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Home My WebLink AboutResolution 97-36RESOLUTION NO.97-36 ADOPTING A HUMAN RESOURCES POLICIES AND PROCEDURES MANUAL PROVIDING FOR CLASSIFICATION.COMPENSATION AND OTHER TERMS. CONDITIONS.POLICIES AND PROCEDURES GOVERNING DISTRICTS EMPLOYMENT A JOINT RESOLUTION OF THE BOARDS OF DIRECTORS OF COUNTY SANITATION DISTRICT NOS.1,2,3,5,6,7,II,13 AND 14 OF ORANGE COUNTY,CALIFORNIA,ADOPTING A HUMAN RESOURCES POLICIES AND PROCEDURES MANUAL PROVIDING FOR CLASSIFICATION, COMPENSATION AND OTHER TERMS,CONDITIONS,POLICIES AND PROCEDURES GOVERNING EMPLOYMENT OF DISTRICTS’EMPLOYEES 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: 1.That the attached Human Resources Policies and Procedures Manual be adopted; 2.That any change in the policies set forth in the Human Resources Policies and Procedures Manual must be approved by the Boards of Directors; 3.That the General Manager,or his or her designee,is authorized to develop, administer,modify and amend written Human Resources procedures in order to augment,clarify or otherwise provide for the proper implementation of the Human Resources policies,adopted by the Boards of Directors and set forth in the Human Resources Policies and Procedures Manual,and to authorize special adjustments to avoid or eliminate inconsistencies which may result from a strict application of the Human Resources policies. 4.That the General Manager is directed to report to the Finance,Administration and •Human Resources Committee in October and April of each year concerning any additions,deletions or modifications to the written procedures contained in the Human Resources Policies and Procedures Manual during the preceding six • months. PASSED AND ADOPTED at regular meeting held October 22,1997. H:\wp.dta\admin\BS\ResoIutions\RES97~HR P &P Resolution 97-36.doc STATEOFCALIFORNIA )SS. COUNTY OF ORANGE ) I,PENNY KYLE,Secretary of 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 certify that the foregoing Resolution No.97-36 was passed and adopted at a regular meeting of said Boards on the 22nd day of October,1997,by the following vote,to wit: AYES:Steve Anderson;George Brown;Tom Carroll;John Collins;Jan Debay; V Barry Denes;Shirley Dettloff;Brian Donahue;Burnie Dunlap;Norman Z. Eckenrode;James M.Ferryman;Mark Leyes;Patsy Marshall;Pat McGuigan;Eva Minor-Bradford;Mark A.Murphy;Chris Norby;John E. Noyes;Margie Rice;Thomas R.Saltarelli;Mark Schwing;Christina Shea; Todd Spitzer;William G.Steiner;Dave Sullivan;Peer A.Swan;Charles E.Sylvia;Hank Wedaa NOES:None ABSENT:Bob Zemel IN WITNESS WHEREOF,I have hereunto set my hand and affixed the official seal of County Sanitation District No.I on behalf of itself and Districts Nos.2,3,5,6,7, 11,13 and 14 of Orange County,California,this 22nd day of October,1997. V. ____ Penny Kyle,~~te)ar~ Boards of Di~e’cto(~,tounty Sanitation Districts Nos.1,2,3,5,6,7,11,13 and 14 of Orange County,California H:\wp.dta\admin\BS\FORMS\97~F1 2.036.doc Human Resources Department Policies and Procedures County Sanitation Districts of Orange County Effective October 22,1997 TABLE OF CONTENTS Conflict of Interest Code and Code of Ethics Nondiscrimination in Employment Sexual Harassment Policy Reference Checks Employment Opportunity Bulletins Lateral Transfers Employment of Relatives Employment of Former Employees Probationary Employees Employee Separation Layoff Procedure Outside Employment Operator Certification Maintenance and Renewal Section C -Wage and Salary Practices Policy C10.00 Policy C20.00 Policy C30.00 Policy C40.00 Policy C50.00 Policy C60.00 Policy C70.00 Policy C80.00 Policy C90.00 Policy C100.00 Policy Cl 10.00 Policy C120.00 Policy C130.00 Policy C 140.00 Policy C150.00 Policy C160.00 Classifications,Positions,Salary Ranges and Wages Compensation Appraisal of Performance Extraordinary Services Compensation for Exempt Employees in the Professional Group Overtime Pay -Nonexempt Employees Acting Pay Call-Back Pay Standby Pay Meal and Rest Periods Unscheduled Overtime Meals Travel and Business Expenses Part-time Employee Status and Benefits Wage Garnishments Severance Pay Deferred Compensation Shift Differential Pay Introduction and Purpose Section A -General Information Policy A10.00 Definitions Policy A20.00 Miscellaneous Provisions Section B -Employment Practices Policy B10.00 Policy B20.00 Policy B30.00 Policy B40.00 Policy B50.00 Policy B60.00 Policy B70.00 Policy B80.00 Policy B90.00 Policy B100.00 Policy B110.00 Policy B120.00 Policy B130.00 Table of Contents -Continued Section D -Employee Benefits Policy Dl 0.00 Leave-of-Absence With Pay Policy D20.00 Leave-of-Absence Without Pay Policy D30.00 Holidays Policy D40.00 Conferral of Leave Policy D50.00 Insurance Policy D60.00 Benefits Option Plan Policy D70.00 Retirement Policy D80.00 Employee Assistance Program Policy D90.OO Tuition Assistance Policy D100.00 Reimbursement Policy for Obtaining and Renewing Technical and Professional Licenses,Certifications and Registrations SECTION E -Communications Policy E10.00 Open Communications Policy E20.00 New Employee Orientation Policy E30.O0 Human Resources Records Policy E40.00 Solicitation and Distribution Policy E50.00 IDEA Program Policy E60.00 Internet Usage SECTION F -Daily Work Practices Policy Fl 0.00 Rules of Conduct Policy F20.O0 Hours of Work Policy F30.00 Attendance Policy Policy F40.00 Use of Districts’Property Policy F50.0O Problem Solving Procedure Policy F60.00 Grievance Procedure Policy F70.00 Discipline II Introduction and Purpose This manual contains the County Sanitation Districts’General Administrative Policies and Procedures;Human Resources Policies,the terms,conditions,rules and regulations of employment and consolidates all into one reference document,hereinafter referred to for convenience as the “Human Resources Manual”.Accordingly,these policies and procedures,as adopted by the Joint Resolution of the Boards of Directors,supersedes any and all prior Boards resolutions and actions that are inconsistent with these policies and procedures, unless otherwise specified herein.The General Manager,or his or her designee, has been authorized to develop,administer,modify and amend the procedures implementing the policies adopted by the Boards as set forth herein,in order to augment,clarify or otherwise provide for the proper implementation of these policies. The Human Resources Manual does not constitute a contract of employment. To the extent these policies and procedures are inconsistent with any term or provision of an individual employment agreement or Memorandum of Understanding,the term of provision of the employment agreement or Memorandum of Understanding shall govern. These updated policies and procedures should increase our mutual understanding of expectations,minimize the making of personal decisions on matters of Districts-wide policy,and help misunderstandings that concern employees may arise from time to time.We want to respond to those concerns quickly,and encourage employees to make use of both informal and formal communications,including grievance procedures contained in the various Memoranda of Understanding and in this manual,whenever necessary.Such a free exchange of information and ideas will help make the Districts a better place to work. Section A General Information County Sanitation Districts of Oran eCounty‘c~ Policy Number:A1O.OO Effective Date:October 22,1997 Subject:DEFINITIONS OF TERMS Supersedes: 1.0 PURPOSE Approved by: 1.1.The purpose of this policy is to establish uniform definitions of terms used in the Districts’policies and procedures. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1.This policy applies to all Districts’employees. At Will Employees include the General Manager and any Executive Management employee who has signed an agreement to serve at the pleasure of the Joint Boards or the General Manager.An “at-will”employee may be dismissed without notice or cause. “At-will”employees do not serve an initial probationary period. Call-Back Pay is paid to an employee by the Districts when an employee is called back to work by management without prior notice,and the employee has completed his or her normal work shift and left the plant,or when prior notice is given but the work begins on the same day at least three hours after completion of the regular shift,the employee shall receive a minimum of three hours of call-back pay. Classifications are groups of positions,regardless of location,which are alike enough in duties and responsibilities to be called by the same descriptive title,to be given the same pay scale under similar conditions,and to require substantially the same qualifications. Core Hours are the hours between 8:00 am.and 4:00 p.m. Contract Employees are those individuals who work for the Districts pursuant to a written employment agreement approved by the General Manager.The employment agreement shall set forth the specific term of employment,not to exceed one (1)year in duration,and may be renewed at the discretion of the General Manager. Notwithstanding any other provision contained in this manual,contract,employees are entitled only to the rights and benefits contained in the employment agreement,which in no event shall be greater than the rights and benefits approved for regular employees. Day Shift is an assigned work shift of at least seven consecutive hours between 6:00 a.m.and 6:00 p.m. 3.0 DEFINITIONS Page 1 Discipline is the occurrence of any of the following actions taken for just cause with respect to any employee:oral reprimand,counseling memo,written warning,suspension with or without pay,deferral or denial of a merit increase,reduction in pay,demotion to a classification with a lower top step of pay,or dismissal. Dismissal is a separation from Districts’employment of a non-probationary employee initiated by the Districts for proper cause. Districts means the County Sanitation Districts of Orange County. Executive Management employees include the General Manager,Assistant General Managers;the Director of Finance;the Director of Engineering;the Director of Technical Services;the Director of Communications;the Director of Operations and Maintenance; the Director of General Services Administration;the Director of Information Technology; and the Director of Human Resources. Exempt Employees are employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act,as amended.Such employees are considered exempt by virtue of their duties in conformance with the Act’s definition of Executive,Administrative and Professional responsibilities. Flextime is the ability of employees to choose their starting and finishing times so long as employees are present between the core hours of 8:00 am.and 4:00 p.m. Grievance is any complaint that management has violated a specific written policy or provision of a Memorandum of Understanding (MOU). Harassment for purposes of this policy,includes conduct that is so severe and pervasive that it creates a hostile and abusive working environment,and interferes with an employee’s ability to do his or her job. Immediate Family is defined as an employee’s father,father-in-law,mother,mother-in- law,brother,sister,husband,wife,child,grandparent,legal guardian,or any family member with whom the employee resides. Joint Administrative Organization (JAO)is the organization that governs and sets policy for the County Sanitation Districts of Orange County owing its legal existence to a joint powers provision in the County Sanitation District Act.In Orange County,this is implemented by the July 1,1985 Joint Ownership,Operation and Construction Agreement among the individual Sanitation Districts. Layoff is the involuntary release of an employee due to lack of work or lack of funds. Page 2 Overtime is the number of hours worked in paid status in excess of 40 during a workweek. Night Shift is an assigned work shift of at least seven consecutive hours between 6:00 p.m.and 6:00 am. Nonexempt Employees are employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act,as amended.Such employees, because of the type of work that they perform and their earnings level,are subject to receiving overtime pay in addition to any entitlement otherwise provided for in applicable Memoranda of Understanding or other policies. Payday is the Wednesday before the end of the pay period. Pay Periods are biweekly beginning at 12:01 a.m.on the Friday following payday and continuing for a 14-day period ending at midnight on the Thursday following the next payday. Probationary Period -Initial includes the first six months of employment with the Districts.This period is regarded as an extension of the hiring process,and provides an opportunity for both the employee and the Districts’management to assess,over a substantial period of time,whether or not the hiring decision was appropriate. Probationary employees become regular,full-time employees upon successful completion of their probationary period and the appropriate approval form,as provided by the Director of Human Resources. Probationary Period -Promotional includes either the first six months or a 90-day period,depending on applicable MOU provisions,immediately following the date of a promotion.This period is regarded as an extension of the selection process,and provides an opportunity for both the employee and the Districts’management to assess, over a substantial period of time,whether or not the decision was appropriate.“At-will” employees do not serve a promotional probationary period. Regular Full-time employees are those employees who regularly work an 80-hour, biweekly pay period for an indeterminate period of time.Regular full-time employees are entitled to benefits as set forth in the various bargaining unit Memoranda of Understanding (MOU)and elsewhere in the Districts’policies and procedures. Regular Part-time employees are those employees who regularly work less than 80 hours in a biweekly pay period for an indeterminate period of time.Regular part-time employees are entitled to prorated benefits. Relative is any person related by one of the following familial relationships to any employee at the agency:spouse,mother,father,brother,sister,child,grandmother, grandfather,grandchild,cousin,aunt,uncle,mother-in-law,father-in-law,brother-in-law or sister-in-law. Page 3 Release is a separation from employment in which the employee is not qualified for the type of work assigned and no other more suitable assignment is available.Release usually results from no fault of the employee.Employees serving an initial probationary period may be released without cause. Resignation is a voluntary separation from employment with the Districts,including: resignation with or without notice;an unauthorized absence of three or more consecutive working days;failure to return from leave of absence as arranged;failure to return from layoff upon recall. Salary Range is the complete set of standard salary increments adjusted over time,as published in the Districts’salary guide for any given position or job classification. Salary Ranges are the range of pay rates,from minimum to maximum,set for a pay grade or class. Sexual Harassment includes,but is not limited to any of the following: •Sexual favors Unwanted sexual advances which condition an employment benefit upon exchange of sexual favors. •Hostile work environment Sexually-based verbal,physical or visual conduct of such a nature and intensity that it creates an intimidating,hostile or offensive working environment.Conduct that may result in a hostile work environment includes,but is not limited to,the following: •Sexual epithets,jokes,derogatory comments or slurs; •Assault,impeding or blocking movement,or any physical interference with normal work or movement when directed at an individual on the basis of sex; •For the purposes of this policy,sexual harassment includes,but is not limited to any of the following: •Sexual cartoons,drawings,photographs or derogatory posters. Sick Leave is defined as the absence from duty of an employee because of a bona fide illness,injury,or pregnancy,medical or dental appointment,or to attend to the illness or injury of a family member,as hereinafter defined. Standby is time during which an employee is not required to be at the work location or at the employee’s residence but is required to be available for immediate return to work. A ~p is anincrement on the-salaryguide.Where not provided on the salary guide,a step shall be 5.5%of the employee’s current salary,calculated to the nearest cent. Temporary Employees are those employees who are assigned to work 80 hours or less in a biweekly pay period for an irregular or indeterminate period of time.Notwithstanding any other provisions set forth herein,temporary employees are not entitled to benefits and serve at the pleasure of the Districts. Page 4 Termination Date is considered to be the last day actually worked by the employee irrespective of any additional pay they may receive. Witness Leave is leave granted to an employee who has been compelled by law to be present at a legal proceeding for the purposes of providing testimony or other evidence. Workweek means a seven-day period starting at 12:01 a.m.Friday and ending at midnight on the following Thursday.If a work shift begins on Thursday before midnight but ends any time after midnight on Friday,all hours worked on that shift are considered to be worked on Friday. 4.0 POLICY 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1.Fair Labor Standards Act,as amended. Page 5 County Sanitation Districts of Orange County Policy Number:A2000 Effective Date:October 22,1997 Subject:MISCELLANEOUS PROVISIONS Supersedes: Approved by 1.0 PURPOSE 1.1.The purpose of this policy isto establish the uniform guidelines and procedures for use in the development and administration of the Districts’Human Resources Policies and Procedures. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1.All Districts’employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 The General Manager,or his or her designee,is authorized to develop, administer,modify and amend written Human Resources procedures in order to augment,clarify or otherwise provide for the proper implementation of the provisions of Human Resources policies,resolutions,rules and regulations adopted by the Boards of Directors. 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Section B Employment Practices ~.County Sanitation Districts of Orange County - Policy Number:B1O.OO Effective Date:October 22,1997 Subject:CONFLICT OF INTEREST CODE AND CODE OF ETHICS Supersedes: 1.0 PURPOSE Approved by: 1.1.The purpose of this policy is to establish uniform guidelines and procedures for issues related to conflict of interest and a code of ethics. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1.This policy applies generally to all employees,and specifically to officers and employees of the Districts who hold Designated Positions,as defined and listed on in Joint Resolution 91-36,as amended by Resolution 95-1,and as specified herein. 4.0 POLICY 4.1.1 The proper operation of the Districts requires that its employees be independent, impartial and responsible to the public,that decisions and policy be made in conformance with organizational authority,and that public office not be used for personal gain.Consequently,it is the Districts’policy to ensure that employees adhere to all of the provisions of the California Political Reform Act of 1974 (Government Code Section 87100 et seq.),and the regulations set forth in Title 2,Division 6,Chapter 7,Article 1,of the California Code of Regulations,known as the Fair Political Practices Commission Regulations,which constitute in part, the Districts’Conflict of Interest Code. 5.0 PROCEDURE 5.1.Districts’employees shall avoid a conflict of interest in any matter where they may have a financial or personal interest in the outcome,and such interest is adverse to the public interest,or where a personal bias or prejudice leaves them incapable of making a fair and impartial judgment with regard to that matter. Certain designated employees,as specified in this manual,are required annually to file a Statement of Economic Interest in accordance with provisions of the Political Reform Act. 5.1.1.Officers and employees of the Districts who hold Designated Positions, as defined and listed on “Exhibit A”in Joint Resolution 91-36,as 3.0 DEFINITIONS Page 1 amended by Resolution 95-1 are deemed to make or participate in the making of decisions which may have a material effect on a financial interest.Accordingly,those officers and employees must file a Statement of Economic Interest with the Districts. 5.1.2.Financial statements of the members of the Boards of Directors and the General Manager are held on file by the Clerk of the Orange County Board of Supervisors.Statements for all other persons are retained by the Districts’Board Secretary. 5.2.Districts’employees are bound to uphold the Constitution of the United States and of the State of California,and to carry out the laws of the nation,state and local government agencies,and the ordinances,resolutions,rules,policies and procedures of the Districts.Districts’employees are bound to observe the highest standards of morality and to perform the duties of their position regardless of personal consideration,recognizing that the public interest must be of primary concern and that their conduct must be above reproach. 5.3.Employees shall not use nor permit the use of Districts-owned property,vehicles, equipment,or material except when such services are available to the public generally or are provided as Districts’policy for the use of such employee in the conduct of Districts’business. 5.4.Employees shall not use their own time nor that of another Districts’employee during working hours for personal convenience or profit. 5.5.Districts’employees shall not grant,in the course of their employment,any special consideration,treatment or advantage to any person beyond that which is generally available in the same circumstance. 5.6.Districts’employees shall not willfully and knowingly disclose,for personal gain, to any other person,confidential information acquired in the course of Districts’ employment,nor shall any employee use any such information for personal gain. 5.7.Districts’employees shall not receive,directly or indirectly,any compensation, reward or gift from any source except the Districts for any service,advice, assistance or other action related to the conduct of Districts’business,except fees for speeches or published works on subjects related to Districts’business except as follows: 5.7.1.Acceptance of food and drinks of nominal value in the ordinary course of Districts’business; 5.7.2.Acceptance of gifts,favors or entertainment where there is an obvious familial or personal relationship between the employee or his immediate family and the donor,and it is that relationship that motivates the gratuity; 5.7.3.Purchase of articles or admissions at advantageous rates where such rates are offered to all Districts’employees; 5.7.4.Acceptance of unsolicited advertising or promotional items of nominal value; Page 2 5.7.5.Acceptance of incidental transportation provided it is furnished in connection with the employee’s official duties and of a type customarily provided; 5.7.6.A gift or gratuity that is prohibited by this policy shall be returned to the donor.If such return is not possible,it shall be turned over to a public or charitable organization and the matter reported to the employee’s supervisor. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1.California Political Reform Act of 1974 (Government Code Section 87100 et seq.) 1.2.Title 2,Division 6,Chapter 7,Article 1,of the California Code of Regulations, known as the Fair Political Practices Commission Regulations 8.3 Joint Boards Resolution 91-36,as amended by Resolution 95-1,The Districts’ Conflict of Interest Code 8.4 Districts’Statement of Economic Interest. Page 3 RESOLUTION NO.91-36 ADOPTING 1991 CONFLICT OF INTEREST CODE 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,ADOPTING THE 1991 CONFLICT OF INTEREST CODE AND REPEALING THE CONFLICT OF INTEREST CODE ADOPTED BY RESOLUTION NO.84—153 ON SEPTEMBER 12,1984 WHEREAS,the Political Reform Act of 1974 (Government Code Sections 81000 et seq.)(the “Act”)requires every local governmental agency to adopt a Conflict of Interest Code pursuant to the Act;and, WHEREAS,the County Sanitation Districts adopted Resolution No.84—153 on September 12,1984,adopting a Conflict of Interest Code for designated employees,which Code was approved by the County Board of Supervisors as the Code—reviewing body;and, WHEREAS,changes in the State Law and regulations of the State Fair Political Practices Conriission have been enacted since the adoption of the 1984 Code;and, WHEREAS,the Boards of Directors desire to replace the 1984 Code with a revised Conflict of Interest Code,incorporating,by reference,the regulations set forth in Title 2,DivisIon 6,Chapter 7,Article 1,of the California Code of Regulations. 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 Code entitled “1991 Conflict of Interest Code of the County Sanitation Districts of Orange County,California”dated July 1,1991, a copy of which is attached hereto as “Attachment 1”and by reference incorporated herein,be,and Is hereby,approved and adopted for the Districts, subject to the approval thereof by the Board of Supervisors of the County of Orange,which is the designated Code—reviewing body pursuant to Government Code Section 87303;and, Section 2 That the Secretary of the Districts be,and is hereby, authorized and Instructed to submit a copy of such Code to the Board of Supervisors of the County of Orange and to request said Board of Supervisors to approve said Code In accordance with Government Code Section 87303;and, Section 3 That Resolution No.84—153 adopted September 12,1984,adopting a revised Conflict of Interest Code of the County Sanitation Districts of Orange County,California,Is hereby repealed,effective ten (10)days after approval of the Districts’1991 Code adopted herein by the Board of Supervisors of the County of Orange or July 1,1991,whIchever is later. PASSED AND ADOPTED at a regular meeting held March 13,1991. 1991 CONFLICT OF INTEREST CODE OF THE COUNTY SANITATION DISTRICTS OF ORANGE COUNTY,CALIFORNIA SECTION 1:Purpose The purpose of this 1991 Conflict of Interest Code of the County Sanitation Districts of Orange County,California,is to comply with the requirements of the California Political Reform Act of 1974 (Government Code Section 87100 et seq.),and particularly,the requirement to adopt and promulgate a local Conflict of Interest Code (Government Code Section 87300). SECTION 2:Designated Positions The positions listed on Exhibit “A”,attached hereto and incorporated herein by reference,are Designated Positions. Officers and employees holding those positions are Designated Employees,and are deemed to make,or participate in the making of,decisions which may forseeably have a material effect on a financial interest. SECTION 3:Incorporation by Reference of Section 18730 of Title 2 of the California Code of Regulations Pursuant to the authority of Section 18730 of Title 2 of the California Code of Regulations,the Regulations set forth in Title 2,Division 6,Chapter 7,Article 1,and any amendments thereto,duly adopted by the Fair Political Practices Commission, along with the attached Exhibit “A”in which officers and employees of the District are designated and disclosure categories are set forth,are hereby incorporated by reference and constitute the amended Conflict of Interest Code of the County Sanitation Districts of Orange County. SECTION 4:Place of Filing for Statements of Economic Interest Persons occupying designated positions shall file statements of financial interest with the County Sanitation Districts. upon receipt of the statements of the Boards of Directors and General Manager,the Districts shall make and retain a copy and forward the original of these statements to the Clerk of the Board of Supervisors.Statements for all other persons occupying designated positions will be retained by the Districts. “ATTAcHMENT 1” SECTION 5:Severability If any article,section,subsection,paragraph, subparagraph,sentence,clause or phrase of this Code is for any reason held to be invalid,unconstitutional or unenforceable, such decision shall not affect the validity of the remaining portions of this Code.The Districts declare that they would have adopted this Code and each article,section,subsection, paragraph,subparagraph,sentence,clause,and phrase thereof irrespective of the fact that any one or more of such portions of this Code be declared invalid,unconstitutional or unenforceable. SECTION 6.Effective Date This revised Code shall take effect ten (10)days after approval by the Board of Supervisors of the County of Orange, acting as the Code—reviewing body pursuant to Government Code Section 87303,or July 1,1991,whichever is later.The previous Conflict of Interest Code,adopted by Resolution No.84-153, shall be repealed concurrently with the effective date of this Code. —2— EXHIBIT “A”TO 199].CONFLICT OF INTEREST CODE DESIGNATED POSITIONS 1.Directors 2.General Manager 3.Chief Administrative Assistant 4.Personnel Director 5.Secretary of Boards of Directors 6.General Counsel 7.Director of Finance 8.Director of Operations and Maintenance 9.Director of Technical Services 10.Director of Engineering 11.Assistant Director of Operations 12.Assistant Director of Maintenance 13.Senior Facilities Manager 14.Finance Manager 15.Air Quality Manager 16 Controller 17.Information Services Manager 18.Purchasing Manager 19.Chief Operator 20.Facilities Manager (Plant Maintenance) 21.Facilities Manager (Collection Facilities) 22.Facilities Manager (Mechanical) 23.Facilities Manager (Electrical) 24.Facilities Manager (Instrumentation) 25.Compliance Manager 26.Conservation,Reclamation and Reuse Manager 27.Laboratory Manager 28.Source Control Manager 29.Engineering Manager 30.Construction Manager 31.Accounting Manager 32.Risk and Safety Manager 33.Emergency Preparedness Coordinator 34.Supervising Buyer 35.Senior Buyer 36..Buyer 37.Senior Engineer 38.Engineer (Engineering Department Project Engineers/source Control Division Enforcement,Permits and Special Projects Sections) 39.Associate Engineer (Engineering Department Project Engineers/Source Control Division Enforcement,Permits and Special Projects Sections) 40.Source Control Supervisor 41.Principal Engineering Associate 42.Chief Construction Inspector 43.Principal Construction Inspector 44.Senior Construction Inspector 45.Construction Inspector 46.Consultants* *The governing body of the Districts shall determine on a case—by-case basis whether a particular consultant is required to comply with the disclosure requirements in this section. If the governing body determines that a particular consultant must comply with the disclosure requirements of this section, the governing body shall notify the consultant in writing. The written notification shall include a description of the consultant’s duties and,based upon those duties,a statement of the extent of disclosure requirements.The governing body’s notification is a public record and shall be retained for public inspection by the Board Secretary. RESOLUTION NO.95-1 AMENDING DISTRICTS’CONFLICT OF INTEREST CODE 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, AMENDING THE DISTRICTS’CONFLICT OF INTEREST CODE WHEREAS,the Districts adopted Resolution No.91-36 on March 13,1991, approving the 1991 Conflict of Interest Code of the County Sanitation Districts of Orange County,California,which Code was approved by the County Board of Supervisors as the Code reviewing body;and, WHEREAS,the Boards of Directors desire to amend their Conflict of Interest Code. 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 Exhibit “A”is hereby amended,as attached hereto. Section 2 Except as amended,Resolution No.91-36 shall remain in full force and effect. PASSED AND ADOPTED at a regular meeting held January 11,1995. 2000-00004 5935_1 EXHIBIT “TO 1991 CONFLICT OF INTEREST CODE DESIGNATED POSITIONS Designated Positions Disclosure Categories Directors I,II,III General Manager I,II,Ill General Counsel I,II,Ill Director of Technical Services I,H,III Director of Engineering I,II,lii Director of Operations and Maintenance I,II,Ill Director of Finance I,II,Ill Director of Personnel I,II,III Chief Administrative Assistant I,II,Ill Assistant Director of Operations I,II,Ill Assistant Director of Maintenance I,II,Ill Accounting Manager I,II,III Air Quality Manager I,II,Ill Chief Operator I,II,Ill Compliance Manager I,II,III Conservation,Recycle and Reuse Manager I,II,Ill Construction Manager I,II,III Engineering Manager l,.ll,Ill Facilities Manager I,II,Ill Financial Manager I,II,Ill Information Services Manager I,II,III Laboratory Manager I,II,Ill Purchasing Manager I,II,Ill Safety and Health Manager I,II,Ill Source Control Manager I,II,Ill Controller I,II,Ill Emergency Preparedness Coordinator I,II,III Secretary to Boards of Directors I,II,III Principal Administrative Assistant I,II,Ill Senior Administrative Assistant I,II,Ill Compliance Supervisor I,II,HI Laboratory Section Supervisor I,II,Ill Senior Scientist I,II,lIt Scientist I,II,III Principal Environmental Specialist I,II,Ill Chief Construction Inspector I,II,Ill Supervising Construction Inspector I,II,III Senior Construction Inspector I,II,Ill. Construction Inspector I,II,Ill Page 1 of 2 Designated Positions Disclosure Categories Source Control Supervisor I,II,Ill Engineering Supervisor I,II,Ill Senior Engineer i,ii,in Engineer I,Ii,Ill Principal Engineering Associate I,II,Ill Associate Engineer Ill I,II,Ill Associate Engineer II I,II,Ill Associate Engineer I I,II,Ill Security Supervisor I,II,Ill Senior Buyer I,II,Ill Buyer I,II,Ill Consultants* *The governing body of the Districts shall determine on a case-by-case basis whether a particular consultant is required to comply with the disclosure requirements in this Section.If the governing body determines that a particular consultant must comply with the disclosure requirements of this Section,the governing body shall notify the consultant in writing.The written notification shall include a description of the consultant’s duties,and based upon those duties,a statement of the extent of disclosure requirements.The governing body’s notification is a public record and shall be retained for public inspection by the Board Secretary. Page 2 of 2 2000-00004 5944_i County Sanitation Districts of Orange County Policy Number:B20.OO Effective Date:October 22,1997 Subject:NON-DISCRIMINATION IN EMPLOYMENT Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for maintaining a non discriminatory work environment and non-discriminatory employment practices. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current or potential employees. 3.0 DEFINITIONS 3.1 Harassment for purposes of this policy includes conduct that is so severe and pervasive that it creates a hostile and abusive working environment,and it interferes with an employee’s ability to do his or her job. 4.0 POLICY 4.1 It is the Districts policy to maintain non-discriminatory employment practices in accordance with the procedures of this policy. 4.2 The Districts are an Equal Opportunity Employer,and do not discriminate against any person in matters of employment,application for employment,participation in programs and benefits,or in the application of rules and regulations with regard to race,ancestry,color,religion,national origin,sex, sexual orientation,age,veteran status,marital status or mental or physical disability or citizenship. 4.3 The Districts do not tolerate any form of harassment,and are committed to providing a work environment that is harassment-free.In keeping with that commitment,the Districts prohibit harassment based on race,religious creed,color,national origin,ancestry,physical or mental disability,medical condition,marital status,sex,age (40 years of age or above),sexual orientation, exercise of rights relating to family care leave,or any other legally protected basis. 5.0 PROCEDURE 5.1 Any employee who believes that he or she has been the victim of discrimination of harassment prohibited by this policy should immediately report the matter to his or her supervisor or manager,or to any other supervisor or manager,including the General Manager.All reported incidents of harassment will be promptly and thoroughly investigated,and appropriate corrective action will be taken. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 1 4 County Sanitation Districts of Orange County Policy Number:B30.OO Effective Date:October 22,1997 Subject:SEXUAL HARASSMENT POLICY Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for maintaining a work environment free from sexual harassment. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees regardless of their organizational unit. 3.0 DEFINITIONS 3.1 Harassment for the purposes of this policy,includes conduct that is so severe and pervasive that it creates a hostile and abusive working environment,and interferes with an employee’s ability to do his or her job. 3.2 For the purposes of this policy,sexual harassment includes,but is not limited to any of the following: 3.2.1 Sexual favors Unwanted sexual advances which condition an employment benefit upon exchange of sexual favors. 3.2.2 Hostile work environment Sexually-based verbal,physical or visual conduct of such a nature and intensity that it creates an intimidating, hostile or offensive working environment.Conduct that may result in a hostile work environment includes,but is not limited to,the following: 3.2.2.1 Sexual epithets,jokes,derogatory comments or slurs; 3.2.2.2 Assault,impeding or blocking movement;oranyphysical interference with normal work or movement when directed at an individual on the basis of sex; 3.2.2.3 Sexual cartoons,drawings,photographs or derogatory posters. Page 1 4.0 POLICY 4.1 The Districts will not tolerate sexual harassment in the workplace. 4.2 The Districts will not tolerate any other form of harassment,and is committed to providing a work environment that is free from unlawful discrimination.In keeping with that commitment,the Districts maintains a strict policy prohibiting harassment based on race,religious creed,color,national origin,ancestry, physical or mental disability,medical condition,marital status,sex,age,sexual orientation,exercise of rights relating to family care leave,or any other legally protected basis. 5.0 PROCEDURE 5.1 Any employee who believes that he or she has been the victim of harassment prohibited by this policy should immediately report the matter to his or her supervisor or manager,or to any other supervisor or manager,including the General Manager.All reported incidents of harassment will be promptly and thoroughly investigated,and appropriate corrective action will be taken. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 County Sanitation Districts of Oran e Count ~ Policy Number:B40.OO Effective Date:October 22,1997 Subject:REFERENCE CHECKS Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for releasing information regarding job reference checks of former employees,and employment verification checks of present employees. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current and former employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy to verify information about an employee concerning positions held,dates of employment,and verification of last salary. 5.0 PROCEDURE 5.1 Inquiries regarding job reference checks of former employees,and employment verification checks of present employees,shall be discussed with or referred to the Human Resources Department prior to any response. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS County Sanitation Districts of Orange County Policy Number:B50.OO Effective Date:October 22,1997 Subject:Employment Opportunity Bulletins Supersedes: 1.0 PURPOSE Approved by: 1.1.The purpose of this policy is to establish uniform guidelines regarding employment opportunity bulletins. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1.This policy applies to all employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 ft is the Districts’policy that,whenever possible,job opportunities should be offered to current employees before individuals outside the Districts are considered.For this reason,Employment Opportunity Bulletins will be posted on designated bulletin boards. 5.0 PROCEDURE 5.1.Each Employment Opportunity Bulletin will include the following information: •Wage range •Department •Brief job description •Required qualifications •Desired qualifications •Posting/closing dates •Procedure for applying 5.2.Bulletin boards at Plant No.I where Employment Opportunity Bulletins will be regularly posted are located in the Control Center,Warehouse,Human Resources Office and in the lunch room in the Administration Building. Employment.Opportunity bulletin boards at Plant No.2 are located in the Operations Center,Maintenance Office,Maintenance lunchroom and Warehouse.Employment Opportunity Bulletins may also be found in other convenient areas throughout both plants. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 1 County Sanitation Districts of Oran e Count ~ Policy Number:B60.OO Effective Date:October 22,1997 Subject:LATERAL TRANSFERS Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for lateral transfers. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 Employees may request a lateral transfer to a vacant position in the same classification in another department providing they have demonstrated at least six months of continuous competent or above performance in their current position,and the transfer is of benefit to the Districts. 5.0 PROCEDURE 5.1 Employees who wish to be considered for a lateral transfer should notify the Human Resources Office in writing of their intent.In the event a transfer is approved and accepted by the employee,the department from which the employee is transferring may determine the effective date based upon operational requirements and a reasonable period of time to acquire a suitable replacement. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 Lateral transfers do not normally involve increased levels of duties and responsibilities,or otherwise qualify as promotions,and therefore do not involve salary adjustments. 7.2 In the event an adjustment appears warranted based on extenuating circumstances,the adjustment must have written approval from the department head prior to being extended to the employee. 8.0 RELATED DOCUMENTS 4Z~.County Sanitation Districts of Oran eCount ~ Policy Number:B70.OO Effective Date:October 22,1997 Subject:EMPLOYMENT OF RELATIVES Supersedes: 1.0 PURPOSE Approved by: 1.1.The purpose of this policy is to establish uniform guidelines and procedures for employing relatives of current employees. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1.This policy applies to all current employees regardless of their organizational unit,and all prospective employees and applicants. 3.0 DEFINITIONS 3.1 Relative is any person related by one of the following familial relationships to any employee at the agency:spouse,mother,father,brother,sister,child, grandmother,grandfather,grandchild,cousin,aunt,uncle,mother-in-law,father- in-law,brother-in-law or sister-in-law. 4.0 POLICY 4.1.It is the Districts’policy that no employee,prospective employee or applicant shall be denied employment or benefits of employment solely on the basis of his or her familial relationship with an employee of the agency. 4.2.Notwithstanding the above provisions,the Districts retains the right: 4.2.1.To refuse to place a relative under the direct supervision of a Districts’ employee where such has a potential for creating an adverse impact on supervision,safety,security or morale 4.2.2.To refuse to place relatives in the same department,division,or facility where such has a potential for creating an adverse impact on supervision,safety,security or morale,or involves potential conflicts of interest. 5.0 PROCEDURE 5.1.The Districts will make reasonable efforts to assign job duties to eliminate any potential for an adverse impact on supervision,safety,security or morale,or potential conflicts of interest. Page 1 5.2.The Districts will take into consideration whether there have been any actual problems with supervision,safety,security or morale,in determining whether individuals who were relatives prior to the adoption of this policy pose a risk to supervision,safety,security or morale or raise a conflict of interest.The Districts will consider the possibility of reassignment or transfer of one of the individuals to eliminate such potential risk. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 County Sanitation Districts of. Orange County Policy Number:B80.OO Effective Date:October 22,1997 Subject:EMPLOYMENT OF FORMER EMPLOYEES Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for employing former employees. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all former employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy to employ former employees in accordance with the procedures,provisions and conditions of this policy. 5.0 PROCEDURE 5.1 The General Manager may,with the written approval of the Joint Chairman, employ on a part-time,as-needed basis,a retired staff member when such person possesses knowledge and expertise of unique and particular benefit to the Districts and when the services are required.The length of service performed in any one year shall be limited in accordance with the provisions prescribed by the Orange County Employees’Retirement System (currently 120- day maximum). 5.1.1 Such part-time service shall be compensated at the same current hourly rate of the retired employee’s position classification,or if no such classification exists,at a rate not to exceed that paid for the most comparable classification.The retired employee shall not be entitled to receive any benefits otherwise payable to the District employees.In the event any employment under this provision involves work assignments outside of Orange County,the current expense reimbursement policy established for regular employees will apply. Page 1 5.2 If any former employee commences doing business wherein the employee, his/her spouse,or members of his/her immediate family are sole proprietors,or majority or controlling shareholders or owners of a corporation,partnership or other business entity,such business shall not be retained as an independent contractor or consultant to provide service directly to the Districts for a period of one year after leaving Districts’employment.Thereafter,said business entity shall be allowed to contract with the Districts upon compliance with all resolutions and regulations of the Districts then in effect,relating to the procurement of services. 5.3 If any former employee becomes employed by any firm or business entity in which the former employee,his/her spouse or members of his/her immediate family own less than the majority or controlling interest in said entity,said entity shall not be prohibited from contracting with the Districts.However,the former employee shall not perform work on Districts’projects for a period of one year after leaving Districts’employment;nor shall such former employee contact Districts’officers or employees for the purpose of attempting to influence any Districts’decision,including but not limited to,the award of contract,issuance of permits,or compromise of administrative civil penalties,for a like period of one year.Said services shall be obtained only in accordance with all rules and procedures of the Districts relating to procurement. 5.4 Any Districts’employee who receives an offer of employment or a request to discuss potential employment from any person or business entity performing services for the Districts shall report such contact to his or her immediate supervisor,who shall decide whether any change in assignment is necessary or appropriate while the offer or discussions are pending. 5.5 The prohibitions of this policy may be waived by the Finance,Administration and Human Resources Committee of the Boards of Directors if,on a case-by-case basis,it is determined to be in the best interests of the Districts to do so. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 County Sanitation Districts of Orange County Policy Number:B90.OO Effective Date:October 22,1997 Subject:PROBATIONARY EMPLOYEES Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of probationary employees. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all newly hired Districts’employees,and promotional employees. 3.0 DEFINITIONS Probationary Period -Initial includes the first six months of employment with the Districts.This period is regarded as an extension of the hiring process,and provides an opportunity for both the employee and the Districts’management to assess,over a substantial period of time,whether or not the hiring decision was appropriate. Probationary employees become regular,full-time employees upon successful completion of their probationary period and the appropriate approval form,as provided by the Director of Human Resources. Probationary Period -Promotional includes either the first six months or a 90-day period,depending on applicable MOU provisions,immediately following the date of a promotion.This period is regarded as an extension of the selection process,and provides an opportunity for both the employee and the Districts’management to assess, over a substantial period of time,whether or not the decision was appropriate.“At-will” employees do not serve a promotional probationary period. 4.0 POLICY 4.1 It is the policy of the Districts to place all new employees on a probationary period of employment to assess an employees ability to satisfactorily perform the duties of the job.Employees become regular full-time employees upon successful completion of their probationary period. Page 1 5.0 PROCEDURE 5.1 All persons hired by the Districts are considered to be probationary employees for a period of six months from their date of hire.This six-month period is regarded as an extension of the hiring process,and provides an opportunity for both the employee and Districts’management to assess,over a substantial period of time,whether or not the hiring decision was appropriate and resulted in a relationship that adequately meets the needs of both the individual and the Districts. 5.2 The probationary period may be extended by mutual agreement between the Districts and the employee,prior to the expiration of the six-month probationary period.An employee’s probationary period may be extended when there is a need to further assess the individual’s abilities to satisfactorily perform the duties required for their job classification.Probationary employees are not considered to be regular,full-time employees until they have completed the probationary period (including any extension)and may be released by the Districts at any time during the probationary period without cause or reason. 5.3 A probationary employee’s work performance is closely monitored during this period to ensure that the employee understands the duties,responsibilities and management expectations of the position,and to allow an opportunity for the supervisor or manager to provide proper direction and guidance.Employees who do not demonstrate the potential for meeting performance expectations for their position within a reasonable period of time may be released prior to the completion of the Probationary Period.Probationary employees shall serve at the will of the Districts during this period.In the event of release of a probationary employee,the employee shall not be entitled to receive any severance pay. 6.0 EXCEPTIONS 6.1 Except as otherwise provided in an individual Executive Management employee’s contract,this policy does not apply to “at-will”Executive Management employees. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 ~5~Z:~County Sanitation Districts of Orange County Policy Number:B100.OO Effective Date:October 22,1997 Subject:EMPLOYEE SEPARATION Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy isto establish uniform guidelines and procedures for employee separation. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS Resignation is a voluntary separation,including:resignation with or without notice;an unauthorized absence of three or more consecutive working days;failure to return from leave of absence as arranged;failure to return from layoff upon recall. Release usually results from no fault of the employee.Employees serving an initial probationary period may be released with or without cause. Layoff is the involuntary release of an employee due to lack of work or lack of funds. Dismissal is a separation from Districts’employment of a non-probationary employee initiated by the Districts for proper cause. Termination Date is considered to be the last day actually worked by an employee irrespective of any additional pay they may receive. “Employees are executive management employees who have signed an agreement to serve at the pleasure of the Board or General Manager and may be dismissed without notice or cause. 4.0 POLICY 4.1 It is the Districts’policy to provide consistent guidelines for the administrative separation of individuals from Districts’employment consistent with positive employee relations practices.Procedures governing dismissals for cause are found in Policy No.F70.OO,Discipline Page 1 5.0 PROCEDURE 5.1 Notice If separation is due to layoff,the employee will be given at least two weeks’notice.At the Districts’discretion,the employee may be expected to continue to work during this period. 5.2 Pay in Lieu of Notice Immediate separation from duties may occasionally be desirable to minimize adverse effects on other employees or to allow the separated employee more time to seek new employment.In such cases,up to 60 days pay may be provided in lieu of notice,depending on the employee’s length of service,in accordance with Policy C 140.00,Severance Pay 5.3 Management Approvals When an employee is released for reasons other than dismissal for cause,written approval will be required from the Human Resource Office and two levels of management above the employee.Release of an Assistant General Manager will require written approval of the General Manager and the Boards of Directors. 5.4 Change of Status The immediate supervisor of the separating employee is responsible for initiating the Change of Status form and designating the appropriate separation category. 5.5 Final Paycheck The payroll office is responsible for calculating and preparing the final paycheck in accordance with appropriate policy,and ensuring that final pay is issued to the separating employee not later than the subsequent regular pay day. 5.6 Exit Interview All separating employees will undergo an exit interview conducted by the Human Resources Department.The purpose of the exit interview is to attempt to determine the individual’s reasons for leaving the Districts,uncover possible grievances,or explain the reasons for layoff or release.An additional goal of the exit interview is to attempt to retain the goodwill of the employee towards the Districts,and to extend all applicable insurance conversion and retirement-fund privileges. The exit interview will be scheduled by the Human Resources Department during the separating employee’s notice period or on the last day of employment.All items of Districts’property shall be returned to the employee’s supervisor prior to the exit interview,see Policy F40.00,Use of Districts’Property Any delay in the return of Districts’property could cause a delay in the issuance of the employee’s final paycheck. 6.0 EXCEPTIONS Page 2 7.0 PROVISIONS AND CONDITIONS 7.1 Benefits Eligibility. 7.1.1 Vacation and Sick Leave When an employee is separated for any reason,they will receive payment for all accrued vacation time earned but not taken in accordance with Policy Dl 0.00,Leave of Absence With Pay,or other applicable Memorandum of Understanding provisions. Unless otherwise modified by a bargaining unit Memorandum of Understanding,payment will be made to the separating employee for accrued,unused sick leave hours according to the following schedule: Accrued Sick Leave Hours Rate of Payoff 101 to240hours 25% 241 to 560 hours 35% Over 560 hours 50% Employees who retire or the estate of the employees who die,will be paid for all accrued and unused sick leave at the 50 percent rate. Employees covered by the Operations and Maintenance,and General Services Administration Memoranda of Understanding will be paid in full for all accrued and unused Personal Leave time upon separation. 7.1.2 Cancellation of Benefits and Insurance Conversion All employee benefits will cease upon the date of termination,except that coverage under the Group Insurance Programs for Medical,Dental,Vision,Life, and Accidental Death and Dismemberment will continue to the end of the month in which the termination date occurs,at which time coverage will cease. 7.1.3 Medical Insurance.Employees whose employment is separated for any reason may continue their medical insurance in accordance with the provisions of the insurance policy by applying for continuation privileges through the Human Resources Department within 30 days after the group coverage ends,and agreeing to pay the premium rate established by the insurance carrier.The continuation privilege and election decision is a part of the Exit Interview process. 8.0 RELATED DOCUMENTS 8.1 Policy Dl 0.00,Leave of Absence With Pay;Policy F40.00,Use of Districts’ Property/Use of Public Property;Policy C 140.00,Severance Pay;Policy No. F70.00,Discipline Page 3 County Sanitation Districts of Orange County Policy Number:B11O.OO Effective Date:October 22,1997 Subject:LAYOFF PROCEDURE Supersedes: 1.0 PURPOSE Approved by: 1.1.The purpose of this policy is to establish uniform guidelines and procedures for layoff. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1.This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS Layoff means the involuntary release of an employee due to lack of work or lack of funds,as determined by management. 4.0 POLICY 4.1.It is the Districts’policy to avoid layoffs if at all possible.In the event layoffs are necessary,the procedures in this policy shall be followed. 5.0 PROCEDURE 5.1.Notification of Layoff If,in the sole discretion of Districts’management, personnel reductions are necessary,layoff order and recall lists shall be developed based upon job classification,priority of function,job performance, individual qualifications and seniority.Employees subject to lay off shall be provided with at least two weeks notification in writing whenever possible. 5.2.Request for Voluntary Demotion Employees in classifications subject to layoff may request a voluntary demotion to any previously held position for which they remain qualified.Such request must be made in writing to the Human Resources Department within five days of receipt of the Layoff Notice.The salary of an employee who voluntarily demotes shall be unchanged,except that it may not exceed the top step of the range for the lower level classification. Page 1 5.3.Recall Lists Recall lists shall be developed for all classifications experiencing personnel reductions,and shall be maintained for a period of two years from the date of layoff.Individuals shall be placed on the list in the inverse order of layoff, so that the last person laid off is the first recalled.When a vacancy occurs in a classification for which a Recall list exists,an offer of reemployment shall be made to the individual on the top of the list.That individual must respond to the offer within five days,or the offer shall be made to the next person on the list.An individual who either does not respond or refuses three consecutive offers shall have his/her name removed from the list. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1.Layoff Notification and Responses All layoff notifications and responses must be in writing and delivered either in person or by Certified Mail.It is the responsibility of all employees to keep the Human Resources Department informed of their current address,or where they may be contacted. 8.0 RELATED DOCUMENTS Page 2 4~S~County Sanitation Districts of 0 ran e County~ Policy Number:B120.OO Effective Date:October 22,1997 Subject:OUTSIDE EMPLOYMENT Supersedes: 1.0 PURPOSE Approved by: 1.1.The purpose of this policy isto establish uniform guidelines and procedures for employees engaging in outside employment. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1.This policy applies to all current employees regardless of their organizational 4.0 POLICY unit. 4.1.It is the Districts’policy to allow employees to perform other services or hold other employment outside of the Districts in accordance with the procedures and provisions of this policy. 5.1.Performing other services or holding other employment outside of the Districts requires annual approval of the General Manager based upon the following conditions: 5.1.1.The services for which the employee will be compensated must not be performed on Districts’time or with Districts’material. 5.1.2.The outside services shall not give rise to a real or apparent conflict of interest with the Districts’interests,nor potentially require the disclosure of confidential information acquired in the course of Districts’ employment. 5.1.3.The performance of such services shall not affect the employee’s efficiency and job performance for the Districts. 5.1.4.The outside activity must not bring discredit upon or reasonably cause unfavorable criticism of the Districts,or impair public confidence In the integrity of the Districts. 3.0 DEFINITIONS 5.0 PROCEDURE Page 1 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1.The provisions of Government Code Section 1126 shall apply to all such services. 8.0 RELATED DOCUMENTS 8.1.Government Code Section 1126 Page 2 County Sanitation Districts of Orange County - Policy Number:B130.OO Effective Date:October 22,1997 SUBJECT:OPERATOR CERTIFICATION, MAINTENANCE AND RENEWAL Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures to ensure that required certification is maintained and/or renewed by Operations personnel and that the Districts operates its facilities in compliance with Title 23 of the California Water Code. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts’employees whose positions require certification of competence as a Wastewater Treatment Plant Operator issued by the State of California State Water Resources Control Board. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the policy of the Districts to operate its wastewater treatment plant facilities in compliance with state-mandated regulations,and to ensure that employees who are employed to operate said facilities do so in compliance with the certification requirements of said regulations. 4.1.1 Operations Supervisors are to inspect the certification for each of their assigned employees on a quarterly basis as part of that employee’s quarterly and annual reviews.This criteria is considered a part of the supervisor’s goals and objectives. 4.1.2 Maintenance of certification is expected to be an integral part of each employee’s goals and objectives. 4.1.3 Certification upgrade and maintenance may be considered in the Individual Development Plan (IDP)for each certified employee. 4.2 The Districts’Training Division will maintain an up-to-date data base on certification and will notify an employee,as well as the employee’s Chief Operator,when the employee’s operator certification renewal is due. 4.3 An employee who is required to be certified and who fails to maintain or renew certification appropriately will be placed in a “non-certified”employee status.The employee will be prohibited from operating the Districts’wastewater treatment plant facilities,until,at the Districts’discretion,the individual’s certification is re-instated by the state,and the Districts are duly notified. Page 1 4.4 If an employee fails to maintain or renew his certification or if the employee’s certification is suspended or revoked for any reason,the employee shall immediately notify the Chief Operator of his or her certification status. 4.4.1 At no time shall an employee whose position requires certification operate the Districts’wastewater treatment plant facilities without the appropriate certification.An employee who violates this policy is subject to disciplinary action up to and including termination. 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Title 23 of the California Water Code Page 2 Section C -Wage and Salary Practices ~I:,’County Sanitation Districts of Orange County - Policy Number:C1O.OO Effective Date:October 22,1997 Subject:CLASSIFICATIONS,POSITIONS, SALARY RANGES AND WAGES Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Districts’compensation programs. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts’employees. Classifications are groups of positions,regardless of location,which are alike enough in duties and responsibilities to be called by the same descriptive title,to be given the same pay scale under similar conditions,and to require substantially the same qualifications. Salary Ranges are the range of pay rates,from minimum to maximum,set for a pay grade or class. 4.1 The Districts’Compensation Program provides for the establishment of a wage and benefit structure through the Meet and Confer process that allows Districts’ management to effectively compete in the labor market and to retain present employees through an internally consistent measure of relative job worth and personal merit.Every position is assigned to a salary grade based upon the duties and responsibilities of that position and the comparative market value of that job function.Comparisons are most generally made with organizations of similar size and engaged in similar occupational pursuits within the geographic area of potential recruitment.The basic salary ranges are set forth on Exhibit A 4.2 Wage adjustments for employees in the Executive Management,Management and Supervisory and Professional Groups are awarded nonbasebuilding from a “merit pool”amount established annually by the Boards and allocated to each department in an amount proportional to the salary budget of employees included within the Executive Management,Management,Supervisory and Professional Groups.This merit amount is awarded to individual employees based upon their performance as determined by the performance evaluation program.In addition, employees in the Executive Management,Management,Supervisory and Professional Groups receive annual wage adjustments.The amount of the wage adjustment is determined by the Boards and is distributed equally to all employees who at least meet expectations to keep employees at market. 3.0 DEFINITIONS 4.0 POLICY Page 1 Further,assignment of individual salaries into the top quartile of “exempt”ranges is limited to 20 percent of the employees in the Executive Management, Management,Supervisory and Professional Groups. 4.3 The General Manager is authorized to employ and assign persons as needed to occupy budgeted positions and to exercise supervision over all persons in accordance with the provisions of this policy and to terminate,for cause,the employment of any regular full time employee employed under these provisions. All other employees,e.g.,probationary,part-time,and limited term/temporary and contract may be terminated at the Districts’sole discretion. 4.4 The General Manager is also authorized to employ Executive Management employees on an “at-will”basis.Such status shall be memorialized by a written agreement signed by the General Manager and the Executive Manager, acknowledging that the Executive Manager shall serve at the pleasure of the General Manager.Any Executive Management employee so employed on the date of adoption of this policy,who has not signed an “at-will”agreement may voluntarily elect to do so,but may not be required to do so. 4.5 Notwithstanding any other provisions of this policy or any prior Board action,the General Manager is authorized to periodically adjust the rate of compensation of Executive Management employees who have signed “at-will”agreements so long as no adjustment exceeds the compensation permitted by the applicable salary range established by the Joint Boards of Directors. 4.6 Employees who believe their position is not properly classified may request a classification study of their position through their Department Head. Classification studies shall only be conducted twice a year in November and May. 4.6.1 All classification study findings regarding existing classifications are subject to approval by the General Manager;findings recommending new job classification titles are subject to approval by the Districts’ Boards of Directors. 4.7 The Districts are governed by the provisions of the Federal Fair Labor Standards Act,“ELSA”,and have,in accordance with it,after study and evaluation of the duties and responsibilities of all job classifications established those classifications that are within the Executive Management,Management, Supervisory and Professional Groups as exempt from the provisions of the FLSA. 5.0 PROCEDURE 5.1 Employees on the Five-Step Pay Plan 5.1.1 New Employees Employees who successfully complete their Initial Probationary Period and are recommended for continued employment are eligible for consideration of a salary adjustment of up to one step (5.5%)effective on the first day of the pay period following completion of the Initial Probationary Period.The Salary Review date for subsequent annual reviews is established on the first day of a pay period following 26 weeks of continuous service and satisfactory completion of probation. Page 2 5.1.2 Annual Merit Increase Employees who are not at the top of the salary range for their classification are eligible for consideration of an annual salary adjustment of up to one step (5.5%)on their Salary Review date, provided their performance fully meets expectations. 5.1.3 Promotional Increase Employees who earn a promotion are entitled to a promotional increase of 5.5%,or to the base of the new range, whichever is greater,upon the effective date of the promotion.If an employee has not successfully completed their Promotional Probationary Period on their Salary Review date,any adjustment resulting from that annual review will be delayed until such time as the probationary period is completed. 5.2 Executive Management,Management,Supervisory and Professional Group Employees 5.2.1 New Employees Employees who are hired into Executive Management, Management,Supervisory and Professional Group positions with “exempt”salary ranges shall be offered a salary at or near the minimum of the range unless their level of background,expertise or prior earnings result in a requirement for a salary greater than the minimum.The determination of an appropriate salary should also consider relationships to other employees in the same classification and to employees supervised,if any. 5.2.1.1 Employees in “exempt”range classifications serve a Probationary Period of six months and receive a comprehensive performance evaluation at the end of that period.Employees who successfully conclude their probation are eligible for a salary adjustment the subsequent July in accordance with the provisions of the Management Performance Review Program established by separate action of the Boards of Directors as amended from time to time. 5.2.2 Annual Management Performance Review Program An annual performance review is completed for all employees in “exempt”range classifications in accordance with the provisions of the performance evaluation Program.Performance based salary adjustments occur on the first day of the first pay period in July,and may be prorated based upon the date of hire,promotion,or last increase in those instances where the individual has not concluded probation as of July 1. 5.2.3 Promotional Increases Employees in “exempt”range classifications who earn promotions to a new “exempt”range classification will normally be offered a salary below the midpoint of the range that is commensurate with their level of training and expertise,prior earnings,and in an appropriate relationship to other employees in the same classification and to employees supervised.The new salary will normally represent an increase of at least 5.5 percent.Employees in “exempt”range classifications are not entitled to a salary adjustment at the conclusion of the Promotional Probationary Period.If the employee’s probation period has not concluded as of July 1,the performance based salary adjustment is deferred until such time as probation is successfully concluded. Page 3 6.0 EXCEPTIONS 6.1 Sections 5.2.1,5.2.2 and 5.2.3 do not apply to “at-will”Executive Management Employees. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Exhibit A 8.2 Fair Labor Standards Act Page 4 EXHIBIT “A” c~srange Classifications By Pay Range Administrative and Clerical Pay Range Minimum Maximum Classifications 1019 20.248 25.209 Information Services Technician Ill 1017 18.904 23.537 Financial Technician 1015 18.402 22.904 Graphics Coordinator 1012 17.644 21.968 AdministrativeAssistant 1013 17.418 21.680 SeniorStoreskeeper 1011 17.178 21 .385 Graphics Services Assistant 1011 17.178 21 .385 Information Services Technician II 1007 15.156 18.871 Secretary 1004 14.446 17.986 Senior Accounting Clerk 1004 14.446 17.986 Senior Office Aide 1003 14.347 17.866 Storeskeeper 1002 13.309 16.566 Accounting Clerk 1002 13.309 16.566 Office Aide 1002 13.309 16.566 Office Specialist 1001 11.922 14.850 Office Technician cisrange Classifications By Pay Range ____________ Engineering Pay ______________________________________ Range Minimum Maximum Classifications 1025 22.598 28.138 Senior Construction Inspector 1023 21.538 26.816 Engineering Associate 1020 20.674 25.734 Construction Inspector 1015 18.402 22.904 Engineer Aide III 1009 16.719 20.816 Engineering Aide II 1006 15.058 18.740 Engineering Aide I cisrange Classifications By Pay Range Technical Services Pay Range Minimum Maximum Classifications 1024 21 .986 27.373 Senior Environmental Specialist 1018 19.702 24.532 Environmental Specialist II 1018 19.702 24.532 Source Control Inspector II 1018 19.702 24.532 SeniorLaboratoryAnalyst 1010 16.828 20.959 Laboratory Analyst 1005 14.752 18.369 Source Control Technician cisrange Classifications By Pay Range ___________ Operations and Maintenance Pay Range Minimum Maximum Classifications 2015 21 .428 26.684 Lead Electrical Technician 2015 21.428 26.684 Lead Instrumentation Technician 2014 20.292 25.264 Electrical Technician II 2014 20.292 25.264 Instrumentation Technician II 2013 19.603 24.412 Lead Mechanic 2013 19.603 24.412 Pump Power Operator 2013 19.603 24.412 Senior Plant Operator 2012 18.948 23.592 Lead Collection Facilities Worker 2012 18.948 23.592 Lead Worker 2012 18.948 23.592 Machinist 2011 17.811 22.182 SeniorMechanic 2011 17.811 22.182 Welder 2010 17.691 22.029 Equipment Operator 2009 17.210 21.428 Builder 2009 17.210 21 .428 Electrical Technician I 2009 17.210 21 .428 Instrumentation Technician I 2008 17.101 21.286 Plant Operator 2007 15.637 19.472 Instrumentation Maintenance Worker 2007 15.637 19.472 Painter 2007 15.637 19.472 SeniorMaintenance Worker 2006 15.222 18.948 Mechanic 2005 14.205 17.691 Collection Facilities Worker II 2005 14.205 17.691 Maintenance Worker 2003 13.539 16.861 Groundskeeper 2002 13.364 16.631 Control Center Clerk 2001 10.960 13.637 Collection Facilities Worker I 2000 10.370 12.916 Helper cisrange Classifications By Pay Range Professional Pay Range Minimum Maximum Classifications Eli 27.514 38.925 Engineer E9 24.969 35.348 Principal Administrative Analyst E9 24.969 35.348 Principal Engineering Associate E9 24.969 35.348 Project Specialist E9 24.969 35.348 Regulatory Specialist E9 24.969 35.348 Scientist E8 23.746 33.600 Associate Engineer Ill E8 23.746 33.600 Principal Environmental Specialist E7 22.644 32.042 Programmer Analyst E7 22.644 32.042 Computer Hardware Specialist E7 22.644 32.042 Telecommunications Specialist E6 21.548 30.479 Senior Human Resources Analyst E6 21.548 30.479 Principal Laboratory &Research Analyst E6 21.548 30.479 Senior Administrative Assistant E5 20.533 29.042 Associate Engineer II E5 20.533 29.042 Senior Accountant E5 20.533 29.042 Senior Financial Analyst E4 19.558 27.698 Safety Representative E4 19.558 27.698 Programmer E3 18.606 26.348 Associate Engineer I E2 17.752 25.096 Human Resources Analyst El 16.864 23.931 Accountant El 16.864 23.931 Buyer El 16.864 23.931 Financial Analyst cisrange Classifications By Pay Range __________ Supervisory Pay Range Minimum Maximum Classifications E14 31 .829 45.046 Engineering Supervisor E13 30.358 42.935 EnvironmentaL Management Supervisor E13 30.358 42.935 Senior Engineer E12 28.921 40.915 Compliance Supervisor E12 28.921 40.915 Laboratory Supervisor E12 28.921 40.915 Senior Scientist Eli 27.514 38.925 Senior Operations Supervisor E9 24.969 35.348 Maintenance Supervisor E9 24.969 35.348 Operations Supervisor E9 24.969 35.348 Principal Accountant E9 24.969 35.348 Principal Financial Analyst E9 24.969 35.348 Source Control Supervisor E9 24.969 35.348 Supervising Construction Inspector E8 23.746 33.600 Training Supervisor E7 22.644 32.042 Foreman E7 22.644 32.042 Maintenance Planner E7 22.644 32.042 Supervising Buyer E5 20.533 29.042 Supervising Source Control Inspector Cisrange Classifications By Pay Range ____________ Management Pay Range Minimum Maximum Classifications E15 35.135 49.667 Controller E15 35.135 49.667 Financial Manager E15 35.135 49.667 Plant Automation Manager E16 34.109 48.222 Construction Manager E16 34.109 48.222 Engineering Manager E16 34.109 48.222 Environmental Compliance &Monitoring Manager E16 34.109 48.222 Laboratory Manager E16 34.109 48.222 Source Control Manager E14 31.829 45.046 Chief Scientist E13 30.358 42.935 Accounting Manager E13 30.358 42.935 Chief Operator E13 30.358 42.935 Safety/Emergency Response Manager E12 28.921 40.915 Maintenance Manager E12 28.921 40.915 Operations Manager E12 28.921 40.915 Contracts &Purchasing Manager ElO 26.164 37.062 Secretary to the Boards of Directors ElO 26.164 37.062 Training Manager E9 24.969 35.348 Human Resources Manager cisrange Classifications By Pay Range Executive Management Pay Range Minimum Maximum Classifications E27 66.346 66.346 General Manager E20 43.269 57.692 Assistant General Manager of Operations E19 39.427 59.185 Director of Engineering E19 39.427 59.185 Director of Maintenance &Operations El 9 39.427 59.185 Director of General Services Administration E19 39.427 59.185 Director of Technical Services E18 39.427 59.185 Director of Finance E17 34.317 51.490 Director of Human Resources E17 34.317 51 .490 Director of Information Technology E9 24.969 35.348 Communications Director ctsrange Classifications By Pay Range ___________ “Non-Regular’Part Time Pay Range Minimum Maximum Classifications 905 9.000 16.000 Intern 903 6.556 11.244 Part Time Assistant cl5range Classifications By Pay Range Pay ___________ Range Minimum 1027 19.282 1012 17.644 1012 17.644 Maximum Classifications 24.008 Executive Assistant II 21.968 Executive Assistant I 21.968 Human Resources Assistant Confidential e~.::.County Sanitation Districts of Orange County Policy Number:C20.OO Effective Date:October 22,1997 Subject:COMPENSATION Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish and maintain uniform compensation standards for all Districts’employees. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Districts’employees,as specified herein. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the policy of the Districts to apply uniform compensation standards.The Districts’Compensation Program provides for the establishment of a wage and benefit structure through the Meet and Confer process that allows Districts’ management to effectively compete in the labor market and to retain present employees through an internally consistent measure of relative job worth and personal merit. 5.1 Exempt Employees 5.1.1 Exempt employees shall be compensated at a monthly rate within the salary range authorized for the classification in which they are employed. 5.2 Non-exempt Employees 5.2.1 Non-exempt employees shall be compensated at an hourly rate within the salary range authorized for the classification in which they are employed. 5.0 PROCEDURE Page 1 5.3 New Employees 5.3.1 New employees in classifications within employee bargaining units other than the Professional,Supervisory,Executive Management and Management Groups who successfully complete their Probationary Period and are recommended for continued employment as regular employees,are eligible for consideration of a salary adjustment of up to one step (5.5%). 5.3.1.1 This adjustment is effective on the first day of the pay period that follows the date of completion of the Probationary Period (normally 26 weeks).The salary review date for subsequent annual reviews is the first day of the first pay period following 26 weeks of continuous service and satisfactory completion of probation. 5.3.1.2 The Salary Review date for subsequent annual reviews is the first day of that pay period following the date when probation was successfully completed. 5.4 Reviews 5.4.1 An employee in a group other than Professional,Supervisory and Executive Management and Management who is not at the top of the salary range for their position is eligible for consideration of an annual salary adjustment of up to one step (5.5%)on their Salary Review date, provided their performance satisfactorily meets expectations. 5.4.1.1 Annual performance reviews shall be completed on a form provided by the Director of Human Resources. 5.5 Promotions 5.5.1 An employee who earns a promotion is entitled to a promotional increase of at least 5.5%,or to the base of the new range,which ever is greater, upon the effective date of the promotion. 5.5.1.1 If an employee has not successfully completed the promotional probationary period on their salary review date,any adjustment resulting from that annual review will be delayed until such time as the probationary period is completed. 5.5.1.2 A new salary review date is established for any promotion to a classification not in the Professional,Supervisory,Executive Management and Management Group. 5.6 E-Range Classifications 5.6.1 An employee hired into Professional,Supervisory,Executive Management and Management Group positions with “exempt”salary ranges shall be offered a salary at or near the minimum of the range unless their level of background,expertise or prior earnings indicates a need for a salary greater than the minimum. Page 2 5.6.1.1 The determination of an appropriate salary should also consider the relationship of the employee’s proposed salary to that of other employees in the same classification and to employees supervised,if any. 5.6.2 Except for “at-will”Executive Management employees,employees in “exempt”range classifications serve a Probationary Period of six months and receive a comprehensive performance evaluation at the end of that period unless otherwise provided in an individual,written employment agreement. 5.6.2.1 An employee who successfully completes probation is eligible for a salary adjustment according to the provisions of the Management Performance Review Program which is in force at the time of the review. 5.6.3 An annual performance review is completed for all employees in “exempt”range classifications according to the provisions of the Management Performance Review Program. 5.6.3.1 Performance-based salary adjustments for these employees occur on the first day of the first pay period in July. 5.6.3.2 Such adjustments may be prorated based on the date of hire, promotion,or last salary increase in those instances where the individual has not completed probation as of July 1. 5.6.4 An employee in “exempt”range classifications who is promoted to a new “exempt”range classification will normally be offered a salary below the midpoint of the range that is commensurate with their level of training and expertise,prior earnings. 5.6.4.1 The promoted employee’s salary should be in an appropriate relationship to other employees in the same classification and to employees supervised. 5.6.4.2 The new salary will normally represent an increase of least 5.5 percent,but not exceed the third quartile of the range for the new classification. 5.6.4.3 If the employee’s probation period has not concluded as of July 1,the performance based salary adjustment is deferred until such time as probation is successfully concluded. 5.6.4.4 This section does not apply to “at-will”Executive Management employees. Page 3 5.7 Y-Rating 5.7.1 If the duties and responsibilities of a position are allocated to a lower paid classification as a result of a classification study,the salary of the of the employee in that position shall remain unchanged (Y-rated) according to the following table: Years of Service Term of V-rate 0-3 OneYear 4-5 TwoYears 6-10 ThreeYears 11-20 FourYears 21 or More Five Years 5.7.2 The Y-rate remains in effect until the salary range for the new classification equals or exceeds the employee’s Y-rated salary,or until the term of the V-rate expires. 5.7.2.1 If the V-rate expires before the employee’s salary falls within the range of the new classification,the employee shall be placed on the step of the new range nearest but not more than the Y-rated salary. 5.7.2.2 Employees become eligible for merit increases and range adjustments when the V-rate is no longer in effect. 5.7.2.3 An employee who requests a voluntary reduction is not entitled to a V-rate. 5.7.2.4 This section does not apply to ‘at-will”Executive Management employees. 6.0 EXCEPTIONS 6.1 The General Manager is authorized to offer up to three (3)weeks of annual paid vacation to any prospective Executive Management employee if,in the judgment of the General Manager,such offer is necessary to attract the most qualified candidate. 6.1.1 The General Manager shall annually report all such appointments to the Board Subcommittee having responsibility for personnel matters. 6.1.2 Salary offers beyond the midpoint of a range require prior approval by the General Manager. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS (Attach salary range exhibits when available) Page 4 County Sanitation Districts of Orange County Policy Number:C30.OO Effective Date:October 22,1997 Subject:APPRAISAL OF PERFORMANCE Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for the appraisal of employee performance. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy and the Districts’management philosophy that establishing an effective level of communication that offers consistent and continuing feedback on performance expectations and achievements will provide an environment in which our employees can perform to the best of their abilities. A performance appraisal program has been developed to provide a structure that will support the accomplishment of that goal.Important principles of the program include: 4.1.1 The Districts’overall mission is enhanced by establishing a connection between that mission and individual employees’responsibilities and objectives. 4.1.2 Recognizing employee strengths and identifying areas that may represent opportunities for improvement will affect current performance as well as enhance career potential. 4.1.3 Every individual has primary responsibility for their own performance and development. 4.1.4 The key role of the supervisor is to support an employee’s efforts to maximize their own contribution and potential. Page 1 5.0 PROCEDURE 5.1 New employees will receive a performance appraisal at the close of their initial probationary period to determine their suitability for continued employment with the Districts.An evaluation should also occur midway through the probationary period to ensure that performance expectations have been properly communicated and established.This will also offer an opportunity for both the employee and the supervisor to more effectively evaluate the desirability of continuing the employment relationship. 5.2 Employees who earn promotions should similarly receive a performance appraisal at the conclusion of the promotional probationary period. 5.3 An annual performance appraisal will be completed with each employee prior to their anniversary date.Professional,Supervisory,Management and Executive Management employees will receive a performance appraisal prior to any salary adjustment or merit bonus. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 Supervisors and managers will be notified by the Human Resources Department of all evaluations that must be completed at least 45 days in advance of the due date. 8.0 RELATED DOCUMENTS Page 2 ~,County Sanitation Districts of Orange County Policy Number:C40.OO Effective Date:October 22,1997 Subject:EXTRAORDINARY SERVICES COMPENSATION FOR EXEMPT EMPLOYEES IN THE PROFESSIONAL GROUP Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform policies regarding extraordinary services compensation for exempt employees in the Professional Group. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies only to employees in the Professional Group. 3.0 DEFINITIONS Exempt employees are those employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act,as amended.Such employees are considered exempt by virtue of their duties in conformance with the Act’s definition of executive,administrative and professional responsibilities. 4.1 It is the policy of the Districts to compensate employees in the Professional Group for extraordinary services in accordance with the following procedures. 5.0 PROCEDURE 5.1 Employees in the Professional Group are exempt from the overtime provisions of the Fair Labor Standards Act.However,when services are required beyond what is normally expected of a position in this group,employees will be eligible to receive additional compensation for performance of such extraordinary service, upon approval of their Department Head or designee,as set.forth in this policy. 5.2 Employees in the Professional Group will be eligible to receive additional compensation at their regular rate of pay for performing extraordinary services of at least eight hours in a pay period.Extraordinary service is required work such as:work required by a major facilities failure;work necessary to protect public health and safety caused by an emergency declared as such by the General Manager or designee;or work which cannot be reasonably anticipated due to extraordinary circumstances. 4.0 POLICY Page 1 5.3 Written authorization to receive compensation for all such extraordinary service must be obtained in advance,except in the event such approval is precluded by the nature of the emergency.The authorization must be signed by the Department Head or designee,and set forth the work to be accomplished,the reason such work is required,the anticipated hours and eligibility for additional compensation.All authorized extraordinary service time worked must be reported on an Emergency Overtime Report as well as the employee’s time report. 5.4 Employees may elect to receive compensatory time off in lieu of compensation on an hour-for-hour basis not to exceed a maximum of 50 hours.Accumulated hours in excess of 50 shall be paid at the employee’s regular rate of pay. 6.0 EXCEPTIONS 6.1 Except for performing extraordinary services as defined in this policy and in their Memorandum of Understanding,Professional Group employees are not entitled to receive any compensation or compensatory time off for service rendered beyond their normal work schedule. 7.0 PROVISIONS AND CONDITIONS 7.1 Unless an employee’s contract indicates otherwise,the provisions of this policy shall apply only to Professional Group employees. 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act,as amended. Page 2 County Sanitation Districts of Orange County Po’icy Number:C50.OO Effective Date:October 22,1997 Subject:OVERTIME PAY —NON-EXEMPT EMPLOYEES Supersedes: 1.0 PURPOSE Approved by: 11 The purpose of this policy is to establish uniform guidelines and procedures for use in the compensation of non-exempt employees for overtime hours worked. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 Districts’employees represented by one of the following bargaining units: Engineering Unit;Technical Services Unit;Administrative/Clerical Unit; Operations and Maintenance Unit;and,certain confidential positions. 3.0 DEFINITIONS Non-Exempt means those employees whose job classifications fall under the provisions of the Fair Labor Standards Act. Overtime means hours worked in excess of 40 during a workweek. Workweek means a seven-day period starting at 12:01 am.Friday and ending at midnight on the following Thursday. 4.0 POLICY 4.1 Non-exempt employees who qualify for overtime compensation for work beyond their normal schedule shall be paid one-and-a-half times their regular rate of pay. 4.2 When an employee’s work schedule requires that they work on an observed holiday,the employee may opt to be paid at two-and-one-half times their regular rate of pay for the holiday or to be paid at one-and-one-half times their regular rate and receive an amount of Holiday Compensatory Time Off equivalent to the number of hours in the shift.Normally,employees that accumulate in excess of fifty hours.of Holiday Compensatory Time Off will be scheduled to take such excess time off or be paid for the excess accumulated Holiday Compensatory Time Off at the convenience of the Districts.For good reason,the Department Head may allow Holiday Compensatory Time Off to be accumulated in excess of fifty hours. Page 1 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act Page 2 4~County Sanitation Districts of Orange County Policy Number:C60.OO Effective Date:October 22,1997 Subject:ACTING PAY Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish a uniform standard of remuneration for employees who are temporarily assigned to perform the duties of a higher level classification. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Districts’employees regardless of their organizational unit. 3.0 DEFINITIONS A !~!~is an increment on the salary guide.Where not provided on the salary guide,a step shall be 5.5%of the employees current salary,calculated to the nearest cent per hour. Acting means performing substantially all of the duties of a vacant budgeted position with a higher maximum rate of pay. Salary Range is the complete set of standard salary increments adjusted over time,as published in the Districts’salary guide for any given position or job classification. 4.0 POLICY 4.1 It is the policy of the Districts to compensate employees,in accordance with this policy,for performing substantially all of the duties of a vacant budgeted position with a higher maximum rate of pay. 5.0 PROCEDURE 5.1 Employees who are temporarily assigned by Districts’management to perform substantially all of the duties of a higher level classification for a period of at least 100 consecutive hours will be eligible for a salary increase,for further continued service in the higher classification. Page 1 5.2 For service beyond 100 consecutive hours,pay shall be 5.5%higher than the employee’s current rate of pay,or at the minimum of the pay range for the acting position,whichever is greater. 5.2.1 The higher rate of pay begins with the 101st hour,and continues until the assignment ends. 5.2.2 Requests for acting pay require the approval of the employee’s Department Head and the Director of Human Resources. 6.0 EXCEPTIONS 6.1 The 100-hour eligibility period may be waived at the discretion of the General Manager. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 /C~County Sanitation Districts of ~: Orange County Policy Number:C70.OO Effective Date:October 22,1997 Subject:CALL-BACK PAY Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for call-back pay. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 Call-back pay is available to all employees in every organizational unit except for “exempt”range employees. 3.0 DEFINITIONS Call-back pay is compensation for employees who have been called back to work by the Districts following a normal work shift in accordance with the procedure outlined in this policy. 4.0 POLICY 4.1 It is the policy of the Districts to compensate employees for call-back pay in accordance with the following procedure. 5.0 PROCEDURE 5.1 When an employee is called back to work by the Districts’without prior notice, and the employee has completed his or her normal work shift for that day and left the work site,or when prior notice is given by the Districts,but the work begins on the same day at least three hours after completion of an employee’s regular shift,the employee shall receive a minimum of three hours of call-back pay.The three hours minimum,whether or not actually worked,shall be paid at the rate of one and one half times the employee’s regular hourly rate.If the actual work time exceeds three hours,the employee will be compensated for that time as well,except that no employee may work for or be compensated for more than 16 hours in a 24-hour period.Employees who are called back a second time within a normal shift period are considered to be working for the duration of that shift. 6.0 EXCEPTIONS 6.1 This policy does not apply to “exempt”range employees. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS /C~County Sanitation Districts of Orange County Policy Number:C80.OO Effective Date:October 22,1997 Subject:STANDBY PAY Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the compensation of Districts’employees who perform standby duties. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All non-exempt employees. 3.0 DEFINITIONS Standby is time during which an employee is not required to be at the work location or at the employee’s residence but is required to be available for immediate return to work. Call-back pay is when an employee is called back to work by the Districts without prior notice,and the employee has completed his or her normal work shift and left the plant,or when prior notice is given but the work begins on the same day at least three hours after completion of the regular shift,the employee shall receive a minimum of three hours of call back pay. 4.0 POLICY 4.1 An employee covered by a Memorandum of Understanding provision for standby pay who is placed on standby shall be compensated at the rate of one hundred dollars per week,and will also receive call-back pay when they are actually called to work. 5.0 PROCEDURE 5.1 Standby assignments shall first be made on a voluntary basis. 5.2 A volunteer standby list shall be established by classification and job location. 5.3 Standby assignments shall be made from the list of employees who are competent and experienced,in alphabetical order,on a rotating basis. Page 1 5.4 In the event that no one volunteers,the Districts shall,on a rotational basis, assign standby by job classification and work location from employees who are competent and experienced. 6.0 EXCEPTIONS 6.1 This policy does not apply to “exempt”range employees in the affected organizational unit. 7.0 PROVISIONS AND CONDITIONS 7.1 A standby list will be developed by the Operations and Maintenance Department weekly,and it shall be posted at both the Plant No.1 Control Center and at the Plant No.2 Operations Center. 8.0 RELATED DOCUMENTS Page 2 /~.County Sanitation Districts of Orange County Policy Number:C90.OO Effective Date:October 22,1997 Subject:MEAL AND REST PERIODS Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for providing employees with time off for meals and rest periods. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy to provide employees with time off for meal periods and rest periods in accordance with the procedures of this policy. 5.0 PROCEDURE 5.1 Uncompensated meal breaks are scheduled during every workday of at least five hours,and may be either 30 or 60 minutes at the discretion of each division manager. 5.2 Two rest periods of 10 minutes each are granted to employees during a 9-hour shift.Three rest periods of 10 minutes each are granted for a shift of more than 10 hours.Meal and rest periods are intended to provide employees with time for relaxation from their work during their workday,and may not be avoided or accrued for the purpose of obtaining additional time off or shortening their regular workday. 6.0 EXCEPTIONS 6.1 Treatment plant operators are compensated at their regular rate of pay during their meal period. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS ~,County Sanitation Districts of Orange County - Policy Number:C100.OO Effective Date:October 22,1997 Subject:UNSCHEDULED OVERTIME MEALS Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for providing employees with money for meals when they are required to serve unscheduled overtime. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy to provide employees with money for meals or food service when they are required to serve unscheduled overtime in accordance with the procedures in this policy. 5.0 PROCEDURE 5.1 When employees are required to work overtime due to an emergency,and actually works at least five hours,or due to an unanticipated extension of their regular workday that includes a regular meal period,the employee is entitled to reimbursement for the actual cost of a meal,not to exceed $5.00 for breakfast, $7.00 for lunch or $15.00 for dinner in addition to any compensation for time worked.Receipts must be submitted to the Accounting Division for expense reimbursement.In lieu of cash reimbursement,the Districts may provide actual food service to the employees. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS County Sanitation Districts of Orange County - Policy Number:C11O.OO Effective Date:October 22,1997 Subject:TRAVEL AND BUSINESS EXPENSES Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for reimbursing employees for travel and business expenses. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS Per Diem is money paid to an employee per day while on travel for the Districts for meals,gratuities and incidentals. 4.0 POLICY 4.1 It is the Districts’policy to reimburse employees for travel and business expenses in accordance with the procedures of this policy. 5.0 PROCEDURE 5.1 The Districts will reimburse employees for reasonable travel and other expenses incurred in the course of representing the Districts on official business provided that approval is obtained in advance.All reimbursement claims for such expenses must be submitted on an Employees’Travel and Meeting Expense Report form along with appropriate receipts,and must meet conditions and requirements established by the Finance Department,and the provisions and conditions in this policy. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 If the reason for travel is to appear on a panel or to orate a presentation on behalf of the Districts,prior written approval to do so must have been issued by the General Manager.Failure to do so may preclude attendance. 7.2 Travel requests are to be submitted as far in advance as possible to take advantage of discounted or reduced fares,etc. Page 1 7.3 If Saturday night stay-over reduced/air-fare savings exceed the lodging and per diem expenses for the added travel days,the Districts may require employees to travel accordingly. 7.4 Employees are to exercise every effort to minimize travel and meeting expenditures.When alternatives are available,the employee will utilize the least expensive alternative. 7.5 Automobile mileage reimbursement is given if an employee is required to use a personal vehicle for travel within the Districts’general geographical area,which includes Orange,Los Angeles,Ventura,San Bernardino,Riverside,San Diego and Kern Counties.Mileage is reimbursed at $.315 cents per mile.This figure is adjusted periodically based on IRS-approved mileage allowances. 7.6 The Districts shall reimburse employees for one telephone call to home per day at a rate not to exceed $4.25 per day.Calls to the Districts shall be made by Districts-provided credit card or collect. 7.7 Full per diem allowance shall only apply to overnight travel.If a meeting includes a portion of a day,the per diem will be prorated based on the following: 7.7.1 $40.00 per day (Breakfast:$6.00;Lunch:$10.00;Dinner:$18.00). 7.8 An employee shall not be eligible for per diem on same-day travel for meetings within Orange County. 7.9 The Districts do not pay for alcoholic beverages. 7.10 If a meeting includes a mandatory meal that is greater than the meal allowances listed in Section 7.7,per diem will be adjusted by the difference between the allowances in Section 7.7 and the required meal charge (generally paid as part of registration fees). 7.11 If a meal is included in the registration fee paid by the Districts,an employee shall not be entitled to per diem for that meal. 7.12 An employee shall not be eligible for per diem for meals provided by air or other common carriers. 7.13 Air fares are for coach only.Arrangements are to be made only through the Districts’designated travel agency.The agency shall determine the least costly air fare for the trip. 7.14 The Districts shall pay local transportation costs from the employee’s residence to the departure airport.If the employee uses their personal vehicle,then mileage will be paid at the current IRS-approved rate.Alternate travel to a departing airport shall be by bus or taxi only.Vans are not allowed unless prior approval is obtained. 7.15 The Districts shall pay travel expenses by bus,taxi or van from the destination airport to the meeting site. 7.16 Travel while at the local destination shall be by taxi,as needed.A rental car may be allowed (compact,mid or full-size),the least costly to be determined by the designated travel agency,if prior approval is obtained. Page 2 7.17 Parking at the departure airport shall be in a reduced-fee lot only.Parking shall be paid for the actual cost at other local area meetings. 7.18 Meeting registration is generally prepaid by the Districts and will be paid based on prior approval.If an employee is attending a meeting as a member of a professional organization related to their job responsibilities,the Districts shall pay the entire cost of registration.If not,the employee shall pay the difference between member and non-member registration fee. 7.19 Lodging shall be in a hotel,motel or lodge.Single-room rates shall apply for authorized overnight travel.Meals or other reimbursable charges on the hotel bill will be applied against the per diem allowance. 7.20 Expenses not allowed as defined in this policy are not reimbursable without prior written approval.Such expenses include but are not limited to entertainment, recreation and personal items. 8.0 RELATED DOCUMENTS 8.1 Employee’s Travel and Meeting Expense Report 8.2 CSDOC Administrative Standards and Procedures Guidelines,Section III,Travel and Training Page 3 /~Z.-:,~County Sanitation Districts of Oran e Count‘ Policy Number:C120.OO Effective Date:October 22,1997 Subject:PART-TIME EMPLOYEE STATUS AND BENEFITS Supersedes: Approved by 1.0 PURPOSE 1.1.The purpose of this policy is to establish uniform guidelines for use in the administration of the program that provides for employees working in a part-time status and the associated benefits program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1.All Districts’employees working in a part-time status. 3.0 DEFINITIONS 4.0 POLICY 4.1.Part-time employees regularly work less than 80 hours in a biweekly pay period for an indefinite period of time.Notwithstanding any other provision herein,the General Manager is authorized to confer the benefits set forth under the Districts’ policies and procedures regarding Leaves-of-Absence with or without Pay (vacations,sick leave,personal leave,holidays,FMLA and CFRA)insurance and severance pay,on a prorated basis as follows: HOURS OF WORK PER WEEK PERCENT BENEFIT/SUBSIDY 0—under 19 None 20 —under 29 50 percent 30—39 75 percent 4.2.The benefits shall be set forth in a written agreement between the employee and the General Manager on a case-by-case basis. 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 4~.County Sanitation Districts of Oran eCount Policy Number:C130.OO Effective Date:October 22,1997 Subject:WAGE GARNISHMENTS Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for wage garnishments and attachments. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy to comply with all court orders requiring that an employee’s wages be garnished or attached in accordance with the procedures of this policy. 5.0 PROCEDURE 5.1 Districts’management realizes that during the course of employment certain circumstances may cause an individual to fall behind in meeting financial obligations,which may result in that employee’s wages being attached.When this occurs,the Districts are required by court order to withhold and remit a portion of the employee’s disposable earnings (as prescribed by law)to the court or Internal Revenue Service for the satisfaction of the debt.This places an extra expense and burden on the Districts. 5.2 If a garnishment,wage attachment or IRS levy is received by the Districts,the employee may be encouraged to seek a release in writing from the creditor and to seek the advice of a financial counselor through the Employee Assistance Program. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 No disciplinary action will be taken as a result of an attachment from a single creditor,even though no release is received and the Districts are required to make payroll deductions.Garnishments on three or more separate indebtedness within a 12-month period indicates that the employee has disregarded their obligation to pay debts in a timely manner and has shifted that responsibility to the Districts.This creates an unacceptable situation,and can be the basis for disciplinary action. 8.0 RELATED DOCUMENTS /~County Sanitation Districts of Orange County Policy Number:C140.OO Effective Date:October 22,1997 Subject:SEVERANCE PAY Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy isto establish uniform guidelines and procedures for use in the administration of the Districts’severance pay plan. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts’employees. 3.0 DEFINITIONS 4.1 Employees are required to give a minimum of two weeks written notification when resigning from employment with the Districts. 4.2 When a full-time regular employee is separated from employment by action of the Districts,except for disciplinary cause,the employee will be notified in writing through a Notice of Intent to Separate two weeks prior to the effective separation date.The notification period for employees on unpaid leave will be reduced by the number of calendar days of such leave.In the event such notification is not given,the employee shall be entitled to severance pay in accordance with the formula set forth below: 4.1.1 Full-time,non-probationary,regular employees shall be entitled to six hours pay for each full calendar month of continuous employment not to exceed eighty hours pay,or as may be determined by the General Manager. 4.1.2 Employees in temporary or part-time classifications,initial probationary employees,and employees who are dismissed for cause,are not eligible for severance pay under any circumstances. 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 Employees who are dismissed for cause will not receive a Notice of Intent to Separate under the provisions of this policy. 8.0 RELATED DOCUMENTS 4.0 POLICY Page 1 County Sanitation Districts of 0 C trangeoun y Policy Number:C150.OO Effective Date:October 22,1997 Subject:DEFERRED COMPENSATION Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for Deferred Compensation. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 Deferred Compensation is available to all employees in accordance with the provisions of this policy,Internal Revenue Service (IRS)regulations,and Districts’Board Resolution Nos.95-80 and 95-81 and as each may be amended from time to time. 3.0 DEFINITIONS Deferred Compensation is that portion of an employee’s wages that has been deferred from paying income tax in the year in which it is earned and put into a Deferred Compensation investment account. 4.0 POLICY 4.1 The Districts’Deferred Compensation Plan allows full-time employees to defer income tax liability on a portion of their wages until such time as those funds are withdrawn from the fund because of death,disability,retirement,hardship or termination of employment with the Districts in accordance with the following procedures,provisions,conditions,and Districts’Boards Resolution 95-80 and 95-81 as amended from time to time. 5.0 PROCEDURE 5.1 Employees may participate in the Districts’Deferred Compensation Plan,approved separately by the Boards of Directors,and amended from time to time,subject to all requirements for participation established by the Districts’. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 The provisions of the Plan differ according to job classification,and any Districts’ contributions towards the employee’s account are considered as part of the employee’s total compensation.The minimum deposit per pay period is $25,and the total annual maximum deposit is $7,500 per year,or an amount in accordance with Internal Revenue Service regulations.The following table shows the Districts’contribution to an employee’s deferred compensation account,in both matching and non-matching funds, as these relate to employee categories: Page 1 Districts’Contribution Employee Category Matching Non-matching Non-Exempt -Not Applicable --Not Applicable - Professional 1.0%2.0% Supervisors and Division Managers 2.0%2.0% Department Head 3.0%3.0% Gen.Mgr.and Asst.Gen.Mgr.-0-$7,500 The minimum deposit per pay period is $25,and the total annual maximum deposit is $7,500 or 25 percent of an employee’s gross salary,whichever is less,in accordance with IRS regulations and the Districts’Boards Joint Resolution No.95-81. 8.0 RELATED DOCUMENTS 8.1 United States Government Internal Revenue Code. 8.2 Districts’Boards Joint Resolution No.95-81 Page 2 RESOLUTION NO.95-80 APPROVING AMENDMENT TO DEFERRED COMPENSATION PLAN FOR OFFICERS AND EMPLOYEES 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,APPROVING FIRST AMENDMENT TO DEFERRED COMPENSATION PLAN FOR THE OFFICERS AND EMPLOYEES OF THE DISTRICTS WHEREAS,by Resolution No.94-39,adopted by the Boards of Directors on April 13, 1994,the Districts approved and adopted the County Sanitation Districts of Orange County, California Deferred Compensation Plan as Amended 1994 (hereinafter referred to as the “Plan”);and, WHEREAS,the Boards of Directors desire to amend the Plan to permit greater flexibility in plan distribution elections,to clarify certain provisions of the Plan,and to comply with certain recent Internal Revenue Service interpretations. 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 County Sanitation Districts of Orange County,California Deferred Compensation Plan as Amended 1994 is hereby amended as set forth in Exhibit “A,” attached hereto and incorporated herein by reference as though set forth herein at length,and as so amended shall remain in effect until further amended or terminated by Resolution of the Boards of Directors. PASSED AND ADOPTED at a regular meeting held Jul y 26 , 1995. 2000.00019 148431 FIRST AMENDMENT TO COUNTY SANITATION DISTRICTS OF ORANGE COUNTY, CALIFORNIA DEFERRED COMPENSATION PLAN AS AMENDED 1994 WHEREAS,by Resolution No.94-39,adopted by the Boards of Directors on April 13,1994,the Districts approved and adopted a revised deferred compensation plan,i.e.,the County Sanitation Districts of Orange County,California Deferred Compensation Plan as Amended 1994 (the “Plan”); WHEREAS,the Boards of Directors desire to amend the Plan to permit greater flexibility in plan distribution elections and to clarify certain provisions of the Plan; THEREFORE,pursuant to Resolution No.95-80,adopted by the Boards of Directors on July 26 , 1995 the County Sanitation Districts of Orange County, California do hereby amend the Plan as follows: 1.Section 3.16 of the Plan is hereby deleted in its entirety and the following language is hereby inserted in its place and stead: “Required Beginning Date’shall mean the latest date that distributions are permitted to commence under Section 10.3.” 2.Section 10.1 of the Plan is hereby deleted in its entirety and the following language is hereby inserted in its place and stead: “10.1 Termination of Emoloyment by Retirement The Participant is eligible to receive distributions of benefits,with respect to retirement,after the Participant has met the requirements for Normal Retirement and has retired from service with the Employer.The Participant may submit to the Employer an application for distribution of benefits under the Plan as early as the date he notifies the Employer of his intended retirement and as late as thirty (30)days following the actual date of termination of employment due to retirement.Pursuant to such application,the Participant shall elect one of the benefits payment options described below.Such election shall become irrevocable upon the lapse of the thirtieth (30th)day following termination of employment with the Employer due to retirement. Following the Participant’s termination of employment due to retirement and the receipt of such application,the Employer shall pay to the Participant one of the following benefits (expressed in terms of both payment option and commencement date)as elected by the Participant: PAYMENT OPTION - (a)Consecutive equal monthly payments over a period of 36 1~ EXHIBIT “A” months to 180 months,as determined by the Participant; provided,however,that any such period may not extend beyond the life expectancy of the Participant or the joint life and last survivor expectancy of the Participant and the Participant’s Category A Beneficiary.(This payment option may be satisfied through annuity distributions.) (b)Consecutive equal monthly payments for the life of the Participant or for the lives of the Participant and his Category A Beneficiary.(This payment option may be satisfied through annuity distributions.) (C)A single payment equal to the balance of the Participant’s Investment Account. (d)A single lump-sum payment in an amount to be determined by the Participant,with the remainder of the Participant’s Investment Account to be paid under either payment option (a)or payment option (b)above. COMMENCEMENT DATE OPTION (a)The first day of the third calendar month following the month in which termination of employment occurs,or (b)The first day of a later month as designated by the Participant. In the case of payment option (d)above,the lump sum must be paid on the same date that the first payment over time is paid. DELAYED PAYMENT ELECTION OPTION - The irrevocable election which must be submitted to the Employer no later than thirty (30)days following termination of employment with the Employer due to retirement may specify the elected commencement date option only,deferring the election as to the particular payment option.In such case,the Participant must later submit an election as.to the payment option.Such later election must be submitted no later than thirty (30)days before the previously elected commencement date and shall become irrevocable on the date thirty (30)days before such previously elected commencement date.Should the Participant fail to timely submit a separate payment option election hereunder,the 2000-00019 148311 2 Employer shall pay the sum in the Participant’s Investment Account to the Participant according to payment option (C)above,on the previously elected commencement date. The foregoing options are limited by,and these payments shaU be made subject to,the provisions of Sections 10.3,10.5,10.6 and 10.7 hereof. The total amount of any benefits paid pursuant to payment options (a) through (d)above shall not exceed the sum of the amounts deferred by the Participant,as adjusted for any earnings or losses thereon. Should the Participant fail to elect one of the benefits hereunder by way of an application for retirement benefits filed with the Employer within thirty (30)days after retirement,the Employer shall pay the sum in the Participant’s Investment Account according to the “Benefit A”election previously made pursuant to either the Participation Agreement or a modification thereof.However,if there is no such previous election,then the Employer shall pay the sum in the Participant’s Investment Account according to payment option (c)above on the Required Beginning Date.” 3.Subsection 10.6.2 of the Plan is hereby deleted in its entirety and the following language is hereby inserted in its place and stead: “10.6.2 When Participant Dies either before the Required Beginning Date or before Distributions Have Begun If a Participant dies either before the Required Beginning Date or before distribution of his Investment Account has begun,and,if any portion of the Investment Account is payable to (or for the benefit of)a Category A or B Beneficiary,then the Employer shall pay such portion as follows - CATEGORY A BENEFICIARIES (1)if the Category A Beneficiary is other than the surviving spouse the portion of the Investment Account payable to such beneficiary shall be distributed according to one of the following options: (a)Consecutive equal monthly payments over a period of 36 months to 60 months (but not exceeding the life expectancy of the Category A Beneficiary); (b)A single lump-sum payment;or 2000-00019 14831 1 3 (c)A single lump-sum payment in an amount to be determined by the Participant,with the remainder of the Participant’s Investment Account to be paid under payment option (a). Such distributions shall begin on the date designated by either the Participant or,if permitted by the Participant,the Category A Beneficiary,but in no event later than December 31 of the calendar year immediately following the calendar year in which the Participant dies.If payment is made under payment option (c)above,the lump sum must be paid on the same date that the first payment over time is paid. (2)if the Category A Beneficiary is the surviving spouse of the Participant the portion of the Investment Account payable to the surviving spouse shall be distributed according to one of the following options: (a)Consecutive equal monthly payments over a period not to extend beyond the life expectancy of the surviving spouse; (b)A single lump-sum payment;or (c)A single lump-sum payment in an amount to be determined by the Participant,with the remainder of the Participant’s Investment Account to be paid under payment option (a). Such distributions shall begin on the date designated by either the Participant or,if permitted by the Participant,the surviving spouse,but in no event later than the later of (I)December 31 of the calendar year immediately following the calendar year in which the Participant dies,and (ii)December 31 of the calendar year in which the Participant would have attained age 70%.Notwithstanding the foregoing,however,if as of the date of the Participant’s death,both the surviving spouse and another are Category A Beneficiaries, then distributions shall begin on or before December 31 of the calendar year immediately following the calendar year in which the Participant dies.If payment is made under payment option (C)above,the 2000-00019 14831 1 4 lump sum must be paid on the same date that the first payment over time is paid. CATEGORY B BENEFICIARIES (3)if the beneficiary is a Category B Beneficiary which is a validly existing legal entity (such as a charitable foundation or the estate of the Participant),the portion of the Investment Account payable to such beneficiary shall be distributed as a lump sum on the first day of the third calendar month following the month in which the death of the Participant occurs. All elections (as to both payment option and commencement date) to be made under this Subsection 10.6.2(1 )(2)shall be made by the Participant pursuant to either the “Benefit C”provisions of the Participation Agreement or a later written election delivered to the Employer before the death of the Participant.Notwithstanding the foregoing,however,the Participant,in the Participation Agreement or such later written election,may specify that,following the death of the Participant,the Category A Beneficiary may elect,subject to the foregoing limitations,the form of payments and the commencement date of distributions.Any such beneficiary election,however,must be in the form of an irrevocable written election filed with the Employer no later than ninety (90)days following the date of death of the Participant.In the absence of any such timely election,the portion of the Investment Account payable to such Category A Beneficiary shall be distributed to him in a lump sum on the first day of the fifth calendar month following the month in which the death of the Participant occurs. If a Category A Beneficiary dies within six months of the date of the Participant’s death and before the entire portion of the Investment Account allocated to him has been paid pursuant to this Subsection 10.6.2,then the remainder of such portion shall be paid to the contingent beneficiary,if any,designated by the Participant in either the Participation Agreement or a later written election delivered to the Employer before the Participant’s death.If there is no such contingent beneficiary,or if the Category A Beneficiary dies more than six months after the date of the Participant’s death and before the entire portion of the Investment Account allocated to him has been paid pursuant to this Subsection 10.6.2,then the remain’der of such portion shall be paid to the estate of the deceased Category A Beneficiary.Any payment under this paragraph shall be made in a 2000.00019 5 lump sum on the first day of the third calendar month following the month in which the death of the Category A Beneficiary occurs. The Participant may designate a trust as his beneficiary under the Plan.However,in that case,any beneficiary of the trust,who is eligible to receive trust distributions on account of payments from the Plan,shall be deemed to be a Category A Beneficiary under the Plan.(For example,if the Participant designates as his beneficiary a trust of which his surviving spouse is the life beneficiary,and elects lifetime payments under option (2)(a)above,then for the purpose of this Subsection 10.6.2,the surviving spouse shall be deemed to be the Category A Beneficiary,and the terms of this subsection shall be applied by basing distributions on the life expectancy of the surviving spouse.)Notwithstanding the foregoing,however,a trust may only be designated as a beneficiary (and the beneficiary of the trust will only be deemed to be a Category A Beneficiary)if,as of the later of the date that the Participant submits to the Employer the election in which the trust is named as a beneficiary or the Required Beginning Date,and as of all subsequent periods during which the trust is named as a beneficiary of the Plan,all of the following conditions are met:(1) the trust is a valid trust under state law,(2)the trust is irrevocable, (3)the beneficiaries of the trust can be identified from the trust instrument,and (4)a copy of the trust instrument has been provided to the Employer.” 4.Section 12 of the Plan is hereby deleted in its entirety and the following language is hereby inserted in its place and stead: “12:Assignments and Transfers 12.1.Consistent with Section 8 above,no one,including the Participant,his beneficiary or designee,or any other person,shall have any right to commute,sell,assign,transfer,or otherwise convey the right to receive any payments hereunder,which payments and right thereto are expressly declared to be non-assignable and non-transferable.The Employer shall have no liability to either the Participant or a purported assignee or transferee,on accountof any attempted assignment or transfer.In addition,except to the extent otherwise provided by law,no interest of the Participant in the Plan shall be subject to attachment,garnishment or execution,or be transferrable by operation of law,whether due to bankruptcy,insolvency,liquidation for the benefit of creditors,or any other cause. 2000-00019 148311 6 12.2 Notwithstanding the foregoing,however,the amounts deferred by a former Participant may be transferred to another Internal Revenue Code section 457 eligible deferred compensation plan of which the former Participant has become a participant,if the following conditions are met: (1)the plan to which the former Participant wishes to transfer amounts deferred is located within the State of California; (2)the plan receiving such amounts provides for the acceptance of such amounts; (3)the employer accepting the transfer funds gives written notice of its agreement to accept such transfer and assumes liability therefor;and (4)the Participant provides a written release to the Employer releasing the Employer from any claim or liability under the Plan after the date such transfer of funds occurs. If a Participant separates from service in order to accept employment with another entity which permits the Participant to participate in a section 457 eligible deferred compensation plan,and if the four conditions enumerated above are met,payout of benefits will not commence upon separation from service,notwithstanding any other provision of the Plan,and amounts previously deferred will ‘automatically be transferred to that other entity’s section 457 eligible deferred compensation plan,to be credited to the Participant’s account. 12.3 A Participant,who was formerly employed by another public agency located within the State of California,may transfer,to the Plan,funds from an Internal Revenue Code section 457 eligible deferred compensation plan maintained by that former employer,if that eligible deferred compensation plan permits transfers to other section 457 eligible deferred compensation plans and if the Participant complies with all applicable terms and conditions of the transferring plan,in effectuating the transfer.” 5.The Plan shall continue in full force and effect except as expressly amended herein. 2000.00019 148311 7 RESOLUTION NO.95-81 APPROVING AMENDED DEFERRED COMPENSATION PROGRAM FOR EXECUTIVE MANAGEMENT GROUP EMPLOYEES AND MANAGEMENT.PROFESSIONAL AND SUPERVISORY EMPLOYEES 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, APPROVING REVISIONS TO THE DEFERRED COMPENSATION PROGRAM FOR THE EXECUTIVE MANAGEMENT GROUP EMPLOYEES (GENERAL MANAGER,ASSiSTANT GENERAL MANAGERS AND DEPARTMENT HEADS)AND MANAGEMENT, PROFESSIONAL AND SUPERVISORY EMPLOYEES OF THE DISTRICTS,AND REPEALING RESOLUTIONS NOS. 86-29 AND 87-113 WHEREAS,in conjunction with the Districts’Deferred Compensation Plan,the Districts,by Resolution No.86-29 and Resolution No.87-113,adopted by the Boards of Directors on February 13,1986 and August 8,1987,respectively,have previously approved specified Districts’contributions to the individual deferred compensation accounts of the General Manager,Assistant General Managers and Department Heads (collectively described as the “Executive Management Group”),and certain Management,Professional and Supervisory employees of the Districts. 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 DETERMINE,RESOLVE AND ORDER: Section 1:Contributions A.General Manager and Assistant General Managers That the Districts hereby approve a contribution of Districts’funds in the annual sum equal to $7,500.00 to the respective individual deferred compensation accounts of each of the General Manager and the Assistant General Managers (the “Districts Non-Matching Funds Contribution for General/Assistant General Managers”). B.Deoartment Heads That the Districts hereby approve a contribution of Districts’funds to the respective individual deferred compensation accounts of the Department Heads in an annual sum equal to a maximum of three (3%) percent of the gross annual salary of each of the respective Department Heads (the “Districts Matching Funds Contribution for Department Heads”),provided that each such employee voluntarily withholds from his/her salary and contributes an equal sum to his/her individual deferred compensation account. That the Districts hereby approve an additional contribution (the “Districts Non-Matching Funds Contribution for Department Heads”)to the respective individual deferred compensation accounts of.the Department Heads,in an annual sum equal to three (3%)percent of the gross annual salary of each of the respective Department Heads,exclusive of the Districts Matching Funds Contribution for Department Heads,as hereinabove described,without the requirement of any matching contribution by the individual employees. That in the event the total sum contributed to the individual deferred compensation accounts of the Department Heads,comprised of the three (3%)percent Districts Non-Matching Funds Contributions for Department Heads,the three (3%) percent Districts Matching Funds Contributions for Department Heads,and the three (3%)percent matching funds contributions fr~m the employee,exceeds the maximum 2000.00019 15760 1 2 permissible dollar amount of deferred compensation,as prescribed by the Internal Revenue Code or U.S.Treasury Department Regulations,the Districts shall continue to provide three (3%)percent Districts Non-Matching Funds Contributions for Department Heads and three (3%)percent Districts Matching Funds Contributions for Department Heads to the extent that such total Districts’contributions do not exceed the maximum allowed by law,and the individual employee shall only be required to contribute such matching funds contributions as will provide a total of all contributions that will equal the maximum allowed by law. C.Management.Professional and Supervisory Employees That the Districts hereby approve a contribution of Districts’funds in an annual sum equal to the maximum of one (1 %)percent of the gross annual salary of the respective Management,Professional and Supervisory employees (collectively the “Districts Matching Funds Contribution(s)for Management,Professional and Supervisory Employees”),to the respective individual deferred compensation accounts of such employees,provided each such employee voluntarily withholds from his/her salary and contributes an equal sum to his/her individual deferred compensation account. That the Districts hereby approve an additional contribution (the “Districts Non-Matching Funds Contribution for Management,Professional and Supervisory Employees”)to the respective individual deferred compensation accounts of the Management,Professional and Supervisory employees,in an annual sum equal to two (2%)percent of the gross annual salary of each of the respective employees described herein,exclusive of the Districts I~Aatching Funds Contribution for 2000-00019 157601 3 Management,Professional and Supervisory Employees’amount hereinabove described,without the requirement of any matching contribution by the individual employees. D.Vesting That upon completion of three (3)years of employment with the Districts and three (3)years of participation in the Deferred Compensation Plan, all Districts Matching Funds Contributions then on deposit in the individual deferred compensation accounts of the Department Heads,and Management,Professional and Supervisory employees,and all Districts Non-Matching Funds Contributions then on deposit in the individual deferred compensation accounts of the General Manager, Assistant General Managers,Department Heads,and Management,Professional and Supervisory employees shall be deemed vested,and thereafter,all Districts Matching Funds and Non-Matching Funds Contributions deposited into the individual employee’s deferred compensation account shall be deemed vested upon deposit.Notwithstanding the preceding sentence,however,upon the death,or upon the Normal or Late Retirement (as those terms are defined in the Deferred Compensation Plan)of the employee,irrespective of the length of his/her employment with the Districts,and of hisTher participation in the Deferred Compensation Plan,all Districts Matching Funds and Non-Matching Funds Contributions then on deposit in the individual employee’s deferred compensation account shall be deemed vested.Once Districts Matching Funds and Non-Matching Funds Contributions have vested as described in this Subsection,they may thereafter be withdrawn to the extent otherwise permitted under the Deferred Compensation Plan. 2000.00019 157601 4 Section 2 This program shall be for the benefit of the employees comprising the Executive Management Group (General Manager,Assistant General Managers and Department Heads)and Management,Professional and Supervisory employees.The employment classifications of those employees are set forth on Attachment “1 “,which is incorporated herein by reference,and shall be terminated only by action of the Boards of Directors.In the event other classifications are added to the category of Executive Management Group and Management,Professional and Supervisory employees by action of the General Manager or Boards of Directors of Districts,said classifications shall be deemed to be governed by this Resolution concurrently therewith. Section 3 The General Manager and Director of Finance are hereby authorized to execute individual Deferred Compensation Participation Agreements with each eligible employee,and are further authorized to execute any and all documents relating to investment and payment transactions relating to the Deferred Compensation Plan,provided that such documents are approved as to form by the Districts’General. Counsel. Section 4 Resolutions Nos.86-29 and 87-113 are hereby repealed,and the provisions herein shall become effective upon adoption of this Resolution.The provisions herein shall remain in effect until amended or terminated by Resolution of the Boards of Directors. PASSED AND ADOPTED at a regular meeting held July 26 , 1995. 2000-00019 157601 5 ATTACHMENT “1” EXECUTIVE MGMT.I DEPT.HEADS PROFESSIONAL General Manager Senior Accountant Assistant General Manager -Operations Accountant Director of Engineering Telecommunications Specialist Director of Finance Programmer Analyst Director of Human Resources Programmer Director of Information Technology Computer Hardware Specialist Director of Operations and Maintenance Buyer Director of General Services Administration Principal Administrative Assistant Director of Technical Services Senior Administrative Assistant Director of Communications Engineer Associate Engineer Ill MANAGEMENT Associate Engineer II Financial Manager Associate Engineer I Controller Principal Engineering Associate Accounting Manager Principal Environmental Specialist Contract and Purchasing Manager Project Specialist Secretary to the Boards of Directors Principal Laboratory &Research Analyst Engineering Manager Scientist Construction Manager Senior Human Resources Analyst Lab Manager Human Resources Analyst Source Control Manager Regulatory Specialist Chief Operator Safety Representative Maintenance Manager Senior Financial Analyst Human Resources Manager Financial Analyst Safety &Emergency Response Manager Environmental Management Manager SUPERVISORY Chief Scientist Principal Accountant Training Manager Supervising Buyer Operations Manager Engineering Supervisor Plant Automation Manager Senior Engineer Supervising Construction Inspector CONFIDENTIAL Compliance Supervisor Human Resources Assistant Lab Supervisor Executive Assistant II Senior Scientist Executive Assistant I Source Control Supervisor Supervising Source Control Inspector Senior Operations Supervisor Operations Supervisor Training Supervisor Maintenance Supervisor Foreman Environmental Management Supervisor Maintenance Planner Principal Financial Analyst Page 3 County Sanitation Districts of Orange County Policy Number:CI 60.00 Effective Date:October 22,1997 Subject:SHIFT DIFFERENTIAL PAY Supersedes:N/A Approved by 1.0 PURPOSE 1.1 The purpose of this policy is establish uniform guidelines and procedures for differential shift pay. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees who are covered by an MOU that entitles them to shift differential pay. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the policy of the Districts to compensate employees for shift work outside normal business hours at an hourly rate above their normal hourly rate as specified in this policy. 5.0 PROCEDURE 5.1 Employees who are regularly assigned to work a night shift that consists of 50%or more of their hours between 6 p.m.and 6 a.m.,and who actually work that shift,shall receive a shift differential of $2.50 per hour. 5.2 Employees hired prior to 02/05/97 who currently receive either a.m.or p.m.shift differential shall retain a $1.25 per hour shift differential if they are involuntarily displaced to a day shift (12-hour shift)for the purposes of converting to a 6:00 am.to 6:00 p.m.and 6:00 p.m.to 6:00 a.m.12-hour shift structure.The $1.25 shift differential shall continue until October 30, 1999.Thereafter,the shift differential for these employees shall be discontinued. 5.3 Employees who voluntarily change shifts at any time during the contract period shall forfeit their eligibility for the $1.25 per hour shift differential. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS H:\WP.DTA\HR\OPEN\HR POLICIES\UPDATED TO WORD\C160.DOC Page 1 Section D Employee Benefits County Sanitation Districts of Orange County Policy Number:010.00 Effective Date:October 22,1997 Subject:LEAVE-OF-ABSENCE WITH PAY Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Districts’leave-of-absence with pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts’employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 Vacation Leave Except as otherwise provided,regular full-time employees accrue vacation leave,in accordance with the following schedule: Years of Service Hours-Biweekly Hours-Annually In years 0 through 1 3.08 80 Inyears2through4 3.08 80 In years 5 through 10 4.62 120 Inyearll 4.93 128 In year 12 5.24 136 Inyearl3 5.54 144 In year 14 5.85 152 In year l5and over 6.16 160 4.1.1 Vacation leave begins to accrue after a new employee has completed six months of continuous service.After the first six months of service,the employee’s account will be credited with 40 hours.After that time,the employee will accrue vacation hours consistent with the above chart.Vacation leave may only be utilized in increments of one-half hour or more.Vacation leave is accrued for all paid hours,including hours actually worked and hours in a paid-leave payroll status.A full-time,regular employee will be granted pro rata vacation leave credit during any pay period in which he/she is absent without pay for one (1)full working day.A part-time,regular employee will not be granted vacation leave credit during any period he/she is absent without pay on his/her regular working day. 4.1.2 Employees may have a maximum accumulation of 200 hours as of the last day of the final pay period in December of each year.In the event an employee accrues vacation leave in excess of 200 hours,it must be used prior to said December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee’s then current hourly rate of compensation. 4.2 Sick Leave Sick leave is an insurance or protection provided by the Districts to be granted to employees in circumstances of adversity to promote the health and welfare of the individual employee.It is not an earned right to take time off from work.Sick leave is defined as the absence from duty of an employee because of a bona fide illness,injury, or pregnancy,or to attend to the illness or injury of a family member as hereinafter defined.Temporary employees are not entitled to sick leave benefits. 4.2.1 Sick-Leave Accrual.Full-time employees hired prior to November 27,1981,accrue paid sick leave at the rate of three and one-half (3.5)hours for each biweekly pay period of continuous service (ninety-one (91)hours per year).Full-time employees hired on or after November 27,1981,accrue paid sick leave at the rate of three (3.0) hours for each biweekly pay period of continuous service (seventy-eight 78]hours per year),beginning with the first day of employment. 4.2.2 Sick-Leave Credit.A full-time,regular employee shall be granted pro rata sick-leave credit during any pay period in which he/she is absent without pay.A part-time, regular employee shall not be granted sick-leave credit during any period he/she is absent without pay on his/her regular working day.In the event an employee is required to work part-time by direction of his/her physician,sick-leave àredit shall be prorated,except that sick leave shall continue to accrue if an employee is absent due to an injury arising out of or in the course of his/her employment and is entitled to Workers’Compensation benefits. 4.2.3 Annual Payoff.Employees may elect annually to be paid for any unused sick leave hours accrued throughihe end of October at their current hourly rate according to the following payoff schedule or as specified in a Memoranda of Understanding. Accrued Sick Leave Hours Rate of Payoff 0-100 0% 101-240 25% 241-560 35% Over 560 (mandatory)50% 4.2.4 Employees who separate for any reason other than retirement or death shall be compensated for any accrued and unused sick leave according to the above schedule.Employees who retire or decease shall be paid at the fifty percent (50%) rate for all accrued and unused sick leave. 4.2.5 Permissible Uses Sick leave may be applied only to: a.Absence due to illness,injury or pregnancy of an employee. b.Absence due to medical and dental office appointments of an employee when approved by the employee’s supervisor. c.Absence for the care of the employee’s father,father-in-law,mother,mother-in- law,brother,sister,husband,wife,child,grandparent,legal guardian,or any family member with whom the employee resides. d.Absence due to a job-related injury. 4.2.5 General Provisions To qualify for sick-leave pay,the employee must notify the Districts at or in advance of the time the employee is scheduled to report for duty. Minimum charge to the employee’s sick-leave account shall be one-half (.5)hour and thereafter in one-half (.5)hour increments. 4.2.6 The Director of Human Resources shall be responsible for control of abuse of the sick-leave privilege.If notified in advance by a manager or supervisor,the employee may be required,at any time,to furnish a certificate issued by a licensed physician or nurse,or other satisfactory evidence of illness;however,for absences often (10) consecutive working days or more,a request for leave and a medical statement,on prescribed-forms,stating expected date of return must be submitted to Human Resources.Upon return to work,a written doctor’s release must be submitted to Human Resources.For absences of one or more working days in an unpaid status, a request for leave and a medical statement,on prescribed forms,stating expected date of return must be submitted to Human Resources. 4.2.7 If the need for leave is due to the employee’s serious health condition,as defined in the Family and Medical Leave Act (“FMLA”)or the California Family Rights Act (CFRA”),the certification requirement shall comply with provisions of these Acts. 4.3 Personal Leave Personal leave is provided to allow employees time off with pay for vacation,personal business and non-job-related illness or injury.Personal leave is accrued by full-time employees for all paid hours,including hours actually worked and hours in a paid-leave payroll status,on a biweekly basis as follows: Personal Leave Hours Years of Service Biweekly Annual o through 1 - 2.31 80* 2through4 5.38 140 5throughlo - 6.92 180 11 7.23 188 12 7.54 196 13 7.85 204 14 8.15 212 15 and over 8.46 220 *only 60 hours may be taken in the first year;the 20 additional hours shall be credited to the accrual balance following successful completion of one year’s service. 4.3.1 Scheduled Time Off Management shaD make a reasonable effort,considering the operational needs of the Districts,to accommodate all employee requests for time off. Scheduled time off should normally be requested at least two weeks in advance to increase the likelihood of those dates being approved.However,in the event unforeseen circumstances prevent such advance notification,employees may request scheduled time off with as little as one day’s notice.Employees with at least one year’s service must request at least 40 hours off each year.Preference among employees who request time off at least six months in advance shall be based on seniority.Requests received less than six months in advance shall be scheduled in the order received.Personal leave may only be reported in increments of one-half hour or more. 4.3.2 Unscheduled Time Off Personal leave provides income protection to an employee unable to work due~to illness,injury or pregnancy,caring for an ill or injured member of his/her immediate family or other personal emergency.Unscheduled time off must be accounted for by completion of an Unscheduled Time Off Report form upon the employee’s return to work,except that two days of Personal Leave may be charged to Unscheduled Time Off each calendar year without documentation.For all other days,employees may be required to submit medical documentation of their injury or illness.It is the responsibility of Districts’management to control the potential abuse of unscheduled time off privileges.Tardiness under 15 minutes shall not be deducted from the employees pay,but numerous occurrences will be addressed through the progressive discipline procedures. 4.3.3 An employee’s attendance record shall be reviewed with an employee after five separate occurrences of unscheduled time off,including the two undocumented days referred to in Section 4.3.2,to provide an opportunity to assess problems that could potentially lead to disciplinary action.The accumulation of the sixth and seventh occurrence within a calendar year shall result in a verbal warning.The eighth occurrence shall resultin a written warning.Employees who are charged with ten occurrences of absence within a twelve month period shall be subject to termination. Absences of multiple consecutive days involving the same injury or illness shall be considered a single occurrence.The Districts also have the right to discipline employees on the basis of total absences away from work.Employees must notify their supervisor prior to the start time of their shift when they are unable to report for work.Employees returning from an extended leave should notify their supervisor as soon as possible to facilitate personnel scheduling. 4.3.4 The Director of Human Resources shall be responsible for control of abuse of the unscheduled leave privilege.The employee may be required,at any time,to furnish a certificate issued by a licensed physician or nurse,or other satisfactory evidence of illness;however,for unscheduled absences often (10)consecutive working days or more,a request for leave and a medical statement,on prescribed forms,stating expected date of return must be submitted to Human Resources:Upon return to work,a written doctor’s release must be submitted to Human Resources.For absences of one or more working days in an unpaid status,a request for leave and a medical statement on prescribed forms,stating expected date of return must be submitted to Human Resources. 4.3.5 Personal Leave and Workers’Compensation Leave Employees who are injured in the course of their employment are placed on Workers’Compensation Leave,and receive wage loss benefits to which they are entitled under the Workers’ Compensation Act.Employees may request to receive prorated Personal Leave pay to supplement their Workers’Compensation payments in an amount such that the sum of both is equal to the employee’s regular base pay. 4.3.6 Personal Leave Payoff Employees (or their estate)who separate,retire or die shall be paid in full at their current rate of pay for all Personal Leave hours accrued. 4.3.7 Maximum Accrual Employees may only accrue up to 400 hours of Personal Leave as of the last day of the final pay period in December of each year.Employees may request to be paid in full for up to 40 such hours in excess of the 400 limit;any remaining time shall be scheduled off by the Districts. 4.3.8 Sick Leave Bank Employees who elect to bank sick leave accrued prior to the implementation of Personal Leave provisions may elect to use such time off for absence due to illness or injury once 40 continuous hours of Personal Leave have been used.Employees who retire or die shall be paid at the 50 percent rate for all Banked Sick Leave hours;an employee who separates shall be compensated for Banked Sick Leave as follows. Banked Sick Leave Hours Rate of Payoff 0-100 0 percent 101-240 25percent 241 -560 35 percent Over 560 50 percent 4.3.9 If the need for leave is due to the employee’s serious health condition,as defined in the Family and Medical Leave Act (“FMLA”)or the California Family Rights Act (‘CFRA”),the certification requirement shall comply with the provisions of these Acts. 4.4 Jury Duty Leave Any full-time,including probationary,employee who is called for jury duty shall,upon request on prescribed forms approved by the Director of Human Resources,be entitled to his/her regular pay for those hours of absence due to performance of the jury duty for a period up to twenty-two (22)working days,provided that his/her fees for such service,exclusive of mileage,are submitted to the Districts for deposit in the General Fund of the Districts. 4.4.1 Prior to jury duty service,each employee must complete the Districts’Leave-of- Absence Form and turn it in to Human Resources with a copy of the summons.To be entitled to receive regular pay for such jury leave,the employee must report for work at the Districts for time not actually retained on jury service of one (1)hour or more prior to and/or upon completion of each day’s service,exclusive of travel time. Employees are not compensated for jury duty occurring on scheduled days off. 4.4.2 An employee serving jury duty must obtain an attendance slip from the court to be submitted to Payroll with his/her time sheet in order to be eligible for regular pay for those hours of absence due to jury duty. 4.5 Witness Leave Any full-time,including probationary,employee,who is required to be absent from work by a subpoena properly issued by a court;agency or commission legally empowered to subpoena witnesses,which subpoena compels his/her presence as a witness,except in a matter wherein he/she is named as a defendant or plaintiff or as an expert witness,shall,upon request on Leave-of-Absence Forms approved by the Director of Human Resources,be entitled to the time necessary to comply with such subpoena, provided any fees received for such service,exclusive of mileage,are submitted to the Districts for deposit in the General Fund of the Districts. 4.5.1 An employee so subpoenaed must submit a copy of the subpoena with his/her time sheet in order to be eligible for pay for such absence.To be entitled to receive regular pay for such witness leave,the employee must report for work at the Districts for time not actually retained on witness service of one (1)hour or more prior to and/or upon completion of each day’s service,exclusive of travel time. 4.6 Military Leave A request for military leave shall be made upon Leave-of-Absence Forms approved by the Director of Human Resource and shall state the date when it is desired to begin the leave-of-absence and the date of anticipated return.A copy of the orders requiring such military service shall be submitted with the request. 4.6.1 Provisions of the Military and Veterans Code of the State of California,Sections 395- 395.5 shall govern military leave.In general,current law provides that an employee having one year or more service with a public entity is entitled to military leave with pay not exceeding thirty (30)days per year if the employee is engaged in military duty ordered for purposes of active military training or encampment.An employee who is required to attend scheduled service drill periods or perform other inactive duty reserve obligations is entitled to military leave without pay,not exceeding seventeen (17)calendar days per year,although the employee may,at his or her option,elect to use vacation or personal leave time to attend the scheduled reserve drill periods or to perform other inactive drill period obligations.Employees who participate in weekend military drill duty are not eligible for leave with pay for such activity,but may have their regular work schedule changed to accommodate the required time off. 4.7 Bereavement Leave Using the prescribed forms,approved by the Director of Human Resources,any full-time employee,whether probationary or regular,shall receive a maximum of three (3)days off with pay for the death or funeral of an immediate family member.Immediate family member is defined as the employee’s father,father-in-law, mother,mother-in-law,brother,sister,husband,wife,child,step-child,grandchild, grandparent,legal guardian,or any family member with whom the employee resides. 5.0 PROCEDURE 6.0 EXCEPTIONS Section 4.1,Vacation,including Subsections 4.11 and 4.12,of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees)Memorandum of Understanding. Section 4.2,Sick Leave,including Subsections 4.21 through 4.28,of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees)Memorandum of Understanding. Section 4.3,Personal Leave,including Subsections 4.31 through 4.39,of this policy applies only to those employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees)Memorandum of Understanding. Vacation leave is not accrued for overtime hours worked. 7.0 PROVISIONS AND CONDITIONS 7.1 Employees may have a maximum accumulation of 200 hours of vacation as of the last day of the final pay period in December of each year. 7.2 In the event an employee accrues vacation leave in excess of 200 hours,it must be used prior to the December date,all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee’s then current hourly rate of compensation. 7.3 Employees are not eligible to schedule vacation leave until the completion of six months continuous service. 7.4 Employees may not maintain a negative balance on vacation,sick,compensatory,or personal leave accruals. 8.0 RELATED DOCUMENTS 8.1 Operations and Maintenance MOU 8.2 Administrative and Clerical MOU 8.3 Engineering MOU 8.4 Technical Services MOU 8.5 Supervisory and Professional MOU County Sanitation Districts of Orange County Policy Number:D20.OO Effective Date:October 22,1997 Subject:LEAVE-OF-ABSENCE WITHOUT PAY Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Districts’leave-of-absence without pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts’employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the policy of the Districts to grant employees extended leave-of-absences under certain circumstances.Except as stated below,employees shall not receive compensation during an extended leave-of-absence. 4.1.1 Family and Medical Leave Act and California Family Rights Act Leave Using the prescribed forms,approved by the Director of Human Resources,any full-time,including probationary,or part-time employee with at least fifty-two (52)weeks of service and at least one thousand two hundred fifty (1,250)hours of service,may be granted an FMLA or CFRA leave-of-absence without pay,not to exceed twelve (12)weeks in a twelve (12)month calendar period.A request for leave-of-absence without pay must be made upon prescribed forms in all instances where an employee is absent without pay for more than five (5)consecutive working days,or for absences of ten (10)consecutive working days or more when using paid sick leave accruals. 4.1.2 Substitution of Paid Leave Employees who request FMLA or CFRA leave for qualifying purposes other than the employee’s own “serious health condition”shall be required to use all vacation and other leave accruals,except sick leave accruals,before unpaid leave is granted. Vacation,personal leave and sick leave credit shall not accrue during any pay period that an employee is absent without pay for more than one day. 4.1.3 Sick Leave—Permissible Uses Accrued sick leave may be used for the care of the employee’s father,father-in-law,mother,mother-in-law, brother,sister,husband,wife,child,step-child,grandchild,grandparent, legal guardian,or any family member with whom the employee resides, in addition to leave for the employee’s own serious health condition. Page 1 4.2 Permissible Uses The following are FMLA and CFRA leave permissible uses: 4.2.1 FMLA Leave Unpaid FMLA leave may be used for 1)child care following the birth or placement of a child,2)the care of a father,father in-law,mother,mother-in-law,brother,sister,husband,wife,child,step child,grandchild,grandparent,legal guardian,or any family member with whom the employee resides who has a ‘serious health condition,”as defined in the Act or 3)for the employee’s own “serious health condition” that renders the employee unable to perform the essential functions of his or her position,including incapacity due to pregnancy. 4.2.2 CFRA Leave Unpaid CFRA leave may be used for the same purposes as FMLA Leave,and shall run concurrently except that an employee’s incapacity due to pregnancy is not eligible for CFRA leave.However, such incapacity may entitle an employee to up to four (4)months of pregnancy disability leave,with medical approval,plus another twelve (12)weeks of FMLA leave,to care for the child,in a twelve (12)month period. 4.3 General Provisions The following general provisions shall apply: 4.3.1 Requests for FMLA and CFRA Leave Where the need for leave is foreseeable,the Districts request thirty (30)days advance notice. 4.3.2 Medical Certification As a condition of FMLA or CFRA leave because of a “serious health condition,”the Districts may require certification by a health care provider. 4.3.3 Medical and Dental Premiums During FMLA and CFRA leave,the Districts shall pay for medical and dental benefits at the same level as coverage would have been provided if the employee was not on leave. The employee shall be required to pay his or her share of medical and dental premiums. 4.3.4 Reinstatement Upon expiration of FMLA or CFRA leave,the employee shall be reinstated to the same or a comparable position unless the employee would not otherwise have been entitled to that position for reasons unrelated to such leave (e.g.,lay-offs),in which case the Districts’obligation to continue health and dental or other benefits shall cease. 4.3.5 Failure to Return to Work If,upon the expiration of FMLA or CFRA Leave,or any Districts-approved extension thereof,an employee fails to return to work,the employee shall be considered to have automatically resigned from his/her position.The Districts shall review vacancies to determine whether or not a vacant position exists that the employee is qualified to perform with or without reasonable accommodation.If the employee is still unable to perform the essential duties of his/her position,the employee shall be considered to have automatically resigned from his/her position,unless eligible for disability retirement. 4.3.6 Bridge of Service If an employee automatically resigns from his/her position as a result of a “bona-fide”injury or illness,and then is rehired to a position within the Districts within one year,the Districts shall bridge Page 2 the employees’service date.“Bridging of service”means adding the total number of days away from work to the employees’original date of hire. 4.4 Married Employees Employees of the Districts married to each other shall be limited to a total of twelve (12)weeks FMLA or CFRA Leave in a twelve (12) month calendar period for the care of a parent or newly born or placed child. 4.5 Six-Month Limit on Unpaid Leaves-of-Absence In no event shall a combination of authorized leave-of-absences,whether paid or unpaid,exceed six (6)months in a twenty-four (24)month period unless required by the FMLA,CFRA or other law. 4.6 General Leave Subject to Section 4.5,“Six-Month Limit on Unpaid Leaves of Absence,”employees may be granted a general leave-of-absence to attend to personal matters,or for FMLA or CFRA qualifying events,after the expirations of previously authorized leave,if the Director of Human Resources determines that an extended period of time away from the job shall be in the best interests of the employee and the Districts. 4.6.1 During a general leave-of-absence,the employee shall be required to pay both the Districts’and the employee’s share of medical and dental premiums. 4.7 Return to Work Policy for Non-Work-Related Leave An employee who has been absent from work due to a medical,non-work-related reason shall be subject to a Return-to-Work medical evaluation. 4.7.1 If it is determined that the job demands of the position last held by the employee are not compatible with the employee’s restrictions (with reasonable accommodation if the employee is disabled within the meaning of the ADA)and the employee is willing to return to work, placement in an alternative position,if available,shall be considered. The employee shall be re-classified as “medically disqualified”while alternative positions are being considered.Such time off shall be without pay;however,the employee may elect to use accrued leave hours,such as vacation,sick or personal,to receive compensation.Placement of an employee in an alternative position requires a preplacement medical evaluation for the alternative job. 4.7.2 If it is determined that the job demands of the position last held by the employee are not compatible with the employee’s restrictions (and cannot be reasonably accommodated if the employee is disabled within the meaning of American with Disabilities Act)and there is not an alternative position,or the employee’s restrictions are not compatible with an alternative position,or the employee is not willing to return to work,the employee shall be re-classified as “medically disqualified”and not permitted to work.Thereafter,the employee shall be retired for disability,if eligible,or dismissed.Such dismissal shall not constitute disciplinary action for cause.If requested,the employee’s file will indicate the employee left for personal reasons. Page 3 4.8 Compliance with Law These Leave-of-Absence provisions shall be interpreted and applied in a manner that is consistent with the provisions of FMLA,CFRA, ADA and all other laws.In the event there is a direct conflict between these provisions,as written or applied,the provisions of law shall govern. 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Operations and Maintenance MOU 8.2 Administrative and Clerical MOU 8.3 Engineering MOU 8.4 Technical Services MOU 8.5 Supervisory and Professional MOU Page 4 County Sanitation Districts of Orange County Policy Number:D30.OO Effective Date:October 22,1997 Subject:HOLIDAYS Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for holidays. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It isthe Districts’policy to grant employees 12 paid holidays per year in accordance with this policy. 5.0 PROCEDURE 5.1 Full-time employees shall receive holiday pay if their entire scheduled work shift immediately preceding and following the holiday is in a paid payroll status.When an employee’s work schedule requires that they work on an observed holiday, the employee shall be paid at the employee’s regular rate of pay for the holiday or receive an equivalent amount of holiday compensatory time off,and shall also receive overtime pay at the rate of one-and-one-half times their regular hourly rate for all hours actually worked. 5.2 When a holiday occurs on an employee’s regularly scheduled day off,the employee will accrue compensatory time off for those hours.In no case may an employee accumulate more than 50 hours holiday compensatory time off. 5.3 The days listed below are observed by the Districts as holidays for 1997,1998 and 1999. SCHEDULE A HOLIDAY 1997 1998 1999 New Years Day January 1 January 1 January 1 Lincoln’s Birthday February 12 February 12 February 12 Presidents Day February 17 February 16 February 15 Memorial Day May 26 May 25 May 31 Independence Day July 4 July 3 July 5 Labor Day September 1 September 7 September 6 Veterans Day November 11 November 11 November 11 Thanksgiving Day November 27 November 26 November 25 Day after Thanksgiving November 28 November 27 November 26 Day before Christmas December 24 December 24 December 23 Christmas Day December 25 December 25 December 24 Floating Holiday **** SCHEDULE B HOLIDAY 1997 1998 1999 New Years Day January 1 January 1 January 1 Lincoln’s Birthday February 12 February 12 February 12 Presidents Day February 17 February 16 February 15 Memorial Day May 26 May 25 May 31 Independence Day July 4 July4 July 4 Labor Day September 1 September 7 September 6 Veterans Day November 11 November 11 November 11 Thanksgiving Day November 27 November 26 November 25 Day after Thanksgiving November 28 November 27 November 26 Day before Christmas December 24 December 24 December 24 Christmas Day December 25 December 25 December 25 Floating Holiday ****** **Employees may elect one day during each year as a ‘Floating Holiday”.The “Floating Holiday”must be used within the year it is accrued.Every effort shall be made to grant an employee’s request for a “Floating Holiday”off providing an employee gives sufficient notice to their supervisor. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 If a regularly scheduled holiday occurs on a Saturday,the previous Friday shall be taken off as the “holiday”for pay purposes.If a regularly scheduled holiday occurs on a Sunday,then the following Monday shall be taken off as the “holiday” for pay purposes. 8.0 RELATED DOCUMENTS County Sanitation Districts of Orange County Policy Number:D40.OO Effective Date:October 22,1997 Subject:CONFERRAL/DONATION OF LEAVE Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Districts’conferral of leave program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts’employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 Employees may on occasion face catastrophic medical conditions involving either themselves or their immediate family that result in their exhausting all of their accrued sick,vacation,personal or other paid leave.Such employees may request,or be nominated for,conferral of certain forms of paid leave by other employees. 4.2 Employees may,on a one-time basis and in accordance with the provisions of the Districts’policy regarding Conferral of Paid Leave,elect to donate accrued and unused Personal Leave,Vacation Leave or Compensatory Time Off to an individual employee who has depleted his or her own paid leave as a direct result of a catastrophic medical condition. 4.3 All donations shall be volunteered on a form provided by the Director of Human Resources.Employees may donate vacation,compensatory or personal leave time to the eligible employee. 5.1 Upon receipt of a request or nomination for donation of paid leave,the Director of Human Resources shall request approval by the General Manager to implement the provisions of the Conferral of Leave Policy. 5.2 Upon such approval,all employees shall be notified of the program. 5.0 PROCEDURE Page 1 5.3 The vacation,compensatory or personal leave time donated to an employee shall be converted to a dollar value based on the hourly rate of the donor. 5.4 Those dollars shall then be converted into sick leave at the hourly rate of the recipient of the donation,and added to their account. 6.0 EXCEPTIONS 6.1 Employees who have not exhausted their paid leave -vacation,sick,personal and compensatory time off -are not eligible to participate in the Conferral of Leave Program. 6.2 Sick leave may not be donated by one employee to another. 7.0 PROVISIONS AND CONDITIONS 7.1 To be eligible to participate in the Donation of Leave Program,employees must have exhausted all of their paid leave,including vacation,sick,personal and compensatory time off. 7.2 Employees may be requested to provide medical documentation of a catastrophic health condition involving their child,parent or spouse,or involving the employee’s own catastrophic health condition. 7.3 All such time must be conferred on a form provided by the Director of Human Resources. 7.4 Donations must be made in whole hour increments,and are irrevocable. 7.4.1 Any such hours that remain at the conclusion of the leave period shall remain available for the use of the recipient and shall be treated as regularly accrued sick leave. 8.0 RELATED DOCUMENTS 8.1 Donation of Leave Donation Form. Page 2 ~3 County Sanitation Districts of Orange County Policy Number:D50.OO Effective Date:October 22,1997 Subject:INSURANCE Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy isto establish uniform guidelines and procedures for use in the administration of the Districts’insurance benefits program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts’employees. 3.0 DEFINITIONS 4.1 The Districts shall provide medical-health insurance coverage through both health maintenance organizations and an indemnity type group health plan,life insurance,and disability insurance for the benefit of full-time employees. 4.2 All insurance coverage shall become effective on the first day of the month following one full month of employment.An open enrollment period shall be held annually in the month of June. 5.0 PLANS -PROGRAMS 5.1 Medical The Districts shall contribute 100%of employee only premiums for the medical health plans and shall contribute 80%of the employee +1 dependent and full family premiums.Any change in insurance rates shall be shared equally in same ratio as premiums are currently paid by the Districts and employees. Before the renewal of any Districts’sponsored health insurance plan,the parties agree to meet and confer as to the plan. 5.1.1 Any change in insurance rates caused by a carrier after 11-25-96 are subject to the applicable provisions of the various Memoranda of Understanding approved by the Boards of Directors. 4.0 POLICY Page 1 5.2 Life.The Districts provides term life insurance coverage for most employees. The Districts shall pay the full premium for term life insurance as established for each employee covered under a Memorandum of Understanding or as otherwise agreed upon. 5.3 Short Term DisabUity The Districts shall provide a non-work related,short-term disability indemnity plan that pays up to a maximum of $336 per week for up to 26 weeks following a fourteen calendar day waiting period.Employees may request to receive prorated sick leave,personal leave or vacation pay to supplement their short term disability payments in an amount such that the sum of both is equal to the employee’s regular base pay. 5.4 Long-Term Disability The Districts shall provide a non-work related,long-term disability indemnity plan that pays two-thirds of the employee’s rate of pay in effect at the time of such disability,not to exceed $5,000 per month,following a 90-day waiting period of continuous disability. 5.5 Dental The Districts provides a dental plan at no cost for employee-only coverage and $9.00 per month for full family coverage.The balance of the premium,currently $31.28 for employee only and $75.54 for full family,is paid by the Districts. 5.6 Vision The Districts shall provide a vision insurance plan for regular,full-time employees and eligible dependents of the Districts. 5.7 Retiring Employees The Districts shall pay,for employees hired prior to July 1, 1988,two and one-half months’premium for each year of continuous service of a retiring employee towards the premium costs of coverage for the employee and eligible dependents under the Districts’medical plan. 5.7.1 The Districts shall enter into an agreement with the Orange County Employee Retirement System (OCERS)to implement the retiree medical health premium offset program established by the County of Orange wherein the cost of health premiums are offset by $10 per month for every year of service up to a maximum of 25 years or $250 per month. 5.8 Workers Compensation Insurance The Districts’Workers Compensation program is self-funded and administered by a third party administrator.Workers’ Compensation insurance provides coverage for injuries arising out of employment with the Districts and occurring in the course of employment. 5.9 Reimbursement Account Section 125 of the Internal Revenue Code permits employees to use pretax dollars to pay for their portion of the cost of benefits under the plan through salary redirection arrangements.The available options are summarized below.For complete information regarding Flexible Spending Accounts employees must refer to the plan booklet available in the Human Resources Department.Participation in this Program does not affect the Districts’contribution to the Orange County Employees Retirement System.The amount deducted shall then be repaid to the employee through the Districts’ Reimbursement Program. Page 2 5.9.1 Group Insurance Premium Group insurance premiums that are paid by salary redirection can be made on a pretax basis. 5.9.2 Medical Care Reimbursement Account The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Medical Care Reimbursement Account for the purposes of reimbursing the employee for payment of health care costs not otherwise covered by the health and medical insurance. 5.9.3 Dependent Care Assistance Account The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Dependent Care Assistance Account for the purposes of reimbursing the employee for child care expenses or day care for a disabled dependent. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 No combination of disability or sick leave pay shall result in more than an employee’s regular rate of pay.Employees may not receive short-term and long- term disability benefits at the same time.An employee who is otherwise not eligible for Districts’paid long-term disability may purchase such coverage at their own expense. 7.2 In the event the Districts add additional optional insurance plans,the Districts’ share of the premium shall be the same as for existing plans as set forth above. In the event the Districts change underwriters for existing insurance plans,the Districts’share of the premium shall be the same as for existing insurance plans as set forth above. 8.0 RELATED DOCUMENTS Page 3 e.County Sanitation Districts of Orange County Policy Number:D60.OO Effective Date:October 22,1997 Subject:BENEFITS OPTION PLAN (BOP)Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for administering the Benefits Option Plans (BOP). 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to employees in the Professional,Supervisory,Management and Executive Management Groups. 3.0 DEFINITIONS The Benefits Option Plan is a provision in the Districts’policies that provides employees in the Professional,Supervisory,Management and Executive Management groups with supplemental income that can be used for a for a variety of purposes as specified herein. 4.0 POLICY 4.1 It is the Districts’policy to allow employees in the Professional,Supervisory, Management and Executive Management groups to participate in the BOP in accordance with this policy. 5.0 PROCEDURE 5.1 Employees in the Professional,Supervisory,Management and Executive Management who have successfully completed their probationary period are entitled to participate in the BOP.Under the provisions of the BOP,Professional employees will receive $750 annually,and Supervisors,Management and Executive Management employees $1250 annually to offset the cost of professional licenses,memberships,subscriptions,tuition reimbursement and medical expenses.The Benefits Option Plan will be distributed semiannually in January and July of each year. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS ~.County Sanitation Districts of Orange County Policy Number:070.00 Effective Date:October 22,1997 Subject:RETIREMENT Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for retirement.This policy does not provide a complete description of all benefits available to Districts’employees upon retirement,but rather provides top-level policy issues.Details about retirement options,benefits and other administrative information are available in the Summary Plan Description (SPD)booklet,“A Guide to Your Retirement Plan Benefits,”by the Orange County Employees Retirement System (OCERS),which is available to all employees from the Human Resources Department,and is considered a part of this policy. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS Tier means the benefits group to which you belong depending on your date of membership into OCERS.You are a member of Tier I if your date of membership is before September 21,1979,and you are a member of Tier II if your date of membership is on or after September 21,1979.The tier to which an employee belongs affects such things as the multiplier used to determine one’s service retirement allowance,sick leave accrual,and other benefits. Service Credit means your hours worked as a member of OCERS,converted to months for which you make contributions and receive credit in the retirement system.One hour is equal to .00576923 months of service credit. Summary Plan Description is a booklet published by OCERS that provides detailed information about how the retirement plan works. Page 1 4.0 POLICY 4.1 It is the Districts’policy to continue participation in the Orange County Employees Retirement System (OCERS)and to abide by all of the conditions of the SPD and the County Employees Retirement Act of 1937. 5.0 PROCEDURE 5.1 The Districts participate in OCERS,wherein all regular and limited-term,full-time employees are considered members from their date of hire.In addition,part-time employees who work 20 hours or more per week are also considered members of OCERS.The retirement program is in effect pursuant to the contract between OCERS and the Districts as of December 2,1977,and will continue unless amendments to contracts or termination of membership is effected by the Districts subsequent to meeting and conferring with employee bargaining units concerning such proposed amendments or termination. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 Eligibility Criteria Employees are eligible for retirement when they are no longer working in a position requiring them to be a member of OCERS and they meet any of the following criteria: •Age 50 or over with 10 or more years of service credit •Any age with 30 or more years of service credit •Age 70 or over,regardless of years of service credit •A part-time employee age 55 or older with 5 or more years of service credit and at least 10 years of active employment 7.2 Districts’Contribution The Districts shall pay an amount equal to 4.5%of an eligible employee’s base salary towards the employee’s required contribution to OCERS.All monies actually paid into the retirement system as an employee’s contribution are deducted from gross salary for taxation purposes in accordance with Internal Revenue Code provisions. 7.3 Early Retirement Incentive When,in the determination of the Districts,a change in the manner of performing service,savings of money or other economic benefit would result from employees being able to receive additional service credit and retire early,the Districts’Boards may adopt an ordinance implementing the provisions of Government Code Section 31641.04,Receipt of Additional Service Credit.Subject to certain specified conditions,this Section generally provides that an employee who is at least age 50 with 10 years of service,and who is otherwise eligible to retire,may receive up to two years additional service credit,if the employee retires within a period of time designated by the Boards in accordance with this provision. Page 2 8.0 RELATED DOCUMENTS 8.1 “A Guide to Your Retirement Plan Benefits,”Orange County Employees Retirement System Summary Plan Description. 8.2 County Employees Retirement Law of 1937,Sections 31450 through 31899.10 of the California Government Code. 8.3 Government Code Section 31641.04,Receipt of Additional Service Credit. Page 3 County Sanitation Districts of Orange County Policy Number:D80.OO Effective Date:October 22,1997 Subject:EMPLOYEE ASSISTANCE PROGRAM Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for the Employee Assistance Program (EAP).The objective of the EAP is to offer confidential professional assistance and support to employees and their families to help them solve personal problems that affect their personal lives or job performance.Typical examples of such problems might include:alcohol abuse, drug abuse,family or marital difficulties,nervous or emotional disorders,stress, legal problems,work-related problems,the loss of loved ones,food problems, coping with separation or divorce,and financial difficulties. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy to administer an EAP in accordance with the procedures of this policy. 5.0 PROCEDURE 5.1 The Districts provides professional consultation and referral services to employees experiencing emotional or medical problems that may affect their personal lives or impair satisfactory job performance.These services are available through the EAP,a confidential program provided by a professional counseling and referral service and administered by the Human Resources Department.The program is available to all employees. 5.2 Employees who are referred to the EAP as a result of unsatisfactory job performance may be requested to secure appropriate medical,counseling,or rehabilitation services deemed necessary to resolve the problem.However,if an employee who is referred to the EAP refuses such assistance,and job or attendance problems continue,regular corrective procedures may apply, including termination.Employees may be granted general leaves of absence for treatment or rehabilitation.If such leave is not necessary,satisfactory job performance will be expected to continue while participating in a treatment program. Page 1 5.3 Employees are not required to notify the Districts if they choose to participate in the EAP and all participation is voluntary. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 County Sanitation Districts of Orange County Policy Number:D90.OO Effective Date:October 22,1997 Subject:TUITION ASSISTANCE Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy isto encourage self development of Districts’ employees.To meet this goal,the Districts will provide employees with financial assistance for educational courses that are consistent with individual career goals and Districts’objectives. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Districts’employees. 4.1 The Districts will reimburse employees who successfully complete academic education courses that are directly job related and serve the goals and mission of the Districts,and are consistent with the authorized training budget of the employee’s work unit. 5.1 Employees who want to enroll in education courses (either after hours or in accordance with a flexed work schedule)should discuss their educational goals with their supervisor.The training manager can provide further guidance if needed.Employees may submit applications for the following: 5.1.1 Non-degree education courses and programs; 5.1.2 Associate,Baccalaureate and Graduate degree programs. 3.0 DEFINITIONS 4.0 POLICY 5.0 PROCEDURE Page 1 5.2 Reimbursement will be at the discretion of the Districts provided the employee meets the following criteria: 5.2.1 An application for approval of a course or program,or a program change must be submitted using the Application for tuition Reimbursement Program form through the employee’s supervisor(s)to the Department Head for final approval prior to the beginning of such a course or program.The supervisor will recommend the request for approvaL or disapproval to the Department Head no less than 15 days prior to the employee registering for the course. 5.2.2 Once approved by the Department Head,the application must be forwarded to the Training Manager for signature prior to the class start date to ensure compliance and consistency among departments and divisions in policy administration. 5.2.3 Once the employee has completed each pre-approved course with a passing grade for the program,the Districts will reimburse the employee the cost of tuition and required fees up to the equivalent costs for schools within the University of California or State University system.For private schools,the employee pays the difference. 5.2.4 The employee will complete an Authorization for Reimbursement of Education Courses form and submit it to the Training Manager along with the following official documents: 5.2.4.1 Record of final grade; 5.2.4.2 Receipt for tuition and fees paid; 5.2.4.3 Receipts for books,lab fees,material fees; 5.3 The Training Manager will review the authorization for Reimbursement of Education Courses form to ensure appropriate documentation and forward it to the Finance Department for payment to the employee.The Training Division will retain a copy for the employee’s training record. 5.4 Employees who receive payments for formal course work at an accredited college or university through the Tuition Reimbursement Program will be required to reimburse the Districts if the employee voluntary leaves Districts’employment within one year of completing said course work.The repayment requirement may be waived by the-General Manager under unusual circumstances or on an individual basis. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 County Sanitation Districts of Orange County Policy Number:DI 00.00 Effective Date:October 22,1997 Subject:REIMBURSEMENT POLICY FOR OBTAINING AND RENEWING TECHNICAL AND PROFESSIONAL LICENSES,CERTIFICATIONS AND REGISTRATIONS Supersedes: 1.0 PURPOSE Approved by: 1.1 To encourage employees to broaden and further develop their job skills,the Districts will provide financial assistance for the fees associated with acquiring and maintaining Districts-approved city,county,state and federal technical and professional licenses,certifications and registrations.This policy is also designed to cover the certification/license expenses for employees who participate in voluntary certification programs either required or preferred by the Districts. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all regular,full-time Districts’employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 The Districts will reimburse employees who successfully complete approved required or preferred licenses,certification and/or registration requirements that are in an effort to increase technical proficiency,acquire skills required for promotions,or promote cross-training for other positions approved by the General Manager. 5.0 PROCEDURE 5.1 Certification/License/Registration Reimbursement Process. 5.1.1 Employees who want to participate in the Certification Reimbursement Program should discuss their plans with their immediate supervisor. They must submit an Application for Certification Reimbursement form to their supervisor for approval.The application will be forwarded to the Department Head for final approval prior to participating in the program. Once approved by the Department Head,the application must be forwarded to the Training Manager to ensure policy compliance and consistency.A new application must be made for each certification requested. Page 1 5.1.2 Upon completion of the approved program,the employee is required to submit a paid receipt and proof to their immediate supervisor that the certification,license and registration,was successfully obtained.The supervisor will review the certification,license or registration to ensure that the information is complete and accurate,sign the reimbursement form and forward the complete package to the Training Division.The Training Manager will review the reimbursement request and submit it to the Finance Department for payment.All reimbursements will be limited to the rates charged to members of the certifying organization. 5.3 Training Required in Preparation for Certification,License and Registration Exams 5.3.1 Training needed to prepare employees for license,certification and registration examinations required as a condition of employment is considered job-essential and will normally be covered through regular training procedures.Employees who pursue training to prepare for license,certification and registration solely for the purpose of advancement or access to promotional opportunities can be reimbursed under the Tuition Assistance Program as part of career development. 5.4 Covered Licenses,Certifications and Registrations 5.4.1 Wastewater Treatment Operator License (State) •Operator-in-Training -(Grade I certification required within three years of placement in the position) •Plant Operator -(Grade I certification required,Grade II preferred) •Senior Plant Operator.-(Grade III certification required) •Operations Supervisor -(Grade III certification,required,Grade IV required within one year of placement in position) •Senior Operations Supervisor -(Grade V certification required) •Chief Operator -(Grade V certification required) •Director of Operations and Maintenance -(Grade V certification required) 5.4.2 International Society for Measurement and Control Certification •Instrumentation Technician I (Grade I certification preferred) •Instrumentation Technician II (Grade II certification preferred) •Lead Instrumentation Technician (Grade Ill certification preferred) Page 2 5.4.3 California Water Environment Association (CWEA)Technical Certifications 5.4.3.1 Electrical/Instrumentation •Electrical Technician I (Grade I certification preferred) •Electrical Technician II (Grade 2 certification preferred) •Electrical Foreman (Grade 3 certification preferred) •Instrumentation Technician I (Grade I certification preferred) •Instrumentation Technician II (Grade 2 certification preferred) •Lead Instrumentation Technician (Grade 3 certification preferred) •Instrumentation Foreman (Grade IV certification preferred) •Maintenance Supervisor (Grade 4 certification preferred) •Maintenance Manager (Grade 4 certification preferred) 5.4.3.2 Collection System Maintenance •Collection Facilities Worker II (Grade I certification required) •Senior Collections Facilities Worker (Grade II certification required) •Lead Collection Facilities Worker (Grade Ill certification required) •Maintenance Planner (Grade IV certification preferred) •Senior Maintenance Planner (Grade IV certification preferred) •Maintenance Foreman (Grade III certification required) •Maintenance Supervisor (Grade IV certification required) •Maintenance Manager (Grade IV certification required in Collections Division,preferred in all other Divisions) •Instrumentation Foreman (Grade Ill certification preferred) •Instrumentation Field supervisor (Grade IV certification preferred) Page 3 5.4.3.3 Mechanical Technology •Field Mechanic (Grade 1 certification preferred) •Senior Field Mechanic (Grade 2 certification preferred) •Lead Field Mechanic (Grade 3 certification preferred) •Foreman (Grade 3 certification preferred) •Field Supervisor (Grade 4 certification preferred) •Maintenance Manager (Grade 4 certification preferred) 5.4.4 Piping Industry Progress and Education (P.l.P.E.)Certification •Senior Maintenance Worker (preferred) •Lead Maintenance Worker (preferred) 5.4.5 Backflow Certification •Senior Maintenance Worker (preferred) •Lead Maintenance Worker (preferred) •Maintenance Worker (preferred) 5.4.6 Registered Professional Engineer •Associate Engineer (Engineer-in-Training certificate -required) •Engineer (California Professional Engineering Registration - required) 5.4.7 International Conference of Building Inspectors 5.4.7.1 Construction Inspector •Special Inspection Certificate (preferred) •Code Enforcement Certificate (preferred) 5.4.8 Certified Occupational Health and Safety Technologist. •Safety Representative (preferred) 5.4.9 California State Class B Commercial Driver’s License. •CSDOC Commercial Vehicle Drivers (required) 5.5 Reimbursement Limits Reimbursements are limited to the following licenses \ certifications \registrations and fees: Page 4 5.5.1 Wastewater Treatment Operator License. Certification Grade Application Fee Examination Fee Certification Fee $25.00 $25.00 $50.00 II $30.00 $30.00 $70.00 Ill $40.00 $75.00 $90.00 IV $45.00 $100.00 $100.00 V $45.00 $100.00 $100.00 5.5.2 International Society for Measurement and Control Certification Application fee for testing and granted certification at any level -$185.00.Application fee for renewal at any level -$125.00 every three years 5.5.3 California Water Environment Association (CWEA)Technical Certification. Certification Grade CWEA Members 1 $55.00 2 $70.00 3 $85.00 4 $100.00 5.5.4 P.I.P.~E.Certification. •Application and test fees -$65.00 •Renewal fee -$60.00 5.5.5 Backflów Prevention Certification. •Test application -$60.00 •Certification fee -$160.00 5.5.6 Registered Professional Engineer. •Application fee -$60.00 •Practices and principles exam -$175.00 •Renewal fee -$160.00 every four years 5.5.7 California State Class B Commercial Driver’s License. •Annual renewal fee -$35.00 5.5.8 International Conference of Building Inspectors. •Application fee -$115.00 •Renewal fee -$70.00 every three years Page 5 6.0 EXCEPTIONS 6.1 Because they are provided compensation under the Districts’Benefits Option Plan to pay for their certifications,licenses or registrations,employees in the Professional,Supervisory,Management and Executive Management Groups are ineligible for participation in this program. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 6 Section E Communications e~,County Sanitation Districts of Orange County Policy Number:E1O.OO Effective Date:October 22,1997 Subject:OPEN COMMUNICATIONS Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for maintaining open communications. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 4.1 Our organization cannot successfully achieve our individual and collective missions without effective communications.Districts’management will continually strive to provide a work environment throughout the organization that accomplishes this goal by encouraging open dialogue.Consequently,It is the Districts’goal to maintain open communications in accordance with the procedures of this policy. 5.0 PROCEDURE 5.1 The most important working relationship occurs between an employee and his or her supervisor.For this relationship to remain effective,supervisors and managers must be aware of employee concerns.It is therefore very important for employees to openly discuss their ideas,concerns and suggestions with management.It is equally important that managers and supervisors actively listen to employees’ideas and suggestions,and particularly their concerns. 5.2 The Districts believe that employees should be informed about Districts’activities and issues that affect them,and should be provided with the information that they need to best perform their jobs.It is the Districts’goal to foster an environment that encourages the flow of information and ideas among individuals at all levels. 5.3 To encourage open communications,the Districts have established the Pipeline for general news,Special Edition Pipeline for interviews with Executive Management and others,and Changing Times,which focuses on changes throughout the Districts.These communications vehicles are also being used to answer questions relative to policies or management decisions.Constructive criticisms are also encouraged,and should suggest a remedy if appropriate. 3.0 DEFINITIONS 4.0 POLICY Page 1 5.4 The Districts encourage an open door”policy and management is dedicated to keeping employees informed of plans and processes.The General Manager regularly schedules meetings with both exempt and non-exempt employees to create a forum where ideas and suggestions are exchanged. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page: County Sanitation Districts of Oran eCount~-~‘ Policy Number:E20.OO Effective Date:October 22,1997 Subject:NEW EMPLOYEE ORIENTATION Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for new employee orientation. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all new employees regardless of their organizational unit, and to all Division managers and supervisors,as specified herein. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy to make new employees feel welcome on their first day on the job,and to provide them with the tools and materials necessary to do their job to the best of their ability. 4.2 The first few days in a new position are very important as an employee struggles with the pressures and apprehensions of a new challenge and unfamiliar surroundings.An appropriate orientation will help a new employee quickly adapt to the Districts and learn our expectations of them as a member of our organization.The following procedures are offered to aid the supervisor in assisting the new employee to make an efficient and comfortable transition. 5 PROCEDURE 5.2 On an employee’s first day,the employee’s supervisor or division manager is responsible for: 5.2.1 Greeting the employee and ensuring that the employee’s workplace is ready; 5.2.2 Introducing the employee to otheremployees; 5.2.3 Thoroughly explaining job responsibilities,how the job contributes to and supports the success of the organization,and describing how the employee’s performance will be evaluated; 5.2.4 Acquainting the employee with departmental and division operating procedures such as work schedules,report standards,specific work rules and safety procedures. Page 1 5.3 The Human Resources Department will conduct the formal Districts’orientation program addressing benefits,pay practices,general policy information,Districts’ organization and facilities orientation on a quarterly basis or when 10 new employees are hired,whichever comes sooner. 6 EXCEPTIONS 7 PROVISIONS AND CONDITIONS 8 RELATED DOCUMENTS Page 2 County Sanitation Districts of Orange County ~ Policy Number:E30.OO .Effective Date:October 22,1997 Subject:HUMAN RESOURCES RECORDS Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for accessing Human Resources records. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 An employee’s Human Resources File (Personnel File)is the Districts’ permanent record of that individual’s personal data and employment history,and as such is to be accurately maintained and treated confidentially,to the extent allowable by law. 5.0 PROCEDURE 5.1 Employees are responsible for immediately notifying the Human Resources Department of any changes in their personal status,including any change of address or person to contact in the event of an emergency.Maintenance of an employee’s payroll status,insurance coverage and other benefit entitlements is dependent upon the existence of accurate information in the file. 5.2 Employees may inspect their Personnel File in the Human Resources Department office and obtain copies of items contained in the file at any time the Human Resources Department is open.Employees who wish to correct any erroneous or alleged erroneous information in their file should submit such a request in writing to the Human Resources Director,who will judge the merits of the request and respond to the employee. 5.3 Personal data contained in the Personnel File is only accessible to the employee’s direct supervisor,or a supervisor within the department,for purposes involving transfers or promotions.Supervisors and managers will be provided access to personnel records of employees in other organizational units with the prior approval of the affected employee’s direct supervisor or the Human Resources Department on a need-to-know basis. Page 1 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 County Sanitation Districts of Oran eCount ~ Policy Number:E40.OO Effective Date:October 22,1997 Subject:SOLICITATION AND DISTRIBUTION Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for solicitation and distribution. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts’policy to prohibit solicitation and distribution on its premises by non-employees,and distribution by employees only as outlined in the procedures in this policy. 5.0 PROCEDURE 5.1 The Districts limit solicitation and distribution on its premises because these activities can interfere with normal operations,reduce employee efficiency,annoy customers,and pose a threat to security. 5.2 The Director of Human Resources is responsible for administrating this policy and enforcing its provisions.Employees will be subject to disciplinary action for violating this policy. 5.3 Individuals not employed by the Districts are prohibited from soliciting funds or signatures,conducting membership drives,distributing literature or gifts,offering to sell merchandise or services (except by properly identified representatives of suppliers and vendors who have business with the Districts),or engaging in any other solicitation,distribution,or similar activity on Districts’property. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 The following provisions and conditions apply when employees engage in permitted solicitation or distribution of literature for any group or organization, including charitable organizations. Page 1 7.1.1 The sale of merchandise or services is prohibited on Districts’property except as otherwise specified in this policy. 7.1.2 Soliciting and distributing literature during the working time of either the employee making the solicitation or distribution or the targeted employee is prohibited.The term “working time”does not include an employee’s authorized lunch or rest periods or any other time when the employee is not required to be working. 7.1.3 Distributing literature in a way that causes litter on Districts’property is prohibited. 7.1.4 The Districts maintains different bulletin boards to communicate information to employees and to post notices required by law.The bulletin boards maintained by the Communications Department are for general announcements,newsletters,meeting agendas and minutes, employee for-sale items,training calendars,and newspaper clippings. The Human Resources Department bulletin boards are for job announcements,safety notices,federal and state labor laws,and other related material. 8.0 RELATED DOCUMENTS Page 2 4~,County Sanitation Districts of Orange County Policy Number:E50.OO Effective Date:October 22,1997 Subject:IDEA PROGRAM Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for the Incentives (for)Districts’Employees Achievements (IDEA)Program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees up to and including first-line supervisors regardless of organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the policy of the Districts to recognize and reward employees’suggestions and ideas for enhancing or improving Districts’procedures on safety,working conditions,or work methods (practices). 5.0 PROCEDURE 5.1 Employees should obtain an IDEA packet through the Control Center at Plant No.1,the Operations Center at Plant No.2 or from an IDEA Screening Committee member. 5.2 Each IDEA should be submitted on a separate IDEA form,and all pertinent attachments should be included with each submission. 5.3 All IDEA suggestions should include specific information describing how the proposal could be accomplished in sufficient detail to permit an adequate evaluation of the proposal. 5.4 All IDEA forms must be signed and dated. 5.5 All employees who submit an IDEA suggestion must make a copy for their files. 5.6 All complete packets can be sent through interoffice mail to the IDEA Screening Committee.Packets should be addressed to:Administration -Department 110 - Attention IDEA Program. Page 1 5.7 Once the IDEA Screening Committee receives the proposal,a tracking number will be assigned and this number will be entered into a computer database.The employee who submitted will be sent a letter to confirm receipt of their IDEA including their tracking number.The tracking number should be referenced whenever following up on an employee’s IDEA.A copy of the proposal will also be sent to the employee’s supervisor and one copy will be forwarded to the Screening Committee for review,If necessary,the employee(s)submitting the proposal may be contacted by the Screening Committee for further information. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 Screening Committee Functions. 7.1.1 The Screening Committee will include at least one representative from each department,including a representative from the Safety and Emergency Response Division. 7.1.2 The Screening Committee will evaluate projects,approve or disapprove IDEAs submitted,interact with the Clearing House Committee and will establish award amounts for successful IDEAs. 7.1.3 The Screening committee will meet on the second Tuesday of each month to evaluate IDEAs submitted the previous month. 7.1.4 The employee(s)submitting the IDEA will be notified by the Screening Committee if their IDEA is approved,disapproved or considered ineligible. 7.1.5 If the Screening Committee is unable to reach a consensus on approving or disapproving an IDEA related to small projects,the IDEA package may be forwarded to the IDEA Clearinghouse committee for further review. 7.2 Clearinghouse Committee Functions. 7.2.1 The Clearinghouse Committee is responsible for the technical evaluation,tracking and review of capital improvement small projects submitted through the IDEA program. 7.2.2 This group consists of staff from Engineering,Operations and Maintenance,General Services Administration and Technical Services. 7.2.3 Upon the Screening Committee’s request,the Clearinghouse will provide additional technical evaluation,and review/perform a cost-benefit analysis on the proposal. 7.2.4 The Clearinghouse will determine if the proposed suggestion conflicts with or duplicates current or upcoming engineering projects. Page ~ 7.3 Approval/Disapproval Criteria. 7.3.1 The following criteria shall be used for approving or disapproving an IDEA: •Utility •Economic viability •Reductions in materials,supplies,equipment or work hours •Effect on plant reliability •Effect on individual departments •Effect on processes •Impact on budgets and implementation cost •Intangible benefits such as improved safety,better method,higher employee morale,improved service,improved public relations •The IDEA is beyond the scope of the suggestor’s normal duties and responsibilities 7.4 Awards and Recognition 7.4.1 Successful IDEAs that are determined by the Screening Committee or the Clearinghouse Committee to offer cost savings will be entitled to an award equivalent of 10 percent of the initial first year’s projected savings—up to a maximum of $1,500. 7.4.2 Upon acceptance of a cost-savings IDEA,an initial award amount,up to, but not exceeding $150,may be given to the employee.The remainder of the award will be granted upon project implementation and verification of savings achieved. 7.4.3 Other approved IDEAs with intangible benefits may be awarded in lump sum amounts of $50,$100,$150 or $200 as deemed appropriate by the Screening Committee.Approved team-project proposal awards will be shared equally by team members whose signatures appear on the submitted IDEA form.In some cases,non-monetary compensation will also be considered. 8.0 RELATED DOCUMENTS Page Z ,~County Sanitation Districts of Orange Count~v Policy Number:E60.OO Effective Date:•October 22,1997 Subject:INTERNET USAGE Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy isto establish uniform guidelines and procedures for use and access of the Internet with related Districts’equipment. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Districts’employees,contractors and consultants. 3.0 DEFINITIONS Attachment is an application specific file such as a Word or Excel document that is transported with an e mail message.The recipient must have suitable software for viewing the attachment. E-mail is a message,possibly with attachments,composed on a computer and received by a computer.A network,potentially including the Internet,is the transmission medium. Internet is a worldwide network of computers,adhering to universal standards,that are capable of exchanging data with each other. LAN represents a Local Area Network.The Districts’internal network is an example. WWW represents the World Wide Web.A subset of the Internet that is graphical in nature and noted for its ease of use. 4.0 POLICY 4.1 Authorization for use must be obtained through your Division.Once authorization is obtained,submit a service request to Information Technology.You will be responsible for the security of your account password and you will be held responsible for the use or misuse of your account. 4.2 All data,on all Districts’resources,including printed material and e-mail,are owned by the Districts and are subject to audit and review at any time.These audits/reviews may be conducted by management and/or law enforcement agencies.There is NO expectation of privacy in the use of Internet and e-mail. 4.3 Relevant,existing Districts’policies apply to Internet usage.In particular: 4.3.1 Internet resources shall not be used to obtain or disseminate any sexually oriented material. 4.3.2 You shall not use the Internet to send threatening,slanderous,racially and/or sexually harassing messages. 4.3.3 The use of any Districts’resource for personal gain is prohibited. 4.3.4 Copyrighted software shall not be downloaded unless it is a “demo”package provided by the vendor. Page 1 4.3.5 All downloaded data and software must be scanned for viruses. 4.3.6 Unencrypted,confidential documents must never be sent via e-mail. 4.4 When using e-mail,never forget that you represent the Districts.Do not speak for the Districts unl~ you have the authority to do so. 4.5 Incidental and occasional personal use of the Internet may be permitted,with the consent of your Division Manager,provided it does not interfere with timely job performance or violate any Districts’ policies. 5.0 PROCEDURE 5.1 Internet access: 5.1.1 You must obtain authorization for Internet use through your Division. 5.1.2 Submit a service request to Information Technology after authorization is granted to have an Internet account established. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 A violation of standards,procedures or guidelines established pursuant to this policy shall be presented to the Districts’Management for appropriate action and may result in disciplinary action including termination and legal prosecution. 7.2 This policy will be reviewed by each employee and their immediate supervisor prior to the first use of any Internet-related resource. 8.0 RELATED DOCUMENTS 8.1 E-mail Guidelines Page 2 E-MAIL GUIDELINES The following section is NOT part of the Internet Usage Policy,E60.00.It contains information and hints that will assist you in the use of Internet-based e-mail. Guidelines 1.E-mail is not secure.Never include in e-mail anything you want to keep secure and confidential. 2.Management has the right to access all e-mail files created,stored or received on all Districts’systems with no prior notice. 3.Be careful of he attachments you send.Your recipient may not have the software to read it.An example of this is sending a Microsoft Word document to a site that uses only WordPerfect. 4.Do not send large files via e-mail unless necessary.Your recipient may have a “slow”Internet connection and/or may be paying for each received byte.It may be necessary to send a large file through surface mail rather than e-mail. 5.Include a signature block at the bottom of your e-mail messages.This usually contains your name,e-mail address and voice/fax phone numbers.Outlook may be configured to add this automatically. 6.Delivery of e-mail is not 100%reliable.For most important items,let senders know that you have received their e-mail,even if you cannot respond in-depth immediately. 7.Be careful of punctuation and spelling.Use the built-in checkers. This information has been provided courtesy of the Districts’Information Technology Department. Page 3 Section F Daily Work Practices 4~.County Sanitation Districts •of Orange County Policy Number:F1O.OO Effective Date:October 22,1997 Subject:RULES OF CONDUCT Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines regarding rules of conduct for employees. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 Reasonable rules of conduct are necessary for the safety and protection of all employees and to ensure the efficient and productive operation of Districts’facilities.Such rules are established with the goal of achieving mutual understanding with all employees regarding unacceptable behavior,and should be fairly and equitably administered by all supervisors and managers. 5.0 PROCEDURE 5.1 The following examples of conduct should not be considered an exhaustive list,but rather to provide an indication of the types of behavior that are considered unacceptable and their resultant consequences. 5.1.1 An employee who acts in an irresponsible manner with regard to one of the following areas may be subject to discipline,up to and including termination,after consideration of the employee’s past performance,prior discipline,longevity and work history. 5.1.1.1 Coming to work in a timely manner and not abusing time-off privileges. 5.1.1.2 Proper completion of individual time records in accordance with established procedures. 5.1.1.3 Proper notification of supervisors in the event of intended absence or tardiness. 5.1.1.4 Careful and considerate use of Districts’property. 5.1.1.5 Observance of all safety rules and regulations. 5.1.1.6 Making false,profane,abusive or malicious statements concerning any employee or officer of the Districts. 5.1.1.7 Appropriate correction of unacceptable job performance or practices. Page 1 5.1.2 An employee who acts in an irresponsible manner with regard to one of the following areas may be subject to dismissal without regard to the employee’s past performance,prior discipline,longevity and work history. 5.1.2.1 Charges of Sexual Harassment are substantiated. 5.1.2.2 Fighting or any violent act endangering the safety of others. 5.1.2.3 Accepting gifts or favors of more than token value from anyone doing or seeking to do business with the Districts. 5.1.2.4 Engaging in any activity which represents a violation of the Districts’conflict of interest code. 5.1.2.5 Intentional falsification of any Districts’records. 5.1.2.6 Unauthorized removal of Districts’or others’property. 5.1.2.7 Defacing,destroying or damaging Districts’property or the property of others. 5.1.2.8 Possession of weapons or explosives on Districts’premises. 5.1.2.9 Violation of substance abuse policy. 5.1.2.10 Immoral or indecent conduct,or insubordination,which is defined as refusal or failure to follow the lawful directive of a supervisor or manager or to comply with an established policy or procedure. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 County Sanitation Districts of Orange County Policy Number:F20.OO Effective Date:October 22,1997 Subject:HOURS OF WORK Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Districts’working hours. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Districts’employees in all organizational units and department unless otherwise specified. 3.0 DEFINITIONS The Day Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 am. and 6:00 p.m. The Night Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 p.m.and 6:00 a.m. Flextime is the option of employees to choose the starting and finishing times of their shift. Overtime is the number of hours in paid status in excess of 40 during a workweek. Nonexempt Employees are employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act,as amended.Such employees,because of the type of work that they perform and their earnings level,are subject to receiving overtime pay in addition to any entitlement otherwise provided for in applicable Memoranda of Understanding or other policies. Exempt Employees are employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act,as amended.Such employees are considered exempt by virtue of their duties in conformance with the Act’s definition of Executive,Management,Supervisory,Administrative and Professional responsibilities. Core Hours are the hours between 8:00 am.and 4:00 p.m.on any given day. Payday is the Wednesday before the end of the pay period. Pay Periods are bi-weekly beginning at 12:01 a.m.on the Friday following payday and continuing for a 14- day period ending at midnight on the Thursday following the next payday. Workweek means a seven-day period starting at 12:01 am Friday and ending at midnight on the following Thursday. 4.0 POLICY 4.1 It is the policy of the Districts to establish the time and duration of working hours as required by work load,operations flow,customer service needs,the efficient management of human resources,and any applicable law. Page 1 5.0 PROCEDURE 5.1 Normal Business Hours Administrative and business functions are normally performed between the hours of 7:30 a.m.and 5:30 p.m.,Monday through Thursday,and between the hours of 7:30 am.a 4:30 p.m.on Friday.However,the Districts allow flextime for employees to choose their starting an finishing times as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8:00 am.and 4:00 p.m.In addition,department heads may deny flextime to certain employees for reasons of business necessity,work flow,or customer service needs. 5.2 Core Hours Individual divisions may schedule work beyond the core hours of 8:00 a.m.and 4:00 p.m.,subject to approval by the department head,to meet specific operating or service requirements in the most cost-effective and efficient manner.Actual starting and ending times of an employee’s shift may vary depending on the operational requirements of each department. 5.3 Shift Schedules For time record keeping and accounting purposes,the work schedule for full-time employees is 40 hours per week based on a biweekly payroll period of 80 hours.The actual work periods may be scheduled in shifts of four 9-hour days each week and one additional 8-hour shift on alternate weeks (9/80 schedule),five 8-hour days each week (10/80 schedule),or four 10-hour days each week (8/80 schedule).Operations employees may work three 12-hour shifts each week and one additional 8-hour shift on alternate weeks (7/80 schedule).Day shifts typically begin between 5:00 a.m.and 8:00 a.m. 5.4 Overtime Supervisors may schedule overtime or extra shifts as necessary.Supervisors will assign overtime to nonexempt employees in the particular job for which overtime is required.Non-exempt employees are not permitted to work overtime without the prior written or verbal approval of their supervisor,division manager,or department head. 5.5 Meeting Attendance Employee attendance at lectures,meetings,and training programs will be considered as part of an employee’s work hours if attendance is requested by management. Overtime or compensatory time may be allowed for such attendance only in unusual circumstance and must be approved by the department head in advance of the meeting. 5.6 Make-up Time At their discretion,supervisors may allow nonexempt employees to make-up lost time during a given workweek.However,make-up time will not be allowed if the lost time results from conditions the employee could control,if there is no work the employee is qualified to do,or if adequate supervision is not available. 5.7 Time Sheets -Nonexempt Employees All employees are required to complete an individual time record,hereinafter referred to as a “time sheet”showing the daily hours worked.The following points should be considered by employees in filling out time sheets: 5.7.1 Employees should record their total hours worked for each work day on their time sheets and sign their own time sheets at the end of the pay period. 5.7.2 Employees are not permitted to begin work before their normal starting time or work after their normal quitting time without the prior approval of their supervisor. 5.7.3.Employees are required to.take scheduled lunch breaksand.non-exempt employees are required to take scheduled morning and afternoon breaks. 5.7.4 Employee time sheets should be checked and signed by the supervisor involved. 5.7.5 Unapproved absences are not considered as hours worked for pay purposes.Supervisors should inform employees if they will not be paid for certain hours of in which they are absent from work. Page 2 5.7.6 Filling out another employee’s time sheet or falsifying any time sheet is prohibited and may be grounds for disciplinary action,up to and including termination. 5.7.7 Time sheets must be completed in ink and show the beginning and ending time of each shift worked.Time worked should be charged to the appropriate work order category,and time sheets must be signed by both the employee and supervisor.If an employee is unable to complete their time sheet due to absence,the sheet must be completed by the supervisor or designee. 5.7.8 An employee must record all time taken as paid or unpaid leave.Any day with less than the typical amount of time for that shift recorded,usually 8 or 9 hours,must be supported by an explanation of the missing hours in an appropriate space on the sheet.Total hours recorded for each day or shift must agree with the total time for the pay period. 5.7.9 Time sheets will be distributed and collected by supervisors or other designated individuals and submitted to Timekeeping in the Accounting Office no later than Friday noon following the close of the pay period.Time sheets may vary depending upon the operational needs of each department,but will conform to the above requirements.Supervisors are responsible for ensuring that time sheets are submitted in a timely manner.Corrections to a time sheet entry may only be made by supervisors drawing a single line through the incorrect entry, writing the correct entry in the margin,and initialing the change. 5.8 Time Sheets -Exempt Employees Personnel employed in executive,administrative,professional,or certain computer-related job classifications generally are exempt from the provisions of the Fair Labor Standards Act.Exempt employees are not required to fill out hourly time sheets but must account for daily attendance.Time sheets for exempt employees should indicate the days worked during the pay period and include all time taken as paid or unpaid leave.The Daily Time Log should indicate the actual hours worked each day,including those in excess of the regular shift,with the Total Regular and O/T columns filled in,as appropriate;the Summary of Bi-Weekly hours should indicate only the hours in the pay period,e.g.,80,and not any excess hours worked.The appropriate Work Order should be entered,and the time sheet signed by the appropriate management level.Exempt personnel time sheets should also be submitted to Timekeeping in the Accounting office no later than Friday noon following the close of the pay period.In addition,exempt employees will not receive overtime compensation (except as specifically agreed to in an applicable bargaining unit MOU)but occasionally may be eligible for time-off after working abnormally long hours. 5.9 Payday Paychecks are distributed on the Wednesday immediately preceding the close of a pay period.Checks received on Wednesday cover the period worked during the previous pay period.If a payday falls on a holiday,checks will normally be distributed on the last working day preceding the holiday.Employees who will not be at work on payday may request that their checks be held, forwarded to their supervisor,or mailed directly to them.Unclaimed checks will be held in the Payroll Office.Checks of individuals who terminate their employment with the Districts,or are separated,will be mailed directly to them on the next regular pay day subsequent to the separation date unless other arrangements are made to hold the check. 6.0 EXCEPTIONS 6.1 Flextime does not apply to the Operations and Maintenance,and General Services Administration departments. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act,as amended. Page 3 County Sanitation Districts of Orange County Policy Number:F30.OO Effective Date:October 22,1997 Subject:ATTENDANCE POLICY Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for attendance. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 Prompt and regular attendance is required in order to maintain effective and efficient Districts’ operations.Therefore,all employees are expected to report to work as scheduled unless proper arrangements have been made for authorized absence. 5.0 PROCEDURE 5.1 Supervisor’s Responsibility Supervisors are responsible for ensuring that employees observe the Districts’need for prompt and regular attendance.They are also responsible for providing counseling at each step of this procedure,including referring employees to the Human Resources Department or Employee Assistance Program for help in dealing with medical,physical,or personal difficulties related to their attendance problem.All of the facts and circumstances surrounding an employee’s inability to report for work should be considered in the counseling process,including the employee’s performance,overall attendance,reasons for missing work and prospects for improvement.While the Districts’need for prompt and regular attendance of all employees is of utmost importance,it is equally important to recognize individual employee needs in an impartial manner. 5.2 Notification Employees must notify their supervisor of their inability to report for work as scheduled as far in advance as possible,and in no case later than the regular start time.Employees will be considered late,charged with a partial absence,and have their pay adjusted accordingly if they arrive for work more than fifteen minutes after their start time unless other arrangements are made. Tardiness is not acceptable from a performance standpoint,and excessive tardiness may be the basis for discipline,up to and including termination. 5.3 Employees may also be charged with a partial absence,and have their pay adjusted accordingly,if they leave work early.The notification of absence should include a reasonable explanation and an estimate of when the employee expects to be able to return.The Districts may require medical documentation of any absence due to illness or injury,particularly when there is an indication that abuse of time-off privileges may exist. Page 1 5.4 An absence will be recorded for all unscheduled Personal Leave time off or sick leave use.However, absences of more than one consecutive day for the same injury or illness will be treated as a single occurrence.Once an employee has accumulated five separate unscheduled absence occurrences within a calendar year,which may involve more than five days due to absences of more than one day’s duration,their supervisor will meet with them to discuss the reasons for the absences and th~ Districts’need for regular attendance.The accumulation of seven occurrences of absence within a 12-month period will result in a verbal warning.The eighth occurrence will result in a written warning. Employees who are charged with ten occurrences of absence within the 12-month period will be subject to termination. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Pa County Sanitation Districts of Orange County Policy Number:F40.OO Effective Date:October 22,1997 Subject:USE OF DISTRICTS’PROPERTY Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for the administration, use and disposition of Districts’property. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees regardless of their organizational unit. 3.0 DEFINITIONS Districts’Property . For purposes of this policy,Districts’property includes,but is not limited to:keys, credit cards,scientific equipment,calculators,records,books,cellular phones,Districts-owned vehicles, office telephones,pagers,journals,office equipment and supplies,computers,printers,copy machines, tools,uniforms,employee orientation materials,and all other real property. 4.0 POLICY 4.1 It is the Districts’policy to maintain the inventory,control and disposition of all property as defined herein. 4.2 It is the Districts’policy the no employees shall use or permit the use of Districts’property for personal convenience or profit. 4.3 It is the Districts’policy that no employee shall use or direct another employee to use Districts’paid work time for matters of convenience or profit. 4.4 It is the Districts’policy that no employee shall remove Districts’property from the premises. 5.0 PROCEDURE 6.0 EXCEPTIONS 6.1 Lap-top computers may be taken home by employees with the prior approval of their supervisor, and shall only be used for Districts’business. 7.0 PROVISIONS AND CONDITIONS 7.1 When an employee separates,all items of Districts’property issued to that employee must be returned or properly accounted for. 8.0 RELATED DOCUMENTS Page 1 /~:County Sanitation Districts of Oranrle County~ Policy Number:F50.OO Effective Date:October 22,1997 Subject:PROBLEM SOLVING PROCEDURE Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for solving problems in the workplace. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit,although certain MOUs may have language that differs slightly from the language in this policy.In that event,see Section 7.0 of this policy. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the Districts policy to encourage and facilitate the resolution of employee concerns in a responsive,timely and fair manner. 5.0 PROCEDURE 5.1 Employees may bring problems to the attention of Districts’managers through the Problem-Solving Procedure. 5.2 Employees should discuss concerns regarding issues which are not grievable with their supervisor as soon as possible.The supervisor will review the situation or decision,and provide a written response within five working days from the date they were notified of the problem. 5.3 If the problem is not resolved to the employee’s satisfaction,the employee may file a written statement concerning the problem with the Director of Human Resources or designee within ten days of the supervisor’s decision.Upon request by either party,a meeting may be held to define issues and establish the remedies sought. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 The provisions,conditions and procedures in this policy may only be used to attempt to resolve issues not subject to the Grievance Procedure provisions of an applicable MOU. 8.0 RELATED DOCUMENTS Page 1 County Sanitation Districts of Orange County Policy Number:F60.OO Effective Date:October 22,1997 Subject:GRIEVANCE PROCEDURE Supersedes: Approved by 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in administration of the Districts’Grievance Procedure. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Districts’employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS A Grievance is any complaint that management has violated a specific written policy or provision of Memorandum of Understanding (MOU). 4.0 POLICY 4.1 It is the policy of the Districts to allow a grievance to be brought to the attention of the Districts by an individual employee or by a recognized employee organization. 5.0 PROCEDURE 5.1 Grievances brought by two or more employees,and concerning the same incident,issue,or course of conduct,or multiple grievances brought by the same employee may,upon mutual agreement of the Districts and an employee organization,be consolidated for the purposes of this procedure.An employee shall have the right to be represented at all steps of the Grievance Procedure by any other employee within the bargaining group or by the representative of the recognized employee organization.Any reference to days in this article implies business days. 5.2 Step 1 An employee who has a complaint shall attempt to resolve it with their immediate supervisor within five days of the occurrence of the event giving rise to the complaint.The supervisor shall attempt to resolve the issues surrounding the complaint,and respond to the employee within five days. 5.3 Step 2 If the grievance is not settled informally at Step 1,it may be presented in writing to the employee’s Department Head or designee.This request for formal review must be presented on a form provided by the Districts within five days of the conclusion of Step 1.The written grievance must: 5.3.1 Identify the specific management act to be reviewed; 5.3.2 Specify how the employee was adversely affected; Page 1 5.3.3 List the specific provisions of the MOU that were allegedly violated,and state how they were violated; 5.3.4 Specify the remedy requested; 5.3.5.Provide the date of attempts at informal resolution and the name of the supervisor or individual involved. The Department Head,or designee,shall respond in writing to the employee within 10 days after the date the grievance is received. 5.4 Step 3 If a grievance is not settled under Step 1 or 2,it may be presented to the Director of Human Resources for review and written response.The request for formal review must be presented on a form provided by the Districts within ten days of the conclusion of Step I or 2,and must contain the information specified in Step 2.The Director of Human Resources,or designee,shall respond in writing to the employee within 10 days after the date the grievance is received. 5.5 Step 4 If the grievance cannot be resolved under Step 3,it may be presented to the General Manager within 10 days from the date the Step 3 finding was issued.The General Manager or designee,shall respond in writing to the employee within 15 days after the date the grievance is received. 5.5.1 Failure of a supervisor,Department Head or other management representative to respond within the prescribed time limit shall provide a basis for the employee to appeal to the next step. If a grievance is not presented or appealed to the next level within the specified time limits,it shall be considered settled on the basis of the preceding response.The Director of Human Resources may be petitioned in writing to waive the step or time requirements provided sufficient cause exists.Time limits may also be extended at any step upon mutual agreeme of the parties. 5.6 Step 5 If the grievance cannot be resolved with the General Manager or designee,it may be presented to the Secretary of the Boards of Directors for consideration by the Boards.Appeal to the Districts’Boards shall be the final step in the Grievance Procedure. 6.0 EXCEPTIONS 6.1 A grievance may not be brought by the Districts through this procedure. 7.0 PROVISIONS AND CONDITIONS 7.1 General Provisions An employee shall be given reasonable time off,with advance approval of his or her supervisor,to investigate and process a grievance.When an employee is represented by a recognized employee organization,that organization may designate one employee to investigate and process the grievance.The employee representative shall be given reasonable time off,with the advance approval of his or her supervisor,to perform this duty.Time off for investigating and processing a grievance shall bewithout loss of pay.Absence from work will be approved only if it does not disrupt the Districts’operations.If the time requested cannot be provided,another time will be arranged. 7.2 Discipline imposed under Policy No.F70.00 (Discipline)is not reviewable as a grievance under this procedure. 8.0 RELATED DOCUMENTS Page 2 £~,County Sanitation Districts of Orange County Policy Number:F70.OO Effective Date:October 22,1997 Subject:DISCIPLINE Supersedes: 1.0 PURPOSE Approved by: 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts’employees. Discipline is the occurrence of any of the following actions taken for just cause with respect to any employee;oral reprimand,counseling memo,written warning,suspension with or without pay, deferral or denial of a merit increase,reduction in pay,demotion to a classification with a lower top step of pay,or dismissal. Dismissal is the separation from Districts employment of a non-probationary employee initiated by The Districts for proper cause.“Termination”means dismissal and the terms are used Interchangeably throughout this policy manual. 4.1 The Districts are committed to practicing supervisory and management practices and procedures which support effective operations in the interest of the Districts and of our employees.Such procedures include the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance.Employment with the Districts is voluntarily entered into,and employees have the right to resign at any time to pursue other interests.Similarly,the Districts have the right to conclude an employment relationship for proper cause when it is believed to be in the Districts’best interests. 4.2 The General Manager is authorized and directed to exercise supervision over all employees and to impose discipline,for just cause,upon any person employed under the provisions of this Policy for both general and serious violations. 4.3 The General Manager shall establish rules and guidelines pertaining to the procedures governing such actions. 3.0 DEFINITIONS 4.0 POLICY Page 1 4.4 The General Manager is authorized to delegate his authority herein to Department Heads, Division Mangers,Director of Human Resources and other management and supervisory employees as the General Manager deems appropriate.Notwithstanding the foregoing,“at will”Executive Management employees may be dismissed at any time,without notice or just cause. 4.5 Notwithstanding the foregoing,Executive Management and contract employees who have signed an agreement to serve at the pleasure of the Joint Boards or General Manager are “at-will”and may be dismissed at any time,without notice or just cause. 5.0 PROCEDURE 5.1 Discipline occurs when any of the following actions are taken for just cause with respect to any employee:oral reprimand,counseling memo,written warning,suspension with or without pay,deferral or denial of a merit increase,reduction in pay,demotion to a classification with a lower top step of pay,or dismissal.Dismissal is the termination from Districts employment,of a non-probationary employee,initiated by the Districts for proper cause.Employees exempt from overtime pursuant to the Fair Labor Standards Act,however,shall not be subject to suspension without pay for less than one week except for major safety violations. 5.2 A Notice of Intent to impose disciplinary action is not required when the disciplinary action involves an oral reprimand,counseling memo,written warning or suspension for five or fewer working days (with or without pay)or deferral or denial of a merit increase. 5.3 A Notice of Intent to impose disciplinary action is required and will be given to an employee whenever the disciplinary action involves suspension for more than five working days, reduction in pay,demotion to a classification with a lower top step of pay or dismissal.The Notice of Intent shall be given to the affected employee either by delivery in person or by Certified Mail sent to the employee’s last know address.The Notice of Intent shall indicate the date on which it was personally delivered or deposited in the mail,which shall be the date of issuance. 5.3.1 The Notice of Intent shall contain a description of the disciplinary action intended,the effective date of the action,the reasons for the proposed action,and a copy of the charges and materials upon which the action is based.The Notice shall also provide a statement of the employee’s right to respond,either orally or in writing to the authority initially imposing the discipline,the person to whom any response must be directed,and the fact that such response must be received within ten business days of the date of issuance of the notice.The Notice will also advise the employee of their right to representation. 5.4 Prior to the effective date of any proposed disciplinary action requiring a Notice of Intent,the employee will be given an opportunity to response either orally or in writing to a management representative with authority to make an effective recommendation on a proposed action. After review of an employee’s response,the Districts will notify the employee in writing of any action to be taken.Such action may not involve discipline more severe than the described in the Notice of Intent;however,the Districts may reduce discipline without further notice. 5.5 Dismissal shall be proceeded by at least one written warning,except in those situations in which the employee knows or reasonably should have known that the performance or conduct was unsatisfactory.Such performance or conduct may involve,but is not limited to: dishonesty,possession,use,sale or being under the influence or drugs or alcohol,theft or misappropriation of Districts’property,falsification of Districts’records,fighting on the job, Page 2 insubordination,acts endangering people or property,or other serious misconduct.The Districts may also substitute a documented suspension,with or without pay,in lieu of the written warnings requirement herein. 5.6 If a Notice of Intent is upheld and the disciplinary action is imposed,the employee may request a post disciplinary hearing.The request must be submitted to the Director of Human Resources within ten business days after the date of issuance of the notice of disciplinary action.The Director of Human Resources shall schedule a post disciplinary hearing with the General Manager or his designee.The General Manager,or his designee,may uphold the disciplinary action which has been taken or may reduce such discipline without the issuance of further notice.The decision of the General Manager or his designee shall be final. 5.7 The above procedure,including the right to post disciplinary hearing,shall apply to the discipline and dismissal of Executive Management employees,who have not signed an at-will employment agreement and who are not governed by a memorandum of understanding. 5.8 The Districts may place an employee on investigatory leave without prior notice in order to review or investigate allegations of conduct which,in the Districts’view,would warrant relieving the employee immediately from all work duties.If,upon conclusion of the investigation,neither suspension without pay nor dismissal is determined by the Districts to be appropriate,the employee shall be paid for the leave.Although an investigatory leave may exceed fifteen business days,if a suspension without pay is determined to be the appropriate discipline,a maximum of fifteen business days of the investigatory leave period may be applied to such suspension without pay. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Policy B100.OO Employee Separation. 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