Policy and Procedures Manual for the Governor's Office and GOPB
INDEX
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Drug Free Workplace and Substance Abuse
Employee Conduct:
Purchasing:
Administrative Rulemaking
Administrative Rules - State of Utah
Effective Date: July 1, 1994
Revised: May 4, 2004
I. Policy Overview:
Administrative Rules are promulgated by State Officers and Department Directors to implement the statutory requirements imposed on Executive Branch entities of state government. Typically, they are authorized by statutes passed by the Legislature and signed by the Governor.
The policy of the Governor’s Office is to ensure that Administrative Rules serve the best regulatory policy interests of the state. Administrative rules drafted and filed by agencies, are to clear and concise. Such Rules are intended to protect the public health, safety, and welfare, and promote economic development.
II. Summary of Provisions:
Rulemaking is required by an agency when agency action: (1) authorizes, requires, or prohibits an action; (2) provides or prohibits a material benefit; (3) applies to a class of persons or another agency; (4) is explicitly or implicitly authorized by statute; or, (5) issues a written interpretation of a state or federal legal mandate.
State Departments and Agencies file proposed rules and rule analysis forms with the Division of Administrative Rules (DAR). After they are published in the Utah State Bulletin, the state agency must allow at least thirty days for the public to comment. Following that, a proposed rule can become effective after that 30-day period, or as long as 120 days after the publication date. The state entity may hold hearings. Agencies are required to review all rules within five years of the rule's effective date, and then at five-year intervals, by filing appropriate notices to DAR.
The Administrative Rules Review Committee, composed of ten legislators, reviews rules, amendments and repeals of existing rules. Findings may be reported the president of the Senate, and the Speaker of the House; chairs of standing committees and of Appropriation Subcommittees that have jurisdiction over the agency whose rules are the subject of the findings. Every agency rule in effect on January 1 of any calendar year expires on May 1 of that year unless it is re-authorized by the Legislature during its annual general session.
SOURCES: State Statute: 63-46a et seq., Administrative Code: R15-4,
Executive Orders: December 3, 1979, February 3, 1986, and March 22, 1988.
Americans With Disabilities Act: Complaint Resolutions
Effective Date: October 30, 1994
Revision Date: January 1, 1999
I. Policy Overview:
Title II of the Americans With Disabilities Act
(ADA) requires the Governor's Office and GOPB to "adopt and publish" a complaint resolution procedure which the office ADA Coordinator shall follow to resolve complaints of discrimination claimed by qualified individuals with disabilities.
II. Summary of Provisions:
The procedure requires the ADA Coordinator to gather information pertinent to the claim of discrimination and recommend reasonable accommodations to resolve the claim. If the individual with a disability rejects the proposed accommodations, an appeal may be made to the director. If no other accommodation can be made, the director is to consult with the State ADA Coordinating Committee before declaring "undue hardship". Under the ADA, a claim of "undue hardship" may be made by the director. However, the concept of "undue hardship" is not limited to financial difficulty. "Undue hardship" refers to any accommodation that would be unduly costly, extensive, substantial, or disruptive, or that would fundamentally alter the Governor's Office or GOPB's nature or operation.
SOURCES: Federal Law:
28 CFR 35.107 , Administrative Code: R361-5-1 et seq.
Americans With Disabilities Act: Notice
Effective Date: January 26, 1993
Revision Date: January 1, 1999
I. Policy Overview:
As required under Title I of the Americans With Disabilities Act and Title II regulations of the Department of Justice, the Governor's Office and GOPB complies with the Americans with Disabilities Act and does not discriminate against qualified individuals with disabilities seeking employment, who are employed, or who are recipients of the Governor or GOPB programs, services and activities.
II. Summary of Provisions:
The Governor's Office and GOPB gives notice to individuals with disabilities of the following:
A qualified individual with a disability who seeks employment and "satisfies the requisite skill, experience, education, and other job-related requirements of the employment position . . . , and who, with or without reasonable accommodation, can perform the essential functions of such position" will not be discriminated against [29 CFR 1630.2 (m)].
Employees with disabilities who are unable to perform essential job duties because of impairments will be provided reasonable accommodations to perform essential job duties [29 CFR 1630.2 (o) (2)].
The Governor's Office and GOPB programs, services and activities available to the public are provided to individuals with disabilities without discrimination. This includes providing effective communication in alternative formats (e.g. braille).
Transition and Self-evaluation Plans, completed July 26, 1992 and January 26, 1993 respectively, are on file for review.
SOURCES: Federal Law: 42 USC 12101, Section 101, 28 CFR 35.105; 29CFR 1630.2 (m) and (o)(2) ,
Administrative Code: R477-2-4(3)
Drug Free Workplace and Substance Abuse
Effective Date: April 23, 1990
Revision Date: January 1, 1999
I. Policy Overview:
This policy ensures a safe and productive work environment that is free from the effect of unlawful use, distribution, dispensing, manufacture, and possession of controlled substances and alcohol.
II. Summary of Provisions:
State employees are prohibited from unlawfully manufacturing, dispensing, possessing, distributing or using any controlled substance or alcohol during working hours, on state property or while operating a state vehicle or other vehicle while on duty except where legally permissible.
Any violation described above which occurs outside of work is prohibited if it directly affects the eligibility of state agencies to receive federal grants of any amount or to qualify for federal contracts of $25,000 or more.
If there is reasonable suspicion that an employee is using or is impaired through the use of a controlled substance or alcohol unlawfully, an employee may be required to submit to medically accepted testing procedures. Employees in highly sensitive positions are subject to drug testing absent reasonable suspicion or critical incident. Random drug testing of employees may be conducted by an agency if authorized by DHRM.
A positive confirmation test for illegal drug use or an alcohol test result showing .04 percent body fluid content (.02 for employees in safety sensitive positions) shall be grounds for corrective action or discipline. An employee refusing to submit to testing may be subject to discipline action.
Any employee convicted under a federal or state criminal statute for misuse of a controlled substance for a violation occurring in the workplace is to notify the agency head no later than five calendar days after the conviction.
SOURCES: Federal Statute: 41-USC 701, State Statute: 67-19-33 through 38, Administrative Code: R477-14-1 et. seq., Executive OrderSeptember 8, 1971
Emergency Preparedness
Effective Date: July 1, 1994
Revision Date: January 1, 1999
I. Policy Overview:
Staff are encouraged to participate in Emergency Preparedness training offered periodically by the Division of Risk Management and the Division of Facilities and Construction Management. Training topics include Workplace Violence Awareness, Emergency Evacuation Procedures, Fire Safety, Capitol Hill Security Briefings, Earthquake Preparedness, Bomb Threat, etc.
Individual employees are responsible to acquire and maintain a 72 hour emergency kit for personal use while at work in the event of an emergency. GOPB is responsible to acquire and maintain a small quantity of 72 hour emergency kits for use by the general public visiting the Office during such an emergency.
SOURCE: GOPB Management
Employee Conduct: Conduct Standards
Effective Date: July 1, 1994
Revision Date: January 1, 1999
I. Policy Overview:
State of Utah employees are expected to pursue the highest standards of excellence to successfully complete their individual performance plans. Employees are also expected to effectively apply themselves during work time, make efficient use of state resources, observe all applicable rules and policies and not indulge in substance or alcohol abuse while on state time.
II. Summary of Provisions:
DHRM rules prohibit use of controlled substances and alcohol while on state time as follows: Employees under the influence of alcohol or a controlled substance while:
(1) operating a state vehicle or any other vehicle while on state time; or
(2) who report to work to perform their duties while under the influence of alcohol shall be subject of corrective actions or discipline.
The state may also decline to defend or indemnify these employees.
State statute (67-19-33) also prohibits the manufacture, dispensing, possession, use or distribution of a controlled substance, or alcohol if it prevents the employee from performing his/her services or work effectively.
The Federal Drug Free Work Place Act (41 USC 701) also prohibits employees from participating in these activities who work for agencies receiving federal funding of $25,000 or more.
SOURCES: State Statute: 67-19-33 &34, Administrative Code: R477-9-1 et. seq.
Employee Conduct: Incompatible Outside Activities
Effective Date: July 1, 1993
Revision Date: January 1, 1999
I. Policy Overview:
Employment in the Governor's Office or GOPB shall be the principal vocation of its full-time employees. Employees may engage in outside employment or receive honoraria and paid expenses only under certain conditions.
II. Summary of Provisions:
No employee shall have personal investments in any business which creates substantial conflict with his public duties. DHRM rules, however, allow for outside employment or remuneration under the following conditions:
Outside employment or remuneration cannot:
(1) interfere with efficient job performance;
(2) conflict with the "interests of the State"; or
(3) cause "criticism or suspicion of conflicting interests or duties".
When such activities affect job performance and pose "real or potential conflict of interest", a supervisor may restrict or ban the employment or payment.
An employee shall notify his supervisor of these activities. If the supervisor is not notified and the employment or remuneration is found to be a conflict of interest, his failure to notify shall be grounds for discipline.
An employee shall not use his/her position, influence or confidential information derived from state employment for private gain.
An employee shall not receive outside compensation for performance of duties unless:
(1) awards are for meritorious public contributions publicly awarded; and
(2) honoraria and remunerations are received with approval of the supervisor.
An employee shall declare any potential conflict of interest between state employment and outside employment. Personal investments in any business which causes substantial conflict between his private interests and his public duties is prohibited (67-16-9).
Employees in management and other positions, as identified by the director, with outside employment or business interests may be required to submit a conflict of interest form.
SOURCES: State Statute: 67-16-1 et. seq., Administrative Code: R477-9-2
Employee Conduct: Political Activity
Effective Date: July 1, 1994
Revision Date: January 1, 1999
Policy Overview:
Employees may participate in political activity subject to the following provisions:
An employee elected to any partisan or full-time non-partisan political office shall not be granted annual leave during a time when monetary compensation is received for serving in a political office. They may be granted leave without pay.
No employee may engage in political activity during the hours of employment.
No employee may solicit political contributions from employees of the executive branch during hours of employment for political purposes.
Partisan political activity shall not be a basis for decisions regarding employment, promotion, demotion or dismissal or any other personnel action.
Violations of these provisions may result in suspension without pay or even termination. Exempt employees have no right of appeal.
SOURCES: State Statute: 67-19-19, Administrative Code: R477-9-3
Media Relations
Effective Date: July 1, 1987
Revision Date: January 1, 1999
I. Policy Overview:
Public servants have a responsibility to treat their office as a public trust, only using the powers and resources of public office to advance public interests. Public servants who have a good faith belief that the public interest requires the disclosure of governmental policies or actions thought to be unlawful or improper should reveal their information to appropriate authorities. Public servants should not secretly reveal confidential governmental matters.
II. Summary of Provisions:
The Governor's Office and GOPB employees must use good judgement in communicating with the media. Employees may respond to media requests for public information. These requests and responses shall be reported to the Director or Deputy Director, preferably before the information is given to the media. If the Director or Deputy Director is unavailable, the employee shall notify the Governor's Chief of Staff, or the Governor's Director of Media Relations.
All media requests for information which is not public must be referred to the Director. Employees are encouraged to work in a spirit of cooperation with the media, while ensuring integrity of government.
SOURCES: State Statute: 67-16-4 Administrative Code: R477-9-1
Purchasing: Competitive Bid Process
Effective Date: July 2, 1994
Revision Date: January 1, 1999
I. Policy Overview:
Purchases shall be made in accordance with state procurement law which requires the use of a competitive bidding process for selecting contracts for the procurement of goods and services.
II. Summary of Provisions:
The Division of Purchasing has created three levels of purchasing authority:
Under $500: The source may be selected with or without competitive bid.
$500 to $2,000: Obtain at least 2, and preferably 3, telephone price quotations using a Telephone Quotation form (DP-3) prior to making a commitment to purchase. The purchase will be made from the most competitive source.
Over $2,000: Requests for purchases (RFP) are to be submitted to the Division of Purchasing on a Purchase Requisition Form (DP-1). The Division will coordinate the bidding process and coordinate the purchase/contract award with the requesting agency. (Conference Room/Hotel Accommodation contracts between $2,000 and $20,000 will be coordinated through the State Travel Office while contracts greater than $20,000 will be coordinated through the Division of Purchasing.)
Contracts: Use the State of Utah standard contract form (DP-2) for all purchase requests in excess of $2,000. For contract amendments, use the State of Utah standard contract amendment form (DP-4).
SOURCES: State Statute: 63-56-1 et. seq., Administrative Code: R33-2, 3, 4, & 7, Division of Finance, Accounting Policies & Procedures (FIACCT):04-03, & 04-04
Purchasing: Sole Source
Effective Date: March 1, 1986
Revision Date: January 1, 1999
Policy Overview:
A purchase request may be made to a single supplier if the desired goods and services are available only from that sole source. A list of all vendors contacted and a description of criteria used to determine the recommendation of a sole source must be supplied to the Division of Purchasing prior to the commitment of a financial obligation. Use the State of Utah Sole Source Request form (DP-5) for all purchase requests from a single supplier.
SOURCES: State Statute: 63-56-1 et. seq., Administrative Code: R33-2, 3, 4, & 7, Division of Finance, Accounting Policies & Procedures (FIACCT): 04-06
Purchasing: Vendor Prioritization
Effective Date: March 1, 1986
Revision Date: January 1, 1999
Policy Overview:
First Priority: The following agencies as prioritized will be the selected source of supply if the goods and services meet the requirements of the purchaser:
Division of Surplus Property
Division of General Services
Utah Correctional Industries
Division of Services for the Visually Handicapped
Second Priority: Purchases shall be made from vendors already on statewide contracts. Purchases will be made from statewide purchasing contracts unless:
the contract vendor is unable to meet the delivery schedule;
contract specifications do not meet the user's needs in terms of product quality or quantity minimums;
the contract vendor adds freight charges to the unit price, causing the unit price to exceed the local market price; or
the good or service is not available on contract.
Last Priority: Additional vendors will be sought on a competitive bid basis.
SOURCES: State Statute: 63-56-1 et. seq., Administrative Code: R33-2, 3, 4, & 7, Division of Finance, Accounting Policies & Procedures (FIACCT): 04-00, 04-01, 04-02
Records Access and Management
Effective Date: September 18, 2007
Purpose: This policy establishes procedures by which the public can obtain access to records and information which is classified in accordance with the Government Records Access and Management Act (GRAMA), and as may be available in the Offices of the Governor and Lt. Governor; the Office of the First-Lady and Residence Staff, the Elections, Centennial Values, Governor's Initiative on Families Today, and Governor's Commission for Women and Families offices; the Commission on Criminal and Juvenile Justice (CCJJ); the Governor’s Office of Economic Development (GOED); and the Governor's Office of Planning and Budget (GOPB).
Public Requests for Access to Records
(a) Requests for access to "public" records should be submitted to that office normally providing such data. For example, planning data requests should be submitted to the Governor's Office of Planning and Budget.
(b) Requests for access to records classified as "private", "controlled" or "protected" shall be submitted to the Governor's Office records officer.
(c) Some records, collections of data, or other information are intended to be circulated to the public and are available at no charge at the respective office. For other records, the requesting person(s) may be required to pay a fee for copies made of records. Fees must be paid before records are provided to a requesting party.
(d) Requests for private, controlled or protected records shall be in writing. Forms are available in the office upon request.
(e) The governor's office records officer will receive requests for records access and will assign requests for records to staff within each office.
(f) Decisions to approve or deny access to records will be made by the Records Officer.
Appeals: Following a denial of records access, the Governor's Chief of Staff or designee shall respond to an appeal regarding a request of access to records.
Record Sharing: To provide for records-sharing between governmental entities, the Governor's Office is defined as a single governmental entity.
SOURCES: State Statute: 63-2-101 et. seq.
Recycling
Effective Date: July 1, 1991
Revised: January 1, 1999
Policy Overview:
Agencies in state government are encouraged to establish procedures that will maximize the recycling of paper products.
SOURCES: Division of Finance, Accounting Policies & Procedures (FIACCT): 02-09.00
Resource Development Coordinating Committee Act, 1981
Effective Date: December 16, 2005
Revision Date:
Policy Overview:
This policy provides guidelines for the implementation of Section 63-38d-501, which describes the purposes of the Resource Development Coordinating Committee, by establishing procedures for the operation of the Committee, and defining its relationship to the State Planning Coordinator.
SOURCE: Implementation of the Resource Development Coordinating Committee Act, 1981
See also: State Planning Coordinator
Sexual Harassment Prohibition
Effective Date: March 17, 1993
Revision Date: January 1, 1999
I. Policy Overview:
Sexual harassment undermines the integrity of the workplace, destroys morale, and offends social and legal standards of acceptable behavior. The Governor's Office and GOPB is committed to providing a workplace which is free from sexual harassment, intimidation, and reprisal of any kind.
By Executive Order, signed March 17, 1993, Governor Leavitt forbade sexual harassment in all state agencies. The executive order also directs the Department of Human Resource Management (DHRM) to define sexual harassment, and to develop complaint procedures for aggrieved employees and avenues of appeal for the accused.
II. Summary of Provisions:
DHRM rules:
prohibit discrimination based on sexual harassment, subtle or otherwise with violators subject to disciplinary action including termination and/or referral for criminal prosecution;
define sexual harassment as:
- "behavior or conduct of a sexual nature which is pervasive, unwelcome, demeaning, ridiculing, derisive, or coercive and results in a hostile, abusive or intimidating work environment";
- "quid pro quo behavior which offers job advancement or enhancement in return for sexual favors".
provide that sexual harassment complaints may be filed whether an incident occurred on or off duty; require employees making malicious or frivolous complaints of sexual harassment be disciplined; and provide for complaint and investigative procedures.
SOURCES: Federal Law: 29 CFR 1604.11, Executive Order: Governor Leavitt, Mar. 17 1993, Administrative Code: R477-15-1,
State Planning Coordinator
SOURCE: