 - 12-2322.4; Acts 1995, No.40, §
1; 2003,
No. 653, § 1.




                                                    32
                                   GENERAL STATE BENEFITS

Insurance Benefits:

Group health insurance benefits are offered to employees through the Employee Benefits Division.
Depending on the insurance option an employee chooses, a portion of the coverage is paid by the
employee, with the employer paying the matching costs.

In addition to group health insurance options, group life insurance benefits are available. You will
need to contact our DFA Insurance Representative, Nina Rogers, at 371-6010, for detailed
information and assistance.

Cafeteria Plan Benefits:

The State also offers a tax-free method of paying eligible benefits under the Arkansas Cafeteria
Plan (ARCAP). In accordance with IRS guidelines, an employee may reduce his/her taxable
income by converting health insurance premiums to a tax-free basis and/or establishing a tax-free
spending account for medical expenses or dependent day care expenses.

Deferred Compensation Benefits:

An employee may elect to participate in the deferred compensation program. The tax sheltered
investment options offer a means of setting aside money for future use which is not subject to
current federal or state income tax. Taxes become payable when the deferred income plus
earnings are paid to the employee, usually at retirement, when the employee is probably in a lower
income tax bracket. This deferred income can serve as a supplement to social security, pension, or
retirement benefits.

Retirement Benefits:

As a condition of employment, an employee is enrolled in the Arkansas Public Employees
Retirement System (APERS) effective the first employment day. Employees must contribute 5% of
their base pay. This Department pays a pre-determined amount to APERS, and along with
investment income determined by APERS, retirement allowances and other benefits are provided
to the employee based on service. An employee is vested with 5 years of service.

Credit Unions:

An employee may utilize two credit union options, Arkansas Federal Credit Union and Arkansas
Employees Federal Credit Union (requires ASEA membership), offering comparable full banking
services and competitive rates.

Direct Deposit:

This Department requires participation in our payroll direct deposit program. This program
eliminates the need to take your pay warrant to your financial institution for deposit, and for those
employees receiving pay warrants through the mail, it eliminates the possibility of it being lost in
the mail. Direct deposit of a pay warrant is guaranteed by 9:00 a.m. of the regular payday.

● In order to better serve our employees, this Department makes available payroll deductions for
  any of the previously defined benefit options.


                                                  33
                                                 HELPFUL TELEPHONE NUMBERS

HEALTH INSURANCE PLANS AND PRESCRIPTION DRUG PROGRAM
Employee Benefits Division ................................................................................                    1-501-682-9656
                                                                                                                               1-877-815-1017
Health Advantage ...............................................................................................               1-800-482-8416
NovaSys Health..................................................................................................               1-501-975-4853
                                                                                                                               1-888-870-8103
informedRx .........................................................................................................           1-800-880-1188
HEALTH SAVINGS ACCOUNT CARRIER
DataPath Administrative Services (DPAS).........................................................                               1-501-687-6954
                                                                                                                               1-877-685-0655
CAFETERIA PLAN CARRIER
ARCAP/Fringe Benefits Management Company………………………………….                                                                         1-800-342-8017
To File Claims by Fax.........................................................................................                 1-888-800-5217
LIFE INSURANCE CARRIER (EMPLOYEE AND/OR DEPENDENT LIFE COVERAGE)
Minnesota Life .................................................................................................... 1-800-843-8358
DEFERRED COMPENSATION CARRIER
Arkansas Diamond Deferred Compensation Plan .............................................                                      1-800-905-1833
Local Office ........................................................................................................          1-501-301-9900
                                                                                                                               1-866-271-3327
CREDIT UNION CARRIERS
Arkansas Federal Credit Union ..........................................................................                       1-501-982-1000
Arkansas Employees Federal Credit Union .......................................................                                1-501-374-8346
(requires ASEA membership)
RETIREMENT
ARKANSAS PUBLIC EMPLOYEES RETIREMENT SYSTEMS (APERS) ......                                                                    1-501-682-7800
                                                                                                                               1-800-682-7377
LIFESYNCH/STAREAP .....................................................................................                        1-866-378-1645
ARKANSAS STATE EMPLOYEES ASSOCIATION (ASEA) ...........................                                                        1-501-378-0187
                                                                                                                               1-800-950-8139
OPTIONAL INSURANCE CARRIERS
AETNA Life Insurance Company .......................................................................                           1-800-955-4304
............................................................................................................................   Extension 5226
American Family Life Assurance Company (AFLAC) ........................................                                        1-501-954-8200
American Public Life Insurance ..........................................................................                      1-800-256-8606
Cigna Voluntary Term Life (VTL) .......................................................................                        1-800-732-1603
Colonial Life ........................................................................................................         1-800-325-4368
Conseco .............................................................................................................          1-800-541-2254
Genworth Long Term Care.................................................................................                       1-800-416-3624
Liberty Mutual Auto and Home Insurance. .........................................................                              1-800-524-9400
Metropolitan Life. ................................................................................................            1-877-813-2033
............................................................................................................................    Extension 118
National Teachers’ Association ..........................................................................                      1-800-825-5682
SEBCO (requires ASEA membership) ...............................................................                               1-501-378-0187
                                                                                                                               1-800-950-8139
Vision Care .........................................................................................................          1-800-865-3676



                                                                             34
                               Department of Finance and Administration
                                 AFFIRMATIVE ACTION COMMITMENT

    Affirmative Action involves positive efforts to ensure fair and equitable treatment of all individuals,
    to remedy any past discrimination and remedy any under-utilization of “protected” classes.

    Within the guidelines of the Plan, it is the duty of each Office Administrator, Manager, and
    Supervisor to make decisions in an affirmative manner with regard to personnel actions, benefits,
    and conditions of employment.

    Revised: June 2009


                     DEPARTMENT OF FINANACE AND ADMINISTRATION 
                                        AFFIRMATIVE ACTION PLAN 
    OBJECTIVE:            Ensure that all employees are made aware of the department’s EEO
                          policy and their rights under the law.
     
          ACTION                 RESPONSIBILITY              TARGET             EVALUATION METHOD
                                                              DATE
EEO posters will be                DFA Human                Continuous     Periodic visits by the DFA HR
prominently displayed in all    Resources Manager                          Manager on visual inspection of
offices                                                                    compliance. Lack of posters to be
                                                                           reported to administrators with
                                                                           continued violation reported to the
                                                                           DFA Deputy Director

A copy of the department’s         DFA Human                Continuous     Policy distribution
policy statement will be        Resources Manager
circulated to all current
employees
All new employees will be          DFA Human                Continuous     New employee orientation
given a copy of the policy      Resources Manager                          program
statement to read
Publish EEO Policy and             DFA Human                Continuous     Monitoring and evaluation by the
AAP                             Resources Manager                          DFA HR Manager

    OBJECTIVE:            Every effort will be made to ensure that all supervisory personnel are
                          trained in their EEO responsibilities.

         ACTION                 RESPONSIBILITY               TARGET            EVALUATION METHOD
                                                              DATE
All administrators,              Administrators,            Continuous    DFA HR Manager and staff will
managers, and supervisors          Managers,                              verify that all management
will be required to attend      Supervisors, and                          personnel have attended
OPM provided EEO training       DFA HR Manager
programs


                                                       35
    OBJECTIVE:             Ensure that applicant referral sources will be aware of the Department’s
                           AAP Commitment and EEO policy.

          ACTION                 RESPONSIBILITY              TARGET           EVALUATION METHOD
                                                              DATE
Information is distributed to       DFA Human               Continuous   Information distributed on an on-
through various media to         Resources Manager                       going basis
local affiliates of nationally
known minority and
women’s organizations of
the existence and location
of the EEO policy and AAP

    OBJECTIVE:             To achieve levels of employment in the clerical / nonprofessional grade
                           ranges and professional / managerial grade ranges to reflect availability
                           of qualified protected class applicants.

          ACTION                 RESPONSIBILITY             TARGET            EVALUATION METHOD
                                                             DATE
Gather and study the             Office of Personnel        Annually     OPM gathers pertinent data and
current employee data to          Management and                         DFA HR Manager reports findings
identify utilization                 DFA Human                           for necessary action to OPM and
                                 Resources Manager                       Department Director


Establish selection priorities      DFA Human                Annually    DFA HR Manager gathers
based upon projected             Resources Manager                       pertinent data and reports findings
turnover and assessment of                                               for necessary action to
availability of qualified                                                Department Director
minority and female job
seekers
Compare established                 DFA Human                Annually    DFA HR Manager gathers
priorities to actual hiring      Resources Manager                       pertinent data and reports findings
practices on an annual                                                   for necessary action to
basis                                                                    Department Director

Contact various                     DFA Human               Continuous   Distribution of job vacancy
organizations listed in the      Resources Manager                       information through various media
AA manual on recruiting
sources
Circulate vacancy list to all       DFA Human               Continuous   Vacancies are provided by various
DFA Offices, posting in a        Resources Manager                       media
central location

Evaluate job specifications      Office of Personnel        Continuous   OPM and DFA HR Manager
for any possibility of            Management and                         coordinate process and maintain
adverse selection factors            DFA Human                           records of the process
                                 Resources Manager




                                                       36
   OBJECTIVE:            Develop an objective selection method to assist management with
                         selection decisions.

         ACTION                 RESPONSIBILITY              TARGET          EVALUATION METHOD
                                                             DATE
Review agency personnel        Department Director,        Continuous   Administrator, OPM, and
procedures and correct         Administrators, DFA                      Personnel Manager report to
where necessary                 Human Resources                         Department Director when
                                Manager, Office of                      discrepancies are noted
                                   Personnel
                                  Management
Development of training on        DFA Human                Continuous   DFA Human Resources Manager
proper interview and           Resources Manager
selection techniques for          and Office of
interviewers and                   Personnel
supervisors                       Management


   OBJECTIVE:            Continue to improve job classification system which accurately outlines
                         necessary qualifications, skills and duties for each specification.

         ACTION                 RESPONSIBILITY              TARGET          EVALUATION METHOD
                                                             DATE
Job descriptions are           Office of Personnel         Continuous   OPM and Department HR
constantly reviewed and        Management and                           Manager will assure ongoing
revised based on thorough      DFA Human                                maintenance evaluation and will
interviews in each job         Resources Manager                        be expected to take corrective
family by trained job                                                   action upon discovery of problems
analysts                                                                which may cause delay in
                                                                        accomplishing the appointed
                                                                        objectives
All new or revised job         Office of Personnel         Continuous   OPM and DFA HR Manager will
descriptions will be re-       Management and                           assure ongoing maintenance
evaluated to establish         DFA Human                                evaluation and will be expected to
equitable grade                Resources Manager                        take corrective action upon
relationships among all jobs                                            discovery of problems which may
                                                                        cause delay in accomplishing the
                                                                        appointed objectives
Job requirements will be       Office of Personnel         Continuous   OPM and DFA HR Manager will
derived from the job           Management and                           assure ongoing maintenance
analysis and job evaluation    DFA Human                                evaluation and will be expected to
stated to reflect the          Resources Manager                        take corrective action upon
minimum level of education                                              discovery of problems which may
and experience required to                                              cause delay in accomplishing the
perform the job duties.                                                 appointed objectives
These requirements will
meet the criteria mandated
by Act 199 of 1969, as
amended




                                                      37
    OBJECTIVE:        Ensure all applications will be routed through the Human Resources Office.

          ACTION                RESPONSIBILITY            TARGET             EVALUATION METHOD
                                                           DATE
All applications will be          Administrators,        Continuous     Records of applicant flow will be
routed through the OAS              Managers,                           maintained by the DFA HR
Human Resources Office             Supervisors,                         Manager
                                       and
                                   DFA Human
                                Resources Manager
Require supervisors who           Administrators,        Continuous     DFA HR Manager will maintain
make hiring decisions to            Managers,                           records of referrals, and resulting
complete the applicable          Supervisors, and                       decisions. Files made available
forms for all applicants           DFA Human                            upon request
interviewed for each job        Resources Manager
opening and maintain
complete documents in
secure files

    OBJECTIVE:             To provide maximum opportunity for advancement to all current and
                           prospective employees.

          ACTION                RESPONSIBILITY            TARGET             EVALUATION METHOD
                                                           DATE
Employees will be advised         Administrators,        Continuous     DFA HR Manager will monitor
of the posting and location         Managers,                           vacancy announcements weekly
of the job vacancy lists         Supervisors, and
                                   DFA Human
                                Resources Manager
Utilize trainee positions as       DFA Human             Continuous     DFA HR Manager reports annually
“bridge” positions to create    Resources Manager                       to Department Director
career ladders which               and Office of
expand promotional                  Personnel
opportunities when                 Management
available

    OBJECTIVE:             Provide employee development opportunities to all DFA employees.

          ACTION                RESPONSIBILITY             TARGET            EVALUATION METHOD
                                                             DATE
Identify employee                 Administrators,         Bi-annually   OPM and DFA Management will
development needs within            Managers,            (as needed)    maintain records of training
the agency                       Supervisors, and                       programs offered and individuals
                                   DFA Human                            attending these programs
                                Resources Manager

Publicize internal training       Administrators,         Bi-annually   Copies of completion certificates
opportunities                       Managers,            (as needed)    will be kept in the employee’s
                                 Supervisors, DFA                       official personnel file in the HR
                                   HR Manager                           Office and records of attendance
                                       and                              and completion will be maintained
                                      OPM                               by OPM or DFA Management

                                                    38
    OBJECTIVE:            Ensure that all employees are properly classified and therefore properly
                          compensated in relation to other DFA employees in similar positions.

          ACTION                  RESPONSIBILITY              TARGET           EVALUATION METHOD
                                                               DATE
Management will be                DFA Management             Continuous   DFA HR Manager will keep
requested to identify             and DFA Human                           records of misclassifications and
misclassified employees          Resources Manager                        report corrective actions to the
                                                                          Department Director and OPM
Classification personnel         Office of Personnel         Continuous   OPM will keep records of
representatives will review         Management                            misclassifications and report
jobs of misclassified                                                     corrective actions to the
employees and recommend                                                   Department Director
correct classifications. New
positions may have to be
budgeted

    OBJECTIVE:            Ensure the non-discriminatory application of all policies and practices
                          relating to benefits and conditions of employment, including but not
                          limited to leave policies, retirement plans, and insurance programs.

          ACTION                  RESPONSIBILITY              TARGET           EVALUATION METHOD
                                                               DATE
Continue to review these         Department Director,        Continuous   Management levels will assure
benefits and conditions for        Administrators,                        continued accomplishment to take
each employee. Any                   Managers,                            corrective action where needed
application inconsistent          Supervisors, and                        and report issues to the
with the stated objective will      DFA Human                             Department HR Manager /
be corrected                     Resources Manager                        Department Director


    OBJECTIVE:            Ensure the non-discriminatory application of policies for terminations,
                          demotions, disciplinary actions and favorable actions.

          ACTION                  RESPONSIBILITY              TARGET           EVALUATION METHOD
                                                               DATE
A uniform documented                DFA Human                Continuous   DFA HR Manager will assure the
process of such actions will     Resources Manager                        accomplishment and report
be developed                                                              difficulties with recommendations,
                                                                          to the Department Director
Records will be kept of             DFA Human                Continuous   DFA HR Manager will maintain
reasons for termination          Resources Manager                        records of summary results of the
                                                                          reasons for terminations
A central file of employee          DFA Human                Continuous   Files will be available for review
records will be maintained       Resources Manager




                                                        39
    OBJECTIVE:            Establish a uniform method of appraising employee performance.

          ACTION                 RESPONSIBILITY             TARGET             EVALUATION METHOD
                                                             DATE
OPM Administrator and           OPM Administrator          Continuous   DFA Director and OPM will review
Classification Manager will                                             existing tools to ensure goals and
research plans                                                          objectives are met
An appraisal plan will be        OPM Administrator         Continuous   OPM will select appraisal product
selected
Managers and supervisors        OPM and DFA                Continuous   OPM and internal training will be
will be trained to properly     Human Resources                         developed, evaluated, and revised
utilize performance             Manager                                 as needed
appraisal tools


    OBJECTIVE:            To provide employees an internal procedure to process complaints of
                          discrimination or grievance.

          ACTION                RESPONSIBILITY              TARGET             EVALUATION METHOD
                                                             DATE
Revise EEO complaint             DFA Director and          Continuous   New procedures reviewed and
process and grievance           Office of Personnel                     approved as needed
process                            Management

Provide employees                  DFA Human               Continuous   DFA Human Resources Manager
information on EEO              Resources Manager
complaint process and
grievance process
Monitor and evaluate               DFA Human               Continuous   Maintain data on use of internal
effectiveness of the internal   Resources Manager                       procedures. Records will be kept
EEO complaint and                                                       in the Human Resources Office
grievance procedure to
ensure all employees are
being treated equally
throughout the processes




                                                      40
                         Department of Finance and Administration
                             ADMINISTRATIVE MEMORANDA




The following Administrative Memoranda are DFA policies and procedures distributed to
all DFA employees at the time of employment, as established, or as revised.




                                              41
                         DEPARTMENT OF FINANCE AND ADMINISTRATION
                               ADMINISTRATIVE MEMORANDUM


200.5.2    TITLE:  Vehicle Safety Program
ISSUING OFFICE:    Office of Administrative Services                                 (Page 1 of 2 pages)
DISTRIBUTION THROUGH:     All DFA Employees                                                     (LEVEL)
DATE
                   04/01/08 REPLACES:                          200.5.2         DATED: 11/10/05
ISSUED/REVISED:

In 1986, the Risk Management Division of the Arkansas Insurance Department developed a Vehicle
Safety Program for all agencies covered under the State Master Vehicle Policy. The purpose of the
program is to ensure that only licensed drivers with acceptable driving records operate vehicles on
state business, thereby protecting the state from unnecessary liability exposure. Through the combined
efforts of the Department of Finance and Administration-Office of Driver Services and Information
Network of Arkansas (INA), safety program information is easily accessible to all agencies.

I        GENERAL STATEMENTS
      A. New DFA employees who may be or will be required to operate a vehicle on state business will
         sign the required authorization (VSP-1), and will receive a copy of the signed authorization and
         of the Driving Safety Tips. The original VSP-1 will be forwarded to the DFA Human Resources
         Office along with the usual hire documents. No copies of drivers’ licenses are required.
      B. Driving records will be checked automatically by the Office of Driver Services each week. DFA
         Human Resources staff will notify Administrators if an employee’s driving status has changed. It
         will be the Administrator’s responsibility to then ensure compliance with the DFA requirements
         for the Vehicle Safety Program.
      C. Employees leaving employment with DFA will be removed from the DFA database.
      D. If an applicant’s hire is dependent on having an acceptable driving record, the supervisor may
         request an immediate review of the record by contacting DFA Human Resources at 501-324-
         9065. At the time of this request, the supervisor must have a signed copy of the VSP-1 from the
         applicant.
      E. For more information about the driving records part of the Vehicle Safety Program, contact DFA
         Human Resources at 501-324-9065.

II       PARTICIPATION IN THE VEHICLE SAFETY PROGRAM
         All state agencies covered by the State Master Fleet Policy must participate in the Arkansas
         State Vehicle Safety Program. The Department of Finance and Administration is a participating
         agency.

III      ADMINISTRATORS’ RESPONSIBILITIES
         Administrators must ensure that each office complies with the following requirements:
         A. All drivers must maintain a valid drivers license in accordance with the requirements of all
            applicable Arkansas state laws. Copies of drivers’ licenses are no longer required to be
            kept on file by the agency.
         B, Drivers must complete and sign the Authorization to Operate State Vehicles and Private
            Vehicles on State Business VSP-1. All drivers should be provided with copies of their
            VSP-1 and the Driving Safety Tips.
         C. Copies of form VSP-1 for each authorized driver will be maintained in the employee’s official
             personnel file.
            1) Access to driving records for resident drivers will be provided through the SVS System
                (State of Arkansas Website) through Information Network of Arkansas. Agencies will be
                notified by email on a weekly basis of any change in status of a current driver and the
                status of new drivers.


                                                    42
        2) Driving records for non-resident drivers may be obtained by sending form VSP-2 to:
                              Denise Yates
                              Department of Finance and Administration
                              Charles D. Ragland Building
                              P.O. Box 1272, Room 1130
                              Little Rock, AR 72203
     D. Administrative action will be required for employees who are required to drive on State
        business who exceed the acceptable accumulation of points on their current Traffic
        Violations Report. (See “Assessment of Points” in the Program details for the point values
        assigned for each moving violation by the Office of Driver Services.) Actions may include
        suspension of authorization to drive on the job, required successful completion of an
        approved defensive driving course, suspension from work, or termination.
     E. Drivers must report accident and traffic violations to their supervisor as follows:
            *When operating a state vehicle – Within 24 hours of occurrence or by the following
            business day; and,
            *When operating a private vehicle on state business - Within seven (7) days of
            occurrence.
        The supervisor must report the accident or traffic violation immediately upon
        acquiring this information to the designated staff in each division:

                for the Revenue Division, contact Latonya Clay at 501-682-7168,
                for ABC Enforcement, contact Carl Kirkland at 501-682-8174,
                for all other divisions and offices, contact Grace Nobles at 501-683-2115.

          Grace Nobles serves as the DFA Vehicle Safety Program Coordinator for the department as
          a whole. The designated staff will contact the insurance provider regarding the accident and
          provide the information needed; a copy of all information related to the accident should be
          sent to Grace for file maintenance.
     F.   The designated staff listed above are responsible for reporting all claims or losses which
          involve any bodily injury or property damage to the current insurance provider, Ramsey,
          Krug, Farrell & Leasing at the following telephone numbers: emergency claims reporting
          number is 501-664-9252 or 501-614-1110; the fax number is 501-614-1410. The company
          must be contacted within 24 hours of the occurrence or by the following business day.
     G.   Insurance identification cards must be kept in State vehicles to verify proof of insurance
          coverage.
     H.   Drivers who have had an at-fault accident must attend a defensive driving class within
          sixty (60) days following the occurrence.
     I.   Enrollment in, attendance at, and payment for Defensive Driving Classes are the
          responsibility of the employee. Classes must be approved by the Department of Finance
          and Administration--Office of Driver Services or the National Safety Council. Upon
          successful completion of the defensive driving course, the employee will provide an original
          certificate of completion to his/her supervisor. The supervisor will copy the certificate, and
          forward the copy to the DFA Human Resources Office for inclusion in the employee’s
          personnel file.

IV   AGENCY RECORDS
     Agency records for the Vehicle Safety Program are subject to audit by the Risk Management
     Division of the Arkansas Insurance Department.

V    DRIVERS WHO ARE NOT STATE EMPLOYEES
     This Safety Program also applies to drivers who are not state employees, but who routinely
     drive state vehicles.




                                                  43
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


200.6     TITLE:     Travel Reimbursement
ISSUING OFFICE:      Office of Administrative Services
DISTRIBUTION THROUGH:        All DFA Employees                                                   (LEVEL)
DATE ISSUED/REVISED:      1/17/86               REPLACES:                          DATED:

Reimbursement for travel expenses will be made as specified in the DFA Office of Accounting’s
Financial Management Guide.

No reimbursement will be made for meals on “day trips,” that is, ones not involving overnight travel.




                                                   44
                       DEPARTMENT OF FINANCE AND ADMINISTRATION
                             ADMINISTRATIVE MEMORANDUM


200.15    TITLE:     Use of Copier
ISSUING OFFICE:      Office of Administrative Services
DISTRIBUTION THROUGH:        All DFA Employees                                             (LEVEL)
DATE ISSUED/REVISED:      1/25/06               REPLACES:                         DATED: 2/25/85

Copier Use:   All copies in excess of twenty (20) of the original copy are to be made at the Quick Copy
              Center located in the Ledbetter Building. This saves the Department more than $.02 per
              copy.

Exceptions:   Emergency need approved by Section Manager.

Misuse:       Copiers are to be used for official state business only. No personal usage (i.e., sheet
              music, recipes, cartoons, etc.)




                                                  45
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


200.17         TITLE:                Paper Recycling Policy
ISSUING OFFICE:                      DFA Director’s Office
DISTRIBUTION THROUGH:                All DFA Employees              (LEVEL)
DATE ISSUED / REVISED:               07-01-08        REPLACES: 200.17     DATED: 01-22-91

Act 749 of 1991 mandated each agency to establish and participate in a recycling program for
recyclables generated as a result of agency operations. In cooperation with the Arkansas Department
of Environmental Quality (ADEQ), DFA implemented a paper recycling program in 1991. Effective July
1, 2008, the recycling program will be expanded to include many other items. Currently, the 1509,
1515, Ledbetter, and Ragland Buildings participate in this program, but other locations in the central
Arkansas area may request participation through ADEQ.

DFA Paper Recycling Program: All employees are strongly encouraged to participate in the state
agency paper recycling program. Staff is requested to place the allowable items in a recycling
container located in your area.

Benefits derived from this program include reduction in waste disposal costs for the state, less energy
to reprocess waste paper than to make new paper, decreased greenhouse gas emissions, and
reduction of landfill space. Effective July 1, 2008, employees are asked to save the following items and
deposit in the recycling container for weekly pick-up. The allowable items include:

       All white office paper (laser-printed paper, plotter output, envelopes, and Post-It notes)
       Mixed paper, including colored paper and carbonless forms (no carbon paper)
       Card stock (manila folders, business cards, Rolodex cards, index cards, and postcards)
       Manila envelopes that are not padded (no bubble wrap padding)
       Junk Mail, including window envelopes
       Coated paper
       Magazines
       Newspapers and comic pages
       Soft-bound books, including phone books and manuals (no hardback books or binders)
       Chipboard (paper towel cores, cereal boxes, frozen meal boxes, but nothing with food on it)
       Corrugated cardboard
       Paper ream wrappers
       Paper grocery sacks
       Paper feed sacks

Remove all paper and binder clips (staples do not have to be removed).

The following items cannot be recycled as part of this paper recycling program:

       Food or food contaminated wrappings or boxes                   Styrofoam
       Food contaminated aluminum foil                                Yogurt cups
       Plastic cups, wrap, or bags                                    Paint or aerosol cans
       Microwavable, disposable food dishes                           Dishes, glasses, or ceramics
       Tupperware or similar food containers                          Hardback books or notebooks
       Glass bottles, light bulbs, plate glass, mirrors, or windows
       Manila envelopes with padding (bubble wrap padding)
       Home hazardous materials (batteries, electronics, etc.)

Employees should make paper recycling a routine part of the job. Ask your supervisor for the location
of your area’s closest recycling container.
                                                    46
47
48
                         DEPARTMENT OF FINANCE AND ADMINISTRATION
                               ADMINISTRATIVE MEMORANDUM


200.18    TITLE:     Internet, E-mail, and General Computer Use Policy
ISSUING OFFICE:      Director’s Office
DISTRIBUTION THROUGH:         All DFA Employees                                                      (LEVEL)
DATE ISSUED/REVISED:      10/3/00              REPLACES:                                DATED:

A.   PURPOSE AND SCOPE
     This policy covers the management of all electronic mail and Internet systems provided by the Department
     of Finance and Administration. The Department of Finance and Administration encourages the use of the
     Internet (including electronic mail) as an integral part of its overall processes. Use of the Internet is
     encouraged to:
         Provide an efficient method to exchange information within state agencies, between governmental
            agencies, and to the public;
         Provide sources of data to assist state employees in accomplishing their tasks;
         Accomplish the business of government

B.   ACCEPTABLE / UNACCEPTABLE USE
     The computer system and network are intended for the business use of the employee. Inappropriate or
     unacceptable use by an employee is the basis for disciplinary action. It is unacceptable for a user to use,
     submit, publish, display, or transmit on the network or on any computer system any information which:
          Violates or infringes on the rights of any other person, including the right to privacy;
          Contains defamatory, false, inaccurate, abusive, obscene, pornographic, profane, sexually oriented,
             threatening, racially offensive, or otherwise biased, discriminatory, or illegal material;
          Restricts or inhibits other users from using the system(s). Or, use that degrades the efficiency of the
             computer system(s) such as unofficial: memberships in chat rooms; channel subscriptions; or
             receipt of streaming or broadcast audio or video. See Appendix A for definitions.
          Uses the system for any illegal purpose, or for personal gain.
     Only authorized software may be installed on state-owned or leased hardware. In order to guarantee
     compliance with copyright laws, and insure compatibility with office computer environments and “standard”
     software loads, the installation of any personally owned or downloaded software/shareware must be pre-
     approved by a System Administrator.

C.   ELECTRONIC MAIL [E-MAIL] and FREEDOM OF INFORMATION ACT [FOI]
     E-mail is considered network activity; thus, it is subject to all policies regarding acceptable/unacceptable use
     of state owned or leased computer systems and networks. The user should not consider e-mail to be either
     private or secure.

      Specifically forbidden in the use of E-Mail is:

             Any activity covered by inappropriate use statements included in this policy.
             Sending / forwarding chain letters, virus hoaxes, urban legends, etc.

     Because electronic messages are typically stored in one place and then forwarded to one or more locations,
     often without the specific knowledge of the originator, they are vulnerable to interception or unintended use.
     DFA will attempt to provide an electronic messaging environment that provides data confidentiality and
     integrity. However, DFA cannot be responsible for web-based e-mail systems such as Yahoo, Juno, etc.
     State employees should always be aware of the risks associated with the use of all e-mail systems.

The Arkansas Freedom of Information Act

     The electronic files, including e-mail files, of state employees are potentially subject to public inspection and
     copying under the state Freedom of Information Act ("FOI"), Ark. Code Ann. § 25-19-101 et seq.




                                                           49
    The FOI defines "public records" to include "data compilations in any form, required by law to be kept or
    otherwise kept, . . . which constitute a record of the performance or lack of performance of official functions
    which are or should be carried out by a public official or employee [or] a governmental agency. . . ." Ark. Code
    Ann. § 25-19-103(1). All records maintained in public offices or by public employees within the scope of their
    employment are presumed to be public records. Various exceptions apply. See Ark. Code Ann.§ 25-19-105,
    including Ark. Code 26-18-303 which removes state tax records from FOI, Ark. Code 27-50-907 which
    prohibits release of any personal information concerning a driver, Ark Code 9-14-210 which prohibits
    releasing child support information and the Federal Driver Privacy Protection Act.

Records Retention Policies

    All relevant records retention policies and statutes must be followed, and it is the responsibility of each State
    Employee to understand which of these pertain to his or her work.

Maintaining E-Mail

    DFA maintains e-mail backups with history up to six months. The responsibility lies with the user for e-mail
    retention beyond six months. E-mail messages of only transitory value should not be saved. In fact, the failure
    to routinely delete these messages clogs information systems and strains storage resources.

    If a user chooses to retain e-mail, that user must understand that all retained files and electronic messages
    may be accessible under FOI law. In order to properly maintain e-mail using Outlook/Exchange, users must
    transfer any information they wish to retain to "Personal Folders" on their local hard drive. Users should then
    empty all messages from their Inbox, Sent Mail folder, and Deleted Items folder. Users should also empty
    their "Recycle Bins" on a regular basis.

Guidelines for effective and efficient use of E-Mail

Mail Recipients
    Prioritize your messages. Don’t automatically respond to e-mails in the order you receive them. Handle
       urgent and easy to answer ones first.
    You don’t need to answer everything. Look at the subject line and sender. If you don’t know the sender
       or the subject line doesn’t apply to you opening the e-mail may just generate more unwanted e-mail.
    Respond promptly to essential e-mail. If you can’t answer a business question quickly let the sender
       know you received the e-mail and set a timeframe for response.
    Learn your e-mail program and its capabilities.

Mail Senders
    Always write a definitive subject line. This helps your receiver prioritize their mail.
    Tailor the text for easy understanding and response.
    Don’t use e-mail for debate
    Minimize attachments.

       Keep paragraphs short and to the point.
       Focus on one subject per message.
       Use your signature at the bottom of messages when communicating with people who may not know you
        personally
       Capitalize words only to highlight an important point. Capitalizing whole words that are not titles is
        considered as SHOUTING!
       Asterisks surrounding a word can be used to make a stronger point.
       Because of the international nature of the Internet, use a date convention spelling out the month and
        using the full year.
       Follow chain of command procedures when corresponding with superiors. Don’t send a complaint to the
        “top” just because you can.

All Users
     Delete unwanted messages immediately
     Keep messages remaining in your mailbox to a minimum
     Never assume your e-mail can’t be read by others




                                                          50
D.   PRIVACY OF ELECTRONIC RECORDS
     A system administrator is any person designated by the Department Director to maintain, manage, and
     provide security for shared multi-user computing resources, including computers, networks, and servers.

     System Administrators shall perform their duties fairly, in cooperation with the user community and DFA
     administrators. They shall adhere to this code and all other pertinent rules and regulations, shall respect the
     privacy of users to the greatest extent possible, and shall refer disciplinary matters to appropriate DFA staff.

     Given the nature of the technology, a wide range of information can be easily collected by DFA personnel
     using system software. For example, software may be configured to provide aggregate information on the
     number of users logged in, the number of users accessing certain software, etc.

     No information shall be routinely collected that is not required by system administrators in the direct
     performance of their duties, such as routine backup for system recovery.
     Unauthorized access to any information will result in immediate disciplinary action.

E.   REGULATION / ENFORCEMENT:
     In order for anyone to gain access to a state employee's e-mail, Internet cache or files without that
     employee's permission for any reason, the Director of the Department of Finance and Administration (or
     designee) must submit a signed statement authorizing such access to the appropriate System
     Administrator.

     Violation of this policy will result in appropriate disciplinary action to the employee per Administrative
     Memorandum 300.12. The disciplinary action could result in immediate dismissal.

     All federal and state laws, as well as general DFA regulations and policies, are applicable to the use of
     computing resources. These include, but are not limited to, the Family Education Rights and Privacy Act of
     1974, 20 U.S.C. § 1232g; the Electronic Communications Privacy Act of 1986, 18 U.S.C. § 2510 et seq.; the
     Arkansas Freedom of Information Act, Ark. Code Ann. § 25-19-101 et seq.; and state and federal computer
     fraud statutes, 18 U.S.C. § 1030 and Ark. Code. Ann. § 5-41-101 et seq. Illegal reproduction of software
     and other intellectual property protected by U.S. copyright laws and by licensing agreements may result in
     civil and criminal sanctions.




                                                          51
                                                     APPENDIX A

Definitions

Channel Subscriptions
    Subscribed to services, which provide a continuous flow of updated information such as stock market
      activity or general world news to a client’s desktop computer. Channel Subscriptions are usually activated
      at the time the desktop system is turned on, at the start of a workday, and may remain active throughout
      the workday.

Chat Rooms
    On Line interactive communications, by keyboard, between two or more people using their desktop
       computers to carry on conversations through the Internet, an on line service, or a Bulletin Board. This is
       the desktop computer version of a telephone conversation between two people, or, a conference call
       involving groups of people.

Streaming Audio/Video
     Audio or video transmission over a data network. The transmissions are received as a continuous stream
       of audio, such as music files; or video, such as movies, from a provider to the client’s desktop computer.
       The desktop computer is effectively being used in a fashion similar to a radio or television.

Urban Legends
    Similar to virus hoaxes. Popular narratives alleged to be true, transmitted from person to person by oral,
       written, or electronic communication (including fax and email). These stories always involve some
       combination of outlandish, humiliating, humorous, terrifying, or supernatural events – events that always
       happened to someone else. For credibility, the teller of an urban legend relies on citing of an
       "authoritative" word-of-mouth source (typically "a friend of a friend") rather than verifiable facts. And
       sometimes, but not always, there's a moral to the story, e.g.: "behave yourself, or bad things will happen”.

                                                     APPENDIX B

Additional Information

Netiquette - Generally accepted standards of conduct, or etiquette, for use of the Internet.

Netiquette Web Site Links

http://www.fau.edu/netiquette/net/index.html
http://www.albion.com/netiquette/corerules.html
http://www.albion.com/netiquette/introduction.html
http://redtail.unm.edu/cp/netiquette.html
http://www.ro.com/members/info/netiquette.html




                                                         52
            DEPARTMENT OF FINANCE AND ADMINISTRATION
            Office of Administrative Services
            Information Technology User Consent Agreement


Realizing that the Internet, E-mail, and other technological resources are valuable tools that are only
provided to me to assist me in the performance of my job, and their use is only authorized for official
state business. Use of these resources for anything but official state business will be a considered a
violation of this policy and may result in disciplinary action.

I understand that violation of this policy may result in severe disciplinary action per Administrative
Memorandum 300.12. This disciplinary action may result in my immediate termination or initiation of
criminal or civil action if appropriate.

I recognize that the use of all DFA electronic information resources is a privilege and that I must
adhere to the mandated policies.

I will not disclose any information concerning access control mechanism without proper
authorization.

I will treat all information maintained on DFA computer systems as strictly confidential and will not
release any information to an unauthorized person.

I will store information under secure conditions and make every effort to protect the data.

I understand that legitimate use of a computer or network does not extend to whatever I am capable
of doing, but rather, only to job duties I have been authorized to perform.

I will not access, modify, or copy programs, files or data of any sort belonging to other users without
obtaining prior authorization from the appropriate authority (owner of record, CIO, or designee).

I will immediately notify the DFA – Chief Information Officer or a DFA Systems Administrator if any
data is lost or stolen.

My signature below indicates I understand the terms of the Internet, E-Mail, and General Computer
Use Policy, and agree to comply with its terms and provisions.



___________________________________________         ___________________________________________________
Name                                                Signature



___________________________________________         ___________________________________________________
Office                                              Date



                                                                                       Internetpolicy_070708




                                               53
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


300.2     TITLE:     Inclement Weather Policy
ISSUING OFFICE:      DFA Director’s Office                                            (Page 1 of 2 pages)
DISTRIBUTION THROUGH:        All DFA Employees                                                   (LEVEL)
DATE ISSUED/REVISED:      1/31/97             REPLACES: 300.2                        DATED: 2/10/84

The Department of Finance and Administration complies with Governor’s Policy Directive #7 (GPD #7),
Inclement Weather Policy. Each Office Administrator is responsible for designating critical personnel
within their office in accordance with Section 3 of GPD #7.

In accordance with Section 1 of GPD #7, the following policy will apply to all DFA employees.
Employees who work approved flex time schedules will be given credit for a full day’s attendance if they
arrive within two (2) hours of their normally scheduled beginning work time. Employees arriving after
the two hours will be charged the full amount of time involved in the tardiness, and employees not
coming to work at all will be charged a full day’s absence.

Section 200.1.5 Inclement Weather Policy - GPD #7
This Directive outlines the general policies which will govern office and staffing procedures during
inclement weather.

The general policy regarding inclement weather is that State government does not normally close its
offices because of hazardous driving conditions. However, the obligation to provide services to the
citizens of the State must be balanced with the risk of danger to State employees. It is, therefore,
appropriate that guidelines which reflect the needs of our citizens’ and employees’ safety be established.

In the Little Rock Metropolitan area:
1. In the event of early morning severe inclement weather conditions, the Governor’s Office will
   determine whether this inclement weather policy will be placed into effect and will announce its
   implementation before 6:30 a.m. if at all possible. The announcement will include the affected
   counties. On days declared to be covered by the inclement weather policy, all employees should be
   at their work stations by 10:00 a.m. Employees arriving by 10:00 a.m. will be given credit for a full
   day’s attendance. Employees arriving after 10:00 a.m. two will be charged the full amount of time
   involved in the tardiness, and employees not coming to work at all will be charged a full day’s
   absence. Agencies which have approved flex time schedules will develop an inclement weather
   policy consistent with the guidelines and the policy must be approved by the Department of Finance
   and Administration, Office of Personnel Management. .
2. When severe inclement weather occurs during office hours, department directors and agency
   administrators will have the discretion to allow employees to leave work early for safety reasons.
   Decisions to allow employees to leave work early, however, should recognize the requirement to
   maintain designated critical personnel and assure service delivery to the citizens for the full work day.
   Employees who were on the job, and who were allowed to leave early, will not be charged leave for
   that time.
3.
   Department directors and agency administrators shall designate critical personnel, who will be
   required to reach their work stations by the time of regular office opening regardless of weather
   related conditions to assure that offices are open to the public and services are provided. Prior
   designation will allow critical personnel to prepare for weather conditions, and if need be, provide
   alternative methods of getting to work.



                                                    54
In the area outside of Little Rock metropolitan area:
1. The agency director or the highest level field supervisor will determine when the inclement weather
   policy is implemented based on weather conditions in different parts of the State. If the agency
   administrator chooses to delegate this authority to the field supervisor, such delegation should be
   made immediately and communicated to the employees under the supervisor. Local media shall be
   used to notify employees of policy implementation by 6:30 a.m. if possible. Where this approach is
   not possible, employees should be instructed to contact their supervisor when bad weather exists.
2. When the inclement weather policy is implemented in an area outside the Little Rock metropolitan
   area, the attendance provisions applicable to employees in the Little Rock metropolitan area will be
   applied to employees in the affected area.
Twenty-four hour and seven-day facilities:
1. For agencies which have facilities that are required to be open 24 hours each day or are normally
   open seven days each week, the facility administrator will develop policies and procedures to cover
   facility operations during periods of inclement weather. These policies and procedures should
   balance the requirements for client care and/or public access against the safety of facility employees.
   For example, a residential care facility would require staffing regardless of weather conditions
   whereas a museum facility could be closed if necessary without detriment to the public.
2. State employees who are required to remain on duty until they are relieved may be reimbursed for
   any additional expenses incurred by their obligation to remain at their duty station. Expenses that
   could be reimbursed include, but are not limited to, child care, transportation and meals. Proper
   documentation must be submitted and approval granted by an appropriate agency official as set out
   in the General Accounting Procedures.
NOTE: Universities and Colleges: The decision to implement the inclement weather policy and/or
close the institution is made individually at each institution.




                                                    55
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


300.3.2   TITLE:     Uniform Grievance and Alternative Dispute Resolution Policy
ISSUING OFFICE:      Office of Administrative Services                      (Page 1 of 3 pages)
DISTRIBUTION THROUGH:        All DFA Employees                                         (LEVEL)
DATE ISSUED/REVISED:      10/2/00               REPLACES: 300.3.2          DATED: 8/1/95

Purpose

This grievance procedure is established to provide employees with a prompt review, impartial
consideration, and equitable disposition of their grievances. Any employee who presents a grievance
or complaint in good faith and in a reasonable manner will be free from restraint, interference,
discrimination, or reprisal.

This procedure is intended to encourage employees to discuss problems with their supervisor, thereby
providing a basis to talk over matters of mutual interest, to explain, to reach agreement, to make
adjustments if necessary, and to foster better understanding between employees and supervisors.
Such discussion will lead to better employee/supervisor understanding of policies, procedures, and
practices.

The Alternative Dispute Resolution (ADR) or Mediation component of this procedure is provided to
promote collaborative problem solving. The mediation process may be utilized for resolution of any
work-related disputes, which include issues that may not necessarily be defined as grievance issues.

Policy

It is the policy of this agency that all employees be given the opportunity to resolve complaints or
grievances which they believe adversely affect their employment or working conditions. This
opportunity is provided through established steps and procedures to ensure fair resolution within a
reasonable time frame.

It is also our policy that reasonable efforts be made to settle complaints or grievances as quickly as
possible. Direct contact between supervisor and employee has always been a policy of this agency.
These Grievance and ADR Procedures are not intended, nor will they be allowed, to become a barrier
to the supervisor/employee relationship.

Employees should submit only grievances or complaints that meet the following criteria:
      1) made in good faith
      2) expressed in reasonable terms
      3) include causes for the grievance
      4) include corrective action desired, and
      5) include sufficient information upon which to base decisions.

Access to this procedure is at the employee’s option and does not create any expectation of continued
employment, but provides an avenue of review and resolution of internal situations.

Definitions

   1. Employee – an individual who is a non-probationary, full-time employee of the agency who
      occupies a regular position and who works a minimum of 1,000 hours per year. This policy will
      not apply to employees who hold administrative posts, appointed positions, and employees who


                                                   56
         are on initial new hire probationary status. Part-time, temporary, intermittent, and extra help
         employees do not have access to this procedure.

In DFA, the employees occupying the following positions do not have access to these procedures:

   1) DFA Director, 2) DFA Deputy Director, 3) DFA Revenue Assistant Commissioner, 4) Alcoholic
   Beverage Control Enforcement Director, 5) Alcoholic Beverage Control Administration Director, 6)
   Racing Commission Manager, 7) Criminal Detention Facilities Review Coordinator, 8) DFA
   Administrators Managers, 9) Attorney Supervisors, 10) Attorney Specialists, 11) Attorneys, 12) and
   anyone occupying an unclassified position.

2. Grievance – a complaint by an employee regarding an aspect of his or her employment, including, but
   not limited to:
                 annual leave         sick leave              compensatory time
                 dismissal            suspension              promotion
                 demotion             disciplinary actions    discrimination
   or any other work-related problem except compensation and conditions which are beyond the control
   of agency management or are mandated by law.
   Complaints about performance evaluations may be appealed utilizing the separate performance
   evaluation appeals process. Complaints concerning performance evaluation will not be reviewed by
   the State Grievance Review Committee, the State Employee Grievance Appeal Panel, or through
   ADR.
   Reduction-in-force (RIF) appeals will be processed through a separate appeals procedure. The ADR
   mediator, the State Grievance Review Committee and/or the State Employee Grievance Appeal
   Panel will not hear complaints concerning reduction-in-force.
   Non-selection for promotion or lateral transfer will not be heard by the State Grievance Review
   Committee or the State Employee Grievance Appeal Panel, unless discrimination is the basis of the
   complaint. Non-selection may be heard, internally, through mediation or the grievance procedure.
3. Alternative Dispute Resolution (ADR) or Mediation – a process that allows parties to constructively
   manage conflicts through collaborative problem solving and joint decision making, through utilization
   of a third party neutral (mediator).
Procedure
All grievances, complaints, steps in the procedure, and any appeal steps will be processed through the
agency grievance officer and should be handled in accordance with the following procedures:

NOTE: Participation in any portion of this procedure is voluntary. This includes both the ADR component
and the grievance procedure component. If ADR is the process selected by the employee to attempt
resolution of the dispute, the employee will not have access to the grievance procedure. If the employee
elects to utilize the grievance procedure, the employee will not have access to mediation (ADR).
Regardless of the issue, the employee will not have access to the State Grievance Review Committee or
the State Employee Grievance Appeal Panel if ADR is the chosen resolution process.

Should any person within the Department intentionally interfere with, hinder, block, or otherwise impede
the processing of a grievance, that employee will be subject to disciplinary action. Also, if any employee
or supervisor willfully fails to meet any of the deadlines set forth within this procedure in an attempt to
delay the resolution or disposition of a grievance, the employee or supervisor will be deemed to have
forfeited any participation which he/she might otherwise have under this procedure. Additionally, if an
employee is determined to have filed frivolous grievances or complaints, the employee will be subject to
disciplinary action.



                                                     57
To initiate the grievance or ADR process, the employee must submit the complaint or grievance in writing
to the agency grievance officer within five working days of the occurrence of the incident.

This process, however, does not prohibit employees from using remedies outside these procedures.
Each employee retains the right to file a complaint with the Equal Employment Opportunity Commission
or pursue other legal remedies.

Documentation

It will be the responsibility of the grievance officer to maintain the official file of the grievance or complaint,
the procedures followed, and the ultimate disposition, along with copies of all documentary evidence. In
addition, when an employee begins the formal grievance procedures or ADR at any step, it will be the
responsibility of the grievance officer to immediately document the name of the employee and of his/her
immediate supervisor, the employing unit, the name of the grievance officer, a statement of the nature of
the grievance, the chosen method of resolution, and the date formal proceedings began. All
documentation relating to an employee grievance will be maintained in the department’s Human
Resources Office, separate from the employee’s personnel file. No information relating to the grievance
will become a part of any employee’s permanent personnel record. However, these records will be
maintained in hard copy for five years, and maintained permanently in a manner that complies with
applicable state and federal laws regarding retention of such records.

The DFA Grievance Officer may be contacted at the following address/phone number:

DFA EEO/Grievance Officer

  Geri Jones
  1515 Bldg., Room 101
  1515 West 7th Street
   Little Rock, AR 72203

             Or

  P.O. Box 2485
  Little Rock, AR 72201

  Phone number 501-371-6036
  Fax number 501-371-6014




                                                         58
                         DEPARTMENT OF FINANCE AND ADMINISTRATION
                               ADMINISTRATIVE MEMORANDUM


300.3.4   TITLE:     Sexual Harassment/Discrimination
ISSUING OFFICE:      DFA Director’s Office
DISTRIBUTION THROUGH:       All DFA Employees                                                           (LEVEL)
DATE ISSUED/REVISED:       12/21/87          REPLACES:                                 DATED:

Pursuant to the provisions of the Federal Guidelines (29 CFR Ch. XIV, Subsection 1604.11,
Section 703 of Title Vll of the Civil Rights Act of 1964, as amended, and Arkansas Act 563 of
1985, which amends Subsection (8) of Section 1801 of Act 280 of 1975 in the Arkansas Criminal
Code), the directives contained herein shall be the policy of the Arkansas Department of Finance
& Administration with respect to sexual harassment and/or sex discrimination.

It is the Department’s policy not to refuse to hire or otherwise adversely affect the employment
opportunities of applicants or employees on the basis of sex. The Department unequivocally will
not tolerate conduct or action(s) that constitute sexual harassment or any other form of
discrimination based on sex.

As it relates to this Policy, sexual harassment, a form of sex discrimination shall be defined as
actions involving 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 applicant or employee’s employment; (b)
submission to or rejection of such conduct by an employee or applicant is used as a basis for
employment decisions affecting such employee or applicant; (c) such conduct has the purpose or
effect of unreasonably interfering with an employee’s work performance or creating an
intimidating, hostile, or offensive working environment.

Persons deemed to be in violation of this policy shall be disciplined following a determination of
the facts with sanctions for violation to include verbal warning up to termination (dependent upon
the type of violation).

Employees who believe they are the subject of sexual harassment or other sex discrimination
may file a complaint alleging a violation of this policy under the Department’s Equal Employment
Opportunity Complaint Procedure. Employees should submit complaints made in good faith,
expressed in reasonable terms, containing cause for the complaint, corrective action desired and
sufficient information upon which to base decisions.

The agency’s grievance procedure authorizes the Grievance Officer to modify, waive, or
otherwise change the Grievance Procedure in order to fulfill the intent of the Procedure, provided
the Department Director and employee agree to the waiver, modification or change. To this
effect no employee, in order to affect resolution of a complaint shall be required to solely or
independently confront the person allegedly conducting or causing the action believed to be
sexual harassment.

It shall be a Violation of this Policy for any person to intimidate, threaten, coerce or discriminate
against any individual for having filed a complaint, furnishing information, or assisting or
participating in any manner in an investigation of a complaint

This policy applies to all divisions and offices of the Department, its agents, contractors,
subcontractors, or others for which the Department has control or legal responsibility.




                                                     59
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


300.30   TITLE:   Personal Appearance/Dress Code
ISSUING OFFICE:   DFA Director’s Office
DISTRIBUTION THROUGH: All DFA Employees                                                               (LEVEL)
DATE
                    April 24, 2001       REPLACES:                            DATED:
ISSUED/REVISED:

Effective immediately, Department of Finance and Administration employees may wear business
casual attire during regular business hours.

“Business casual” includes slacks, blouses, shirts with collars, and appropriate shoes.

“Business casual” does not include jeans, t-shirts, ‘work-out’ clothing, shorts, tennis shoes, etc.

DFA administrators may recognize certain unique situations that require flexibility, such as allowing
employees to wear jeans, t-shirts and tennis shoes for assignments involving manual labor.

If DFA employees are representing the Department at meetings, hearings, or official functions where
“business casual” would be considered inappropriate, more professional attire should be worn.

This policy is in compliance with Governor’s Policy Directives and is to be applied consistently, equally
and in a nondiscriminatory manner. All state employees are to use good judgment and discretion in
their dress and appearance. All clothing worn by state employees should reflect the image of a
professional public servant.




                                                    60
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


300.7     TITLE:     Garnishments/Personnel Policy
ISSUING OFFICE:      Office of Revenue Legal Counsel
DISTRIBUTION THROUGH:        All DFA Employees                                               (LEVEL)
DATE ISSUED/REVISED:      4/02/03             REPLACES: 300.7                       DATED: 2/25/85

A Writ of Garnishment is a method of collecting debts once a judgment has been obtained
against the debtor. A Writ of Garnishment is issued by the Clerk of a Circuit or District Court to
someone who owes money to or has property of the debtor. Writs of Garnishment against DFA
employees are normally served on the Office of Revenue Legal Counsel. Any office who
receives a Writ of Garnishment on one of its employees should immediately forward the Writ to
Revenue Legal Counsel. Upon receipt by Revenue Legal Counsel of the Writ of Garnishment,
that office determines the gross wages of the employee and the amounts which are deducted
for Federal, State, and FICA taxes. The balance after the deductions is the employee’s
disposable earnings which are subject to garnishment. These amounts may change from year
to year.     This information, along with other information regarding the Federal Wage
Garnishment Law, can be found in “The Federal Wage Garnishment Law”, WH Publication
1324, published by the United States Department of Labor.

Once the amount which can be withheld from the employee’s check is determined, the Payroll
Section is notified of the amount to deduct. An Answer is prepared and filed with the Clerk of
the Court in which the garnishment is issued. A copy of the Answer is provided to the Attorney
for Plaintiff and a copy is sent to the Payroll Section. Pursuant to Ark. Code Ann. §16-110-415,
a garnishment shall remain as a lien against a Defendant's wages until the total amount of the
judgment is paid or satisfied or the employee terminates employment.

The Department also receives Orders of Withholding for student loan debts and they are
handled by the Office of Revenue Legal Counsel. They are very similar to Writs of Garnishment
and are handled in basically the same way.

One other document is an Internal Revenue Service Levy on Wages. This operates as a
continuous garnishment until the debt is paid. They are processed somewhat differently from
garnishments; however, complete instructions are sent from IRS with each levy. Any office
receiving such a Levy should forward it to the Payroll Section.

Point of contact in the Office of Revenue Legal Counsel is the Chief Counsel’s Administrative
Assistant, (501) 682-7030.

Employees may be terminated if Writs of Garnishment are served on the Department for more
than two different indebtednesses in any one-year period.

Administrators will be notified, in writing, by Revenue Legal Counsel of garnishments of their
employees and the Administrator is responsible for notifying the employee of the garnishment.




                                                   61
                         DEPARTMENT OF FINANCE AND ADMINISTRATION
                               ADMINISTRATIVE MEMORANDUM


300.7.1   TITLE      Tax Obligations
ISSUING OFFICE:      Director’s Office
DISTRIBUTION THROUGH:        All DFA Employees                                                 (LEVEL)
DATE ISSUED/REVISED:      4/25/08            REPLACES: 300.7.1                        DATED: 01/25/06

One Mission of the Department of Finance and Administration is to encourage and achieve the
highest possible degree of voluntary compliance with the tax laws and regulations and to
maintain the highest degree of public confidence in the integrity and efficiency of the Department
of Finance and Administration. In light of this mission, it is imperative that our employees comply
fully with all applicable requirements of governmental taxing authorities at all levels - State,
Federal and Local.

   It is expected, therefore, that employees will:
        (a) file timely and properly all tax returns in keeping with the requirements of law,
            regulation, or ordinance;
        (b) pay timely any valid tax due.

   A “valid tax due” as used in this subsection includes:

       (a)   a balance due on an original return as filed with a governmental agency:
       (b)   an uncontested tax assessment of a governmental agency;
       (c)   a tax otherwise due a governmental agency which is acknowledged by the employee;
       (d)   absent (a), (b), or (c), a liability confirmed by a final assessment by a governmental
             agency.

   A “governmental agency” as used in this subsection includes State, Federal, or local
       agencies.

   Applicants for employment must have a record of compliance with the standards in this
   memorandum and certify prior compliance as a condition of employment.

   If an employee has entered into a written agreement for payment of back taxes and is in full
   compliance with the agreement the employee may request that the Director approve
   conditional/continuance of employment so long as the employee complies with the written
   agreement/payment plan.

   Employees’ State tax records will be periodically checked after January 1, 1990 for
   compliance with this memorandum.

   Employees who fail to adhere to this memorandum are subject to removal from employment
   with the Department of Finance and Administration.

Each hiring official will request a completed Acknowledgment of Receipt of the Tax Obligations
Policy document to be provided by each individual (before they are hired). The original copy of
the document will be attached to all new hire, rehire, transfer and promotion personnel
transactions occurring between agencies other than the Department of Finance and
Administration, and sent to DFA Human Resources. DFA Human Resources will retain all such
documentation.


                                                    62
               ACKNOWLEDGEMENT OF RECEIPT OF TAX OBLIGATIONS POLICY


I, _______________________, as an applicant for employment with the Department of Finance and
Administration hereby certify that I have received a copy of Administrative Memorandum no: 300.7.1,
the Department’s Tax Obligation Policy, and that my history of payment of state, federal and local taxes
is free and clear of any judgments, liens or outstanding balances. I further realize that if employed by
the Department as a condition of employment my tax records will be subject to periodic review for
compliance with tax laws and/or any agreement/payment plan and non compliance will result in
termination from the department of Finance and Administration.




_________________________________________________                     _____________________________
Signature                                                              Date




                                                   63
                       DEPARTMENT OF FINANCE AND ADMINISTRATION
                             ADMINISTRATIVE MEMORANDUM


300.9     TITLE:     Suggestion System
ISSUING OFFICE:      Office of Personnel Management
DISTRIBUTION THROUGH:        All DFA Employees                                                   (LEVEL)
DATE ISSUED/REVISED:      2/25/85             REPLACES:                          DATED:

It is the policy of the Department of Finance and Administration that DFA employees be eligible
to participate in the Suggestion System and are encouraged to do so. Adopted suggestions will
be recognized by a monetary award and/or certificate.

The primary goal of the Employee Suggestion System is to identify those suggestions from State
employees which are effective in cost reduction and/or avoidance and to improve productivity.
The secondary goal is to open a channel of communication between the employee and
management.

Official suggestion system forms and complete rules and regulations concerning the Suggestion
System process are available from the Office of Personnel Management (OPM) website at
www.arkansas.gov/dfa/opm or request a hardcopy from OPM, P. O. Box 3278, 201 DFA
Building, Little Rock, Arkansas 72203.

NOTE: All suggestions must be submitted on the official suggestion form by postal mail service
before the idea can be considered for evaluation.




                                                  64
                            DEPARTMENT OF FINANCE AND ADMINISTRATION
                                  ADMINISTRATIVE MEMORANDUM


     300.11        TITLE: Probation Period
     ISSUING OFFICE:      Office of Personnel Management
     DISTRIBUTION THROUGH:       All DFA Employees                                       (LEVEL)
     DATE ISSUED / REVISED:      2/16/85         REPLACES:                              DATED:

The policy of the Department of Finance and Administration regarding probationary periods is as follows:

All new (hired or rehired) employees are placed on a six month probationary period and while on this status
do not have access to the Department’s grievance procedures; however, all employees have access to the
EEO procedure.

Employees promoted or demoted to new positions will be placed on a three (3) month probationary period
with an option of a three (3) month extension at the discretion of the supervisor.




                                                       65
                       DEPARTMENT OF FINANCE AND ADMINISTRATION
                             ADMINISTRATIVE MEMORANDUM


300.12    TITLE:     Disciplinary Measures
ISSUING OFFICE:      DFA Director’s Office
DISTRIBUTION THROUGH:         All DFA Employees                                           (LEVEL)
DATE ISSUED/REVISED:      8/01/97             REPLACES: 300.12                   DATED: 6/01/96

The policy of the Department of Finance and Administration with regard to disciplinary measures
is as follows:

   Discipline applied by supervisors should be aimed at improving employee behavior, not
   punishing the employee. Behavior is defined as actions or lack of actions by employees
   related to work rules, office mission, and/or safety of themselves, co-workers and customers.
   The following sequence of steps is provided to assist supervisors with the disciplinary
   process:

       (1) Verbal warning recorded in the employee’s personnel file.

       (2) Written warning recorded in the employee’s personnel file.

       (3) Suspension without pay. (For exempt employees, a five (5) day minimum
           suspension is required.)

       (4) Termination.

Should disciplinary measures be necessary, they should be applied immediately, consistently
and impartially.

Supervisors are required to:

   Maintain good records and documentation;
   Investigate the violation and circumstances surrounding the incident;
   Equate the severity of the discipline to the violation, not the person;
   Discipline in private; and,
   Warn employee of the consequences of repeat offenses.

This sequence of steps in the disciplinary process is recommended for most violations. Some
violations initially may require implementation of more severe disciplinary action, including
immediate dismissal. Supervisors should consult with the DFA Human Resources Manager
regarding extreme or severe situations.

Employees in regular positions (excluding probationary employees) may appeal disciplinary
actions by utilizing the DFA Grievance Procedure. This Procedure may be obtained by
contacting the DFA Human Resources Office at (501) 324-9063.




                                                   66
                           DEPARTMENT OF FINANCE AND ADMINISTRATION
                                 ADMINISTRATIVE MEMORANDUM


300.18    TITLE: Compensatory / Overtime Authorization and Use / Payment
ISSUING OFFICE:    Office of Administrative Services
DISTRIBUTION THROUGH: All DFA Employees                                                                     (LEVEL)
DATE ISSUED / REVISED:      02-01-07             REPLACES: #300.18.1                         DATED:     06-15-00

The policy of the Department of Finance and Administration regarding hours worked in excess of regular hours is
consistent with the Federal Fair Labor Standards Act {FLSA} (Public Law 99-150):

Advance authorization by the Administrator for employees to earn compensatory time is not required; however,
Supervisors are responsible for monitoring the work schedules of their employees and authorizing employees to
work in excess of the 40-hour workweek. The following actions are the preferred order for addressing the
accumulation of compensatory time:

    A. Supervisors should adjust work schedules and/or leave approval during the workweek to prevent the
       accumulation of compensatory time.
    B. Non-exempt Regular Salary and Extra Help employees will be granted compensatory time off at the rate
       of one and one-half hours for each hour or part of an hour of overtime worked (in excess of forty actual
       work hours per week) in lieu of payment whenever practical.
    C. Supervisors may request or direct employees to use their compensatory time during a period of time that
       has minimal impact on the work unit’s operations. This action may be taken to reduce the accrued
       compensatory time balance and avoid cash payments.
    D. Payment for overtime will be granted following appropriate approval.

Non-exempt employees moving to Exempt positions must be paid for their accrued compensatory time.
Terminated employees having an accrued compensatory leave balance must be paid a lump sum payment for
overtime at the time of termination.

Non-Exempt employees may accrue a maximum of 240 hours of compensatory time. Hours in excess of 240
hours compensatory time must be paid as overtime. Administrators must manage overtime work in an efficient
and economic manner. Anticipated utilization of the overtime appropriation will result in an allocation of overtime
dollars for the affected office. The cost estimate should reflect the anticipated needs through the end of the fiscal
year, if possible. Administrators who, either through the use of historical data or through the certain knowledge of
future work periods, anticipate that employees will not be able to accomplish the mission of the Department
without incurring paid overtime, should present in writing:

        A. the circumstances of the anticipated need for overtime,
        B. the approximate dollar value to be obligated, and
        C. the listing of position numbers that are to be authorized to perform overtime work.

A request for overtime appropriation should be made as soon as the need is anticipated, and certainly no later
than thirty days prior to the time period during which the overtime is to be worked. Administrators must direct
such requests in a memorandum to either the Assistant Revenue Commissioner for Operations and
Administration, or to the Administrator of Administrative Services, whichever is appropriate. This will allow for
timely consideration of each request, and at the same time, ensure that budgetary and payroll requirements are in
place to process the overtime payments when they come due.

“Emergencies” which require overtime payment will be directed in the same manner as soon as they are
recognized.

The Compensatory Leave Chart (see Time and Leave under Personnel Forms on the HR website,
www.state.ar.us/dfa/hr), must reflect the total calculated overtime hours as shown on the timesheet for the same
pay period.




                                                         67
                       DEPARTMENT OF FINANCE AND ADMINISTRATION
                             ADMINISTRATIVE MEMORANDUM


300.22    TITLE:     Unauthorized Absences
ISSUING OFFICE:      Director’s Office
DISTRIBUTION THROUGH:        All DFA Employees                                               (LEVEL)
DATE ISSUED/REVISED:      8/01/97            REPLACES: 300.22                       DATED: 6/01/96

Employees who are absent from work without authorization will have their pay reduced (docked)
by an amount equal to the length of time of the absence computed at the employee’s rate of pay
in effect at the time of the absence.

Unauthorized absences are those occurring when an employee has not obtained required
advance approval for leave or has exhausted all leave balances and leave has not been
approved for other available types of authorized leave, i.e., regular Leave Without Pay, Family
and Medical Leave, Maternity Leave, Catastrophic Leave, Military Leave and Court/Jury Duty
Leave. Employees who are absent due to a work related injury or illness and who are receiving
Worker’s Compensation benefits are exempt from this policy.

Employees receiving four (4) docks due to unauthorized absences in any twelve (12)
consecutive month period shall be terminated. The following disciplinary measures should be
implemented when an employee is absent from work without authorization:

1st Dock      Verbal Warning
              On the occasion of the first dock, the supervisor will counsel the employee
              regarding the unauthorized dock and the consequences of repeat absences
              without authorization. The verbal warning is to be recorded, signed by the
              employee ensuring acknowledgment and placed in the employee’s personnel file.

2nd Dock      Written Warning
              On the occasion of the second dock, the supervisor will prepare a written warning
              to be recorded, signed by the employee ensuring acknowledgment and placed in
              the employee’s personnel file. The written warning must reference the first
              dock/verbal warning and define the disciplinary action for further unauthorized
              docks.

3rd Dock      Suspension Without Pay For Three (3) Days (For Exempt Employees, a Five
              (5) Day Minimum Suspension is Required)
              On the occasion of the third dock, the supervisor will prepare a written disciplinary
              action referencing the two previous unauthorized docks, stating the dates of
              suspension and defining the disciplinary action for the fourth dock. It is to be
              signed by the employee ensuring acknowledgment and placed in the employee’s
              personnel file.

4th Dock      Termination
              On the occasion of the fourth dock, the supervisor will prepare a written
              disciplinary action referencing the three previous unauthorized docks and stating
              the date of termination.

Should an employee refuse to sign any disciplinary action, the supervisor should have another
supervisor or manager sign, confirming the disciplinary action.




                                                   68
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


300.22.2     TITLE:       Job Abandonment
ISSUING OFFICE:
                     DFA Director’s Office
DISTRIBUTION THROUGH:       All DFA Employees                                                      (LEVEL)
DATE ISSUED/REVISED:     8/01/02            REPLACES:                                DATED:

Administrative Memorandum 300.22 addresses actions that may be taken when an employee is absent
from work without proper authorization. These actions range from verbal warning to termination, based
on the number of offenses in a 12-month period, and counting each instance of unauthorized absence
as one offense.

To address instances in which employees are absent on multiple, consecutive work days without
authorization and/or notice, the following procedures will be followed:

1.     For employees in regular positions, either full- or part-time, who have passed the initial
       “probationary” period of six months:
              At the end of the second consecutive workday that the employee fails to report to
       work or follow proper office procedures for reporting the absence, the employee will be
       considered to have abandoned his/her job, and will be terminated.

2.     However, for employees in “extra help” positions, or in regular positions but within the
       initial six month “probationary” period:
                 On the first workday that the employee fails to report to work or follow proper
       office procedures for reporting the absence, the employee will be considered to have
       abandoned his/her job, and will be terminated, effective the end of the first day of
       absence.

Administrators will retain the authority to make exceptions to this policy based on extenuating
circumstances.

Inquiries concerning this memorandum may be addressed to the DFA Human Resources Office.




                                                    69
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


300.23    TITLE:     Outside Employment
ISSUING OFFICE:      DFA Director’s Office                                           (Page 1 of 2 pages)
DISTRIBUTION THROUGH:        All DFA Employees                                                  (LEVEL)
DATE ISSUED/REVISED:      2/25/85            REPLACES:                              DATED:

Outside employment, or second jobs, should be undertaken only after the employee has
discussed such a possibility with their supervisor. On occasion there is the possibility of a
conflict of interest, in both a legal sense and in terms of priorities. State employment should be
considered the primary job of all full-time employees of this Department.

No secondary employment or personal income producing interest is to be engaged in during
state business hours, or supported by state facilities, such as the telephone, copy equipment,
supplies or subordinate personnel. The agency telephone number should not be advertised or
provided to others for use as a non-state government business number.

Reference attached memorandum.




                                                    70
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM




                               MEMORANDUM


TO:           DFA Employees

FROM:         Richard A. Weiss, Director

SUBJECT:      Preparation of Tax Returns for Pay

DATE:         April 23, 1998

It has come to my attention that some DFA employees have been preparing federal and state income
tax returns for pay. Pursuant to Executive Order 98-04, DFA is responsible for providing ethics
regulations and guidance to state agencies and employees for contracting, grants and employment
decisions. In fulfilling our responsibilities, we have determined that there is an appearance of ethical
impropriety when an employee of an agency is employed by a third party to assist with the process of
that agency. Because of this appearance of impropriety, DFA employees must no longer prepare state
or federal tax returns for pay. This same restriction applies to providing any other services for pay
which are related to the business of DFA.




RAW/TL/jlg




                                                   71
                       DEPARTMENT OF FINANCE AND ADMINISTRATION
                             ADMINISTRATIVE MEMORANDUM


300.25    TITLE:     Theft or Misappropriation of State Property
ISSUING OFFICE:      DFA Director’s Office
DISTRIBUTION THROUGH:        All DFA Employees                                                   (LEVEL)
DATE ISSUED/REVISED:      1/02/89              REPLACES:                          DATED:

The money collected on behalf of the Department of Finance and Administration is held in trust
by its employees for the State of Arkansas. All money is to be handled properly as required by
Department guidelines and state law. Any theft or misappropriation of money or property
belonging to the State of Arkansas is considered a violation of this trust and will result in
immediate voluntary or involuntary termination with restitution to be made at the time of
termination.

Supervisors and managers are responsible for reporting any suspected theft or misappropriation
immediately to the appropriate administrator. The appropriate administrator will investigate the
report and take necessary action.




                                                  72
                       DEPARTMENT OF FINANCE AND ADMINISTRATION
                             ADMINISTRATIVE MEMORANDUM


300.26    TITLE:     Smoking Policy
ISSUING OFFICE:      DFA Director’s Office
DISTRIBUTION THROUGH:       All DFA Employees                                             (LEVEL)
DATE ISSUED/REVISED:     9/23/97            REPLACES: 300.26                     DATED: 6/01/89

Smoking is not allowed in any offices of the Department of Finance and Administration. Smoking
outside of offices shall occur in designated areas only. Consult your supervisor for appropriate
locations.




                                                  73
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


300.27    TITLE:     Reduction-In-Force (RIF) Policy
ISSUING OFFICE:      DFA Director’s Office
DISTRIBUTION THROUGH:       All DFA Employees                                                   (LEVEL)
DATE ISSUED/REVISED:     10/01/97             REPLACES:                            DATED:

It may become necessary to transfer, reassign, relocate, or lay off employees due to a lack of
funds, curtailment of work, changes in the delivery of program services, discontinuance of
programs and/or positions, or for other reasons. Should any of these conditions occur, the
Department of Finance and Administration (DFA) shall make the determination as to whether the
circumstances or conditions warrant a Reduction-In-Force (RIF) action and a RIF Procedure
shall be implemented.

No full-time, regular salaried employee shall be separated while there are extra-help, temporary,
or probationary employees serving in the same class of position in this Department.

The transfer, reassignment and/or relocation of personnel to existing job vacancies for which the
employee is qualified shall be utilized in preference to a layoff action when possible.




                                                   74
                        DEPARTMENT OF FINANCE AND ADMINISTRATION
                              ADMINISTRATIVE MEMORANDUM


300.28   TITLE:   Witness, Juror or Party Litigant Fees
ISSUING OFFICE:   DFA Director’s Office
DISTRIBUTION THROUGH: All DFA Employees                                                         (LEVEL)
DATE
                    November 10, 2005         REPLACES: 300.28              DATED: November 6,1998
ISSUED/REVISED:

The policy of the Department of Finance and Administration with regard to witness, juror, or party
litigant fees and reimbursements is as follows:

I      Pursuant to Ark. Code Ann. § 21-4-213, a Department of Finance and Administration (DFA)
       employee serving as a juror in a state or federal court is entitled to retain court fees or
       reimbursement for necessary services or appearances and such services or necessary
       appearances in any court will not be counted as annual leave.

II     A DFA employee, subpoenaed as a witness to give a deposition or testimony in state or federal
       court, at a hearing or before any body with power to issue a subpoena, is entitled to his or her
       salary if the employee is a witness in a matter that is:

              a. within the employee’s scope of employment, or
              b. outside the employee’s scope of state employment and the employee is either not
                 serving as a paid expert witness or is not a party to the matter.

III    The DFA employee is required to take annual leave to attend the deposition, hearing or appear
       in court only if the matter is outside of the employee’s scope of state employment and the
       employee is serving as a paid expert witness or is a party to the matter.

IV     Pursuant to Ark. Code Ann. § 16-43-806, a DFA employee serving as a witness to give a
       deposition or testimony in state or federal court, at a hearing or before any body with power to
       issue a subpoena, is entitled to retain his or her witness fees that may be tendered to him or her
       under state or federal law or court rules only if the matter is:

              a. outside the employee’s scope of state employment, or
              b. the employee is a party to the matter other than as a representative of the state
                 employer.

V      A DFA employee is entitled to retain any mileage fees that may be tendered to him or her under
       state or federal law or court rules only if:

       1.     a. the matter is within the employee’s scope of state employment:
              b. the employee uses a personal vehicle for travel in obeying the subpoena, and
              c. the employee’s employer does not reimburse the employee for travel expenses, or

       2.     the matter is outside the employee’s scope of state employment and the employee does
              not use a state-owned vehicle for travel in obeying the subpoena.

VI     If the DFA employee is subpoenaed as a witness to give a deposition or testimony in state or
       federal court, at a hearing or before any body with power to issue a subpoena on a non-work
       day, the employee may retain any witness and mileage fees tendered to him or her.




                                                   75
                         DEPARTMENT OF FINANCE AND ADMINISTRATION
                               ADMINISTRATIVE MEMORANDUM


300.29     TITLE:    Compliance with the Arkansas Whistle-Blower Act (Act 1523 of 1999)
ISSUING OFFICE:      DFA Director’s Office
DISTRIBUTION THROUGH:       All DFA Employees                                                           (LEVEL)
DATE ISSUED/REVISED:     7/31/00               REPLACES:                     DATED:

The policy of the Department of Finance and Administration regarding the Arkansas Whistle-Blower Act is
consistent with Arkansas Code Annotated § 21-1-601 – 609.

It is the policy of the Department of Finance and Administration that an employee will be protected from
discharge or retaliation because the employee reports in good faith the existence of any waste of public
funds, property, or manpower or a violation or suspected violation of State law, rule, or regulation. This
policy excludes federal funds, property, or manpower.

No adverse (unfavorable) action will be taken against an employee or a person authorized to act on
behalf of the employee, in the following situations:

   1.    if an employee alleges a violation under this Act, and does so “in good faith”;
   2.    if an employee alleges a violation under this Act, and does so “in good faith”, and participates or
         gives information in an investigation, hearing, court proceeding, legislative or other inquiry, or in
         any form of administrative review; and/or
   3.    if an employee alleges a violation under this Act, and does so “in good faith”, and has objected
         to or refused to carry out a directive that the employee reasonably believes violates a law, rule,
         or regulation adopted under the authority of the State.

An “adverse action” is defined as discharging, threatening, discriminating, or retaliating against the
employee in any manner that affects the employee’s employment, including compensation, job location,
rights, immunities, promotions, or privileges.

“Good faith” is lacking when the employee does not have personal knowledge of the waste or violation, or
when the employee knew or reasonably should have known that the report is malicious, false, or
frivolous.

The report of waste or violation should be made verbally or in writing to one of the employee’s superiors
or to an appropriate authority, such as:

   1.    a state, county, or municipal government department, agency, or organization having
         jurisdiction over criminal law enforcement, etc;
   2.    a member, officer, agent, investigator, auditor, representative, or supervisory employee of the
         body, agency, or organization; or
   3.    the office of the Attorney General, Auditor of State, Arkansas Ethics Commission, Legislative
         Joint Audit Committee, Division of Legislative Audit, or Prosecuting Attorney’s Office.

The report by the employee of such waste or violation must be made prior to any adverse action by the
employer. Additionally, the report is to be made at a time and in a manner which gives the employer
reasonable notice of need to correct the waste or violation.

An employee who alleges a violation of the Act and believes that the employer has acted adversely
towards him because of the allegations may bring a civil action in chancery court within 180 days of the
alleged violation of the Whistle-Blower Act. Should such action occur, the employee has the burden of
proof in establishing that he has suffered an adverse action for an activity protected under the Whistle-
Blower Act. Additionally, the employer shall have an affirmative defense if it can establish that the
adverse action taken against the employee was due to employee misconduct, poor job performance, or a
reduction in workforce unrelated to a report made concerning violations under this Act.

                                                      76
                         DEPARTMENT OF FINANCE AND ADMINISTRATION
                               ADMINISTRATIVE MEMORANDUM


300.31         TITLE:                 Criminal Background Check Policy
ISSUING OFFICE:                       Director’s Office             (Page 1 of 4 pages)
DISTRIBUTION THROUGH:                 All DFA Employees                                 (LEVEL)
DATE ISSUED / REVISED:                12/05/05          REPLACES:                     DATED:

The following policy and procedure provides guidance for implementing criminal background checks for
applicants and current employees, in accordance with the DFA Anti-Fraud Policy, Act 2210 of 2005, and
this general policy of the Department of Finance and Administration (DFA). This information will be
applicable to all divisions, offices, and commissions within DFA.

The DFA Anti-Fraud Policy dated August 31, 2005, requires criminal background checks be performed
on all applicants for designated financial positions that handle cash or negotiable assets. Further, it is
the policy that applicants for designated information technology positions will be subject to criminal
background checks. Act 2210 of 2005 requires criminal background checks on persons authorized to
manufacture or produce driver’s licenses or identification cards, including current and prospective
employees. In addition, it is the policy of the department that current and prospective employees in
designated management positions in DFA will be subject to criminal background checks. Requests for
criminal background checks will be submitted through the DFA Human Resources Office. DFA HR will
coordinate the background checks which will be conducted by the Arkansas State Police prior to hiring
an applicant under this policy beginning with vacancies announced on and after January 1, 2006 and for
current employees, under Act 2210 of 2005 or those in designated management positions, on or before
January 31, 2006.

As a criminal background check is a condition of employment for designated positions, failure to comply
will result in employment termination or disqualification.

DFA Administrators will designate the positions in their office that will be subject to the background
check requirements of this policy by December 22, 2005. Administrators will designate the positions
from a list provided by DFA Human Resources by Position Number, Title, Grade, Employee Name (or
vacant), Personnel Number and Social Security Number. Administrators will be responsible for updating
the list of designated positions annually or as needed and providing the revisions to DFA Human
Resources. Extra-help positions may be designated initially or as needed. (Reference Position Control
Reports by office generated by DFA Human Resources.)

Public notices of employment for positions that require criminal background checks are required. This
will be part of the advertising process in DFA. Effective January 1, 2006, vacant designated positions
requiring a criminal background check will be noted on the Job Vacancy Requisition Report (JVRR)
submitted to DFA Human Resources.

DEFINITIONS

The following definitions will apply unless the text clearly indicates otherwise:

   1) Applicant: A person applying for employment.

   2) Criminal Background Check: A criminal history report produced by the Identification Bureau of
      the Arkansas State Police.




                                                     77
   3) Designated Position:

           a) Management - A position that is determined by the DFA Director or his designee(s) in
              which the current or prospective employee serves at the administrator level or higher; a
              position in which the current or prospective employee is in the chain of supervision over
              positions designated for background checks as follows.
           b) Driver’s License/ID Card - A position that has the authority to manufacture or produce
              driver’s licenses or identification cards, or has access to such ability.
           c) Financial - A position that handles cash and negotiable assets, including currency,
              checks, and other transferable assets that are readily converted to cash. This also
              includes any position that uses state credit cards, has the ability to make wire transfers,
              etc., in which funds can be accessed and/or utilized in an electronic format.
           d) Information Technology - A position that has authority or capability via computer access
              to make changes to financial data, approve, authenticate, or configure user security
              access or act in a capacity of information technology network, application, or
              system administrator.

   4) Employee: A person currently employed by the Department of Finance and Administration.

   5) Hiring Official: A person authorized to make the hiring decision for the vacant position.

PROCEDURES

The State of Arkansas Employment Application notifies applicants that some jobs may require
background checks prior to employment or as a condition of employment and failure to meet these
requirements may cause the applicant to be rejected or terminated from that job. Applicants affirm this
notification by their signature on the State of Arkansas Employment Application.

All DFA applicants for positions that are designated positions for criminal background checks are
required to sign a consent form for a criminal background check. For prospective employees, the
consent form will be provided at the time of interview by the hiring official. The applicant will be required
to sign the consent form at that time in order to be considered for employment for the position (see
Attachment A). For current employees who fall under designated positions, a date will be established by
the DFA Director for submission of the employee forms (see Attachment C) on or before January 31,
2006.

The hiring official will forward a copy of the signed consent form of the top applicant selected for the
position to DFA Human Resources, either by fax, email or messenger/mail. The hiring official will
maintain all signed consent forms of applicants interviewed until the hiring process has been completed.
DFA Human Resources will submit an electronic request for a criminal background check to the
Arkansas State Police.

If the criminal background check reveals no record, DFA Human Resources will provide the information
to the hiring official. The applicant’s signed consent form and the criminal background check results
provided by DFA Human Resources will be placed in the hire packet of the applicant for processing (see
Attachment B).

If the background check reveals a misdemeanor conviction of a criminal offense that is of a financial
nature or any felony conviction, an applicant is disqualified for the designated position. DFA Human
Resources will notify the applicant of the right to challenge the results through the Arkansas State Police
and at the appropriate time, the hiring official will be notified of the final results of the background check
(see Attachment B).




                                                     78
If the applicant does not challenge the results through the Arkansas State Police, the applicant will be
disqualified from consideration for the position.

CURRENT EMPLOYEES AS APPLICANTS

A current DFA employee applying for a designated position under this policy will be subject to the same
requirements as any other applicant for the position. If the results of the background check disqualify the
current DFA employee for the position, DFA Human Resources will notify the applicant/employee of the
right to challenge the results through the Arkansas State Police and at the appropriate time, the hiring
official will be notified of the final results of the background check (see Attachment B).

NOTIFICATION AND CHALLENGE

If the background check reveals a financial misdemeanor conviction or a felony conviction, DFA Human
Resources will notify the applicant or employee, as designated by the applicant/employee on the consent
form, by telephone, letter, or other, of the disqualification for employment due to results of their
background check. If the applicant/employee believes that there is an error in information revealed in
the background check, the applicant/employee will be given two (2) working days to provide a written,
signed explanation of the applicant’s/employee’s disagreement with the background check to DFA
Human Resources. The applicant/employee will be provided a copy of the background check if he/she
delivers the written explanation to DFA Human Resources in person. The applicant/employee will be
given an additional three (3) working days to resolve any background check disagreements with the
Arkansas State Police.

Following the three (3) working day period, DFA Human Resources will obtain a new background check
for the applicant/employee, at which time the results of the background check will be considered final
and provided to the hiring official (see Attachment B).

REVIEW OF CURRENT EMPLOYEES WITH CRIMINAL BACKGROUND CHECK HISTORY

At the time a current employee is subject to a criminal background check and the results reveal a
financial misdemeanor conviction or any felony conviction which would disqualify the employee from
their present position
under this policy, DFA Human Resources will notify the employee of the right to challenge the results
through the Arkansas State Police. A current employee whose background check is subject to further
review will be notified of the review and given the opportunity to present information concerning the
conviction to the Director or his designee.

Unless the conviction has been the subject of an official pardon, expungement, annulment, concealment,
or similar official treatment, the Director or his designee may consider the following types of convictions
for termination or disqualification:

        1) Any felony conviction; or
        2) Any misdemeanor involving theft, dishonesty, fraud or misrepresentation.

The Director or his designee will have the authority to waive a conviction, upon consideration of the
following factors:

         1) The age of the employee at the time of the offense;
         2) The circumstances surrounding the offense, particularly any extenuating or mitigating
            matter;
         3) The length of time since the offense;
         4) Subsequent rehabilitative measures accomplished by the employee, including whether the
              employee was the recipient of parole or probation;
         5) The number of other convictions by the employee;
                                                    79
         6)   Subsequent work history;
         7)   Employment references;
         8)   Character references; and
         9)   Any other information authorized by the Director or designee.

Notwithstanding the above, any conviction of the following offenses, or its equivalent if convicted in
some state or federal jurisdiction other than Arkansas, unless the subject of an official pardon,
expungement, annulment, concealment, or similar official treatment, will result in termination for good
cause from employment or disqualification of the applicant:

         1) Capital murder, as prohibited in A.C.A. § 5-10-101;
         2) Murder in the first degree and murder in the second degree, as prohibited in
              A.C.A. § 5-10-102 and 5-10-103;
         3) Kidnapping, as prohibited in A.C.A. § 5-11-102;
         4) Rape, as prohibited in A.C.A. § 5-14-103;
         5) Sexual assault in the first degree and second degree, as prohibited in A.C.A. § 5-14-124
             and 5-14-125;
         6) Endangering the welfare of a minor in the first degree and endangering the welfare of a
             minor in the second degree, as prohibited in A.C.A. § 5-27-203 and 5-27-204;
         7) Incest, as prohibited in A.C.A. § 5-26-202;
         8) Arson, as prohibited in A.C.A. § 5-38-301;
         9) Endangering the welfare of an incompetent person in the first degree, as prohibited in
             A.C.A. § 5-27-201;
         10) Adult abuse that constitutes a felony, as prohibited in A.C.A. § 5-28-103;
         11) Theft of public benefits, a Class B Felony, as prohibited in A.C.A. § 5-36-202 and 5-36-203;
         12) A felony due to theft, dishonesty, fraud, misrepresentation, possession or distribution of
             stolen property; and bribery.

 At the appropriate time, the DFA Director or his designee, will review the results for determination and
the employee, supervisor and administrator will be notified of the disposition (see Attachment D). The
DFA Director’s decision will be final.

POLICY REVISIONS AND CRIMINAL BACKGROUND CHECK FUNDING

The DFA Director will direct the continuance or revision of the existing policy as necessary. If revisions
to the policy occur, each Administrator will be responsible for designating positions in their office that
meet the revised conditions as set forth by the DFA Director. The Administrator of the Office of
Administrative Services may seek funding in the 2007-2009 biennium to facilitate the continuance and/or
expansion of criminal background checks.

Attachment A – DFA Criminal Background Check Consent Form for Applicants

Attachment B – DFA Response to Hiring Official Regarding Applicant’s Criminal Background Check
Form

Attachment C – DFA Criminal Background Check Form for Employees

Attachment D – DFA Response to Supervisor and Employee Regarding Employee’s Background Check
Form




                                                   80
                          DEPARTMENT OF FINANCE AND ADMINISTRATION
                                ADMINISTRATIVE MEMORANDUM


  300.14         TITLE: Office Hours/Flex-Time
  ISSUING OFFICE:       DFA Director’s Office
  DISTRIBUTION THROUGH:        All DFA Employees                                          (LEVEL)
  DATE ISSUED / REVISED:       12/10/01        REPLACES: 300.14                          DATED: 01/14/83

Governor’s Policy Directive (GPD) 5, Standards of Performance, which must be followed by all state
agencies, states:

  “All State offices shall be open for business between 8:00 a.m. and 4:30 p.m. However, department
  directors shall have flexibility to establish other working hours for their department personnel so long as
  all employees work an eight-hour day. Deviations from the five-day, 40-hour workweek shall be
  approved by the Governor.”

 Effective immediately, the following Flex-Time Policy is in effect for the Department of Finance
 and Administration.

  Each administrative office in the Department of Finance and Administration will be open for business
  between the hours of 8:00 a.m. and 4:30 p.m. While the normal workday for full-time employees is
  eight (8) hours, other variable workday schedules exist in DFA. Divisions or sections operating on a
  24-hour basis or other than the normal workweek shall be responsible for setting effective schedules.
  For most employees, the basic 40-hour workweek is five (5) eight-hour days, with a minimum 30
  minutes lunch break occurring during the mid-point of the employee’s work schedule. Each
  Administrator is responsible for establishing the work schedule for his/her office.

  Administrators are encouraged to develop reasonable Flex-Time schedules for employees whenever
  taxpayer needs will not be affected and management concurs. The implementation of any Flex-Time
  policy may be subject to review and approval by the DFA Director, DFA Deputy Director, or other
  designee. The following criteria must be met when establishing a Flex-Time Schedule:

      1) Offices must be sufficiently staffed to properly conduct business between the hours of 8:00 a.m.
         and 4:30 p.m.;

      2) Work exists that can be performed and the Flex-Time does not decrease any customer service
         during regular work hours; and

      3) Employees on Flex-Time are supervised during the Flex-Time period.

      Employees who have specific questions regarding working hours should consult their supervisors.




                                                      81
                      DEPARTMENT OF FINANCE AND ADMINISTRATION
                            ADMINISTRATIVE MEMORANDUM


300.14.1     TITLE:          9-80 Alternative Work Schedule
ISSUING OFFICE:              DFA Director’s Office                               (Page 1 of 2 pages)
DISTRIBUTION                 All DFA Employees                                    (LEVEL)
THROUGH:
DATE ISSUED / REVISED:       09-11-2008               REPLACES:                          DATED:

The Department of Finance and Administration Services utilizes an Alternative Work Schedule
(AWS). Each administrator decides implementation of the AWS. If an administrator elects to
implement the AWS, the Administrator presents the office plan to the DFA-OAS-Human Resources
Section for review and approval. Any DFA employee can request approval through his/her
supervisory chain of command to work the AWS, if the request strictly complies with the policy and
procedures outlined below, and is in the best interest of DFA and the customers we serve. The DFA
– OAS- Human Resources Section is responsible for the establishment and distribution of the
procedural information throughout DFA.

The AWS program:
Week 1 of the workweek, the employee works four 9-hour days and one 8-hour day. Week 2, the
employee works four 9-hour days and is off on Friday. For time recording/FLSA purposes, the first
workweek ends after the fourth work hour on Friday. The second workweek begins with the fifth
hour on that same Friday. A reverse workweek schedule provides for alternate Fridays off for staff
participating in the AWS.

The standard work schedule for the AWS is 7:30am – 5:00pm, Monday through Thursday. The
Friday work schedule is 8:00am – 4:30pm. These hours are subject to adjustment only with
Director’s approval. Requests for any deviations must be submitted through OAS-Human
Resources. Lunches remain at 30 minutes.

Sick days and vacation days are 9 hours, unless it falls on the 8 hour Friday. LWOP will not be
authorized.

When a holiday occurs on an employee’s regularly scheduled day off, the employee will be given
equivalent time off.

Employees are required to have a minimum of 12 hours of annual leave accrued to be eligible to
participate. If an employee balance falls below 8 hours of annual leave, the employee may be
removed from the program.

Adequate supervisory staff must be present and available at all times non-supervisory staff is
scheduled and working. Failure to provide the required supervisory oversight may result in the loss
of privilege from the AWS option for a section or office.

DFA Managers or their designees are responsible for insuring that employee work schedules are
posted and clearly defined; that adequate staff is available at all times to meet the demands of DFA
customers and the public; and that adequate supervisory staff is present and available to workers.

Exempt/Non-exempt employees are eligible and all participation is voluntary.

Exempt employees WILL be required to work hours and days outside the AWS based upon need.

If an employee is removed from the AWS voluntarily or involuntarily he/she must wait three months
before requesting to participate again. The employee must also obtain Administrator approval.
                                                 82
Tardiness is unacceptable and will result in the removal of employees from the program.

Beginning and ending of voluntary participation must be within the authorized pay period.

Each office is responsible for preparing and submitting appropriate paperwork to start or end
participation in the AWS which includes an Employee Master Data Form (Planned Working Time)
and an Alternative Work Schedule Request. .

Any provisions are subject to change and the AWS may be cancelled at any time.


Leave and Time:
Employees electing the AWS will be charged 9 hours of sick or annual leave for any full scheduled
workday off other than Fridays.

Employees electing the AWS will remain subject to the existing DFA Leave Without Pay Policy.

Employees electing the AWS will accrue 9 hours of holiday leave to be taken at a later date if the
holiday occurs on their regularly scheduled day off. Accrued holiday time off will need to be
approved in advance to avoid scheduling conflicts and to insure that adequate staff is available.

Non-exempt status supervisors who work unscheduled hours in a week to cover for another
supervisor who was scheduled but unable to work, will record any extra time actually worked over 40
hours as compensatory time.

Employees may be required to email or use a date/stamp to track his/her time at the beginning or
end of each workday. Lunch may or may not have this requirement.




                                                 83

				
DOCUMENT INFO
Description: Arkansas Doc Employee Handbook document sample