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“…promoting the safety, permanency and well-being of our children, families, and communities.…”

Code of ConductA Guide to Maintaining a Safe and Respectful Working Environment

Sheila J. Poole, CommissionerFirst Edition – March 2016

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CODE OF CONDUCTA MESSAGE FROM THE COMMISSIONER

The Office of Children and Family Services (OCFS) is a large organization with diverse responsibilities. The services provided by OCFS affect children and families all across New York. Despite the many challenges that we face based upon the diversity of our work, OCFS' strength continues to be its staff who serve as pillars in carrying out our agency’s mission across the state.

To maintain our integrity and the respect of the people that we serve, our services must reflect a standard of personal and professional conduct that is above reproach. Because our daily conduct is relied upon by others and reflects our own professionalism and integrity, this Code of Conduct serves as a guide to the policies and standards that will help us to maintain a safe and respectful working environment.

Each employee must view and comply with the policies that are outlined in the Employee Manual and referenced herein. All employees are expected to keep the following policies and practices in mind and conduct themselves accordingly, as they conduct their daily business on behalf of OCFS.

Supervisors must assure that subordinate employees are complying with these policies and practices. Supervisors are responsible for misconduct by employees (even by inaction), if the supervisor knows of misconduct and fails to act appropriately, or should have known with reasonable diligence that the actions occurred.

Any questions should be brought to your supervisor's attention, Office of Human Resources, or the Division of Legal Affairs. Working together we can keep our commitment to the standards of conduct we embrace.

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TABLE OF CONTENTS

Introduction..................................................................................................................4

Employee's Responsibilities........................................................................................4

Supervisor's Responsibilities......................................................................................5

How to Raise Concerns...............................................................................................5

Conduct Toward Co-Workers......................................................................................5

Discrimination..............................................................................................................5

Sexual Harassment and Sexual Harassment Prevention............................................6

Workplace Violence.....................................................................................................7

Firearms and Weapons................................................................................................7

Alcohol and Drug Policy...............................................................................................7

Report of Arrest............................................................................................................7

Domestic Violence and the Workplace …………………………………………………... 8

Outside Employment or Activity and Conflicts of Interest ………………………………8

Smoking Policy.............................................................................................................9

Travel...........................................................................................................................9

Identification Cards and Building Access.....................................................................9

Use of State Property or Personnel..............................................................................9

Electronic Mail Use Policy.............................................................................................9

Computer Network and Internet Services and Use Policy..........................................10

Restrictions on Use of Hand-Held Devices by State Employees................................10

Telephone and Cellular Use Policy.............................................................................10

Union Use of State Resources...................................................................................11

Office of the State Inspector General..........................................................................11

The policies that are referred to in this document are also located on the OCFS intranet. If you do not have access to a computer and would like a copy of one or more of the policies referred to herein, please contact the Office of Human Resources at (518) 473-7936.

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INTRODUCTIONTo assure public trust and confidence as an employee of the Office of Children and Family Services, you are required to maintain certain standards of conduct and conform to certain guidelines in the performance of your assigned duties. Your personal conduct, both during and outside of work, should bring credit upon yourself and should continually be a primary factor in promoting respect and recognition for the agency with its customers and the public.

The OCFS Code of Conduct has been developed to complement the Public Officers Law (Art. 4 N.Y. Public Officers Law §§60-79) and to clearly define the official agency policies and standards with respect to your general conduct as well as the personal performance of your job-related activities. As an employee of OCFS, you have particular responsibilities and are expected to comply with and preserve this Code. Employees are advised that illegal acts, even if engaged in while off duty, may result in disciplinary action.

Realistically, the Code of Conduct cannot address every set of circumstances. When questions arise concerning the way a specific situation should be handled, you should consult your supervisor, Office of Human Resources and/or Division of Legal Affairs for guidance. More detailed information may also be found in the OCFS Employee Manual and OCFS policies, available on the OCFS intranet.

APPLICATION OF THE OCFS CODE OF CONDUCT

The OCFS Code of Conduct is designed to clearly identify official agency policies and standards with respect to personal conduct. Your cooperation is required to help sustain and enforce the high ethical standards envisioned by this Code.

EMPLOYEE'S RESPONSIBILITIES

Know the contents of the OCFS Code of Conduct, Article 4 of the Public Officers Law (with particular reference to Sections 73 and 74), any standards specific to your OCFS work unit and the OCFS Policies and Procedures outlined herein and within the OCFS Employee Manual. Copies of these documents are also available from the Office of Human Resources.

Conduct yourself in a manner which avoids an actual conflict of interest or even the appearance of a conflict of interest.

Report any observations of wrongdoing, apparent policy violations or criminal activity to your supervisor, the Special Investigations Unit, the Bureau of Labor Relations, or the OCFS Division of Legal Affairs.

All employees are required to report promptly to the State Inspector General any information concerning corruption, fraud, criminal activity, conflicts of interest or abuse committed by an employee related to his or her office or employment.

Report any suspected discrimination to the Office of Equal Opportunity and Diversity Development (EODD).

Report to your supervisor and to the OCFS Ethics Officer any gifts, money, benefits, or gratuities that are offered or received to improperly influence you to violate your work-related responsibilities, including gifts that are left or given without explanation.

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SUPERVISOR'S RESPONSIBILITIES

Ensure that all your employees receive a copy of the OCFS Code of Conduct, and any other documentation that is pertinent to effectively carrying out the responsibilities of your program area.

Ensure that you have access to the OCFS Employee Manual and OCFS Policies and Procedures to answer an employee's specific questions. You should contact an appropriate source when clarification is required, such as Office of Human Resources or the Division of Legal Affairs.

Make each of your employees aware of their responsibility to comply with the OCFS Policies and Procedures, the OCFS Employee Manual and any other policy or procedure that may be pertinent to your work unit.

Supervisors should also direct their employees to the OCFS Ethics Officer when they become aware that the employee may have a conflict of interest or be engaged in outside employment or an outside activity.

Be available to each of your employees to discuss anything that is related to their job responsibilities.

Immediately report any harassment or discrimination or potential harassment or discrimination to EODD at (518) 474-3715 to help ensure that the workplace is free from discrimination.

OCFS will take administrative action, including the use of disciplinary provisions under the law and negotiated contracts, in instances of violations of the standards and guidelines outlined by this Code. As required, violations of law will be brought to the attention of the appropriate law enforcement authorities.

HOW TO RAISE CONCERNSIf you encounter questionable actions or activities at work, immediately bring them to the attention of your supervisor. If you’re not comfortable raising the issue with your supervisor, you may go to the next level of management within your work unit. You may also contact any of the following:

Bureau of Personnel - (518) 473-7936 Bureau of Labor Relations - (518) 486-4240 Division of Legal Affairs - (518) 473-3226 Office of Equal Opportunity and Diversity Development - (518) 474-3715 Special Investigations Unit - (518) 474-9478 The Office of the State Inspector General can be reached at (518) 474-1010, via a 24-hour

hotline at 1-800-367-4448 or http://www.ig.state.ny.us/contact.

CONDUCT TOWARD CO-WORKERSIt is the intent of OCFS to provide each employee with a safe and suitable work environment. Since the efficiency and effectiveness of job performance is greatly impacted by work environment, the proper conduct of OCFS employees toward their co-workers and subordinates is essential for agency program goals to be successfully met. To ensure that all employees are provided a safe and suitable work environment, OCFS has adopted the following policies:

DiscriminationOCFS prohibits discrimination in the workplace. The workplace includes individual work stations, common areas, fleet vehicles, conferences, OCFS events, employees while in travel status, and any other instances when there is a nexus to your OCFS employment. Discrimination will not be tolerated, whether it is on the basis of race, creed, color, sex (including pregnancy, gender identity, and sexual

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harassment), age, national origin, sexual orientation, disability, marital status, arrest and conviction records, familial status, predisposing genetic characteristics, domestic violence victim status, or military status.

Discrimination consists of, but is not limited to, words, signs, jokes, pranks, intimidation or physical violence that is directed at another employee. It also includes workplace behavior that is offensive and based on stereotypes or which is intended to cause discomfort or humiliation.

Supervisors have a duty to report discrimination that the supervisor directly observes, indirectly comes to know about or should know about, even if the individual who is the subject of the discrimination asks that it not be reported or if no one is complaining about the conduct. A supervisor’s failure to report discrimination may result in disciplinary action.

Any employee who experiences or witnesses discrimination should immediately report that conduct to EODD. Please note that all reports will be investigated. OCFS has a zero-tolerance policy for retaliation, including demotion, firing, or reduction of hours/pay, against employees who make complaints.

Any employee who makes a frivolous or false complaint or knowingly gives false or misleading information during an investigation of discrimination may be subject to disciplinary action. Swift, thorough and confidential investigations of allegations of discrimination will be conducted on a case-by-case basis and appropriate measures, including possible disciplinary actions, will be taken if the alleged discriminatory conduct is proven. All agency personnel must cooperate and assist in any inquiry conducted. The agency will safeguard the person’s confidentiality to the best of its ability to ensure protection of the complainant and the accused.

For additional information, please refer to the following policy: Discrimination Prevention (PPM 2082.00) and the Equal Employment Opportunity in NYS, Rights and Responsibilities, A Handbook for Employees of NYS Agencies.

Sexual Harassment and Sexual Harassment PreventionSexual harassment is a form of discrimination, as discussed above. As with other forms of discrimination, sexual harassment may constitute a violation of Federal and New York State Law, and/or OCFS policy as indicated above. As such, all requirements and responsibilities that attach to other forms of discrimination in the workplace as outlined above apply. Acts of sexual harassment include, but are not limited to, unwelcome sexual advances, requests for sexual favors, verbal or physical conduct of a sexual nature, depiction of sexual or provocative images in the workplace, jokes that are sexual in nature, comments about an employee’s body or sex life. Such acts constitute misconduct and will not be tolerated. It is the policy of OCFS to provide employees with a workplace free from sexual harassment and harassing conduct based on sex, and therefore to identify, eliminate, and prevent incidents of sexual harassment. Any employee who feels that they have experienced sexual harassment or harassing conduct based on sex should contact EODD, so the agency may take appropriate steps to promptly address the issue.

For additional information, please refer to the following policy: Discrimination Prevention (PPM 2082.00) and the following link: Equal Employment Opportunity in NYS, Rights and Responsibilities, A Handbook for Employees of NYS Agencies.

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Workplace ViolenceOCFS forbids intimidating behavior, threats or threatening conduct of any kind, whether verbal or physical in nature, in the workplace. Such conduct will result in appropriate disciplinary action by the employer and may result in criminal charges.

Violence of any type is a form of employee misconduct and will not be tolerated. Appropriate disciplinary actions may be initiated against any employee(s) exhibiting such behavior or any supervisory personnel who are aware of such behavior and knowingly permit it to continue. All employees are required to notify their supervisor immediately upon witnessing or learning of any instance of workplace violence.

For further information, please refer to the Workplace Violence Prevention Program Polic y (PPM 2615.00).

Firearms and WeaponsIt is the policy of OCFS to protect the safety of residents, staff and the community by regulating the possession and storage of firearms, explosives and other weapons on the grounds or buildings of OCFS facilities, offices or on any property leased by OCFS for the purpose of conducting official agency business.

OCFS employees are strictly prohibited from possessing firearms, explosives, weapons and chemical agents while on official OCFS business and on the grounds or in the buildings of facilities, field offices and programs. Please note that this prohibition also includes possession in personal vehicles on OCFS or other state owned/operated premises.

For additional information, please refer to the following policy: Firearms and Weapons (PPM 2391.00).

Alcohol and Drug PolicyOCFS prohibits the unlawful manufacture, distribution, dispensing, possession, or use of controlled substances in state workplaces and at state worksites including personal or OCFS vehicles. Employees of OCFS may be subject to criminal, civil, and disciplinary penalties for the use, distribution, sale, attempt to sell, possession or purchase of a controlled substance or alcohol at the workplace or in the performance of work-related duties.

Additionally, illegal acts, even if engaged in while off duty, may result in disciplinary action. Penalties for violation may include termination of the employee's services even upon the first disciplinary notification.

An employee who is considered unfit to perform his or her duties as a result of an impairment which may be caused by alcohol or a controlled substance may be required to be examined by the Employee Health Service, including, but not limited to, undergoing medical testing, and may also be disciplined for such impairment during work hours. In addition, the employee may be placed on involuntary leave pursuant to the Civil Service Law. The employee may also be referred to voluntary and confidential participation in the Employee Assistance Program.

For further information, please refer to the following policy: Employee Drug and Alcohol Testing (PPM 2611.02 ) .

Report of ArrestAny OCFS employee charged with the commission of a felony or misdemeanor crime, or the equivalent, must immediately notify his/her facility director, office head or designee. This notification must be provided within 24 hours of the charge or arrest or prior to the employee’s next scheduled shift or workday, whichever is sooner.

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For additional information, please refer to the following policy: Criminal Charges Against OCFS Employees (PPM 2099.00).

Domestic Violence and the WorkplaceIn accordance with the Governor’s goal of protecting the health and safety of New York State employees and making New York a “zero tolerance” state for domestic violence both at home and in the work place, OCFS has a policy on Domestic Violence and the Workplace (PPM 2085.00) .

This policy recognizes that domestic violence is not limited to the home, but often spills over into the workplace and compromises the safety of both victims and co-workers, resulting in lost productivity and increased health care costs, absenteeism and employee turnover.

OCFS forbids intimidating behavior, threats or threatening conduct of any kind, whether verbal or physical in nature, in the workplace. Such conduct will result in disciplinary action by the employer and may result in criminal charges. Appropriate disciplinary actions may also be initiated against any supervisory personnel who are aware of such behavior and knowingly permit it to continue. To assist employees who may be a victim of domestic violence, the agency provides information on available sources of assistance. We have taken steps to ensure that agency personnel policies and procedures do not discriminate against and are responsive to the needs of victims of domestic violence. For more information, call the Office of Human Resources at (518) 473-7936.

OCFS will hold accountable any employee who engages in the following behavior:

1. misusing state resources to commit an act of domestic violence;2. committing an act of domestic violence from or at the workplace or from any other location while on

official state business; or3. misusing their job-related authority or state resources in order to negatively affect victims or assist

perpetrators in locating a victim, or in perpetrating an act of domestic violence.

For additional information, please refer to the following policy: Domestic Violence and the Workplace (2085.00).

Outside Employment or Activity and Conflicts of InterestEmployees are required to pursue a course of conduct that will not raise suspicion among the public that they are likely to engage in acts that are in violation of the public trust. OCFS employees must avoid conflicts of interest with state employment by complying with Sections 73 and 74 of the Public Officers Law and with 19 NYCRR 932.3. These sections regulate business or professional activities by state employees and set forth the Code of Ethics to be followed at all times while employed by the state.

Accordingly, OCFS employees must obtain prior agency approval before undertaking any outside employment/activity, whether compensated (paid) or uncompensated (voluntary), and must consider and abide by all applicable restrictions upon any approved outside employment/activities. Employees are not to engage in any activity that constitutes, or appears to be, a conflict of interest with their public duties. Engaging in such activities may result in disciplinary action, civil penalties and/or criminal prosecution.

For additional information, please refer to the following policy: Approval of Outside Employment/Activity for OCFS Employees/Nepotism (PPM 2048.00).

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Smoking PolicyIt is the policy of OCFS to provide a safe and healthy environment as free as possible from unnecessary hazards and risks for its employees, residents, and the visiting public.

In accordance with the Clean Indoor Air Act and the New York State Public Health Law, smoking is prohibited in all indoor places of employment. Indoor places of employment include, but are not be limited to: facilities, loading docks, general office environments and building entrances and exits. Smoking is also prohibited in OCFS vehicles.

Violations of this policy will be handled using counseling and disciplinary procedures.

For additional information, please refer to the following policy: Facility and Office Smoking Policy (PPM 2612.00).

TravelAn employee may be required to travel to conduct official business for OCFS. When travel is required, the employee will be reimbursed for actual and necessary expenses incurred while conducting such official duties according to rules established by the Office of the State Comptroller.

Employees, including supervisors, who knowingly misrepresent the facts concerning travel for official business or who file or sign any travel form which contains deliberate false statements given with intent to defraud the state will be subject both to possible criminal and disciplinary action.

In addition, submission of fraudulent travel expense claims may be a felony or misdemeanor offense under Articles 175 or 195 of the State Penal Law. A supervisor who knowingly approves a fraudulent claim may also be subject to criminal charges under Section 20 of the State Penal Law.

For further information, see the Employee Travel & Expense Information page on the OCFS intranet.

Identification Cards and Building AccessAll OCFS employees are issued a photo identification card. The ID card will be produced by the New York State Department of Motor Vehicles through the use of your photograph and signature on your NYS Driver’s License, Non-Driver’s Identification or Photo Capture Identification. You may only use your card when on official business, to operate the electronic access control devices or as identification to enter buildings. You are required to wear your ID card at all times when in any OCFS workplace.

Use of State Property or PersonnelOCFS property and equipment are to be used for official State of New York business only. The taking or use of OCFS property or equipment for personal reasons is prohibited. The use of another OCFS employee on state time for personal services is prohibited.

OCFS has internal guidelines and policies for employee use of electronic mail (e-mail) and information technology services. Employees are required to familiarize themselves with such guidelines and policies.

For further information, refer to Section 14 of the Employee Manual.

Electronic Mail (E-Mail) Services and Use PolicyIt is the policy of OCFS to provide e-mail access to employees to communicate informally with others both within and outside the agency in an effort to enhance their productivity. E-mail generally must be used for official OCFS business only. At the discretion of management, staff may be permitted incidental use of the telecommunications, e-mail and internet facilities and services to attend to

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personal matters during lunch, breaks and other off duty periods.

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Incidental personal use is permissible so long as: (a) it does not consume more than a trivial amount of resources, (b) does not interfere with worker productivity, and (c) does not preempt any business activity. Users are forbidden from using OCFS electronic communication systems for charitable endeavors, private business activities, amusement, entertainment or to transmit pyramid schemes, direct marketing pitches or other similar messages. The use of agency e-mail should never create either the appearance or the reality of inappropriate use. Personal use of e-mail which violates sections a-c above may result in the revocation of e-mail privileges and additional disciplinary actions up to and including termination.

For additional information, please refer to the following policy: Telecommunications and Computer Use Policy (PPM 1900.00).

Computer Network and Internet Services and Use PolicyIt is the policy of OCFS to provide employees with access to the computer network to assist them in the performance of their jobs. Use of the internet generally must be for official OCFS business only. Incidental personal use is permissible so long as it does not consume more than a trivial amount of resources and such use does not interfere with employee productivity or preempt any business activity. Such usage must be done during lunch, breaks and other off duty periods. Regular personal internet use on agency computers may result in the revocation of internet access or disciplinary action.

For additional information, please refer to the following policy: Information Technology Resource Acceptable Use (1905.00).

Restrictions on Use of Hand-Held Devices by State EmployeesIn compliance with Section 1225-c of the Vehicle and Traffic Law, OCFS prohibits the use of hand-held devices (cellphones, GPS devices, etc.) while operating a motor vehicle.

For additional information, please refer to the OCFS Policy for State Vehicle Use (PPM 1819.00).

Telephone and Cellular Use PolicyIt is the policy of OCFS to provide access to telephone systems to employees to assist in the performance of their jobs. All OCFS employees must recognize the importance of using state telephone services appropriately, responsibly and primarily for state business. State business, for the purpose of this policy, is defined as any action or endeavor that is undertaken by an employee in the performance of his/her duties to accomplish the goals and objectives of the agency. OCFS does permit incidental use of state telephones for the purpose of making local telephone calls for essential personal business. However, those calls should be brief and infrequent. Employees should take every effort to place personal calls (whether on personal cellphones or state phones) during lunch, breaks and other off duty periods.

Employees who are unsure of the appropriateness of a call should consult with their supervisor prior to making the call. Individuals who engage in outside employment cannot utilize state telephones to make personal business calls.

For additional information, please refer to the following policy: Telecommunications and Computer Use Policy (PPM 1900.00).

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Union Use of State ResourcesEmployees have a right to express their concerns about union matters, but they must do so on their own time, using their own resources. Use of OCFS’ electronic communications systems for union purposes is prohibited unless otherwise approved by the Director of Labor Relations.

OFFICE OF THE STATE INSPECTOR GENERALThe Office of the State Inspector General is an independent state agency established to receive and investigate allegations of misconduct by employees in state agencies.

All employees are required to report promptly to the State Inspector General any information concerning corruption, fraud, criminal activity, conflicts of interest or abuse committed by an employee related to his or her office or employment.

No employee who reports misconduct to the State Inspector General shall be subject to discipline, dismissal, or other adverse personnel action as a result of making such report. Any employee who knowingly fails to report misconduct to the State Inspector General's Office may be subject to removal from employment or other appropriate personnel action.

The Office of the State Inspector General can be reached at (518) 474-1010, via a 24-hour hotline at1-800-367-4448 or http://www.ig.state.ny.us/contact.