EMS RULE REVISIONS - FINAL CLEAN VERSION.PDF

MARICOPA COUNTY EMPLOYEE MERIT SYSTEM RULES
RULE 1 - DEFINITIONS
The following words and phrases used in these Rules have the defined meanings
hereinafter set forth unless otherwise clearly indicated in the context or the Resolution.
1.01 APPEAL: A regular employee's written request that the Commission review a
suspension, involuntary demotion, dismissal, furlough or reduction in force where
permitted by the Resolution or these Rules.
1.02 APPELLANT: A regular employee who filed an appeal with the Commission.
1.03 APPLICANT: A person who filed an application for employment.
1.04 APPOINTING AUTHORITY: An elected official, single executive head of a
department, or the designated representative authorized to act in this capacity.
1.05 ASSESSMENT: Process used to evaluate the qualifications of applicants to perform
the duties of a position.
1.06 BASE PAY RATE: An employee’s rate of pay exclusive of any differentials,
incentives or other pay.
1.07 BOARD: T h e Maricopa County Board of Supervisors.
1.08 CANDIDATE: An applicant approved for participation in an assessment process.
1.09 COMMISSION: T h e Maricopa County Employee Merit System Commission as
created by the Resolution.
1.10 COUNTY: Maricopa County.
1.11 DAYS: Calendar days unless the context states otherwise.
1.12 DEMOTION: A change in the assignment of a regular employee to a lower pay
rate.
1.13 DEPARTMENT: A county governmental unit designated as an appointed or
elected department or a special district under the annual budget for the County.
1.14 DIRECTOR: The Maricopa County Human Resources Director or designee.
1.15 DISMISSAL: The involuntary separation of a regular employee for disciplinary
reasons or as a result of unsatisfactory performance, inability for medical reasons or
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any other cause established by the Board.
1.16 ELIGIBLE: A person who has met standards based upon the established assessment
process for a specific type of job.
1.17 ELIGIBLE LIST: An official list of eligibles for a particular job used by the appointing
authority for selection for employment in the classified service.
1.18 EMPLOYEE: A person who is in the county service.
1.17 FURLOUGH: A furlough is mandatory unpaid leave imposed on classified
employees as the result of a budget deficit or shortfall. A furlough may be imposed
as an alternative to, or in conjunction with, a Reduction in Force (see Merit
Rule 9.02). Furloughs are not suspensions or involuntary demotions for purposes
of Section 16 (“Employee Appeals”) of the Employee Merit System Resolution.
1.18 HEARING OFFICER: A person, not in the county service, appointed by the
Commission or its chairman to hear appeals on behalf of the Commission.
1.19 INITIAL PROBATION: A specified period of time following the employment of an
employee in a budgeted position during which the work performance of the
employee is evaluated. An employee may be released from initial probation for or
without cause.
1.20 INITIAL PROBATIONARY EMPLOYEE: An employee who is serving an initial
probation period upon their most recent employment, to include hire, promotion,
demotion or transfer into any classified position, with the exception of market range
title adjustments and reassignments. An initial probationary employee is at-will and
may be released for or without cause.
1.21 JOB ANNOUNCEMENT: The official public notice that a recruitment is being
conducted.
1.22 MARKET RANGE TITLE: A title assigned to a group of positions performing similar
or related duties and responsibilities.
1.23 MARKET RANGE TITLE ADJUSTMENT: The assignment of a position to another
market range title that is at an equivalent level, lower level or higher level market
range title than currently assigned, which may or may not result in a base pay rate
increase for the incumbent. In such cases, the affected employee will not be
required to serve an initial probation period.
1.24 POSITION: A specific employment, whether occupied or vacant, involving duties
requiring the services of one person.
1.25 PROMOTION: The movement of an employee to a different position control
number at a higher pay rate through an announced recruitment process.
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1.26 REASSIGNMENT: A change in the assignment of an employee from one position
control number to another within the same market range title, under the same
appointing authority, and at the same base pay rate.
1.27 REDUCTION IN FORCE (RIF): The separation, from County employment, of a
regular employee for reasons of lack of funds, lack of work, or abolishment of position.
1.28 REFERRAL LIST: The list of names and associated employment applications of
qualified eligibles referred by the Director to an appointing authority for selection for
employment in the classified service.
1.29 REGULAR: The status an employee achieves when retained in a position of the
classified service following the successful completion of the initial probation period.
1.30 RESOLUTION: The Maricopa County Resolution of December 22, 1969 that
established the Maricopa County Employee Merit System effective January 1, 1970
and all subsequent amendments.
1.31 RESPONDENT: The county department or elected office against which an appeal is
filed.
1.32 SUSPENSION: The temporary separation of an employee from his or her position
without pay for disciplinary reasons.
1.33 TRANSFER: A movement of an employee from a position under one appointing
authority to a position under a different appointing authority at the same pay rate as a
result of a competitive recruitment process, or when part or all of the functions of one
department are transferred to another department.
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RULE 2 - GENERAL PROVISIONS
2.01 PURPOSE
To implement the requirements of the Resolution which establishes for the County a
system of personnel administration based on merit principles.
2.02 RULES
These Rules apply to all classified positions in the county service. Amendments to the
Rules may be made by the Board of Supervisors from time to time in accordance with the
Resolution.
2.03 SERVICE OF NOTICE
Unless otherwise provided by law or these Rules, whenever any paper or document notice
is given to or served upon any person or department by the Commission or the Director,
such notice may be personally served or served by certified mail to the last known
residence or business address of the addressee. Service is complete and effective upon
mailing.
2.04 SEVERABILITY
If any provision of these Rules, or the application thereof to any person or circumstances,
is held invalid, the remainder of the Rules, or the application of such provision to other
persons or circumstances, shall not be affected thereby.
2.05 NONCONFORMITY WITH FEDERAL AND STATE LAWS OR REGULATIONS
If any provision of these Rules conflicts or is inconsistent with federal or state laws or
regulations, federal or state laws or regulations shall apply.
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RULE 3 - MERIT SYSTEM COMMISSION PROCEDURES
3.01 COMMISSION MEETINGS
The Commission shall hold meetings in accordance with the Arizona Open Meeting Act
(A.R.S. § 38-431 et seq,) and the Resolution. The time and place of meetings shall be
fixed by the Commission.
3.02 AGENDA
All matters to be presented for consideration by the Commission at a meeting shall be
placed on the Commission's agenda. The agenda shall be provided to each member of
the Commission prior to such meeting.
3.03 NOTICE OF MEETINGS
Public notice of Commission meetings shall be given as required by A.R.S. § 38-431.02.
Appointing authorities shall be informed of the regular schedule of Commission meetings.
When an item of special interest to a department or departments is to be considered by
the Commission, the Director shall notify such department(s).
3.04 MINUTES
The Director shall provide for the recording of the official actions of the Commission in
its minutes. The time and place of each meeting of the Commission, the Commissioners
present, all official acts of the Commission and, when requested, a Commissioner's
dissent and reasons shall be recorded in the minutes. The Director shall have the
minutes prepared and presented for approval or amendment at the next Commission
meeting. The minutes, or a true copy, shall be open to public inspection, except minutes
of the executive session.
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RULE 4 – ANNOUNCEMENTS AND ASSESSMENTS
4.01 JOB ANNOUNCEMENTS
A. Content: The public announcement of recruitments shall specify:
1. Title of the position(s).
2. Pay information.
3. Essential job tasks (or where this information may be obtained).
4. Position qualifications.
5. Final date for receipt of applications (or statement of continuous
recruitment).
6. Selection procedure(s).
7. How and where to apply.
B. Job announcements shall be by public notice and posted in a form established by the
Director. The duration and dissemination of job announcements shall be established
by the appointing authority, in consultation with the Director.
4.02 APPLICATIONS
All applications shall be in a form prescribed by the Director. Applications must be filed as
designated in the announcement on or before the recruitment closing date specified in
the announcement. Applications submitted in response to a continuous recruitment may
be accepted at any time until the recruitment is closed. The Director may require
applicants to furnish references, evidence of education, or evidence of other qualifications
as may be necessary for staffing the county service. Such evidence shall be furnished by
applicants at their own expense.
4.03 QUALIFICATIONS
A. Applicants who meet the qualifications designated on the job announcement and the
provisions of the Resolution, these Rules, federal and state laws are eligible to compete
for announced positions. All applicants must possess the necessary qualifications to
successfully perform the essential job tasks of the position. Admittance to an
assessment process shall not constitute assurance of a passing result.
B. Temporary Waiving of Educational Requirements:
W it h t h e co n cu r re n ce o f t h e D i re ct o r, an appointing authority may
authorize a job announcement t o provide that applicants who do not meet
minimum educational requirements for the position, but who will meet these
requirements as a result of the completion of further scheduled education for the
current school term, may be allowed to compete. Successful applicants participating in
an assessment process under this provision shall have their names entered on the
eligible list in the same manner as other successful applicants and their names may be
referred to the appointing authority. If selected, they must furnish the appointing
authority acceptable evidence of their completed education before their start date.
Failure to complete the required educational coursework will cause the removal of
applicants’ names from the eligible list or the cancellation of their selection.
C. Disqualification of Applicants:
The Director may (1) refuse to evaluate applicants; (2) after evaluation may disqualify
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such applicants; (3) remove their names from the eligible list; (4) refuse to refer
eligibles from an eligible list; or (5) may consult with the appointing authority in taking
steps to remove persons already appointed, for any one of the following reasons:
1. Do not meet the minimum qualifications established for the position;
2. Are addicted to the use of narcotics or the habitual use of intoxicants; or
3. Made a false statement of material fact in the application process;
4. Used, or attempted to use, political pressure or bribery to secure an
advantage in the assessment process;
5. Directly or indirectly obtained information regarding confidential assessment
materials to which, as applicants, they were not entitled;
6. Failed to submit a completed application correctly or within the prescribed time
limits;
7. Took part in the compilation, administration, or any part of the selection process
for which they are applicants;
8. Previously were dismissed from County employment for a disciplinary reason;
9. Have been convicted of a felony; or
10. Have been convicted of any crime involving the use of narcotic or habit-
forming drugs; or
11. Are charged with or under indictment for any crime which upon conviction
would cause denial of eligibility under this Rule;
12. Expiration of the eligible list;
13. Failed to respond to correspondence, appear for a scheduled assessment or
interview, or failed any phase of the selection process;
14. Indicated that they are no longer interested in the position or that they are no
longer available for selection;
15. Refused or rejected a job offer for the specific position;
16. Abolishment of the eligible list;
17. Otherwise violated the provisions of the Resolution or these Rules.
4.04 NATURE OF ASSESSMENTS
A. Applicants shall be required to meet the minimum qualifications and assessment
standards in effect at the time of application. Assessments shall be job-related,
designed to evaluate an applicant’s knowledge, skills and/or abilities to perform the
duties of the position, and rated impartially. All applicants will be assessed using one or
any combination of the following, as defined in the job announcement:
1. Written examination;
2. Oral board;
3. Demonstration or performance assessment;
4. Evaluation of experience, training, education, and/or skills;
5. Other objective and job-related methods of assessment.
B. Assessments that require in person participation by applicants shall be conducted in
locations that are accessible to the general public. Reasonable accommodation(s) will
be afforded to applicants with disabilities. At the discretion of the Director, assessments
may be conducted in as many phases, evaluation steps or locations in the County as
necessary. When practical and necessary, the Director may limit the number of
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applicants accepted to participate in an assessment or evaluation process based upon
job-related criteria. Additionally, the Director may designate proctors, administrators,
and/or assessors from other County departments to conduct assessments under
procedures prescribed by the Director.
C. When an oral board is used, the process shall be conducted, and applicants evaluated
by, a panel of two (2) or more qualified, impartial individuals, as determined by the
Director. Any member of an oral board panel who is related to a candidate being
examined, or who has a conflict of interest with the candidate, shall request
disqualification as a panel member for that candidate’s examination.
D. When technical expertise is deemed necessary, as determined by the Director, subject
matter experts may be utilized in the assessment process.
4.05 EVALUATING ASSESSMENT RESULTS
In any assessment process, the Director shall determine the minimum rating or standing
which must be attained by a candidate in order to be placed on the eligible list, or to
compete in the next phase of the selection process. When such a final rating results in a
numerical score, a weighted average of the various parts of the assessment process, if
applicable, may be used.
4.06 NOTICE OF ASSESSMENT RESULTS
Candidates shall receive written or oral notification of assessment results unless
otherwise specified in the job announcement.
4.07 RETAKING ASSESSMENTS
At the discretion of the Director, assessments, which include but are not limited to: multiple
choice examinations, typing tests or other scored performance assessments may be
retaken or repeated within reasonable limits of scheduling. In each case of a repeated
assessment, the most recent assessment result achieved shall be used to determine the
eligibility of the candidate.
4.08 INSPECTION OF ANSWER SHEET FOR MULITIPLE CHOICE EXAMINATIONS
A. Candidates may compare their answer sheet for any multiple choice examination with
the scoring key for the purpose of determining whether their answers have been
accurately scored. A candidate must request inspection in writing to the Director within
seven (7) calendar days of the notification of assessment results. If inspection is
approved by the Director, such inspection shall be under the supervision of a Human
Resources Department staff member or other authorized representative, with such
security procedures, and at such a location designated by the Director. Only a
candidate or the candidate’s representative with the candidate’s written authorization
may inspect a candidate’s answer sheet.
B. Answer sheets for copyrighted or standardized multiple choice examinations may be
excluded by the Director from such inspection.
4.09 ADMINISTRATIVE REVIEW
Upon written request stating the basis for the request, the Director shall review the
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accuracy of the determination at any step of a selection process. Such a request must
be submitted within seven (7) calendar days of notification of disqualification from the
selection process.
4.10 ADJUSTMENT OF ERRORS
An evaluation error will be corrected if brought to the attention of the Director within seven
(7) calendar days of notification of an evaluation rating to an applicant. Such action shall
not invalidate any referral list already prepared or appointment.
4.11 SPECIAL ASSESSMENTS
Except in the case of an error, or in order to provide a reasonable accommodation under
the Americans with Disabilities Act (ADA), no candidate shall be assessed in any manner
not afforded to other candidates.
4.12 ASSESSMENT RECORDS
The Director shall be responsible for the maintenance of recruitment records pertinent to
applicant assessment processes pursuant to these Rules. The appointing authority is
responsible for maintaining records related to candidates selected for interview including
job related interview selection criteria, interview dates and notes, and other documentation
pertaining to the final selection decisions from among the candidates referred for
consideration. Applications and all recruitment and selection records shall be kept as
required by law.
4.13 PREFERENCE POINTS
A candidate who is not a current employee and attains a passing score on a numerically
scored assessment process, may have preference points added to the final rating, prior to
placement on an eligible list in accordance with A.R.S. § 38-492.
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RULE 5 - ELIGIBLE LISTS
5.01 RESPONSIBILITY FOR MAINTENANCE OF ELIGIBLE LISTS
It shall be the duty of each appointing authority to notify the Director as far in advance as
possible of vacancies or anticipated vacancies and to cooperate in staffing, workforce
planning and turnover analysis. The Director shall be responsible for the establishment
and maintenance of appropriate eligible lists, the determination of the adequacy of existing
eligible lists, and for the appropriate assignment of applicants to eligible lists.
5.02 CREATION OF ELIGIBLE LIST
At the conclusion of an assessment process(es), the Director shall prepare a list of eligible
candidates or merge the names of new eligibles with those on an existing eligible list. The
Director shall determine the order in which candidates are placed on an eligible list.
Typically, the names of eligibles shall be in alphabetical order, or by the order of their final
numeric assessment score, if applicable.
5.03 USE OF RELATED ELIGIBLE LIST
In consultation with the appointing authority, the Director may use one or more related
eligible lists for a similar vacancy within the same market range title without initiating a new
competitive recruitment process. Eligibles must meet qualifications for the vacancy as
determined by the Director.
5.04 DURATION OF ELIGIBLE LIST
The duration of an eligible list shall be established by the appointing authority, in
consultation with the Director. With the concurrence of the Director, an appointing authority
may abolish an eligible list at any time in the event of an elimination of the position, new
assessment process, significant change(s) to position duties or requirements, cancellation
of a recruitment process, or whenever an existing eligible list has ceased to meet the needs
of the appointing authority.
5.05 REMOVAL OF NAMES FROM AN ELIGIBLE LIST
The Director may remove the name of an eligible from an eligible list at any time for any
one of the reasons specified in Rule 4.03.C.
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RULE 6 - REFERRAL AND SELECTION OF ELIGIBLES
6.01 REFERRAL OF ELIGIBLES
The Director shall refer to an appointing authority a list of eligibles to continue in the
selection process. Only eligibles that have been placed on a referral list by the Director are
authorized to participate in the selection process for a position covered by these Rules. In
consultation with the appointing authority, the Director shall refer eligibles for consideration
based upon job-related criteria and business needs.
6.02 REFERRAL OF TIED SCORES
When two or more eligibles have identical final numeric assessment scores on an eligible
list and are tied for the last place to be referred, all tied eligibles will be referred and so
indicated on the referral list.
6.03 LIFE OF A REFERRAL LIST
The life of a referral list during which action may be taken should not exceed ninety (90)
calendar days from the date of issue, unless extended by the Director.
6.04 SELECTION OF ELIGIBLES
A. The criteria used to identify eligibles for invitation to interview shall be determined and
documented by the appointing authority, must be job-related and non-discriminatory,
and is subject to review by the Director.
B. The appointing authority shall notify all eligibles interviewed of the results. The
appointing authority shall indicate in a form prescribed by the Director, the action taken
on each eligible, to include notification of interview results, if applicable, and retain all
selection records in accordance with applicable law. The Director shall ensure
notification of all other eligibles of the results of the selection process.
C. The appointing authority may verify information contained in an eligible’s application to
assist in determining an applicant’s overall suitability for employment. If such inquiry
indicates the falsification of material fact on the application, the appointing authority
shall inform the Director.
D. The appointing authority’s selection must be from among the eligibles referred and may
be subject to a post-offer, pre-employment background investigation.
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RULE 7 – INITIAL PROBATIONARY PERIOD
7.01 APPLICABILITY AND DURATION
A. With the exception of market range title adjustments and reassignments, all
employees must serve an initial probation period upon their most recent employment,
to include hire, promotion, demotion or transfer into any classified position. The initial
probation period shall be a minimum of twelve (12) months, and may be extended by
the appointing authority for up to six (6) additional months.
B. If in the judgment of the appointing authority, the employee does not meet the
required performance standards, the appointing authority may either extend the initial
probation period, demote the employee to another position within the department for
which the employee qualifies, or dismiss the employee. In any case, the employee
must be given written notice of the action taken by the appointing authority prior to the
expiration of the initial probation period or the employee will be considered to have
successfully completed initial probation.
C. An initial probationary employee does not have any appeal rights under these Rules.
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RULE 8 - TRANSFERS, REASSIGNMENTS, DEMOTIONS, FURLOUGHS
8.01 TRANSFER
A. As a result of selection from a competitive recruitment, an appointing authority may
approve an employee's transfer to another department. The employee must give
proper notice to the losing appointing authority. Proper notice is defined as two
weeks, but not longer than thirty (30) calendar days as agreed to by the affected
departments.
B. In the event that part or all of the functions of one department are transferred to
another department, the affected employee(s) of the transferring department shall not
be required to serve an initial probation period, and shall be accepted as transfers by
the receiving department at the same base pay rate unless the receiving department
has no need for the particular position(s). In the latter event, a reduction-in-force will
apply.
8.02 REASSIGNMENT
At the discretion of the appointing authority, employees may be reassigned from one
position control number to another under the same market range title at the same base
pay rate, or a position and current incumbent may be reassigned from one appointing
authority to another appointing authority based upon business needs. In such cases, the
affected employee shall not be required to serve an initial probation period.
8.03 DEMOTION
A. An employee with regular status may be involuntarily demoted for cause by an
appointing authority.
B. An appointing authority may approve an employee's written request for a voluntary
demotion to another position control number within the same department. A copy of
the employee's written request shall be included in the employee’s official personnel
file. An employee may also apply for a voluntary demotion when in conjunction with
the employee’s application in response to a competitive recruitment. In such cases,
the demotion will be deemed to have been made on a voluntary basis and there shall
be no right of appeal.
C. In any instance, when an employee is demoted, the employee must meet the
qualifications in effect for that position at the time of demotion.
8.04 FURLOUGHS
A regular employee may be subject to furlough whenever such an action becomes
necessary due to a budget deficit or shortfall. A furlough is mandatory unpaid leave of
one or more days, and is not a reduction in the compensation or hourly rate of pay of a
classified employee.
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RULE 9 - SEPARATIONS AND DISCIPLINARY ACTIONS
9.01 GENERAL PROVISIONS
Except as otherwise provided in the Resolution and these Rules, the employment of a
regular employee shall continue during satisfactory performance of duties in accordance
with the business needs of the County.
9.02 REDUCTION IN FORCE (RIF)
A regular employee may be separated from classified service through a reduction in force
whenever necessary because of a lack of funds, lack of work, or abolishment of position.
9.03 DISMISSALS, SUSPENSIONS, AND DEMOTIONS
A. The appointing authority may suspend, involuntarily demote or dismiss a regular
employee only for cause as provided in the Resolution. Prior to such action the
appointing authority shall provide the employee a written statement indicating the action
that is proposed to be taken, the sections of the Resolution, these Rules, County
policies and/or procedures, or departmental rules violated, and the specific reasons for
the action in sufficient detail to apprise the employee of the factual circumstances which
justify the proposed action.
B. The appointing authority shall include in the statement to the employee notice of the
employee’s right to present reasons why the proposed action should not be taken at a
meeting with the appointing authority. The employee may choose to waive the
opportunity to present the reasons in person, and instead, may submit the reasons in
writing. If the employee does not appear at the designated time, date and location for
the meeting or fails to present written reasons by the time and date for the meeting,
the employee will be deemed to have waived the opportunity to present why the
proposed action should not be taken.
C. After giving the employee an opportunity to provide reasons as provided above, the
appointing authority may affirm, reduce or abandon the proposed action by providing
written notice of the final decision to the employee, and the Director.
1. Unless formal discipline is abandoned, the notice shall state that the employee
has a right to appeal in writing to the Commission within ten (10) calendar days
from the date of personal delivery or certified mailing of the written final
decision.
2. In the event the appointing authority decides to increase the proposed
discipline, a new notice and opportunity to provide reasons why the action
should not be taken, shall be provided.
D. Transmittal of all required notices to the employee pursuant to this Rule shall be made
either by delivering the letter to the employee personally or by certified mail to the
employee’s last known address on file in the official personnel file of the Human
Resources Department.
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9.04 SUSPENSION, DEMOTION OR DISMISSAL DURING INITIAL PROBATION
An initial probationary employee may be suspended, demoted or dismissed at any time
with or without cause and without the right of appeal. The Director may investigate the
circumstances and causes of any suspension, demotion or dismissal during an employee’s
initial probation period to ensure compliance with federal and state law.
9.05 RESIGNATION AND RETIREMENT
A regular employee who desires to resign or retire from county service is expected to
submit a written notice to the appointing authority at least 14 calendar days prior to the
effective date of the resignation or retirement.
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RULE 10 - APPEALS
10.01 MATTERS WHICH MAY BE APPEALED
A regular employee who is suspended, involuntarily demoted, dismissed, and to the
limited extent provided by the Resolution or these Rules, may appeal to the Commission.
10.02 APPEAL
The appeal shall be in writing, state the facts upon which it is based, and specify the
action requested of the Commission. The appeal shall sufficiently detail the necessary
facts and identities of all persons or departments concerned in a manner that the
Commission may understand the nature of the situation and appeal. Unless the appeal
names some other respondent, the appointing authority who initiated the appealable
action shall be considered the respondent. The appeal shall be considered filed when
received by the Director.
10.03 ANSWER
No answer to the appeal is required. If an answer is filed prior to the hearing, a copy
thereof shall be sent by the Director or hearing officer to the appellant.
10.04 HEARING OFFICERS
An appeal may be assigned by the Commission or its chairperson to a hearing officer for
hearing. Hearing officers assigned shall be individuals who have training and knowledge of
merit system principles. When appeals are assigned to hearing officers, they shall be the
authorized representative of the Commission (in accordance with 10.07), and are fully
authorized and empowered to grant or refuse extensions of time, to set such proceedings
for hearing, to conduct the hearing, and to take any action in connection with the
proceedings which the Commission itself is authorized to take by law or by these Rules
other than issuing the final findings of fact, conclusions of law and order. No assignment of
an appeal to a hearing officer shall preclude the Commission or its chairperson from
withdrawing such assignments and conducting the hearing itself or from reassigning an
appeal to another hearing officer.
10.05 TIME FOR HEARING
Within twenty (20) calendar days from the filing of the appeal, the Commission shall set a
date for the hearing. The time for hearing may be extended upon mutual consent of the
parties or upon good cause shown to the assigned hearing officer.
10.06 NOTICE OF HEARING
Written notice of the time, date, place of the initial hearing of an appeal and the name of
the hearing officer, if any, shall be served by the Director on the appellant and the
respondent at least seven (7) calendar days before the date of such hearing. This notice
shall be delivered personally or by certified mail.
10.07 NATURE OF HEARING
Parties may represent themselves or be represented by legal counsel, or a lay
representative, of their choosing. The hearing shall be informal and technical rules of
evidence shall not apply to the proceedings, except that irrelevant, immaterial,
incompetent or unduly repetitious evidence or evidence protected by the rules of privilege
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recognized by law may be excluded. Each party will have a maximum of three and one-
half (3.5) hours to present the case including opening statement; direct exam, cross exam,
and re-direct/re-cross of witness; objections; and closing argument. Time spent on cross
examination and re-cross counts against the total time allotted to the party conducting the
examination. The hearing officer shall have the authority to grant up to an additional
seven (7) hours (total) of testimony. The hearing officer shall not allow testimony beyond
fourteen (14) hours (total) without prior approval from the Employee Merit System
Commission chairman or designee. All testimony at the hearing shall be recorded manually
or by a recording device.
10.08 EXCLUSION OF WITNESSES
Upon the motion of the appellant or respondent, the hearing officer may exclude from the
hearing room any witnesses not at the time under examination; however, parties to the
proceedings, or their attorneys or other person representing them, shall not be excluded.
10.09 COUNTY EMPLOYEES CALLED AS WITNESSES
County employees called as witnesses to attend a hearing shall be paid their base pay
rate for the time spent.
10.10 WITNESS FEES FOR OTHER THAN COUNTY EMPLOYEES
Witnesses, other than employees, when subpoenaed to attend a hearing are entitled to
the same fee as is allowed witnesses in civil cases in courts of record. If a witness is
subpoenaed by the hearing officer, fees and mileage may be paid by the party requesting
the witness upon presentation of a duly executed claim against the County.
10.11 DEPOSITIONS
If a witness does not reside within the County or within 100 miles of the place where the
hearing is to be held, is out of the state, or is too infirm to attend the hearing, parties
thereto at their own expense may cause a deposition to be taken in compliance with the
applicable provision of the state rules of civil procedure. If the presence of a witness cannot
be procured at the time of hearing, the deposition may be used in evidence by either party
or the Commission.
10.12 DUTIES OF THE HEARING OFFICER
At the conclusion of the hearing, hearing officers shall prepare proposed findings of fact and
conclusions of law in a form acceptable to the Commission. A copy of the proposed
findings and conclusions shall be filed by the hearing officer with the Commission within
thirty-five (35) calendar days of the case being submitted for decision. The hearing officer
may be requested to be present to assist and advise during the consideration of the case
by the Commission.
10.13 FILING OF WRITTEN OBJECTIONS
Both appellant and respondent shall receive copies of the findings of fact, conclusions of law
and recommendations of the hearing officer. The parties shall have fourteen (14) calendar
days from receipt of the hearing officer's report to file written objections (not post-hearing
evidence) to the hearing officer's report. A copy of the written objections shall be provided to
the parties.
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10.14 FINDINGS OF FACT, CONCLUSIONS OF LAW, AND ORDER
The Commission shall, upon receipt of the hearing officer's report and any written
objections, make written findings of fact, conclusions of law and issue an order as soon as
practicable at a scheduled Commission meeting. A copy shall be sent by certified mail to
the appellant and the respondent at the addresses given at the hearing or to a
representative designated to receive same, or hand delivered.
10.15 WITHDRAWAL OF AN APPEAL
The appellant may submit a written request to withdraw an appeal to the Director at any
time prior to the decision by the Commission. Upon receipt of an employee’s written
request to withdraw an appeal, the appeal will be considered closed and no further action
will be taken by the Commission.
10.16 DECISION BY COMMISSION
A majority of the quorum may adopt the hearing officer's report in its entirety, or modify it, or
may itself decide the case upon the record, with or without taking additional evidence.
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RULE 11 - CODE OF ETHICS
11.01 CONDUCT AND REQUIREMENTS IN GENERAL
A. The maintenance of high standards of honesty, integrity, impartiality and conduct by
county employees is essential to assure the proper performance of county business
and the maintenance of confidence by citizens in their county government. Employees
shall conduct themselves in such a manner that the work of the county is
effectively accomplished; they shall be courteous, considerate and prompt in dealing
with and serving the public and shall conduct themselves in a manner that will not
bring discredit or embarrassment to the county.
B. Employees shall observe the applicable laws and regulations governing
participation in political activities and conflict of interest, and shall avoid any
discrimination in accordance with Section 17 (Nondiscrimination) of the Resolution.
C. Employees shall economically utilize, protect and conserve County property
entrusted to them. They shall conduct all official activities in a manner which is above
reproach and free from any indiscretions or acceptance of gratuities or favors which
cast doubt or suspicion upon themselves or the department which employs them.
11.02 SPECIFIC CONDUCT AND RESPONSIBILITIES
A. County employees shall not use their official position for personal gain. Public
influence and confidential or "inside" information must never be used for personal
advantage.
B. Conflict of interest laws (ARS § 38-501 et seq.) must be observed. Employees must
disclose their interest in the official records of the employing department and shall not
participate in or vote for any contract, sale, purchase, or service in which they have an
interest.
C. Employees shall not act in a private capacity which may be construed by the public as
an official act without prior written approval of their appointing authority.
D. An employee shall not accept or directly or indirectly solicit anything of economic
value as a gift, gratuity, favor, entertainment, or loan which is or may appear to be
designed to, in any manner, influence official conduct, particularly from a person who
is seeking to obtain contractual or other business or financial arrangements with the
employing department, or who has interests that might be substantially affected by the
performance or non-performance of the employee's duty. This provision does not
prohibit:
1. Acceptance by an employee of food and refreshments of insignificant
value on infrequent occasions in the course of a meeting, conference, or other
occasion where the employee is properly in attendance.
2. Solicitation or acceptance by an employee of loans from banks or other
financial institutions on customary terms to finance proper personal activities of
the employee.
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3. Acceptance of unsolicited advertising or promotional material such as pens,
pencils, calendars and other items of nominal value.
E. The employee shall not directly or indirectly use or allow the use of county
property of any kind, including property leased to the county, for other than officially
approved activities. All employees have a duty to protect and conserve county
property, including equipment, supplies and other property entrusted or issued to
them.
F. Employees must never permit themselves to be placed under any kind of personal
obligation which could lead any person to expect official favors.
G. Employees’ official acts must reflect impartiality. All official decisions and actions must
be determined by impersonal considerations, free from any favoritism, prejudice,
personal ambition or partisan demands.
H. No person shall be employed in a position in a reporting line of supervision to a
relative of his or her family. In the event an appointing authority determines a
relative has been placed in a reporting line of supervision, an appropriate course of
action will be determined in consultation with the Director. An employee’s spouse,
domestic partner, mother, father, sister, brother, son, daughter, in-laws, aunts, uncles,
grandparents, grandchildren and custodial person are defined as "relatives" for this
purpose.
I. Employees shall notify the appointing authority in writing of any outside employment.
Employees shall not engage in outside employment or other outside activity which is
not compatible with the full and proper discharge of duties and responsibilities of
their county employment, or which tends to impair their capacity to perform their
county duties and responsibilities in an acceptable manner.
Employee Merit System Rules 20 REV 11/2/2015