Correctional Employees Rules of Conduct
Course
Correctional
Services
Unit I
Professionalism
Essential
Question
What guidelines
have been
established for
the daily duties
of a correctional
officer?
TEKS
§130.297(c)
(1)(B)(C)(D)
(2)(A)
Prior Student
Learning
History of
Corrections
Estimated Time
4 hours
Rationale
Employees of correctional facilities are responsible for knowing,
understanding and clarifying the facility’s rules and regulations. These
guidelines are established to assist correctional staff in the administration of
their daily duties.
Objectives
The student will be able to:
1. Define key terms.
2. Define the five most common violations.
3. Identify employer expectations of punctuality, attendance, and
time management.
4. List timeframes in reporting an arrest or conviction.
5. Discuss alternate forms of discipline.
6. Outline the procedures of the disciplinary hearing process.
7. List the types of punishment that can be used during a disciplinary
hearing.
8. Examine each rule of conduct violation.
9. Analyze personal responsibilities and preferences to determine
requirements for employment in correctional services.
Engage
Do an Internet search for the following: Video: Corrections Officer Accused
Of Improper Conduct With Inmate. Use the video and the following questions
for a class discussion. Use the Discussion Rubric for assessment.
 What rule of conduct was violated?
 Was it a violation of a law as well?
 What other rules of conduct violation may exist within this
relationship?
 What should the consequences of this violation be?
 What are some warning signs to look for when employees are having
inappropriate relationships with inmates?
Key Points
I. Key Terms
A. Violation – may consist of any one or combination of the following
1. Engaging in a specific prohibited behavior
2. Attempting, conspiring, or engaging in, or aiding others in
attempting, conspiring, or engaging in specific prohibited
behavior (TDCJ, 2009)
3. Failure to act where required by rule or order
B. Offender – an individual under the supervision, custody, or
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incarceration of the Texas Department of Criminal Justice (TDCJ),
including a TDCJ offender housed in federal, county, or other
state’s facilities (TDCJ, 2009)
C. Preponderance of Information – evidence of greater weight or more
convincing than the evidence which is offered in opposition to it;
that is, evidence which as a whole shows that the fact sought to be
proven is more probable than not. Preponderance is not
determined by the number, but by the greater weight of all credible
evidence (TDCJ, 2009)
D. Conviction – a judgment, plea of guilt, verdict, nolo contendre, or
judicial finding of guilt
II.
Behaviors Expected of Employees
A. Report to work on time (punctual attendance)
B. Report to work unless physically unable (regular attendance)
C. Complete duties as assigned
D. Know the rules of conduct and the guidelines of the employment
agency
E. Report any arrests and convictions within 48 hours and before
returning to work
III. Rules of Conduct Violations (TDCJ, 2009)
A. Level One Violations (most severe)
1. Reckless endangerment – life endangerment
2. Gambling on state property
3. Possession, delivery, or removal of the following
a) Alcoholic beverage
b) Controlled substance
c) Deadly weapon without authorization
4. Delivery of the following to an offender
a) A drug other than an authorized controlled substance for
medical purposes
b) Cell phone
c) Cigarette or other form of tobacco
d) Money
5. Use of alcohol or illicit drugs on the job
6. Discrimination/harassment against persons of a protected
class/retaliation
7. Harassing or retaliating against an offender or another
individual for participating in an official investigation/inquiry or
for pursuing legal activities (i.e., petitioning the courts)
8. Use of excessive/unnecessary force – unprovoked with
serious injuries
9. Failure to report, relating to use of excessive/unnecessary
force – unprovoked with serious injuries
10. Conviction of a felony
11. Committing bribery
12. Aiding and abetting an escape
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13. Conviction of a misdemeanor for an offense involving
domestic violence by an employee who is required or
authorized to carry a firearm
14. Possession, use, sale or delivery of illicit drugs/drug
paraphernalia
15. Cohabitation with an offender
16. Sexual misconduct with an offender
17. On-duty or off-duty conduct
18. Tampering with a witness
19. Failure to submit to a search
20. Falsification of the state of Texas application for employment
21. Refusal to submit to alcohol or drug tests
22. Failure to have a negative alcohol/drug test result or failure to
comply with conditions of a substance abuse treatment
agreement
23. Misuse of Official Authority or Information
B. Level Two Violations
1. Sleeping on duty
2. Leaving a security/duty post
3. Reckless endangerment – endangerment less than life
endangerment
4. Falsification of records
5. Unauthorized taking or use of personal property
6. Failure to obey a proper order from an authority
7. Use of slurs/hostile epithets
8. Instigating or participating in a physical confrontation or
altercation
9. Possession of any contraband other than those items listed in
rule 18a
10. Trafficking and/or trading of any contraband other than those
items listed in rule 18a or 18b
11. Violation of statutory authority/court
order/rules/regulations/policies
12. Harassing or retaliating against another individual
13. Mistreatment of offenders
14. Use of excessive/unnecessary force – provoked with serious
injuries
15. Use of excessive/unnecessary force – non-provoked without
serious injuries
16. Failure to report, relating to a use of excessive/unnecessary
force – provoked with serious injuries
17. Failure to report, relating to a use of excessive/unnecessary
force – unprovoked without serious injuries
18. Administrative/procedural violation of a security nature relating
to use of force
19. Damage, destruction, misappropriation, or unauthorized use of
agency equipment or property
20. Refusal to cooperate with an official inquiry/investigation
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21. Destroying evidence or giving false testimony/information
22. Accepting goods, money, services, favors, or honoraria
23. Denial of uniform access to courts
24. Failure to provide notification of offender relationship
25. Continuation/establishment of offender relationship that
jeopardizes security or compromises the employee (other than
cohabitation or sexual misconduct)
26. Discourteous conduct of a sexual nature
C. Level Three Violations
1. Unexcused absenteeism
2. Reckless endangerment – hazing or horseplay without injury
3. Use of profane/abusive language/gestures
4. Instigating or participating in a verbal confrontation or
altercation
5. Use of excessive/unnecessary force - provoked without
serious injuries
6. Failure to report, relating to use of excessive/unnecessary
force - provoked without serious injuries
7. Failure to report, relating to minor or non-excessive and
necessary use of force
8. Administrative/procedural violation relating to use of force
9. Failure to turn in all evidence seized
10. Insubordination
11. Conviction of any other misdemeanor (except for drug-related
offenses)
12. Failure to report use of certain prescription drugs
13. Failure to report an alleged act of discrimination/harassment
against persons of a protected class, discourteous conduct of
a sexual nature or retaliation; did not take
corrective/preventive action
D. Level Four Violations
1. Tardiness (less than one hour)
2. Substandard duty performance
3. Failure to follow proper safety procedures
4. Unauthorized sales/solicitations on state premises
5. Negligent operation of an agency vehicle
6. Technical violation relating to use of force
7. Improper or untidy uniforms
8. Misconduct
9. Failure to provide an emergency contact number
10. Failure to report an alleged act of discrimination/harassment
against persons of a protected class, discourteous conduct of
a sexual nature or retaliation; took corrective/preventive action
IV. Alternate forms of Discipline (TDCJ, 2009)
A. Supervisory Counseling – supervisors will discuss with the
employee the need to correct the behavior and the steps needed to
correct behavior
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B. Employee Performance Log Entry – an entry will be made in the
Employee Performance Log, which will ultimately be used to
evaluate the employee’s overall performance
C. A letter of instruction
1. A letter identifying
a) The employee’s specific inappropriate action and the
appropriate action to be taken when a similar situation
occurs in the future, or
b) The specific ongoing area of concern and a specific
timeframe to correct the unacceptable conduct
2. A letter of instruction negatively affects an employee’s
performance evaluation rating for adherence to the expected
standards of conduct
3. More serious than supervisory counseling or an entry in the
Employee Performance Log
D. Temporary reassignment
1. Used to limit an employee’s contact with offenders or other
employees
2. Must be a period that is less than 6 months
3. Must contain one of the following options
a) Assigning the employee to work a noncontact position
within the unit/department
b) Coordinating with the Regional/Assistant Director (or
higher level of authority) to temporarily move to another
unit/department, or
c) Contacting the Human Resources Director for placement
assistance
E. Note: Supervisors are expected to take action, other than
disciplinary actions, whenever possible
V. Discipline Hearing Process
A. Prehearing Investigation
1. Allegations against the employee are investigated within 10
days
2. If the allegations are substantiated, a disciplinary hearing is
scheduled
3. The employee is then notified of the hearing date
B. Employee Discipline Hearing
1. The employee is notified 24 hours in advance
2. The hearing is scheduled on a weekday between 8 am and 5
pm
C. Factors affecting Discipline Action
1. The seriousness of the violation
2. The employee’s
a) Work history
b) Job performance
c) Length of service
3. The Guidelines for Disciplinary Actions
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4. Whether or not the employee is a supervisor
5. Aggravating or mitigating circumstances
6. Whether or not the violation is a subsequent violation
VI. Disciplinary Actions
A. General Provisions
1. The Reprimanding Authority (RA) will use the Guidelines for
Disciplinary Actions that are effective when the disciplinary
action is imposed regardless of the date that the violation
occurred
2. The date of the disciplinary action is the date that the RA
records it on the Reprimand Form
B. Types
1. Reprimand only
2. Reprimand with action
a) Disciplinary probation
b) Suspension without pay
c) Reduction in pay
d) Demotion
3. Dismissal
C. Range (TDCJ, 2009)
1. Level One Violations
a) Dismissal only
2. Level Two Violations
a) First
(1) Probation 6–9 months
(2) Withdrawal of favorable payroll action
(3) Suspension without pay 1–20 workdays
(4) Reduction in pay1–2 increments or at least 3.4% or
6.8%
(5) Involuntary demotion (must be to a budget
authorized position) 1–2 salary groups
(6) Dismissal
b) Second
(1) Probation 10–12 months
(2) Withdrawal of favorable payroll action
(3) Suspension without pay 1–30 workdays
(4) Reduction in pay 2–3 increments or at least 6.8% or
10.2%
(5) Involuntary demotion (must be to a budget
authorized position) 1–3 salary groups
(6) Dismissal
c) Third
(1) Dismissal only
3. Level Three Violations
a) First
(1) Probation 3–4 months
(2) Withdrawal of favorable payroll action
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(3) Suspension without pay 1–5 workdays
b) Second
(1) Probation 5–8 months
(2) Withdrawal of favorable payroll action
(3) Suspension without pay 1–10 workdays
(4) Reduction in pay 1–2 increments or at least 3.4% or
6.8%
(5) Involuntary demotion (must be to a budget
authorized position) 1–2 salary groups
c) Third
(1) Probation 9–12 months
(2) Withdrawal of favorable payroll action
(3) Suspension without pay 1–15 workdays
(4) Reduction in pay 2–3 increments or at least 6.8% or
10.2%
(5) Involuntary demotion (must be to a budget
authorized position) 1–3 salary groups
(6) Dismissal
d) Fourth
(1) Dismissal only
4. Level Four Violations
a) First
(1) Reprimand only
(2) Probation 1–2 months
(3) Withdrawal of favorable payroll action
(4) Suspension 1–3 workdays
b) Second
(1) Probation 3–4 months
(2) Withdrawal of favorable payroll action
(3) Suspension 1–7 workdays
(4) Reduction in pay 1 increment or at least 3.4%
c) Third
(1) Probation 5–6 months
(2) Withdrawal of favorable payroll action
(3) Suspension 1–10 workdays
(4) Reduction in pay 2 increments or at least 6.8%
(5) Involuntary demotion (must be to a budget
authorized position) 1–3 salary groups
(6) Dismissal
d) Fourth
(1) Dismissal only
VII. Responsibilities and Preferences
A. Eligibility Requirements
1. US citizen or authorized alien
2. At least 18 years of age
3. Possession of a high school diploma or GED
4. Not on active military duty
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5. No dishonorable discharge
6. No felonies – no class A within the past 10 years or class B
within last 5 years
7. Not on probation
8. No pending charges or outstanding warrants
9. Pass the pre-employment test
10. Pass a drug test
11. Ability to perform the functions of a correctional officer
a) Attend the pre-service training academy
b) Perform a search for contraband
c) Provide security
d) Count, feed, and supervise the offenders
e) Pass the physical agility test
f) Respond to emergencies
g) Use chemical agents/firearms
h) Prepare reports and maintain records
i) Perform any other duties as assigned
B. Personal preferences to consider
1. Schedule availability
a) A flexible schedule is ideal for the rotating shifts of
corrections officers
b) Balancing family responsibilities can be challenging
because of the rotating, day and night shifts
2. Physical fitness level
a) Determines the duties that a new hire is assigned
b) Each applicant is required to complete and pass a
physical agility test
(1) Pushups – must complete as many as possible
within 1 minute
(2) Weigh carry – must pick up a 45 lb. weight, carry it
15 yards, put it down, pick it back up, and carry it
again for 15 yards
(3) Sit-ups – must complete as many as possible within
1 minute
(4) Deep squats – must complete as many as possible
within 1 minute
(5) Ladder climb – must climb up and down a ladder
five times
(6) Run/walk – must complete a ¼-mile walk/run within
5½ minutes
3. Geographic location
a) A new hire
(1) May request up to two units of preference or select
a geographic location
(2) Will be assigned according to the needs of the
unit(s)
(3) May be assigned to a unit outside of his or her area
of preference and have to meet the challenges of
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commuting
4. Unit housing vs. private housing – some units have dormitorystyle housing available which costs significantly less than
maintaining a private residence
5. Salary
a) Approximately $2,300 a month for a new correctional
officer that is attending the academy
b) Increased after completion of the academy program
c) Increased based on the number of years of service up to
the Correctional Officer V level, which has a salary of
approximately $3,000 plus benefits
d) Less than some other types of employment, but has
considerable benefits to consider
VIII. Benefits (TDCJ, 2012)
A. Paid Leave
1. Vacation hours – earned each month based on the total years
of employment and may be used after six months of
continuous employment
2. Holiday leave – officers are entitled to time off for all state
holidays; if the officer works a holiday those hours accrue for
later use
3. Sick leave – earned at a rate of about 8 hours per month
4. Administrative leave – includes the following
a) Donor (blood, bone marrow, and organ)
b) Continuing education
c) Assistance dog training
d) Bereavement/funeral
e) Family Medical leave
f) Jury duty
g) Military leave
h) Volunteer (Red Cross, Firefighter, and EMS)
i) Urban Search and Rescue Team
B. Unpaid Leave
1. Family Medical Leave
2. General
3. Medical
a) Non work-related
b) Work-related
4. Military
C. Insurance
1. Accidental death and dismemberment
2. Dental insurance
3. Disability insurance
4. Health insurance
5. Life insurance
6. Premium conversion
7. Prescription drug program
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D.
E.
F.
G.
H.
I.
J.
8. Retiree life insurance
Hazardous duty pay
Longevity pay
Retirement
Payroll deductions
Meal privileges
Laundry and barber services
Many others
Activities
1. Rules of Conduct Scenarios. Divide the students into groups and give all
of them a copy of the Rules of Conduct Scenarios handout. Have the
students deduce the correct rule of conduct for each scenario and explain
their answers. Use the Discussion Rubric for assessment.
2. Job Search. Have students research two of the jobs that are available
within correctional services. Jobs may come from the federal, state,
county, local, or private sectors. Have the students analyze and record
the following information:
 Job duties
 Hiring requirements
 Employer expectations
 The method of application
Use the Individual Work Rubric for assessment.
Assessments
Rules of Conduct Quiz and Key
Rules of Conduct Scenarios Handout and Key
Discussion Rubric
Individual Work Rubric
Research Rubric
Materials
Rules of Conduct computer-based presentation
Computers with Internet access
Resources
Texas Department of Criminal Justice PD-22
http://www.tdcj.state.tx.us/vacancy/hr-policy/pd-22.pdf
Texas Department of Criminal Justice PD-49
http://tdcj.state.tx.us/divisions/hr/benefits/leave-paid.html
Accommodations for Learning Differences
For reinforcement, students will find examples in the news/media of
correctional employees who have violated rules of conduct. Students will
then compare those violations to those of TDCJ and give the appropriate
punishment according to PD-22. Use the Individual Work Rubric for
assessment.
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For enrichment, students will research the rules of conduct violations that
would also constitute criminal violations. Students will then examine them to
determine if any would be intertwined. Use the Research Rubric for
assessment.
State Education Standards
Texas Essential Knowledge and Skills for Career and Technical Education
§130.297. Correctional Services (One to Two Credits).
(1)
The student researches the history of correctional services.
The student is expected to:
(B)
examine the rules of conduct and disciplinary action
guidelines for employees of correctional facilities;
(C)
analyze personal responsibilities and preferences to
determine requirements for employment in correctional
services;
(D)
effectively search methods to locate potential
employment opportunities in correctional services; and
(2)
The student recognizes professional standards and ethical
responsibilities in the correctional facility. The student is
expected to:
(A)
identify employer expectations of punctuality,
attendance, and time management;
College and Career Readiness Standards
Cross-Disciplinary Standards
II. Foundational Skills
E. Technology
1. Use technology to gather information.
2. Use technology to organize, manage, and analyze information.
4. Use technology appropriately.
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Name________________________________
Date__________________________
Rules of Conduct Quiz
1. _____ An employee will be notified of a hearing date at least
A. 24
B. 12
C. 72
D. 48
hours in advance.
2. _____ Employees must report all arrests, convictions, criminal charges (except minor
traffic violations), and protective orders within ___
hours before reporting to
work.
A. 24
B. 32
C. 48
D. 72
3. _____ An employee’s “failure to act” when required by rule or order would be considered
a violation of PD-22.
A. True
B. False
4. _____ A violation is considered to be all but which one of the following?
A. Engaging in specific prohibited behavior
B. Failure to act when required by law
C. Attempting, conspiring, or engaging in, or aiding others in conspiring,
attempting, or engaging in specific prohibited behavior
D. An act required by policy
5. _____ A disciplinary hearing requires what level of proof for the allegation to be
substantiated?
A. Beyond a reasonable doubt
B. Preponderance of evidence
C. Absolute certainty
D. Reasonable suspicion
6. _____ Which of the following is not one of the options supervisors should try prior to
formal discipline?
A. Supervisory counseling
B. Letter of instruction
C. Temporary reassignment
D. Dismissal
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7. _____ How many days does the reprimanding authority have to complete the preliminary
hearing investigation?
A. 12
B. 24
C. 10
D. 5
8. _____ Which of the following is not one of the options available for punishment after a
guilty verdict in a disciplinary hearing?
A. Demotion
B. Pay increase
C. Suspension without pay
D. Dismissal
9. _____ Which of the following should not be considered when considering employment in
correctional services?
A. Salary
B. Benefits
C. Geographic Location
D. Opinion of friends
10. _____ Which physical activity is not included in the physical agility test?
A. Pushups
B. 10-mile run
C. Deep squats
D. Ladder Climb
11. _____ What is the highest level of criminal offense you can have on your record?
A. Felony
B. Class A
C. Class B
D. Class C
12. _____ An applicant cannot have a Class A within the past 5 years.
A. True
B. False
13. _____ An applicant can be employed as a correctional officer if they have a conviction
for domestic violence.
A. True
B. False
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14. _____ Which of the following is not a function of a correctional officer?
A. Search for contraband
B. Take 911 calls
C. Count, feed, and supervise offenders
D. Prepare reports and maintain records
15. _____ Which is not a privilege extended to employees on their designated unit?
A. Meals
B. Laundry
C. Both A and B
D. None of the above
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Rules of Conduct Quiz Key
1. A
2. C
3. A
4. D
5. B
6. D
7. C
8. B
9. D
10. B
11. D
12. B
13. B
14. B
15. D
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Rules of Conduct Scenarios
Read the scenario and identify the correct rule of conduct.
1. You have been invited to a party, but you are scheduled to work. You really want to go to
the party. You choose to go to the party instead of work.
2. You are 18 years old and caught at the party to be in possession of alcohol. You are
ticketed for minor in possession of alcohol. You don’t feel it is necessary to report this
citation to your supervisor.
3. On the way to work you need to drop off your clothes at the dry cleaners. You only leave
5 minutes earlier than you normally do. You are already running late for work, but decide
to go by the dry cleaners and drop off your clothes anyway. You arrive to work 20
minutes after your shift begins.
4. The administration segregation sergeant tells you to pull offender Jones out of his cell for
recreation. You decide that you will take him to the recreation yard when you finish your
cell searches. Offender Jones misses his required hour of recreation.
5. You decided to go out of town for your days off. You normally work the midnight shift and
sleep during the day. During your days off you kept with a daytime schedule of sleeping
at night and staying up all day. You return to work for your regular shift, but have been up
since the early morning. You are exhausted and fall asleep in the picket.
6. Offender Smith makes you mad. You respond with the use of profanity or abusive
language and gestures. Offender Smith reports you.
7. You are responsible for the outer perimeter security during your shift. As you are
operating the perimeter vehicle you decide to see how fast you can go around the
perimeter. As you turn the corner, you lose control and run the vehicle into the back gate.
8. Offender Brown says his mother is dying and he is unable to contact her using the
payphone because she cannot afford collect calls. He is desperate to talk to her before
she dies. You feel sorry for him and agree to bring him a cell phone to call his mom.
9. You are assigned to work in the closed custody building during your shift. You observe
Officer Jones strike Offender Sam in the face for mouthing off. Offender Sam did not
engage in physical contact with Officer Jones. Officer Jones tells you that this is between
him and Offender Sam and should not be reported. You decide to say nothing.
10. You are assigned to the back gate and are there alone. You have not had your 15 minute
break and are craving a cigarette. You snuck one in your pocket and decide to “light up”.
Besides, who’s going to know? You are the only one there.
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Rules of Conduct Scenarios Key
1.
2.
3.
4.
5.
6.
7.
8.
Unexcused Absenteeism
Violation of Statutory Authority/Court Order/Rules/Regulations/Policies
Tardiness
Failure to Obey a Proper Order from an Authority
Sleeping on Duty
Use of Profane/Abusive Language/Gestures or Slurs/Hostile Epithets
Negligent Operation of an Agency Vehicle
Delivery of the Following to an Offender: (1) a Drug Other than an Authorized Controlled
Substance for Medical Purposes; (2) Cell Phone; (3) Cigarette or Other Form of Tobacco;
or (4) Money
9. Failure to Completely or Accurately Report a Use of Force or Commission of a Use of
Force Administrative/Procedural Violation
10. Possession/Removal of Contraband
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Name_______________________________________
Date_______________________________
Discussion Rubric
Objectives
4 pts.
Excellent
3 pts.
Good
2 pts. Needs Some
Improvement
1 pt. Needs Much
Improvement
N/A
Pts.
Participates in group discussion
Encourages others to join the
conversation
Keeps the discussion progressing
to achieve goals
Shares thoughts actively while
offering helpful recommendations to
others
Gives credit to others for their ideas
Respects the opinions of others
Involves others by asking questions
or requesting input
Expresses thoughts and ideas
clearly and effectively
Total Points (32 pts.)
Comments:
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Name______________________________________
Date_______________________________________
Individual Work Rubric
4 pts.
Excellent
Objectives
3 pts.
Good
2 pts. Needs Some
Improvement
1 pt. Needs Much
Improvement
N/A
Pts.
Follows directions
Student completed the work as directed,
following the directions given, in order and to the
level of quality indicated
Time management
Student used time wisely and remained on task
100% of the time
Organization
Student kept notes and materials in a neat,
legible, and organized manner. Information was
readily retrieved
Evidence of learning
Student documented information in his or her
own words and can accurately answer questions
related to the information retrieved
*Research/Gathering information (if relevant)
Student used a variety of methods and sources
to gather information. Student took notes while
gathering information
Total Points (20 pts.)
Comments:
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Name______________________________________
Date_______________________________________
Research Rubric
4 pts.
Excellent
Objectives
3 pts.
Good
2 pts. Needs Some
Improvement
1 pt. Needs Much
Improvement
N/A
Pts.
Question/goal
Student identified and communicated a question
or goal of the research
Research/Gathering information (if relevant)
Student used a variety of methods and sources
to gather information. Student took notes while
gathering information
Conclusion/Summary
Student drew insightful conclusions and
observations from the information gathered.
Information is organized in a logical manner
Communication
Student communicated the information gathered
and summary or conclusions persuasively.
Student demonstrated skill in the use of media
used to communicate the results of research
Reflection
Student reflected on the importance of the
research and its potential application
Total Points (20 pts.)
Comments:
20
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