3 Legal References IC 4-15-2.2 et seq. State Civil Service System IC (a) (8) Authorizes the Commissioner to develop policies for the conduct of department staff.IC Mandates the Department to operate in accordance with ICIC et seq. Presents the definition of bribery, official misconduct and conflict of interest.IC Indiana code sections amended or repealedIC Presents the definition of Trafficking.IC et seq. Lists the scheduled controlled substances.IC Nepotism40 IAC 1 et seq. Presents the State Ethics Code.42 IAC 1-1 et seq. Ethics Rules from the Indiana Code of Ethics
4 Related PolicesThe Organization and Operation of the Department of Correction.The Operation of the Internal Affairs Unit.The Development, Approval and Implementation of Policy.Information and Standards of ConductThe Posting of Job Opportunities and the Appointment of Staff.The Establishment, Maintenance, and Disposition of Personnel Records.Information and Standards of Conduct for Departmental StaffThe Establishment, Modification and Compensation of Staff Working Hours.The Establishment, Implementation and Review of an Affirmative Action Program.Dress CodeGrooming StandardsThe Use and Assignment of State Vehicles.The Development, Implementation and Review of Service Programs.
5 Other References – But not limited to ACA StandardsC-12A D-01A D-03C D-04C D-08C D-09C G-06
6 Web sites to reference www.in.gov/spd/files/gov_policy.pdf
7 The Department shall ensure that staff are provided information about employment with the Department, including but not limited to, standards of conduct and other relevant information.In order for staff to carry out their assigned tasks in the mostefficient and professional manner, they must be fully informedof their individual duties and responsibilities, and provided withadequate administrative and supervisory direction, informed oftheir performance levels and treated with dignity and respect at alltimes.Staff shall be expected to acquaint themselves with administrative procedures, to render honest and efficient performance of duty, and to be responsible for adherence to the standards of conduct and all Department rules, directives, policies, and procedures.
8 “VISION” As the model of public safety, the Indiana Department of Correction returns productive citizens to our communities andsupports a culture of inspiration, collaboration, andachievement .
9 “ Mission Statement”The Indiana Department of Correction advances public safety and successful re-entry through dynamic supervision, programming, and partnerships.
10 This mission and accompanying goals can only be achieved by the combined efforts of each staff. Each staff member of the Department is a necessary and vital part of a whole without whom the mission will fail.
11 To accomplish the vision and mission of the Department, its goals are to: Provide and maintain a safe and secure correctional environment for the protection of staff, the public and the offenders.Develop systems, policies and procedures to assist staff in achieving the departmental vision and mission.Implement and maintain a system which recognizes and strives to meet the needs of juveniles and their families consistent with public safety.Develop offender programs that provide opportunities for self-improvement.
12 To accomplish the vision and mission of the Department, its goals are to: Provide staff development and training and a management environment which empowers staff to make decisions at all levels of the organization and holds them accountable.Develop standards and measurements to evaluate the overall performance of the Department.Collaborate with other public and private agencies in the development, coordination and delivery of sanctions, programs and services.Provide accurate information in an open and responsive manner to facilitate informed decision making.Recognize and be responsive to the needs of victims and their families.
13 PolicyThe Standards of Conduct for Departmental Staff is a resource for staff to obtain the information they need to perform their jobs effectively and efficiently as well as a statement of departmental expectations of all staff.
14 Job KnowledgeAs you read this power point, keep in mind that the Department depends on you to have the knowledge you need to do your job and offers the opportunity to obtain that knowledge. Once you have obtained that knowledge, the only obstacle to a successful career within the Department lies within yourself and what you are willing to bring to your job.
15 Performance Objectives Identify twelve (12) areas detailed in the State Ethics Laws and Administrative Rules, which govern the conduct of all State Employees.Identify twelve (12) expectations of Departmental Staff as emphasized in the Code of Ethics.Identify twenty (20) topics that are found in the Indiana Department of Correction Standards of Conduct Handbook.
16 Indiana State Ethics Laws and Administrative Rules To discuss the importance of ethical behavior by correctional staff, it is first necessary to define what one means by the term “Ethical Behavior”.According to the Webster’s II Dictionary ethical behavior is defined as “behavior conforming to accepted principles of right and wrong that govern the conduct of a profession”.
17 Important !!!This is an overview of the Indiana State Ethics Commission handbook. The Following information is only an overview of the State’s ethic rules and guidelines. More complete information can be found in Indiana Code and 40 Indiana Administrative Code 2, the Indiana State Ethics Handbook, and on the State’s website (
18 General Standards of Conduct These rules promote that public office is a public trust. Where government is based upon the consent of its citizens, these citizens are entitled to have complete confidence in the integrity of their government. Thus, the business of the state is conducted in such a manner as to reassure the citizens of Indiana that the character and conduct of its officials and employees are above reproach.In order to meet this objective, employees are required to:Carry out their duties impartially.Make decisions and policies within the proper channels of government.Guard against using public office for private gain.Avoid performing or engaging in actions, transactions, or involvements which have the potential to become a conflict of interest.Ethics rules apply not only to official actions but also topersonal activities that are related to work for state government.
19 Ethical Issues Covered Under State Law and Administrative Rules
20 Gifts, Entertainment, Food and Drink As of July 5, 2004, no agencyemployee shall accept gifts, favors,services, entertainment, food, or drinkin any amount from a person who hasa business relationship with the employeesagency. (42 IAC 1-5-1; IC ; IC )
21 Honoraria You are not permitted to accept an honorarium (payment for an appearance, speech, or written article) for anything,which could be considered part of your official duties.You are permitted to accept payment for something not connected with your official duties; however, the work must be done on your own time and without the use of state resources. The employee shall not accept an honorariumfrom any person over whom the employee has a decision-making authority. (42 IAC 1-5-3)
22 Appearances, Activities, and Expenses You may not accept payment for travel expenses, including lodging, transportation, and registration fees, for attending events concerning state business from a person who has a business relationship with the agency. (42 IAC 1-5-1)
23 Political ActivityYou may not engage in any political activity when on duty or acting in an official capacity. This includes soliciting political contributions from another employee or any other person. You may engage in political activity when not on duty except as follows: At no time may you solicit political contributions from those who have a business relationship with your agency or from state employees you supervise. (42 IAC 1-5-4)
24 Moonlighting You may have a second job only if it is compatible with your agency rules and your state responsibilities. The second job must not impair your independence of judgment, pose a likelihood of conflict of interest, or create an incentive to disclose confidential information.Even if you are permitted to have asecond job, you are not permitted to use state time, personnel, or other resources for that job. (42 IAC 1-5-5)
25 Compensation for Official Duties Conflict of InterestAs a state employee or officer you may not participate in a decision of any kind in which you, your spouse, or minor child has a financial interest. “Conflict of Interest” means a situation in which your private financial interest may influence your judgment in the performance of State duties. A State employee or State officer may not participate in any decision, even informally, on a matter in which he or she has a financial interest.(42 IAC 1-5-6; 42 IAC 1-5-7)Compensation for Official DutiesYou may not solicit or accept compensation other than your state paycheck for doing your State duties. You may not pay or offer to pay other State employees or a State officer for doing their duties.(42 IAC 1-3-7; IC )
26 Information of a Confidential Nature You may not benefit from the information of a confidential nature or permit any other person to benefit except as permitted by law. You may not divulge information of a confidential nature except as permitted by law. (42 IAC ; 42 IAC )Special Terms and BenefitsIn your personal dealings, you are not permitted to receive any special terms or benefits not available to others from anyone with a business relationship to your agency. (42 IAC 1-5-2)
27 Use of State Property, Personnel and Time You may not use State materials, funds, property, facilities, or equipment for anything other than State business, unless the use is permitted by written policy or regulation. You are not permitted to do or direct others to do work other than State duties during working hours, unless written policy or regulation permits it.(42 IAC ; IC ; IC )
28 Post Employment Restrictions A former employee is prohibited from representing or assisting a person regarding a particular matter in which the employee participated personally and substantially for one year after the former employee had responsibility for that particular matter. Contact the State Ethics Commission for advise on this complex issue. (42 IAC ; IC ; IC )NepotismYou are not permitted to employ or supervise certain relatives. Those relatives are parent or stepparent; child or stepchild; brother, sister, stepbrother or stepsister; niece or nephew; aunt or uncle; and daughter-in-law or son-in-law.(42 IAC ; IC )
29 (317) 232-3850 315 West Ohio Street Room 104, If you have any questions regarding any of the State Ethics Laws or Administrative Rules contact the State Ethics Commission.(317)315 West Ohio StreetRoom 104,Indianapolis, Indiana 46202
30 In addition to the guidelines established by the State Ethics Commission, the Indiana Department of Correction also has a Code of Ethics. This code is intended to guide employees in their performance, conduct, and behavior while serving in the criminal justice field.
31 The Code of Ethics states I shall maintain high standards of honesty, integrity, and impartiality free from any personal considerations, favoritism, or partisan demands in connection with my duties.I shall be courteous, considerate, and prompt when dealing with the public, realizing that as state employees and employees of the Department, we serve the public.I shall maintain mutual respect and professional cooperation in my relationships with other staff members of the Department of Correction.I shall be firm, fair, and consistent in the performance of my duties and shall not allow my personal convictions, beliefs, prejudices, or biases to interfere with my official acts or decisions.I shall uphold the provisions of the United States Constitution, the Constitution of the State of Indiana, federal and state laws, rules and regulations, and the policies and procedures of the Department.I shall conduct myself, whether on-duty or off-duty, in a manner that will not bring dishonor or disrepute to the Department or the State of Indiana.I shall maintain the confidentiality of any information entrusted to me and designated as confidential.
32 The Code of Ethics states I shall not use my position with the Department for personal gainI shall not discriminate against any person, including offenders, other staff persons, or the public, in any manner on the basis of race, color, creed, religion, sex, national origin, gender, sexual orientation or gender identity, physical or mental disability.I shall not accept nor solicit, from anyone including offenders and/or offender families or acquaintances, anything of value, including a gift, gratuity, favor, entertainment, or loan, which is or may appear to be designed to influence any official conduct.I shall maintain the highest standards of personal hygiene, grooming, and neatness while on-duty or when representing the Department in any matter.I shall report any corrupt or unethical behavior that could impact upon the operation of the Department.A staff person, who has a question regarding certain behavior that may violate an ethics rule or law, is strongly encouraged to contact the Indiana State Ethics Commission and seek an advisory opinion before engaging in the behavior.
33 Personal GainNo staff person shall use a position with the Department, any knowledge obtained from that position, or any state property for personal gain or the gain of others except as provided in Policy “The Development, Implementation and Review of Service Programs”.Offenders shall not be used for personal services outside those delineated in Policy “ The Development, Implementation and Review of Service Programs”.
34 Conflicts of InterestStaff shall perform their duties in such a manner that appearances of impropriety or conflicts of interest do not exist. Compromising activity may include any activity that gives rise to a suggestion of impropriety or conflict of interest. Any questions regarding potential conflicts of interest are to be discussed with the staff person’s immediate supervisor for advice and direction prior to taking action.Staff shall not accept gifts nor gratuities from anyone with whom the Department conducts business.
35 Solicitation and Selling on Department Property Solicitation of staff for funds, membership or individual commitment to outside organizations or causes within any facility or the physical confines of a facility during the staff person’s working hours shall be permitted only with prior written approval of the facility appointing authority or designee. Such approval shall be granted only if the activity does not disrupt the security or efficiency of the facility.
36 Solicitation and Selling on Department Property Staff shall not supplement any state salary through activities engaged in the physical confines of the facility, such as selling items for profit, collecting commissions, owning or operating concessions, rendering service to other staff, offenders or the public. With the approval of the facility appointing authority or designee, staff may sell items not for profit organizations, such as schools or Girl Scouts, in the facility. In such cases, the staff member must ensure that the ordering and delivery of any items sold is not done during their or the other staff persons’ working hours and that these activities do not interfere with the operation of the facility.
37 Solicitation and Selling on Department Property With the approval of a facility appointing authority or designee, staff may be allowed to post items for sale on a bulletin board, either electronic or otherwise. If such a bulletin board is approved, staff shall indicate that he/she may be contacted at home or during off-duty hours. In such cases, the staff person must ensure that the posting, ordering, and delivery of any items are not done during working hours and that these activities do not interfere with the operation of a facility.
38 Trafficking with an Offender Trafficking with an incarcerated offender is strictly prohibited. It is a violation of State Law.(IC ; IC ; IC IC ; Policy )1. Deliver, or carry into the penal facility with the intent to deliver, an article to an offender of the facility; or,2. Carry, or receive with intent to carry out of the facility, an article from an offender of the facility.Trafficking is a Class A Misdemeanor (includes cigarettes or tobacco products); however, it is a Class C Felony if the article is a controlled substance, deadly weapon or cellular device. Additionally, it is a Class C infraction for a person to furnish an alcoholic beverage to a person confined in a correctional facility, unless the alcoholic beverage is prescribed by a physician or is distributed as a sacramental wine for a religious purposes by a minister, priest, or rabbi.
39 Contact and/or Relationships with Offenders No staff person shall have any personal contact with an offender and/or the family or close friends of an offender beyond that necessary for the proper supervision and treatment of the offender, without prior approval by the Commissioner. If any unavoidable contact is made, such contact shall be reported to both the staff person’s immediate supervisor and the facility appointing authority or designee as soon as possible, but no later than the staff person’s next scheduled working day.(IC ; Policy )
40 Examples of inappropriate contact include, but are not limited to Living with or providing lodging for an offender, unless the offender is the staff person’s parent, step-parent, child, step-child or where the offender and staff person were married prior to the staff person’s employment with the Department;Entering into a marriage with an offender;Offering an offender employment or employing an offender;Carrying messages to or from an offender regardless of the source of content;Social relationship of any type with the offender;Visiting or corresponding with an offender, unless the offender is a relative and permission has been obtained from the staff person’s facility appointing authority or designee and the facility appointing authority or designee of the facility where the offender is housed or supervised;Physical contact beyond that which is routinely required by specific job duties. (Sexual contact with an offender is not only strictly prohibited, but is also a criminal offense and may be prosecuted under IC );Fraternization with an offender.
41 Contact with offenders Upon learning of the commitment to the Department of a friend or relative, staff must notify the facility appointing authority or designee, in writing, of such a relationship. New staff persons shall advise of the existence of such a relationship upon accepting employment with the Department or upon discovery if not known at the time of accepting employment.This notification shall include:1. The offender’s name;2. DOC number (if known);3. Relationship;4. Facility where the offender is housed or supervised; and,5. Whether the staff person intends to maintain the relationship, including visiting or corresponding if the person is a familymember.
42 DiscriminationStaff shall not discriminate, in any manner, against any other staff member, offender, offender’s family or member of the public based upon;Race;Age;Religion;Color;Sex;Disability;National Origin or Ancestry.IAC 910; IC 22-9; Policy
43 Departmental Investigations and Duty to Report Staff shall cooperate fully in any departmental investigation. Failure to cooperate with any departmental investigation will result in disciplinary action.Staff have an affirmative duty to report violations of the Department’s Standards of Conduct for Departmental Staff or any other departmental policy/procedure to the appropriate supervisor or facility appointing authority or designee. Should a facility appointing authority be involved in the misconduct, staff shall report the violation to the Office of the Commissioner or the Director of Legal Services. All reports must be made in a timely fashion and must be signed by the reporting party.Staff shall not direct reprisals, intimidate or harass any person who has filed a report of misconduct or provided information in an investigative manner.Staff shall not interfere with, attempt to interfere with, or direct others to interfere with any departmental investigations.False reporting or informing, and/or providing false statements or documents will result in disciplinary action.
44 Use of Physical ForceUse of physical force shall be governed by Policy “The Use of Physical Force” (Adults) and Policy “The Use of Physical Force” (Juveniles). An employee shall use only as much force as reasonably necessary to perform his/her duties. Only the minimum amount of force, applied in compliance with Policy or Policy , necessary to achieve the desired results will be employed. The use of force to intimidate, coerce, punish, or extract revenge is strictly prohibited.Any employee involved in, or who is a material witness to, a use of force incident shall provide a factual account of their actions and/or observations as required by departmental policy and procedures.
45 Use of IntoxicantsStaff shall not manufacture, distribute, dispense, possess or use any intoxicant within the confines of any facility, or while representing the Department.As a condition of employment, staff shall consent to a chemical test upon request. Such request shall be made based upon reasonable suspicion that the employee has used intoxicants, or due to the nature of certain job assignments. Refusal to submit to a chemical test upon request will be considered insubordination and grounds for disciplinary action, up to and including dismissal.Staff should also be aware that the Department of Administration has promulgated a rule which prohibits state employees from operating state vehicles at any time with any measurable amount of alcohol or controlled substances in their bodies.Executive Directive #07-06 and Policy “Alcohol and Drug Testing of Department of CorrectionEmployees”
46 Use of Tobacco Insubordination Generally, Department facilities have been declared “Non-Tobacco” areas. This prohibition includes the possession or use of tobacco products and items related to tobacco use, such as cigarette litters. The Commissioner may authorize certain facilities to allow tobacco products.Staff shall not be permitted to use tobacco products when operating state-owned vehicles.Staff who are found to possess or use tobacco products while on departmental property shall be subject to disciplinary action.InsubordinationRefusal to obey lawful job-related orders from superiors constitutes insubordination, and subjects staff to discipline, up to and including dismissal. Staff may request review of the order to a higher authority only after the order is obeyed.
47 Search of Staff and Personal Property As with anyone entering the grounds of a facility, staff members, their personal property and motor vehicles are subject to search. Searches of motor vehicles or personal property will be conducted in the presence of the staff member or designated representative. Searches of the staff member will be limited to a “modified” frisk search.More intrusive searches of the person, such as a strip searches, may be conducted if there is reasonable suspicion that the staff member is attempting to bring into or remove from the facility any contraband, unauthorized or prohibited property. Such a search will be conducted by a same sex staff member and only on the authority of the facility head or higher authority.Any staff member who refuses to submit to a search shall be denied entry into the facility and may be subject to discipline, up to and including dismissal.Policy
48 Arrests or Convictions Due to the special nature of the relationship between staff and offenders, as well as staff’s duty to serve as a role model for offenders and the public, the conviction of a staff member for any criminal act shall be grounds for disciplinary action.Citations for infractions which occur during the staff person’s off-duty hours need not be reported, unless the citation will have an impact upon the staff person’s ability to perform assigned duties (e.g. loss/suspension of driving privileges).With the approval of State Personnel Department, a person who has been arrested may be suspended pending an administrative investigation and/or the disposition of any charges filed against them.For further information read Policy Section “M”
49 Dereliction of DutyEmployees are required to remain awake, alert and devote their full attention to their assigned duty or area of responsibility during working hours. An employee is required to fully perform their job duties. An action or omission of an employee indicating neglect of his/her job duties or the safe and proper care and control of offenders will be considered dereliction of duty.
50 Use of Slang, Gestures or other Derogatory References Employees shall perform their assigned job duties in a professional manner. Employees shall not make obscene or indecent gestures or remarks or make derogatory references to other employees, offenders, offenders’ families or the general public.Non-uniformed employees shall not wear any visible article of clothing that contains derogatory or obscene language, gestures or images.Employees shall not refer to offenders by first name or surname. Employees shall refer to other employees by rank designation, first name, or surname.
51 Leaving a Security/Duty Post Employees who are assigned to posts or duty assignments that involve the supervision of offenders shall not leave the post until they are properly relieved or with proper authorization. Employees are expected to remain on-duty for their entire shift or work assignment unless properly authorized to leave that shift or assignment.
52 ConfidentialityCertain information maintained by the Department is considered confidential. Employees shall not release any information concerning other employees, offenders or the Department without proper authorization. Employees shall ensure that, prior to releasing any information, that all appropriate laws, rules, Department policies/procedures are being followed. Employees who question their authority to release information shall contact their immediate supervisor or other designated employees prior to releasing the requested information.
53 NepotismIn accordance with IC , no employee relatedto another employee as father, mother, brother,sister, uncle, aunt, husband, wife, son, daughter,niece or nephew shall be placed in a directsupervision-subordinate relationship. Further, fora married employee, these members of thespouse’s family are included in this prohibition.For this Department, an employee must haveat least one (1) level of supervision between theemployee and any of the above mentionedrelatives.42 IAC ; IC
54 ReportingEmployees shall submit true, accurate, legible and appropriate reports in a timely manner when required to do so by Department policies/procedures or by supervisory staff. Employees shall not knowingly nor intentionally convey false information to other persons regarding themselves, other employees, offenders or the operation of the Department.
55 Conduct Unbecoming Staff Staff must conduct themselves at all times so as to reflect favorably on the Department. Unbecoming conduct may lead to disciplinary action. Examples of unbecoming conduct include, but is not limited to, violation of any provision of this or any other departmental procedure, policy, rule or law, and:Overbearing, oppressive, or tyrannical conduct in the discharge of duty;Neglect of duty;Acts of incompetence;Discourtesy or insolence;Unauthorized destruction of property;Gambling while on state property; and,Any conduct that would interfere with the staff member’s ability or fitness to effectively perform required duties.
56 You have just completed reading the State Ethics Commissions guidelines and the Department’s Code of Ethics. It is important to follow these, but ethics involves much more than following the written rules. It involves following the unwritten (conscience) and making the correct decisions all of the time whether we are on-duty or off-duty. The ethical decisions that you make are a reflection not only on you as a person but also on the Department. As a role model for both staff and offenders the way you conduct yourself on and off-duty has a serious impact on the Indiana Department of Correction’s primary goal and that is Re-entry of the offender back into our communities as responsible citizens.
57 “New Employee Orientation” Please advance to the next module. You have now completed this section of the Indiana Department of Correction“New Employee Orientation”Please advance to the next module.