HomeMy WebLinkAboutResolution 95-062RESOLUTION NO.95-62
DELEGATING AUTHORITY TO THE GENERAL MANAGER AND
STAFF RE EXPENDITURE OF DISTRICTS’FUNDS AND
PERSONNEL ISSUES
A JOINT RESOLUTION OF THE BOARDS OF DIRECTORS OF COUNTY
SANITATION DISTRICTS NOS.1,2,3,5,6,7,11,13 AND 14 OF ORANGE
COUNTY,CALIFORNIA DELEGATING AUTHORITY TO THE DISTRICTS’
GENERAL MANAGER AND STAFF RELATING TO EXPENDITURE OF FUNDS
FOR CONTRACTS FOR THE ACQUISITION OF SERVICES,CONSTRUCTION,
SUPPLIES AND MATERIALS;EMPLOYEE TIMEKEEPING RECORDS;
EMPLOYEE HIRING,PROMOTION,PERFORMANCE REVIEW AND DISCIPLINE;
AND TRAVELAND TRAINING EXPENDITURES
WHEREAS,the General Manager has submitted comprehensive management reports to
each of the standing Committees of the Boards of Directors,recommending increased responsibility
throughout the various levels of the employee organization;and,
WHEREAS,the standing Committees of the Boards of the Directors have determined that
an effective,comprehensive organization needs an administrative structure with support procedures
that are understood by the Directors,management and the Districts’employees to enable timely
and responsive performance of duties;and,
WHEREAS,the Boards of Directors have determined that a delegation of authority structure
provides for better training of employees which will result in improved efficiency and effectiveness of
the Districts’operations;and,
WHEREAS,the standing Committees of the Boards of Directors have determined that four
major areas for delegation of authority and responsibility,as recommended by the General
Manager,should appropriately be delegated to the General Manager and Staff for implementation;
and,
WHEREAS,the four major areas consist of (1)the awarding of contracts or purchase orders
to acquire non-professional services,supplies and materials,and for minor construction projects;
(2)employee timekeeping records and overtime authorizations;(3)personnel issues relating to
hiring,promotions,performance reviews and disciplinary action;and (4)travel and training policies
and expenditures.
NOW,THEREFORE,the Boards of Directors of County Sanitation Districts Nos.1,2,3,5,
6,7,11,13 and 14 of Orange County,California,
DO HEREBY RESOLVE,DETERMINE AND ORDER:
Section 1:That the General Manager and Staff of the Districts are hereby delegated
authority to perform the duties,functions and responsibilities for the Districts’operations,in
accordance with the detailed specifications and limitations set forth on Exhibit UAII attached hereto
and incorporated herein by reference.
PASSED AND ADOPTED at a regular meeting held June 28,1995.
9~62
SUPERSEDED
“EXHIBIT A”
DELEGATION OF AUTHORITY
INTRODUCTION
An effective,comprehensive organization needs an administrative structure with support
procedures that make sense,are well documented,are understood by the organization’s
employees,and that enable timely and responsive administrative acquisition of contracts and
services.The organization should also appropriately delegate authority to those persons and units
having responsibility for these activities.
THE NEED FOR DELEGATED AUTHORITY
In an effort to remove barriers that prevent us from performing our jobs at the highest level,a
delegation of authority structure will appropriately train our employees and,through providing
increased responsibility and ownership,will contribute to the improved efficiency and effectiveness
of the Districts.
A critical component of the delegation of authority structure is the budget process.The budget
process is being improved so that:
1.appropriate and equitable resources are provided to all divisions during the budget
development process;
2.an iterative and interactive exchange (including goal setting)is undertaken during
the assembly of the budget that actually authorizes expenses when a line item is
approved;
3.a realistic budget is developed;
4.a process is established to manage emergency or unbudgeted items;
5.an ongoing auditing program is established to provide checks-and-balances;and
6.managers are held accountable for managing their budget.
PROCEDURE FOR DELEGATION OF AUTHORITY
GENERAL
The attached Tables 1 through 4 list delegated signature authority for four areas:(1)contracts,
services and purchase orders;(2)time cards and overtime;(3)hiring,promotions,reviews and
disciplinary action;and (4)travel and training,respectively.
Each table lists,in the lefthand columns,signature authority from the Boards of Directors down
through section and/or shop foremen.Listed on the top row of each table are the functions/services
that require signature approval.
With the exception of hiring,promotion,review and disciplinary action,delegated authority for that
functional management level will be elevated one level in the absence of respective authority.The
General Manager (GM)will formally delegate his authority to one of the Assistant General
Managers (AGM)in his absence.
These procedures establish the framework and boundaries within which a delegatee can operate,
and also provide management with a mechanism to evaluate implementation and hold the
delegatee accountable for his/her actions.
I.CONTRACTS,SERVICES AND PURCHASE ORDERS (Excluding Public Works Contracts
Governed by State Law and Professional Services Agreements Governed by Board
Resolution 95-9)
The following signature authority will be used.The functional authority level listed describes the
highest level of signature approval needed.Intermediate management approval between the
initiator/requestor and listed approval level is also obtained.
A.Budgeted Items
1.Items exceeding $50,000 require Boards of Directors approval.
2.Items $25,000 to $49,999 require GM or AGM approval.
3.Items $10,000 to $24,999 require Department Director approval.
4.Items $5,000 to $9,999 require Division Manager approval.
5.Items $1,000 to $4,999 require Section Supervisor approval.
6.Items less than $1,000 require Foreman approval
B.Unbudgeted Items
For unbudgeted items,approval for the acquisition of goods or services will not occur unless a
budgeted item of equal or greater value is given up.No net increase in the Districts’budget will
occur as the result of an acquisition of an unbudgeted item.
1.Items exceeding $50,000 require Boards of Directors approval.
2.Items $10,000 to $49,999 require GM orAGM approval.
3.Items $5,000 to $9,999 require Department Director approval.
4.Items $1,000 to $4,999 require Division Manager approval.
5.Items less than $1,000 require Section Supervisor approval.
C.Co-signatures
In addition to the signature of the Delegated Authority:
1.To ensure that all policies and procedures governing purchase orders and contracts
are followed,all contracts or purchase orders less than $50,000 will be signed by
the Purchasing Manager.All contracts or purchase orders $50,000 and above will
be signed by the Director of Finance after Boards’approval.
2.All purchases for computer hardware,software and communication equipment will
be signed by the Information Technology Director or designee.
D.Procedural Reguirements
All policies and procedures governing the procurement of services,equipment or supplies,will
apply.These are the following,including updates as appropriate:
1.Resolution No.90-43 -Professional Services Contracts
2.Resolution No.86-81 -Purchasing Resolution
3.Resolution No.95-9 -Professional Services Contract/Change Order to Consultant
Contracts
4.Petty Cash procedures.
For unbudgeted items prior to the acquisition of goods or services that were not budgeted,
either a budget transfer request form must be completed demonstrating that adequate funds
are available to cover the acquisition,or the Boards of Directors must authorize a budget
amendment,at which time the item being acquired would fall into the budgeted category.
E.Reporting
The General Manager,Assistant General Managers,Department Directors and Division
Managers will receive monthly cumulative updated reports from the Finance Department on
all major contracts,services and purchase orders.The Boards of Directors shall receive
this report on a quarterly basis.The format,reporting amount and other details will be
worked out by the Finance Department.This will include the following:
•Authorizing Division
•Contract/Purchase Order Amount
•Previous Amount Authorized (If Applicable)
•Brief Description of Service or Item.
•Term of Contract
•Budgeted or Unbudgeted Item
The Finance Department may develop interim reports that do not contain all of the information listed
above during the period that the Financial Management System is being developed.
TABLE 1:Contracts,Services and Purchase Orders
CONTRACTS.SERVICES AND PURCHASE ORDERS
(PUBLIC WORKS CONTRACTS
GOVERNED BY STATE LAW AND PROFESSIONAL
SERVICES AGREEMENTS GOVERNED BY BOARD
RESOLUTION 95-9~
Budgeted
Non
Budgeted
Boards of Directors >50000 >50000
GM and AGM 25,000 to
49,999
10,000 to
49,999
Department Directors 10,000 to
24,999
5,000 to
9,999
Division Managers 5,000 to
9,999
1,000 to
4,999
Section Supervisors 1,000to
4,999
<1,000
Foreman <1,000 -
H.TIME CARDS AND OVERTIME
A.Procedure for Time Card Approval
The direct supervisor can approve time cards and overtime requests/reports for employees
reporting to him/her.
1.In the absence of the GM,AGMs can approve each other’s timecards,but not their
own.
2.In the absence of the AGM,the other AGM or the GM can approve time cards of
Department Directors.
3.In the absence of the Department Director,the GM or AGM can approve time cards
of Division Managers,within that department.
4.In the absence of Division Manager,the Department Director,AGM or GM can
approve time cards of employees within that division.
B.Overtime Approval
1.Department Directors approve all overtime requests that are exceptions to the
Districts’policy on overtime request.
2.Division Managers or Section Supervisors can approve all other overtime requests
that conform with Districts’policy.
C.Reporting and Monitoring
1.The Department Directors and Division Managers receive a monthly summary of
overtime requests including exceptions.
2.The GM and AGM receive a monthly summary on exceptions to overtime requests.
TABLE 2:Time Cards and Overtime RequestslReports
Time Cards Overtime Requests Overtime Reports
GM -Approve AGM and
Executive Assistant II
-Receive monthly
Summary Reports of
exceptions only
AGM
-Approve Department
Directors and
Executive Assistant II
-Receive monthly
Summary Reports of
exceptions only
Department
Director
-Approve Division
Managers and
Executive Assistant I
-Approve exceptions to
Districts’policy
-Receive monthly
Summary Reports
with exceptions
Division Manager -Approve Section
Supervisors and
Division Secretary
-Approve when
meeting Districts’
policy
-Receive monthly
Summary Reports
with exceptions
Section Supervisor
or Equivalent
-Approve assigned staff -Approve when
meeting Districts’
policy
Ill.HIRING,PROMOTIONS,REVIEWS AND DISCIPLINARY ACTION
All hiring and promotions will be jointly signed by highest level of initiating management listed below
and the Director of Human Resources.All initiating management levels below the highest level
must also provide approval.
A.Procedure for Hiring and Promoting
1.Unbudgeted hiring or promotions require approval of the Boards of
Directors.
2.Ahead-of-schedule hiring or promotions require the approval of the GM or AGM.No
net increase in the Districts’salary and wages budget will occur as a result of ahead-
of-schedule hiring or promotions.
3.Budgeted hiring requires approval of the Department Director.
4.Budgeted promotions require approval of the Division Manager.
B.Disciplinary Action
1.Terminations are finally approved by the GM or AGM after consultation with the
Director of Human Resources to ensure that the policies have been followed.
2.Suspensions exceeding five working days are finally approved by the Department
Director (or higher management level)after consultation with the Director of Human
Resources to ensure that the policies have been followed.
3.Suspensions of five days or less are finally approved by the Division Manager (or
higher management level)after consultation with the Director of Human Resources to
ensure that the policies have been followed.
4.Written or verbal reprimands on employee performance are finally approved by
Supervisors (or higher management level)after consultation with the Director of
Human Resources to ensure that policies have been followed.
C.Co-Signatures
All hiring and promotions will adhere to all recruitment and hiring policies of the Human
Resources Department;Boards of Directors;Resolutions and Memorandum of
Understandings and require co-signatures of the delegated initiating management and the
Director of Human Resources with a statement affirming that the policies have been
followed.
D.Reporting and Monitoring
The GM,AGM and Department Director will receive monthly reports on all hiring,promotions
and terminations.
TABLE 3:Hiring,Promotions and Disciplinary Action
Hires and Disciplinary Action
Promotions
Boards of
Directors
Unbudgeted
Positions
GM or AGM Budgeted but
Ahead of
Schedule
Approves (after consultation with Director
of Human Resources)terminations and
•receives report on all hiring,promotions
and terminations.
Department
Director
All budgeted and
Scheduled
Approves (after consultation with Director
of Human Resources)suspensions
exceeding five working days and
receives report on all hiring,promotions
and terminations.
Division
Manager
Budgeted
Promotions
Approves (after consultation with Director
of Human Resources)five-day-or-less
suspensions and other disciplinary
actions.
Supervisor!
Foreman
Manager
•
Approves (after consultation with Director
of Human Resources and Division
Manager)written and verbal reprimands.
IV.TRAVEL AND TRAINING
A.General
1.Travel or training exceeding $500 will be itemized,as well as possible,in the
approved budget.It is recognized that some travel cannot be preplanned.
2.All out-of-country travel requires approval by the Boards of Directors.
3.All out-of-state travel requires approval by the GM or AGM.
4.Established approvals must be received prior to arrangements for travel or
training being made.
B.Budgeted (excluding labor hours)
1.Travel or training requests exceeding $2,000 will be approved by the GM or
AGM.
2.Travel or training requests less than or equal to $2,000 and exceeding $1,000
will be approved by the Department Director.
3.Travel or training requests less than or equal to $1,000 will be approved by
the Division Manager.
C.Unbudgeted (excluding labor hours)
1.Travel or training requests exceeding $1,500 will be approved by the GM or
AGM.
2.Travel or training requests less than or equal to $1 ,500 and exceeding $1 ,000
will be approved by the Department Director.
3.Travel or training requests less than or equal to $1 ,000 will be approved by
the Division Manager.
D.Policies and Procedures
All policies and procedures governing travel and training such as the use of Districts’
forms and justification,will be followed.
E.Reporting and Monitoring
The GM,AGM,Department Director and DivisionManager will receive monthly
reports from the Finance Department on all travel and training.The Finance
Administration and Human Resources Committee (FAHR)will receive quarterly
reports t~iat include the following:
•Requesting Division
•Dollar Amount
•Brief Description
•Budgeted or Unbudgeted
•Number of Days
•Number of Attendees
TABLE 4:Travel and Training
Approve Travel and Training Budgeted Unbudgeted
Boards of Directors Out of Country
GM or AGM Out of State >$2,000 >$1,500
Department Director >$1,000 to $1,999 >$1,000 to $1,499
Division Manager $1,000 $1,000
STATE OF CALIFORNIA)
)SS.
COUNTYOFORANGE
I,PENNY KYLE,Secretary of the Boards of Directors of County Sanitation Districts
Nos.1,2,3,5,6,7,11,1 3 and 14 of Orange County,California,do hereby certify that
the foregoing Resolution No.95-62 was passed and adopted at a regular meeting of said
Boards on the 28th day of June,1 995,by the following vote,to wit:
AYES:George Brown,John Collins,John C.Cox,Jr.,Jan Debay,Barry
Denes,Shirley Dettloff,Burnie Dunlap,Norman Z.Eckenrode,James
M.Ferryman,James H.Flora,Don R.Griffin,John M.Gullixson,Barry
Hammond,Victor Leipzig,Wally Linn,Pat McGuigan,Jim Potts,
Margie L.Rice,Julie Sa,Sal A.Sapien,Sheldon S.Singer,Roger R.
Stanton,William G.Steiner,Peer A.Swan,Charles E.Sylvia,Bob
Zemel
NOES:None
ABSENT:Cecilia L.Age,Mark A.Murphy
IN WITNESS WHEREOF,I have hereunto set my hand and affixed the official seal of
County Sanitation District No.1 on behalf of itself and Districts Nos.2,3,5,6,7,11,1 3
and 14 of Orange County,California,this 28th day of June,1 995.
Districts
Nos.1,2,3,5,6,7,1,13and1~of
Orange County,California
J:~WPDOC\BS\FORMS\95\F1 2.061