HomeMy WebLinkAboutOCSD 98-12 (REPEALED)RESOLUTION NO. OCSD 98-12
DELEGATING AUTHORITY TO THE GENERAL MANAGER AND
STAFF RE EXPENDITURE OF DISTRICT FUNDS AND
PERSONNEL ISSUES
A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE
COUNTY SANITATION DISTRICT AUTHORIZING THE
DISTRICT'S GENERAL MANAGER TO ESTABLISH RULES AND
GUIDELINES TO IMPLEMENT BOARD POLICIES AND TO
DELEGATE HIS AUTHORITY TO STAFF
WHEREAS, the Board of Directors has determined that an effective,
comprehensive organization needs an administrative structure with support procedures
that are understood by the Directors, Management and the District's employees, to
enable timely and responsive performance of duties; and,
WHEREAS, the Board of Directors has determined that a delegation of authority
structure provides for better training of employees which will result in improved
efficiency and effectiveness of the District's operations; and,
WHEREAS, the Board of Directors has determined that four major areas for
delegation of authority and responsibility, as recommended by the General Manager,
should appropriately be delegated to the General Manager and Staff for
implementation.
NOW, THEREFORE, the Board of Directors of Orange County Sanitation
District,
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DOES HEREBY RESOLVE, DETERMINE AND ORDER:
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REPEALED BY
OCSD 99-23
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Section 1 : That the General Manager of the District is hereby authorized to
establish rules and guidelines to implement Board policies and to delegate to Staff
authority in four major areas consisting of: (1) signature authority to initiate contracts or
purchase orders to acquire services, supplies and materials; (2) employee timekeeping
records and overtime authorizations; (3) personnel issues relating to hiring, promotions,
performance reviews, and disciplinary action; and (4) travel and training policies and
expenditures, all as more specifically set forth in Exhibit "A", attached hereto and
incorporated herein by reference.
PASSED AND ADOPTED at a Special Meeting held July 1, 1998.
ATT~~: ~~_/~
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Chair ~
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EXHIBIT "A"
DELEGATION OF AUTHORITY
INTRODUCTION
An effective, comprehensive organization needs an administrative structure with
support procedures that make sense, are well documented, are understood by the
organization's employees, and that enable timely and responsive administrative
acquisition of contracts and services. The organization should also appropriately
delegate authority to those persons and units having responsibility for these activities.
THE NEED FOR DELEGATED AUTHORITY
In an effort to remove barriers that prevent District employees from performing their
jobs at the highest level, a delegation of authority structure will appropriately train the
employees, and through providing increased responsibility and ownership, will
contribute to the improved efficiency and effectiveness of the District.
A critical component of the delegation of authority structure is the budget process. The
budget process is being improved so that:
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1.
2.
3.
4.
5.
6.
Appropriate and equitable resources are provided to all Divisions during
the budget development process;
An iterative and interactive exchange (including goal setting) is
undertaken during the assembly of the budget that actually authorizes
expenses when a line item is approved;
A realistic budget is developed;
A process is established to manage emergency or unbudgeted items;
An on-going auditing program is established to provide checks and
balances; and
Managers are held accountable for managing their budget.
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PROCEDURE FOR DELEGATION OF AUTHORITY
GENERAL
The attached Tables 1 through 4 list delegated signature authority for four areas:
1. Contracts, services, and purchase orders.
2. Time cards and overtime.
3. Hiring, promotions, reviews, and disciplinary action.
4. Travel and training, respectively.
Each Table lists, in the left-hand columns, approval authority from the Board of
Directors down through maintenance and professional staff. Listed on the top row of
each Table are the functions/services that require signature approval.
With the exception of hiring, promotion, review, and disciplinary action, delegated
authority for each functional management level will be evaluated one level in the
absence of specifically identified authority. The General Manager ("GM") will formally
delegate his authority to the Assistant General Manager ("AGM") in his absence.
These procedures establish the framework and boundaries within which a delegatee
can operate, and also provide Management with a mechanism to evaluate
implementation and hold the delegatee accountable for his/her actions.
I. CONTRACTS, SERVICES AND PURCHASE ORDERS (Excluding Public
Works Contracts Governed by State Law and Professional Services
Agreements Governed by Resolution No. OCSD 98-8)
The following signature authority will be used. The functional authority level listed
describes the highest level of signature approval needed. Intermediate management
approval between the initiator/requestor and listed approval level is also obtained.
A. Budgeted Items
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1.
2.
3.
Items exceeding $100,000 require Board of Directors approval.
Items $50,000 to $99,999 require GM or A~M approval.
Items $25,000 to $49,999 require Department Director approval.
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4. Items $10,ooo·to $24,999 require Division Manager approval.
5. Items $5,000 to $9,999 require Section Supervisor approval.
6. Items $2,000 to $4,999 require Maintenance Foreman/other professional
staff approval.
7. Items less than $2,000 require maintenance/other professional staff
approval.
B. Co-Signatures
In addition to the signature of the Delegated Authority:
1. To ensure that all policies and procedures governing purchase orders
and contracts are followed, all contracts or purchase orders less than
$100,000 will be signed by the Purchasing Manager. All contracts or
purchase orders $100,000 and above will be signed by the Director of
Finance after Board approval.
2. All purchases for computer hardware, software, and communication
equipment will be signed by the Information Technology Director or
designee.
C. Procedural Requirements
All policies and procedures governing the procurement of services, equipment, or
supplies will apply. These are the following, including updates as appropriate:
1. Resolution No. OCSD 98-8 re Professional Services Contracts.
2. Resolution No. OCSD 98-21 re Purchasing Resolution.
3. Petty Cash procedures.
For unbudgeted items prior to the acquisition of goods or services that were not
budgeted, either a budget transfer request form must be completed demonstrating that
adequate funds are available to cover the acquisition, or the Board of Directors must
authorize a budget amendment, at which time, the item being acquired would fall into
the budgeted category.
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D. Reporting
The General Manager, Assistant General Manager, Department Directors, and Division
Managers will receive monthly cumulative updated reports from the Finance
Department on all major contracts, services, and purchase orders. The Board of
Directors shall receive this report on a quarterly basis. The format, reporting amount
and other details will be worked out by the Finance Department. This will include the
following:
1. Authorizing Division.
2. Contract/Purchase Order amount.
3. Previous amount authorized (if applicable)
4. Brief description of service or item.
5. Term of contract.
6. Budgeted item.
The Finance Department may develop interim reports that do not contain all of the
information listed above during the period that the Financial Management System is
being developed.
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TABLE 1: CONTRACTS. SERVICES. AND PURCHASE ORDERS
Contracts. Services and Purchase Orders (Excluding Public
Works Contracts Governed by State Law and Professional
Services Agreements Governed by Resolution No. OCSD
98-8) .
Budgeted
Boards of Directors >$100,000
GM andAGM >$50,000 to $99,999 . -..
Department Directors >$25,000 to $49,999
Division_Managers_ ... >$10,000 to $9,999 ...
Section Supervisors >$5,000 to $9,999
Maintenance Foreman
And Other Professional
Staff >$5,000
Maintenance and Other
Professional Staff <$2,000
II. TIME CARDS AND OVERTIME
A Procedure for Time Card Approval
The direct Supervisor can approve time cards and overtime requests/reports for
employees reporting to him/her.
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1.
2.
In the absence of the AGM, the GM can approve time cards of
Department Directors.
In the absence of the Department Director, the GM or AGM can approve
time cards of Division Managers within that Department.
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3. In the absence of the Division Manager, the Department Director, AGM,
or GM can approve time cards of employees within that Division.
8. Overtime Approval
1. Department Directors approve all overtime requests that are exceptions to
the District's policy on overtime request.
2. Division Managers or Section Supervisors can approve all other overtime
requests that conform with the District's policy.
C. Reporting and Monitoring
1. The Department Directors and Division Managers receive a monthly
summary of pvertime requests, including exceptions. ___ . _ ...
2. The GM and AGM receive a monthly summary on exceptions to overtime
requests... .
TABLE 2: TIME CARDS AND OVERTIME REQUESTS/REPORTS
GM
AGM
Department
Director
Division Manager
Section Supervisor
or Equivalent
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-Approve AGM;
Assistant to GM;
Executive Assistant II
-Approve Department
Directors;
Assistant to GM;
Executive Assistant II
-Approve Division
Managers and
Executive Assistant I
-Approve Section
Supervisors and
Division Secretary
-Approve assigned
Staff
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-Approve exceptions
to District policies
-Approve when
meeting District
policy
-Approve when
meeting District
policy
-Receive monthly
Summary Reports of
exceptions only
-Receive monthly
Summary Reports of
exceptions only
-Receive monthly
Summary Reports with
exceptions
-Receive monthly
Summary Reports
with exceptions
Ill. HIRING, PROMOTIONS, REVIEWS AND DISCIPLINARY ACTION
All hiring and promotions will be jointly signed by highest level of initiating management
listed below and the Director of Human Resources. All initiating management levels
below the highest level must also provide approval.
A. Procedure for Hiring and Promoting
1. Unbudgeted hiring or promotions require approval of the Board of
Directors.
2. Ahead-of-schedule hiring or promotions require the approval of the GM or
AGM. No net increase in the District's salary and wages budget will occur
as a result of ahead-of-schedule hiring or promotions.
3. Budgeted hiring requires approval of the Department Director ..
4. Budgeted promotions require approval of the Division Manager.
B. Disciplinary Action
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1.
2.
3.
4.
Terminations are finally approved by the GM or AGM after consultation
with the Director of Human Resources to ensure that the policies have
been followed.
Suspensions exceeding five working days are finally approved by the
Department Director (or higher management level) after consultation with
the Director of Human Resources to ensure that the policies have been
followed.
Suspensions of five days or less are finally approved by the Division
Manager (or higher management level) after consultation with the Director
of Human Resources to ensure that the policies have been followed.
Written or verbal reprimands on employee performance are finally
approved by Supervisors (or higher management level) after consultation
with the Director of Human Resources to ensure that policies have been
followed.
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C. Co-Signatures
All hiring and promotions will adhere to all recruitment and hiring policies of the Human
Resources Department, Board of Directors, Resolutions, and Memoranda of
Understanding, and require co-signatures of the delegated initiating Management and
the Director of Human Resources, with a statement affirming that the policies have
been followed.
D. Reporting and Monitoring
The GM, AGM, and Department Director will receive monthly reports on all hiring,
promotions, and terminations.
TABLE 3: HIRING. PROMOTIONS AND DISCIPLINARY ACTION
Board of Directors
GMorAGM
Department Director
DMsion Manager
Supervisor/Foreman
Manager
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Unbudgeted positions
Budgeted but ahead of schedule Approves (after consultation with
Director of Human Resources)
terminations and receives report
on all hiring, promotions, and
terminations
All budgeted and scheduled Approves (after consultation with
Director of Human Resources)
suspensions exceeding five
working days and receives report
on all hiring, promotions, and
terminations
Budgeted promotions Approves (after consultation with
Director of Human Resources)
fivEKlay-or-less suspensions and
other disciplinary actions
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Approves (after consultation with
Director of Human Resources
and DMsion Manager) written
and verbal reprimands
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IV. TRAVEL AND TRAINING
A General
1. Travel or training exceeding $500 will be itemized, as well as possible, in
the approved budget. It is recognized that some travel cannot be
preplanned.
2. All out-of-country travel requires approval by the Board of Directors.
3. All out-of-state travel requires approval by the GM or AGM.
4. Established approvals must be received prior to arrangements for travel
or training being made.
B. Budgeted (excluding labor hours)
1. Travel or training requests exceeding $2,000 will be approved by the GM
orAGM.
2. Travel or training requests less than or equal to $2,000 and exceeding
$1,000 will be approved by the Department Director.
3. Travel or training requests less than or equal to $1,000 will be approved
by the Division Manager.
C. Policies and Procedures
All policies and procedures governing travel and training, such as the use of District
forms and justification, will be followed.
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E. Reporting and Monitoring
The GM, AGM, Department Director, and Division Manager will receive monthly reports
from the Finance Department on all travel and training. The Finance Administration
and Human Resources Committee ("FAHR") will receive quarterly reports that include
the following:
1. Request Division.
2. Dollar Amount.
3. Brief Description.
4. Budgeted.
5. Number of Days.
6. Number of Attendees
TABLE 4: TRAVEL AND TRAINING
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Board of Directors
GMorAGM
Department Director
Division Manager
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Out-of-Country
Out-of-State >$2,000
>$1,000 to $1,999
<$1,000
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