III, Sec. 3 Workplace policies

Section 3.01. Purpose and Applicability.

(1) The KCOJ is committed to:

(a) Identifying, prohibiting, and correcting wrongful conduct, as defined in Section 3.02 of these Policies, which includes:

(i) Providing a workplace of respect, civility, fairness, tolerance, and dignity, free of discrimination and harassment, abusive conduct, and retaliation;

(ii) Offering safe and accessible options to report wrongful conduct;

(iii) Taking appropriate action when wrongful conduct is reported; and

(iv) Removing any actual or perceived barriers to the reporting of such conduct.

(b) Providing equal employment opportunities and promoting and facilitating diversity and inclusion in its workforce;

(c) Ensuring employees with a disability or a pregnancy-related medical condition are provided reasonable accommodations;

(d) Maintaining a drug-free workplace; and

(e) Protecting KCOJ personnel against workplace violence.

(2) The policies set forth in Section 3 of these Policies apply to:

(a) Elected and appointed officials based on their status as appointing authorities for the Court of Justice;

(b) Current employees;

(c) Former employees, as related to their KCOJ employment; and

(d) Applicants for employment who were interviewed.

Section 3.02. Wrongful Conduct.

(1) KCOJ employees have a right to a workplace free of discrimination, discriminatory harassment, abusive conduct, and retaliation.

(2) Section 3.02 of these Policies prohibits wrongful conduct that may occur during the course of an employee's KCOJ employment or during or after an applicant's interview process.

(3) Definition of Wrongful Conduct. Wrongful conduct includes:

(a) Discrimination. Discrimination is an adverse employment action that materially affects the terms, conditions, or privileges of employment (such as appointment, promotion, compensation, dismissal, or a significant change in benefits) based on a protected class, including race, national origin, color, religion, sex (including pregnancy, gender identity, and sexual orientation), parental status, age (40 years and over), disability, genetic information (including family medical history), smoker or non-smoker status, military status, political affiliation, or any other characteristic protected by law.

(b) Discriminatory harassment

(i) Discriminatory harassment occurs when unwelcome or unsolicited speech or conduct based on the protected classes identified in Section 3.02(3)(a) of these Policies is sufficiently severe or pervasive to alter the conditions of employment and create an abusive work environment.

(ii) Sexual harassment is a form of discriminatory harassment.

(iii) The KCOJ recognizes that a person of any gender may be the victim of discriminatory harassment or may be the harasser and that the victim's protected class(es) as identified in Section 3.02(3)(a) of these Policies do not need to be different from the harasser.

(c) Abusive conduct

(i) Abusive conduct is a pattern of demonstrably egregious and hostile conduct, not based on a protected class identified in Section 3.02(3)(a) of these Policies, that unreasonably interferes with an employee's work and creates an abusive working environment.

(ii) Abusive conduct can be threatening, oppressive, or intimidating. Abusive conduct does not include communications and actions reasonably related to performance management, including but not limited to instruction, corrective criticism, and evaluation; performance improvement plans; duty assignments and changes to duty assignments; office organization; progressive discipline; and adverse action.

(d) Retaliation

(i) Retaliation is conduct by an appointing authority or designee that may deter a reasonable person from reporting wrongful conduct, participating in or assisting with the investigation of alleged wrongful conduct, or opposing wrongful conduct.

(ii) Retaliation against a person who reports wrongful conduct, participates in or assists with the investigation of alleged wrongful conduct, or opposes wrongful conduct is itself wrongful conduct.

(e) Violation of any workplace protections contained in Section 3 of these Policies.

(4) Forms and Examples of Wrongful Conduct.

(a) Verbal

(i) Jokes that have the purpose or effect of stereotyping, demeaning, or making fun of an individual.

(ii) Derogatory comments, slurs, epithets, threats, or propositions about an individual.

(iii) Verbal innuendo or insinuation that relates to or reflects negatively on a particular characteristic.

(b) Nonverbal

(i) Displaying (including distributing or communicating through electronic systems such as email or text message) photographs, posters, drawings, suggestive objects, literature, cartoons, calendars, graffiti, or any item that is degrading to or reflects negatively on a particular characteristic or person.

(ii) Making sexually suggestive or insulting noises or sexually obscene gestures.

(iii) Arranging to be alone with a person for the purpose of making sexual advances.

(iv) Nonverbal innuendo or insinuation that relates to or reflects negatively on a particular characteristic or person.

(c) Physical. Intentional touching, pinching, or brushing the body, kissing, assault, coercing sexual contact, or interference with an individual's normal movements.

(d) Other. Making threatening reprisals as a result of a negative response to wrongful conduct as a form of retaliation.

Section 3.03. Reporting and Resolution of Workplace Conduct Concerns.

(1) Reporting Workplace Conduct Concerns.

(a) “Workplace conduct concerns” are an individual's good-faith beliefs that an employee or applicant, including oneself, has been subjected to wrongful conduct.

(b) The KCOJ is committed to addressing wrongful conduct as soon as possible, before it becomes severe or pervasive, so that the conduct can be corrected and addressed, and further wrongful conduct can be prevented.

(c) Employees and elected and appointed officials should immediately report any workplace conduct concerns to a supervisor, appointing authority, or the AOC HR Department. Employees are also encouraged to report any workplace conduct concerns involving non-KCOJ personnel.

(d) The HR Director or designee will assign an Employee Relations liaison to receive and review each report of workplace conduct concerns consistent with the right to impartiality as identified under Section 3.03(2)(b) of these Policies.

(2) Statement of Rights. All resolutions of workplace conduct concerns offered by the KCOJ are intended to respect the privacy of all involved to the greatest extent possible, and to protect the fairness and thoroughness of the process by which workplace conduct concerns may be presented, investigated when necessary, and resolved.

(a) Confidentiality

(i) All KCOJ employees and elected and appointed officials involved in a report of workplace conduct concerns must maintain the confidentiality of the allegations and resolution, including any preliminary investigation and interim action.

(ii) Information will be shared only to the extent necessary or as required by law and only with those whose involvement is necessary.

(iii) An assurance of confidentiality must yield when there is reliable information of wrongful conduct that threatens the safety or security of any person(s) or that is so serious or egregious such that it threatens the integrity of the judicial system.

(iv) The employee relations file associated with a report and resolution of workplace conduct concerns must be maintained confidentially by the AOC HR Department.

(v) No document relating to the report and resolution of workplace conduct concerns will be filed in any individual's official personnel file, except as necessary to document a disciplinary, position, or employee action.

(b) Impartiality

(i) All resolutions of workplace conduct concerns must be conducted in a thorough, fair, and impartial manner.

(ii) The Employee Relations liaison may not act as an advocate for any person.

(iii) The Employee Relations liaison and any other AOC employee who has a duty or is asked to assist with the resolution of workplace conduct concerns must recuse if he or she participated in, witnessed, or was otherwise involved in the conduct or employment action giving rise to the workplace conduct concerns or if the matter creates an actual conflict of interest or the appearance of a conflict of interest as defined in Section 2.07 of these Policies.

(iv) In the event of recusal, the HR Director or designee will designate another AOC employee to perform the duties of the conflicted employee.

(c) Interim Action

(i) An employee who pursues resolution of workplace conduct concerns under Section 3.03 of these Policies and reports egregious conduct by an individual that makes it untenable to continue performing official duties under the present terms of employment during the pendency of the resolution may request a voluntary transfer, a reporting structure change, an alternative work arrangement, paid administrative leave, or other reasonable measure.

(ii) Any request for interim action must be submitted to the Employee Relations liaison. Upon review by the HR Director, a recommendation may be made to the Chief Justice or the AOC Director, as appropriate, to approve appropriate interim action, if any, taking into consideration the impact the action may have on a KCOJ agency or office.

(d) Complaints with Other Authorities. In addition to or in lieu of any resolution that may be sought under Section 3.03 of these Policies, an individual may submit his or her workplace conduct concerns involving the conduct of an elected or appointed official to the appropriate investigatory and/or disciplinary authority.

(3) Informal Guidance.

(a) When safe to do so, an employee is encouraged to address workplace conduct concerns directly with the person who he or she believes to have engaged in wrongful conduct. Alternatively, an employee may seek guidance from his or her supervisor on the best way to address or resolve the workplace conduct concerns.

(b) An employee may contact the Employee Relations liaison for information on any of the following topics:

(i) Possible resolutions the employee may pursue under these Policies or other laws, including as outlined under Section 3.03(3)(a) of these Policies; and/or

(ii) How to address and respond to workplace conduct concerns as they are happening.

(c) The Employee Relations liaison may conduct a limited inquiry with the employee for the purpose of identifying possible resolutions the employee may pursue under these Policies or other laws.

(4) Conflict Resolution.

(a) Conflict resolution is an interactive process that seeks a confidential resolution of the workplace conduct concerns without the filing of a formal complaint. A conflict resolution may include:

(i) Moderated discussion of the workplace conduct concerns with the employee and person(s) alleged to have engaged in workplace conduct concerns;

(ii) A preliminary investigation by the Employee Relations liaison to determine the suitability of conflict resolution and if appropriate, the type of conflict resolution that may be agreeable to the parties;

(iii) Mediation between the parties; and/or

(iv) Resolution of the matter by agreement.

(b) An employee may request conflict resolution by submitting form AOC-PER-10.0, Report of Workplace Conduct Concerns.

(c) Mediators

(i) In order to promote confidence in the resolution of workplace conduct concerns under Section 3.03(4) of these Policies, the Chief Justice shall appoint at least five former Judges or Justices, Circuit Court Clerks, or AOC Executive Officers or Managers who have completed a 40-hour mediation training who will serve as mediators for conflict resolutions.

(ii) The term of service for the appointed mediators is two years.

(iii) All appointed mediators shall complete a training on these Policies.

(iv) All mediations shall be conducted in accordance with Section 3.03 of these Policies and the ethical guidelines set forth in AP Part XII, Mediation Guidelines for Court of Justice Mediators, Section 3.

(v) Only one appointee will serve as a mediator for a conflict resolution.

(vi) If the Chief Justice is a participant in the conflict resolution, a retired Judge or Justice who meets the criteria contained in Section 3.03(4)(c)(i) of these Policies but is not currently an appointed mediator shall be appointed by the Deputy Chief Justice for the purpose of the conflict resolution.

(vii) A mediator shall disqualify him or herself from any proceeding where he or she has a personal bias concerning a participant, has personal knowledge of the workplace conduct concerns, or has expressed an opinion concerning the merits of the workplace conduct concerns.

(d) The Employee Relations liaison must:

(i) Advise the employee of the conflict resolution procedures adopted by the AOC HR Department;

(ii) Facilitate the employee's completion of form AOC-PER-10.0;

(iii) Conduct a limited inquiry for the purpose of identifying the workplace conduct concerns;

(iv) Designate a mediator from the list of appointed mediators who is able to serve and ensure the mediator does not have a conflict of interest;

(v) Be responsible for maintaining any documentation associated with the conflict resolution; and

(vi) Provide administrative support to the mediator.

(e) Where the report of workplace conduct concerns does not indicate discrimination, discriminatory harassment, or retaliation has occurred, the employee must first attempt to address the workplace conduct concerns through conflict resolution before filing a formal complaint.

(f) The Employee Relations liaison must notify the appointing authority or designee of an employee who participates in conflict resolution.

(g) The mediator may request an employee's appointing authority or designee assist with evaluating the report of workplace conduct concerns and facilitating the conflict resolution.

(h) The mediator will submit any recommended terms of resolution agreed upon by the participants as evidenced by their signatures on form AOC-PER-10.1, Terms of Resolution, and obtain appropriate approval. If the recommended terms are rejected in whole or in part by the appropriate authority, the mediator may reconvene conflict resolution efforts to identify other possible terms of resolution.

(i) The mediator, in consultation with the appointing authority(ies) or designee(s), will determine when to conclude the conflict resolution. However, the mediator, in his or her own discretion, may conclude the conflict resolution at any time based on a failure of any of the parties to comply with these Policies or other policies, procedures, or guidelines, including refusal by any party to participate in conflict resolution.

(j) When the conflict resolution is concluded, the Employee Relations liaison must complete form AOC-PER-10.2, Notice of Conclusion of Conflict Resolution, indicating whether the workplace conduct concerns have been fully resolved.

(k) If the parties are able to resolve the workplace conduct concerns through conflict resolution, the Employee Relations liaison must attach the approved form AOC-PER-10.1, Terms of Resolution, if any.

(l) If the parties do not resolve the workplace conduct concerns, the Employee Relations liaison must inform the participants of the right to pursue a formal complaint under Section 3.03(5) of these Policies.

(5) Formal Complaint

(a) A formal complaint seeks the confidential resolution of workplace conduct concerns through a prescribed investigative process, which may include interviews of parties and witnesses, submission and review of relevant evidence, an investigation report, findings, recommendation, and final decision.

(b) Any employee who has workplace conduct concerns and wishes to file a formal complaint must submit form AOC-PER-10.0 as soon as possible.

(c) The Employee Relations liaison must:

(i) Advise the complainant of any applicable policies, procedures, or guidelines;

(ii) Facilitate the complainant's completion of form AOC-PER-10.0; and

(iii) Conduct a limited inquiry for the purpose of resolving procedural questions and clearly identifying the workplace conduct concerns to be resolved.

(d) When recusal is required under Section 3.03(2)(b) of these Policies, the HR Director or designee may conduct an informal investigation of the report, including communication with any relevant individuals, and in his or her discretion, may either require the complainant and any person(s) alleged to have committed wrongful conduct to first engage in conflict resolution or with the agreement of all parties, resolve the workplace conduct concerns informally in lieu of proceeding with a formal complaint under Section 3.03(5) of these Policies.

(e) To initiate the formal complaint process, the Employee Relations liaison must notify any person(s) alleged to have engaged in wrongful conduct that a formal complaint has been filed, that an investigation will begin as soon as possible, and he or she is to comply with any applicable policies, procedures, or guidelines.

(f) If the person(s) alleged to have engaged in wrongful conduct is an elected or appointed official, the Employee Relations liaison must notify the appropriate disciplinary and/or investigative authority that a formal complaint alleging workplace conduct concerns has been filed, the type of wrongful conduct identified on form AOC-PER-10.0, the name of the employee who is alleged to have been subjected to the wrongful conduct, and an investigation will be conducted.

(g) Except as provided in Section 3.03(7) of these Policies, the Employee Relations liaison will coordinate and conduct an investigation. The investigation will include interviews with all relevant individuals. The Employee Relations liaison will have 45 calendar days to complete the investigation. Failure to meet this deadline does not invalidate the findings of the investigation.

(h) A single investigation may be conducted under Section 3.03(5)(g) of these Policies based on multiple complaints if the workplace conduct concerns in all of the complaints arise out of the same incident or allege similar or related conduct by the same person.

(i) Within 15 calendar days of completing the investigation, the Employee Relations liaison will provide the complainant and person(s) alleged to have engaged in wrongful conduct with access to the written investigation summary and referenced evidence.

(j) The complainant and person(s) alleged to have engaged in wrongful conduct will have 15 calendar days to submit a written response and supporting documentation, including the right to identify additional individuals who should be interviewed. If the 15-day deadline is insufficient, the Employee Relations liaison may grant an extension of no more than 15 calendar days.

(k) Within 15 calendar days of receipt of the responses, the Employee Relations liaison will review the responses, conduct any additional investigation if needed, and submit to the AOC Director or designee a workplace conduct report, to include the investigation summary, findings, and recommendations, with any responses attached. To the extent required by law, a copy of the workplace conduct report shall be provided to any investigative and/or disciplinary authority.

(l) Within 30 calendar days of receipt of a workplace conduct report, the AOC Director will issue a written decision to the complainant and the person(s) alleged to have engaged in wrongful conduct, with copies to their appointing authority(ies).

(m) If the person(s) alleged to have engaged in wrongful conduct is an elected or appointed official, the AOC Director will not issue a decision as provided in Section 3.03(5)(l) of these Policies but shall submit the workplace conduct report to the Chief Justice, or where appropriate the Deputy Chief Justice, who shall issue a decision or refer the workplace conduct report to the appropriate disciplinary and/or investigative authority.

(n) In the event that the AOC Director is a person alleged to have committed wrongful conduct, the workplace conduct report will be submitted to the Chief Justice to issue the decision as set forth in Section 3.03(5)(m) of these Policies.

(o) Any decision issued shall be submitted to the Employee Relations liaison for filing.

(6) Discipline or Referral.

(a) Upon a finding that an employee has engaged in wrongful conduct or otherwise failed to comply with these Policies or the policies of the employee's office or department, the employee will be subject to discipline up to and including dismissal.

(b) Upon a finding that an elected or appointed official has engaged in wrongful conduct, the AOC Director or designee may submit the workplace conduct report to the appropriate investigatory and/or disciplinary authority as a complaint on behalf of the AOC if not otherwise referred under Section 3.03(5)(m) of these Policies.

(7) Authority to Investigate. The HR Director has authority to assign personnel for the purpose of resolving all reports of workplace conduct concerns. In extraordinary circumstances, the HR Director or designee may request the AOC Director retain outside assistance.

(8) False Reports. If the HR Director or designee finds that the complainant intentionally made a false report of workplace conduct concerns, the complainant will be subject to immediate and appropriate discipline up to and including dismissal.

Section 3.04. Equal Employment.

(1) Equal employment opportunities are provided throughout the KCOJ in all employment practices, including recruitment, appointment, job assignment, promotion, compensation, training, and fringe benefits, without regard to the protected classes identified in Section 3.02(3)(a) of these Policies.

(2) A diverse, equitable, and inclusive workplace enhances the public's confidence in the court system and improves the work environment by bringing different viewpoints, skills, backgrounds, and interests to the KCOJ.

(3) The KCOJ will provide training opportunities for employees and elected and appointed officials on matters related to diversity, equity, and inclusion.

(4) Appointing authorities may work with the AOC HR Department to implement employment practices that are consistent with Section 3.04 of these Policies.

Section 3.05. Disability Accommodations.

(1) The Americans with Disabilities Act (ADA) and the Kentucky Civil Rights Act prohibit discrimination based on disability and ensure equal opportunity in employment for qualified individuals with disabilities.

(2) The ADA Coordinator processes requests for reasonable accommodations consistent with current law and ensures reasonable accommodations are provided in a prompt, fair, and efficient manner.

(3) Definitions. The following definitions apply to Section 3.05 of these Policies and as otherwise designated within these Policies:

(a) “Reasonable Accommodation” means modifications or adjustments to:

(i) A job application process that enables a qualified applicant with a disability to be considered for the position desired;

(ii) The work environment, or the manner or circumstances under which the position held or desired is customarily performed, to enable a qualified individual with a disability to perform the essential functions of that position; or

(iii) Enable an employee with a disability to enjoy equal benefits and privileges of employment as are enjoyed by other similarly situated employees without disabilities.

(b) “Disability” means, with respect to an individual:

(i) A physical or mental impairment that substantially limits one or more of an individual's major life activities;

(ii) A record of such an impairment; or

(iii) Being regarded as having such an impairment.

(c) “Major Life Activities” means activities that include, but are not limited to, caring for oneself, performing manual tasks, seeing, hearing, eating, sleeping, walking, standing, lifting, bending, speaking, breathing, learning, reading, concentrating, thinking, communicating, interacting with others, and working. These also include the operation of a major bodily function, including but not limited to, functions of the immune system, special sense organs and skin, normal cell growth, digestive, bowel, bladder, neurological, brain, respiratory, circulatory, cardiovascular, endocrine, hemic, lymphatic, musculoskeletal, and reproductive functions.

(d) “Qualified Individual with a Disability” means an individual with a disability who satisfies the requisite skill, experience, education, and other job-related requirements of the position that the individual holds or desires, and who, with or without reasonable accommodation, can perform the essential functions of such position.

(e) “Essential Functions” means the fundamental job duties of an employment position. A function can be essential if, among other things, the position exists specifically to perform that function; there are a limited number of other employees who could perform the function; or the function is specialized, and the individual is hired based on his or her ability to perform it. This term does not include the marginal functions of the position.

(f) “Undue Hardship” means a specific accommodation would require significant difficulty or expense. Determination of undue hardship is made on a case-by-case basis, considering factors that may include, but not be limited to, the nature or cost of the accommodation needed and the impact of the accommodation on the operations of the office or agency.

(4) Request for Reasonable Accommodation

(a) An employee may request a reasonable accommodation from his or her appointing authority or designee or the ADA Coordinator either verbally or in a written request.

(b) A verbal request for an accommodation must be confirmed in writing by the employee within seven calendar days by completing form AOC-ADA-1, Request for Accommodation Under the Americans with Disabilities Act (ADA). An employee must submit the completed form to his or her appointing authority or designee for authorization. The employee must then submit the authorized form AOC-ADA-1 to the ADA Coordinator.

(c) When an employee has requested a reasonable accommodation and if both the disability and the need for accommodation are obvious, it may not be necessary for the KCOJ to seek medical information regarding the employee's medical condition and the effect of that condition on performing the essential functions of the job. However, the KCOJ reserves the right to determine through appropriate means whether the employee can perform the essential functions of the job with or without a reasonable accommodation.

(d) When an employee has requested a reasonable accommodation and the disability or need for accommodation is not obvious, the KCOJ will request medical information to determine if the employee is a qualified individual with a disability as defined by the ADA.

(e) To obtain the necessary medical information, the ADA Coordinator will contact the employee and request the employee complete form AOC-PER-5.1, Authorization to Release Medical Information, and fax, email, or mail the completed form to the ADA Coordinator within 15 calendar days of the date of the request.

(f) The ADA coordinator will also contact and request the employee's appointing authority or designee complete form AOC-ADA-5, Kentucky Court of Justice Essential/Marginal Duties Form, and fax, email, or mail the completed form to the ADA Coordinator within 15 calendar days of the date of the request.

(g) Upon receipt of the completed form AOC-PER-5.1 and form AOC-ADA-5, the ADA Coordinator will send correspondence by certified mail to the employee's licensed health care provider.

(i) In addition to explaining the purpose of the correspondence, it will also request the employee's licensed health care provider use form AOC-ADA-2, Request for Accommodation Medical Report, to:

a. Describe the employee's medical condition;

b. Explain the effect of the medical condition on the performance of the essential functions of the employee's job; and

c. Recommend accommodation(s) that would enable the employee to perform those essential functions.

(ii) To assist the licensed health care provider with assessing the employee's request for an accommodation, the ADA Coordinator will include with the correspondence form AOC-ADA-1 and form AOC-PER-5.1 completed by the employee, the employee's Job Description, form AOC-ADA-5 completed by the employee's appointing authority or designee, and form AOC-ADA-2.

(h) Medical information obtained in connection with the reasonable accommodation process will be kept confidential and placed in a file separate from the employee's personnel file.

(i) The employee's failure to provide appropriate documentation or to cooperate with the efforts of the ADA Coordinator to obtain such documentation may result in denial of the reasonable accommodation.

(5) Disability Determination and Need for a Reasonable Accommodation.

(a) Before addressing the merits of the accommodation request, the ADA Coordinator, using form AOC-ADA-4, Kentucky Court of Justice Reasonable Accommodation Decision Guide, must first determine whether the employee is a qualified individual with a disability under the ADA.

(b) If the ADA Coordinator reasonably believes that the employee is a qualified individual with a disability, the ADA Coordinator will work with the employee to identify potential reasonable accommodations. The ADA Coordinator must determine and document on form AOC-ADA-4:

(i) Whether the accommodation is needed;

(ii) The effectiveness each potential accommodation would have in enabling the employee to perform the essential functions of the position;

(iii) Whether the requested accommodation is effective and whether providing the accommodation would pose an undue hardship on the office or agency;

(iv) Whether there would be an alternative accommodation that would not pose an undue hardship on the office or agency;

(v) If there is no alternative accommodation, whether there is an equivalent vacant position for which the employee is qualified and may be reassigned, unless to do so would pose an undue hardship on the office or agency; and

(vi) If there is no vacant equivalent position, whether there is a vacant lower-level position for which the employee is qualified and may be reassigned, unless to do so would pose an undue hardship on the office or agency.

(6) Notification to Grant or Deny Reasonable Accommodation Request.

(a) The HR Director or designee must provide the employee with written notification and an explanation of the decision to grant or deny the request.

(b) The reasonable accommodation granted may not be the accommodation requested by the employee. The HR Director or designee has the ultimate discretion to choose among effective accommodations. If the reasonable accommodation cannot be provided immediately, the HR Director or designee must inform the employee when it will be provided.

(c) If a reasonable accommodation request is denied and the employee is not satisfied with the result, the employee may request a reconsideration of the decision to the AOC Director's Office or file a complaint with the Equal Employment Opportunity Commission (EEOC), the Kentucky Commission on Human Rights, or the applicable local human rights commission.

(7) Service Animals.

(a) An employee who has a disability and is requesting an accommodation for use of a service animal may request an accommodation following the procedure identified under Section 3.05(4) of these Policies. All service animals must be registered with the AOC HR Department.

(b) For purposes of Section 3.05(7) of these Policies and as otherwise designated within these Policies, “service animal” is defined, consistent with the ADA, as a dog that has been individually trained to work or perform tasks for the benefit of an individual with a disability, including, but not limited to, guiding individuals with impaired vision, alerting individuals to an impending seizure or protecting individuals during one, and alerting individuals who are hearing impaired to intruders, or pulling a wheelchair and fetching dropped items.

(c) All service animals must be licensed, registered, and/or vaccinated in compliance with any statute, administrative regulation, or local ordinances. Service animals must wear a tag displaying its vaccinated status. Service animals must be harnessed, leashed, or tethered, unless these devices interfere with the service animal's work or the individual's disability prevents them from using these devices, in which case the individual must maintain control of the animal through voice, signal, or other effective controls.

(d) The service animal's handler must be in complete control of the service animal at all times. The care and supervision of a service animal is solely the responsibility of its handler. An individual who brings a service animal into the workplace is completely and solely liable for any injuries or damage to property caused by the animal. Any repair or cleaning costs incurred by a service animal will be charged to the handler.

(e) All service animals and their respective handlers are expected to exhibit reasonable behavior while in the workplace. The service animal must be properly groomed and maintained so as to avoid disruption to others in the workplace. In addition, if a service animal is out of control and the handler does not take effective action to control it, the service animal may be excluded.

Section 3.06. Pregnancy-Related Accommodations.

(1) The Pregnancy Discrimination Act of 1978, Kentucky Pregnant Workers Act (“KPWA”), and the Pregnancy Workers Fairness Act (“PWFA”) (collectively referred to as “pregnancy rights laws”) prohibit discrimination due to pregnancy, childbirth, or a related medical condition of an employee or elected or appointed official.

(2) The ADA Coordinator processes requests for reasonable accommodations due to pregnancy, childbirth, or a related medical condition, and ensures reasonable accommodations are provided in a prompt, fair, and efficient manner.

(3) Definitions. The following definitions apply to Section 3.06 of these Policies:

(a) “Essential Functions” has the same meaning as provided in Section 3.05(3)(e) of these Policies.

(b) “Reasonable Accommodation” means providing modifications or adjustments including providing more frequent or longer breaks, time off to recover from childbirth, acquisition or modification of equipment, appropriate seating, temporary transfer to a less strenuous or less hazardous position, job restructuring, light duty, modified work schedule, and private space that is not a bathroom for expressing breast milk.

(c) “Related Medical Condition” includes but is not limited to lactation or the need to express breast milk for a nursing child and has the same meaning as in the Pregnancy Discrimination Act, 42 U.S.C. sec. 2000e(k).

(d) “Undue Hardship” has the same definition provided in Section 3.05(3)(f) of these Policies and in addition, includes the following factors:

(i) The duration of the requested accommodation(s); and

(ii) Whether similar accommodations are required by policy to be made, have been made, or are being made for another employee due to any reason.

(4) Request for a Reasonable Accommodation.

(a) An employee may request a reasonable accommodation from his or her appointing authority or designee either verbally or by completing form AOC-KPWA-1, Employee Request for an Accommodation Under Kentucky Pregnant Workers Act (KWPA). Upon receipt, the appointing authority or designee must submit the request and the completed form to the ADA Coordinator.

(b) A verbal request for an accommodation must be confirmed in writing by the employee within seven calendar days by completing form AOC-KPWA-1. An employee must submit the completed form to his or her appointing authority or designee.

(c) When the need for an accommodation under the pregnancy rights laws is obvious, the KCOJ will not seek any further documentation or information. If the need for an accommodation is not obvious, the KCOJ may ask the employee for reasonable documentation related to the accommodation request.

(d) Medical information obtained with the reasonable accommodation process will be kept confidential and placed in a file separate from the employee's personnel file.

(5) Determination of Pregnancy-Related Accommodation Request.

(a) The ADA Coordinator will engage in a timely, good faith, and interactive process to determine effective reasonable accommodations.

(b) The ADA Coordinator will consider the following when evaluating a request for an accommodation:

(i) The effectiveness each potential accommodation would have in enabling the employee to perform the essential functions of the position; and

(ii) If the requested accommodation is effective, whether providing the accommodation would pose an undue hardship on the office or agency.

(c) An employee will not be required to take leave from work if another reasonable accommodation can be provided.

(6) Notification of an Accommodation Decision

(a) The HR Director or designee must provide to the employee, and the employee's appointing authority or designee, a written notification and explanation of the accommodation decision.

(b) The reasonable accommodation granted may not be the accommodation requested by the employee. The HR Director or designee has the ultimate discretion to choose among effective accommodations. If the reasonable accommodation cannot be provided immediately, the HR Director or designee must inform the employee when it will be provided.

(c) If a reasonable accommodation request is denied and the employee is not satisfied with the result, the employee may request a reconsideration of the decision to the AOC Director's Office or file a complaint with the Kentucky Commission on Human Rights, or the applicable local human rights commission.

Section 3.07. Drug- and Alcohol-Free Workplace.

(1) In accordance with the federal Drug-Free Workplace Act of 1988, elected officials, appointed officials, and employees are prohibited from manufacturing, distributing, dispensing, unlawfully possessing, or unlawfully using a controlled substance in the workplace.

(2) Drug-Free Awareness. The Chief Justice delegates to the AOC Director the responsibility to inform employees and officials about:

(a) The dangers of drug abuse in the workplace;

(b) The KCOJ's policy of maintaining a drug-free workplace;

(c) Any available drug counseling, rehabilitation, and employee assistance programs; and

(d) The penalties that may be imposed upon employees and officials for drug and alcohol abuse violations.

(3) Definitions. For the purpose of Section 3.07 of these Policies and as otherwise designated within these Policies, the following definitions shall apply:

(a) “Controlled Substance” means a controlled substance in Schedules I through V of 21 U.S.C. § 812 or KRS Chapter 218A.

(b) “Conviction” means the finding of guilt (including a plea of nolo contendere), an imposition of sentence, or both, by a judicial body charged with the responsibility to determine violations of federal or state criminal drug statutes.

(c) “Impaired by alcohol” means a person has an alcohol concentration equal to or greater than .04 or diminished motor functioning attributable to the person's consumption of alcohol.

(d) “Impaired by a controlled substance” means a person has a confirmed positive drug test result or diminished motor functioning attributable to the person's use of a controlled substance, which has not been validly prescribed to the person and/or used in the manner prescribed.

(4) Criminal Charges and Convictions. Employees charged or convicted of a criminal offense under KRS Chapter 189A, KRS Chapter 218A, KRS Chapter 506, or 21 U.S.C. § 801 et seq. must report it to their supervisor or appointing authority pursuant to Section 2.13 of these Policies.

(5) Testing.

(a) Employees may be required to submit to drug and alcohol testing based on, but not limited to, observations and behaviors in the workplace that create a reasonable suspicion that the employee is impaired by alcohol and/or a controlled substance as observed by at least two individuals, one of whom should be a KCOJ employee or official. Testing may not be warranted in situations of apparent intoxication.

(b) The employee's supervisor or appointing authority must document the reported observations and behaviors and determine, in consultation with the AOC HR Department, whether the observations create a reasonable suspicion that the employee is impaired by alcohol and/or a controlled substance.

(c) All employees who are involved in a vehicle or equipment accident in the workplace are required to submit to drug and alcohol testing.

(d) When an employee is required to submit to drug and alcohol testing, the employee's supervisor or appointing authority and the AOC HR Department will inform the employee of the basis for the testing and the requirement to undergo a drug and alcohol test within the next two hours.

(6) Prohibited Conduct and Disciplinary Actions.

(a) Prohibited conduct includes:

(i) Unlawful manufacture, distribution, dispensation, possession, facilitation, solicitation, or use of a controlled substance in the workplace;

(ii) Being impaired by alcohol and/or a controlled substance in the workplace;

(iii) Consumption of alcohol in the workplace or while on a paid or unpaid break;

(iv) Inability to work efficiently and effectively because of off-duty use of a controlled substance or alcohol;

(v) Violations of law(s) related to controlled substances or alcohol consumption;

(vi) Failure to notify the appointing authority or supervisor of a conviction under KRS Chapter 189A, KRS Chapter 218A, KRS Chapter 506, or 21 U.S.C. § 801 et seq.; and

(vii) Failure to submit to drug and alcohol testing when required to do so.

(b) Disciplinary Action

Any violation of this policy by an employee may result in disciplinary action, up to and including dismissal.

Section 3.08. Workplace Violence.

(1) KCOJ employees have the right to a safe workplace free from violence and threats of violence. Violence in the workplace will not be tolerated. The KCOJ has adopted the following guidelines to address workplace violence.

(2) Weapon Prohibition.

(a) The KCOJ prohibits any employee from carrying a weapon, including licensed concealed weapons, into any workplace and any portion of related court spaces or buildings, places of employment, or educational sites. This does not include the legal possession of a weapon in a vehicle.

(b) Removal of a weapon from a vehicle is prohibited while on property that is leased, owned, or reserved for use by the KCOJ.

(c) Exceptions to Section 3.08(2)(a) of these Policies include AOC Court Security Coordinators and AOC Security Officers if it is necessary for their official duties; and Justices, Judges, and Circuit Court Clerks, including retired and senior status Justices and Judges actively serving on the bench.

(3) Workplace Violence.

(a) “Workplace Violence” means the attempt, threat, or act of intimidation, harassment, physical violence, and abuse that endangers or is likely to endanger the health and safety of KCOJ employees, including oneself, officials, or the general public while in the workplace.

(b) A KCOJ employee is prohibited from engaging in workplace violence during his or her work hours, or when conducting KCOJ business or using KCOJ resources.

(c) Workplace violence may be perpetrated by an elected or appointed official, a manager, supervisor, employee, or co-worker, a member of an employee's or official's family, or a member of the general public.

(4) Examples of Workplace Violence. Workplace violence includes, but is not limited to, the following:

(a) Threatening to harm an official, an employee, including oneself, or a member of the general public;

(b) Brandishing or displaying a weapon or an object that can be used as a weapon in a manner which would threaten, intimidate, or present a safety risk to an official, an employee, including oneself, or a member of the general public;

(c) Intimidating, threatening, or harassing another person either verbally, in writing, or by gesture;

(d) Stalking; or

(e) Striking, slapping, or otherwise physically assaulting another person.

(5) Reporting and Investigative Responsibilities.

(a) All employees and elected and appointed officials are encouraged to be alert to the possibility of workplace violence on the part of officials, managers, supervisors, employees, former employees, and members of the general public.

(b) Employees must notify their appointing authority or designee as soon as possible of any acts or threats of workplace violence they have either witnessed or received. This includes any threatening statement, harassment, or behavior they have reasonable cause to believe is a potential risk to their health and safety, or to other officials, employees, or the general public. Employees should not place themselves in peril.

(c) In the event of an active attacker in the workplace, employees should follow the KCOJ Active Attacker Workplace Response Plan, including contacting law enforcement or 911 when it is safe to do so.

(d) The appointing authority or designee must use form AOC-FAC-50, KCOJ Security Incident Report, to report acts or threats of workplace violence. Form AOC-FAC-50 must be submitted to the AOC Court Security Unit via email, [email protected], by the close of the next business day following the security incident or as soon as possible. AOC Court Security must notify the HR Director and General Counsel, or their designees, of all incidents of workplace violence.

(e) When necessary, the AOC Court Security Manager, in cooperation with the HR Director or designee, will coordinate and conduct an investigation of the reported acts or threats of workplace violence identified in the form AOC-FAC- 50.

(6) To maintain workplace safety and/or the integrity of an investigation, an employee may be suspended, with or without pay, pending investigation, as determined by the HR Director or designee. In all instances of suspension under Section 3.08 of these Policies, the appointing authority must submit a Personnel Action Request (PAR) to the HR Director indicating the effective dates of paid or unpaid leave.

(7) Any employee in violation of this policy is subject to appropriate discipline up to and including dismissal.

(8) Employees suspended without pay pursuant to Section 3.08(6) of these Policies may use accrued paid leave while suspended without pay.

(9) Suspensions without pay involving tenured employees are subject to the grievance and appeal procedures identified in Section 8 of these Policies after they return to work or final action has been taken.

(10) Retaliation against any person for reporting or assisting in the investigation of workplace violence is prohibited.