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HomeMy WebLinkAboutOCSD 06-22 (REPEALED)i' RESOLUTION NO. OCSD 06-22 AMENDING RESOLUTION NO. OCSD 98-33 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT AMENDING THEPERSONNEL POLICIES AND PROCEDURES ***************************** The Board of Directors of the Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. 810.00, Conflict of Interest Code and Code of Ethics, set forth in Attachment No. 1, attached hereto and incorporated herein by reference. Section 2: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. 8150.00, Recruitment and Selection, set forth in Attachment No. 2, attached hereto and incorporated herein by reference. Section 3: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. 8160.00, Nepotism, set forth in Attachment No. 3, attached hereto and incorporated herein by reference. Section 4: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. C110.00, Travel, set forth in Attachment No. 4, attached hereto and incorporated herein by reference. Section 5: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. 090. 00, Tuition Reimbursement Program, set forth in Attachment No. 5, attached hereto and incorporated herein by reference. Section 6: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. F41.00, Vehicle Usage, set forth in Attachment No. 6, attached hereto and incorporated herein by reference. Section 7: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by re- titling the Human Resources Policies and Procedures Manual to the "OCSD Board of Directors Per~onnel Policies and Procedures Manual". Section 8: That all other terms and conditions of Resolution No. OCSD 98-33, as previously recommended, shall remain in full force and effect. Section 9: That all future amendments to Resolution No. OCSD 98-33 be made by Resolution. PASSED AND ADOPTED ta regular meeting held September 27, 2006. r:--> ·~ 'I' \_ ·~ , ·' ,, ,..,. ,-. ~' \ ... J~,\. j ' • , '-' I ·~\ I ·'·-('"l, \, ~ ', j ' ..., ' -r· .. ~.I <\ \n '·-." "· ' ' ~·' ,; '1 ' REPEALED BY OCSD 15-18 Orange County Sanitation District Policy Number: 810.00 Personnel Policies Effective Date: September 27, 2006 Subject: CONFLICT OF INTEREST Supersedes: October 22, 1997 CODE AND CODE OF ETHICS Approved by: Board of Directors 1.0 PURPOSE 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 District who hold Designated Positions, as defined and listed in the OCSD Conflict of Interest Code as specified herein. 3.0 DEFINITIONS 4.0 POLICY 4.1.1 The proper operation of the District 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 District policy to ensure that employees adhere to all of the provisions of the California Political Reform Act of 197 4 (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 District Conflict of Interest Code. 5.0 PROCEDURE 5.1. District 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. 1 5.1.1 . Officers and employees of the District who hold Designated Positions, as defined and listed on "Exhibit A", 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 District. 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 Clerk of the Board. 5.2. District 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 District. District 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 District-owned property, vehicles, equipment, or material except when such services are available to the public generally or are provided as District policy for the use of such employee in the conduct of District business. 5.4. Employees shall not use their own time nor that of another District employee during working hours for personal convenience or profit. 5.5. District 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. District employees snail not willfully and knowingly disclose, for personal gain, to any other person, confidential information acquired in the course of District employment, nor shall any employee use any such information for personal gain. 5.7. District employees shall not receive, directly or indirectly, any compensation, reward or gift from any source except the District for any service, advice, assistance or other action related to the conduct of District business, except fees for speeches or published works on subjects related to District business except as follows: 5. 7.1. Acceptance of food and drinks of nominal value in the ordinary course of District 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 District employees; 5.7.4. Acceptance of unsolicited advertising or promotional items of nominal value; 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.) 8.2. Title 2, Division 6, Chapter 7, Article 1, of the California Code of Regulations, known as the Fair Political Practices Commission Regulations 8.3 District Statement of Economic Interest. 3 Subject: 1.0 Orange County Policy Number: 8150.00 Sanitation District Personnel Policies Effective Date: September 27, 2006 RECRUITMENT AND SELECTION Supersedes: June 28, 2006 Approved by: Board of Directors PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for Orange County Sanitation District (OCSD) recruitment activities. 2.0 . ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD departments, divisions, and employees. 3.0 DEFINITIONS 3.1 Recruitment is the process of attracting qualified individuals to apply for employment opportunities that are advertised by the organization, whether internal or open. 3.2 Internal recruitment means considering only current employees as applicants for job openings within the organization. 3.3 Open recruitment means attracting applicants from outside the organization, as well as internally to apply for job openings within the organization. 3.4 Planned Recruitment is the process of recruiting a candidate for a position held by an existing OCSD employee who plans to retire or leave the agency. 3.5 Probationary Period -Initial as defined in applicable Memorandum of Understanding (MOU) provisions, includes at least the first 6 months or 26 weeks of employment with OCSD beginning with the date of hire. This period is regarded as an extension of the hiring process, and provides an opportunity for both the employee and OCSD management to assess, over a substantial period of time, whether or not the hiring decision was appropriate. Employees who have not yet successfully completed their initial probationary period serve "at-will" and may be released from employment without cause or recourse to any appeal or grievance procedures. 3.6 Probationary Period -Promotional as defined in applicable MOU provisions, includes at least the first 6 months or 120 days of employment with OCSD, beginning with the effective date of promotion. This period is regarded as an extension of the selection process, and provides an opportunity for both the employee and OCSD 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. 3.7 Probationary Period -Reassignment or Lateral Transfer as defined in applicable MOU provisions, includes at least the first 26 weeks of employment with OCSD, beginning with the effective date of the reassignment or lateral transfer. This period provides an opportunity for both the employee and OCSD management to assess, over a substantial period of time, whether or not the decision was appropriate. Page I of 10 4.0 POLICY 4.1 OCSD is an Equal Opportunity Employer (EOE). OCSD does not discriminate on the basis of race, religion, color, national origin, disability, pregnancy, martial status, age, gender, sexual orientation, or participation in any protected class/activity. 4.2 It is OCSD's policy to provide nondiscriminatory, lawful, and consistent guidelines and procedures to all recruitment processes, whether internal or open. 5.0 PROCEDURE 5.1 PERSONNEL REQUISITION 5.1.1 A personnel requisition is the first step for the Department Head (or designee) to communicate staffing needs to the Human Resources Division. If the recruitment requires testing (hands-on, written, essay, etc.) as part of the recruitment process, the testing methods must be reviewed for validity and reliability by the Human Resources Division prior to the initiation of a personnel requisition. 5.1.2 The Department Head (or designee) completes the personnel requisition and routes for the required signatures before sending it to the Human Resources Division. 5.1.3 The Human Resources representative reviews the requisition to make sure the qualifications are appropriate for the position. If changes are necessary, the Human Resources representative will work with the appropriate Department Head (or designee). 5.2 EMPLOYMENT OPPORTUNITY BULLETINS/POSTINGS 5.2.1 The Human Resources representative prepares the employment opportunity bulletin, also known as a posting. Each posting will include the following information: • Wage range • Department • Brief job description • Required qualifications • Desired qualifications • Posting/closing dates • Procedure for applying • Brief benefits overview 5.2.2 The Human Resources representative provides the draft posting to the Department Head (or designee) for approval. 5.2.3 Upon approval, all job postings are advertised as internal recruitments for ten business days, unless an open recruitment is authorized by the Director of Finance & Administrative Services, or designee. All job postings for Student Intern and Executive Management positions may be advertised as an open recruitment at the beginning of the recruitment process. 5.2.4 During the internal or open recruitment process, if there is at least one internal applicant and he/she meets the minimum qualifications for the position, that Page 2 of JO applicant will be interviewed. If an internal applicant is not selected or if there are no internal applicants, the position is advertised as an open recruitment. 5.2.5 Internal job opportunities will be posted to the intranet which is accessible to all OCSD employees. 5.2.6 Internal Job Announcement Notifications are sent via e-mail to all OCSD employees for internal and open recruitments. 5.3 ADVERTISING 5.3.1 Advertising for positions at OCSD ensures positions are filled with the best- qualified candidate for the job. OCSD shall make every reasonable effort to advertise open positions to all segments of the public to ensure EOE guidelines are followed. 5.3.2 All positions are advertised on the internet and may be posted in other media when deemed appropriate. Technical and hard-to-fill positions are advertised on trade specific websites. 5.3.3 Trade magazines and other forms of advertising may be used for hard-to-fill or specialized positions. 5.4 APPLICANT SCREENING 5.4.1 Applications and resumes are only accepted electronically. All other application material will be accepted at the interview. Unsolicited application material will not be accepted at anytime. 5.4.2 Once an application and/or resume is received and reviewed, it will only be selected for further consideration if the minimum job requirements for the position are met. 5.4.3 The Department Head (or designee) is given access to files within GR the online application program pertinent to the job opening for which the Department Head (or designee) submitted a personnel requisition. The Department Head (or designee) may review applications that meet the minimum qualifications to determine which candidates may be interviewed. 5.4.4 All materials (e.g., applications, resumes, interviewer notes, interview packets, packets, etc.) submitted by applicants/candidates or generated by OCSD staff during the interview process are confidential and are considered OCSD property and must be returned to the Human Resources Division upon completion of the hiring process. All recruitment files are maintained by OCSD in accordance with established record keeping guidelines. 5.5 INTERVIEW PROCESS 5.5.1 The interview panel members are selected along with the interview date(s). Applicants are scheduled, interview questions are prepared, and the interview panel conducts the actual interview. 5.5.2 A Human Resources representative and the hiring supervisor shall work together to select the interview panel, which consists of three panel members. The interview panel will be comprised of the hiring supervisor, one additional member from within the department, and one from outside the department. Page 3 of 10 The Human Resources Division representative will facilitate and monitor the interview process, but will not have a vote. 5.5.3 The Human Resources Division monitors panel composition to ensure that there is no conflict of interest when a candidate is known to a current or former employee. 5.5.4 The Human Resources representative and the Department Head (or designee) shall work together to establish a set of interview questions and criteria for the candidates. 5.5.5 The Human Resources representative prepares interview packets and distributes them to the interview panel. Packets include: • An overview of the interview process • A copy of the interview schedule • A copy of the employment bulletin opportunity/posting • Copies of candidate applications • Interview questions and evaluation forms for each candidate 5.5.6 The interview panel will meet at least one half hour before the interview to gain an understanding from the hiring supervisor about the criteria with which to rank the ideal candidates. The hiring supervisor, in consultation with the Human Resources Representative, may add or delete questions providing they are related to the pre-established criteria. 5.5.7 The Human Resources representative facilitates the interview process. When interviews are completed, the interview panel members evaluate each candidate interviewed. The panel will rank a list of the top candidates (no more than three) based on a majority decision. The hiring supervisor will then choose from among the top candidates with the concurrence of the General Manager (or designee). The Department Head (or designee) will report the final hiring decision to the Human Resources Division, to include all applicable interview materials (e.g., applications, resumes, interviewer notes, interview packets, etc.). 5.6 RECRUITMENT APPEALS PROCESS 5.6.1 Employees should bring recruitment process and decision-making issues to the attention of the Human Resources Manager as soon as possible. The manager will review the issue and provide a written response within five business days from the issue notification date. 5.6.2 If the issue is not resolved to the employee's satisfaction, the employee may file a written statement concerning the problem to the Director of Finance & Administrative Services within ten business days of receipt of the manager's decision. Upon request by either party, a meeting may be held to discuss the issue and establish remedies. 5.6.3 The employee will be provided a written response from the Director of Finance & Administrative Services (or designee), within ten business days after the employee's statement is received. The decision of the Director of Finance & Administrative Services, or designee, is final (see policy F50.00, Problem Solving Procedure and F60.00, Grievance Procedure). 5.6.4 Time limits may be extended for cause upon mutual consent of the parties. Page 4 of IO 5.7 EMPLOYMENT OFFERS 5.7.1 The Human Resources representative and Department Head (or designee) determine an appropriate starting salary for all candidates, except those designated as "at-will" employees, based on a Salary Offer Analysis. This analysis will include the applicant's: • Qualifications • Years of experience • Educational background • Salary history • Parity within the department 5. 7.2 The Human Resources Compensation Analyst reviews a job candidate's salary request, prepares an analysis, and makes a recommendation on placement in the applicable salary range. If market or other material conditions necessitate offering a job candidate a pay rate up to the salary range mid-point, a department head may recommend, and with the concurrence of the Director of Finance & Administrative Services, may approve the proposed hire rate. The General Manager, or designee, shall approve all recommended salary offers that would result in a new hire pay rate at Step 4 or greater. Under no circumstances should panel members (excluding the Human Resources representative) or any other OCSD employee discuss salary offers with candidates or make promises of any kind. Human Resources staff are the only employees authorized to engage in salary discussions with job candidates. 5.7.3 The Human Resources representative completes a status change form for the candidate and initiates the background investigation. Background investigation results are provided to the candidate by OCSD's background screening firm. 5.7.4 When the status change form is approved, the Human Resources representative makes a verbal employment offer to the candidate, which is contingent upon results of a background investigation, pre-employment physical and drug screening. Upon acceptance of the employment offer, the Human Resources representative sends letters of regret to unsuccessful candidates. Internal candidates are contacted personally prior to receiving letters of regret. 5.7.5 The Human Resources representative schedules the pre-employment physical and drug screen for the candidate, works with the Department Head (or designee) to establish a potential start date and prepares a formal offer letter for the candidate. 5.7.6 When the Human Resources representative (or designee) has cleared the background investigation, pre-employment physical and drug screening results, the applicant will be contacted to confirm the employment offer. 5.7.7 The Human Resources representative coordinates the candidate's start date. 5.7.8 In the event that a candidate is selected and voluntarily or involuntarily vacates the position prior to completing the required six month probationary period, the Human Resources Division, at the request of the Department Page 5of10 Head (or designee), may exercise the option to extend an offer to the second candidate from the original interview process. 5.8 PLANNED RECRUITMENT 5.8.1 In instances where an existing OCSD employee plans to retire or leave the agency, the Department Head may request to initiate the planned recruitment process by notifying the Director of Finance & Administrative Services, or designee. If approved, the Human Resources Division shall begin the recruitment process for the anticipated vacancy using the internal recruitment process. The Human Resources Division must have a minimum of six months notice to consider a planned recruitment, a signed memo from the existing OCSD employee stating his/her retirement or leave date, and at least one budgeted but vacant position that OCSD can borrow from. 5.8.2 The Planned Recruitment process will be initiated, as scheduling permits, prior to the individual leaving OCSD in order to allow for an adequate amount of cross training. 5.8.3 If a candidate is selected from the internal recruitment process, the candidate shall remain in his/her existing position with the same salary and benefits while cross-training in the new position as scheduling permits. 5.8.4 The candidate shall assume the salary, benefits and full range of duties of the vacant position the first business day that the position is vacant. The position used to initiate the planned recruitment will then be returned to the "pool" within the Human Resources Division full-time equivalent (FTE) budget for use with other planned recruitments. 5.8.5 The date the candidate assumes the vacant position shall be the first day of the candidate's six-month probationary period. The six-month probationary period will be utilized as an opportunity for the candidate and OCSD management to assess whether or not the decision was appropriate. The candidate may be returned to his/her previous position if the decision is determined to be inappropriate. 5.8.6 If a candidate is not selected from the internal recruitment process, the position will be posted for external candidates immediately to ensure an adequate amount of time for cross-training. 6.0 EXCEPTIONS 6.1 EMPLOYMENT OF FORMER EMPLOYEES 6.1.1 Employment of former employees for full-time equivalent or part-time positions shall be subject to and conducted in accordance with this policy. 6.1.2 Employment of a former employee is subject to the approval of the General Manager and the Director of Finance & Administrative Services. 6.1.3 In all cases, approval of the General Manager and the Director of Finance & Administrative Services shall be received prior to an offer of employment to a former employee. Page 6 of JO 6.1.4 OCSD policy prohibits the rehire of former full-time, regular employees or "at- will" employees who: were terminated for workplace misconduct; resigned while charges were pending against the employee; resigned while serving a suspension; failed to provide two weeks written notice in advance of resignation depending upon employment status, unless approved by the Director of Finance & Administrative Services, or designee; or failed to return to work following an absence without leave of 40 consecutive work hours without notifying the immediate supervisor or the Human Resources Division with an acceptable reason for their absence. 6.1.5 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 OCSD for a period of one year after leaving OCSD's employment. Thereafter, said business entity shall be allowed to contract with OCSD upon compliance with all resolutions and regulations of OCSD then in effect, relating to the procurement of services. 6.1.6 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 OCSD. However, the former employee shall not perform work on OCSD projects for a period of one year after leaving OCSD employment; nor shall such former employee contact OCSD officers or employees for the purpose of attempting to influence any OCSD 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 OCSD relating to procurement. 6.1.7 Any OCSD employee who receives an offer of employment or a request to discuss potential employment from any person or business entity performing services for OCSD 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. 6.1.8 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 OCSD to do so. 6.1.9 All former employees who are rehired will be placed on an initial probationary period as defined in this policy. All prior service with OCSD will not be counted for accrual purposes including, but not limited to, leaves of absence and seniority. 6.2 RE-EMPLOYMENT OF OCSD RETIRED EMPLOYEES 6.2.1 The General Manager may, with the written approval of the Board Chair, employ on an as-needed basis, a former employee retired from OCSD when the individual possesses knowledge and expertise of unique and particular benefit to OCSD. 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). Page 7 of IO 6.2.2 As-needed service, by a former employee retired from OCSD, 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 OCSD 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. 6.2.3 On occasion, OCSD may offer an early retirement incentive to staff under economic conditions in which it is deemed necessary. Employees who select an early retirement incentive offered by OCSD may not be eligible for rehire. 6.3 LATERAL TRANSFERS 6.3.1 Employees may request a lateral transfer to a budgeted vacant position within the same classification of another department. For a lateral transfer to be considered, the employee must have demonstrated satisfactory performance within the last six months of the request and have no pending disciplinary action. The lateral transfer must be of benefit to OCSD. 6.3.2 Employees who wish to be considered for a lateral transfer shall notify the Human Resources Division in writing of their intent prior to recruitment of the budgeted position. Employees who are interested in a lateral transfer, but are unaware of any budgeted vacant positions within the same classification, may contact the Human Resources Division. The employee's written intent must be approved by any affected department head and the Director of Finance & Administrative Services. 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. 6.3.3 Lateral transfers do not normally involve increased levels of duties and responsibilities, or otherwise qualify as promotions, and therefore do not involve salary adjustments. 6.3.4 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. 7 .0 PROVISIONS AND CONDITIONS 7.1 The interview process for Student Intern positions shall be an abbreviated version of the process outlined in section 5.5 and will be administered by the appropriate division manager/supervisor and a Human Resources representative. 7.2 OCSD's Board of Directors must approve unbudgeted positions for new hires or promotions before any internal or open recruitment effort is initiated. 7.3 Hiring an individual into a budgeted position requires the approval of the Department Head and General Manager. 7.4 Promoting an individual into a budgeted position requires the approval of the Division Manager, Department Head or General Manager. · Page 8 of lO 7.5 Employees on Performance Improvement Plans are not eligible for promotional opportunities. 7.6 INITIAL PROBATIONARY PERIOD 7.6.1 Unless designated as an "at-will" Executive Management Team (EMT) member or Student Intern, all new employees and employees who are reassigned or laterally transferred serve a probationary period. In accordance with applicable MOUs and policies, the probationary period begins with the date of hire, reassignment, or transfer and extends to at least the first day of the pay period following twenty-six weeks of employment without a break in service. For new employees, this probationary period is regarded as an extension of the hiring process, and provides an opportunity for both the employee and OCSD's 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 OCSD. 7.6.2 The probationary period may be extended by mutual agreement between OCSD and the employee, prior to the expiration of the 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 may be released by OCSD at any time during the probationary period (including any extension) without cause or reason. 7.6.3 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 OCSD during this period. In the event of release of a probationary employee, the employee shall not be entitled to receive any severance pay. 7.7 PROMOTIONAL PROBATIONARY PERIOD 7.7.1 All promoted employees, except those designated as "at-will" employees, shall serve a promotional probationary period lasting at least 120 days or 6- months, depending upon the applicable MOU provisions, beginning with the effective date of promotion. This period is regarded as an extension of the selection process, and provides an opportunity for both the employee and OCSD management to assess, over a substantial period of time, whether or not the decision was appropriate. 7.8 REFERENCE CHECKS 7.8.1 Employment with OCSD is contingent upon a pre-employment screening process which includes a physical examination, drug/alcohol test and background investigation. Candidates must also be able to provide documentation authorizing their legal right to work in the United States as per the Immigration Reform and Control Act of 1986. Page 9of10 7.8.2 OCSD may verify information contained in the job application of a prospective employee with the prospective employee's authorization. 7.8.3 Inquiries to OCSD employees regarding reference or employment verification checks of former or present employees shall be discussed with or referred to Human Resources prior to any response. 8.0 RELATED DOCUMENTS 8.1 OCSD Student Intern Program guidelines 8.2 Policy F50.00, Problem Solving Procedure 8.3 Policy F60.00, Grievance Procedure 8.4 Policy C180.00, At-Will Policy 8.5 Policy 8160.00, Nepotism 8.6 Local 501, Operations and Maintenance Unit MOU 8.7 Administrative and Clerical Unit MOU 8.8 Engineering Unit MOU 8.9 Technical Services Unit MOU 8.10 Professional Group MOU 8.11 Supervisor Group MOU Page IO of IO Orange County Sanitation District Personnel Policies Subject: NEPOTISM 1.0 PURPOSE Policy Number: 8160.00 Effective Date: September 27, 2006 Supersedes: Approved by: Board of Directors 1.1 To avoid the possibility of nepotism in hiring, promoting, evaluating, awarding salary, and disciplining employees and to ensure that the basis for employment decisions are based on the individual's qualifications for the position, ability, and performance. OCSD does not tolerate favoritism, the appearance of favoritism, conflicts of interest or the appearance of conflicts of interest in employment and personnel decisions. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees regardless of their organizational unit, and employment applicants. Additionally, all persons who perform any services for OCSD including persons working under contract, regardless of their employment status, are covered by this policy. 3.0 DEFINITIONS 3.1 Near relative means a relative within the third degree by blood or marriage, including an individual's: spouse tiancee domestic partner parent/stepparent sister/stepsister brother/stepbrother child/stepchild grandparent grandchild great-grandparent great-grandchild aunt uncle niece nephew cousin sister-in-law brother-in-law son-in-law daughter-in-law dependent Near relatives shall also include persons who fall into the above categories by a previous marriage or adoption. 3.2 Supervisory Relationship means a supervisor-subordinate relationship between near relative employees, whether direct or indirect, that has the ability to impact the terms and conditions of employment, including, but not limited to, appointment, transfer, promotion, demotion, layoff, suspension, termination, recall, work assignments, performance evaluations, merit increases, training, or any other administrative action that may affect an employee; or near relatives reporting to the same immediate supervisor. Page 1of4 4.0 POLICY 4.1 It is the policy of OCSD not to discriminate in its employment and personnel actions with respect to its employees and applicants on the basis of marital and familial status. 4.2 Notwithstanding the above statement, OCSD retains the right to refuse to appoint a person to a position in the same department, division or facility, wherein his or her relationship to another employee has the potential for creating an adverse impact on supervision, safety, security, or morale, or involves a potential conflict of interest. The department head shall have the authority and responsibility for determining if such a potential for adverse impact exists or does not exist. 4.3 Near relatives of employees or of members of the Board of Directors shall not be hired, promoted or transferred into positions in which one near relative may supervise, directly or indirectly, any other relative, or work in a capacity which would allow an employee to evaluate or control the terms, conditions or performance circumstances of employment of a near relative. 4.4 Near relatives of members of the Board of Directors shall not be employed in any position where there is a potential for adversely impacting the safety, security, morale or efficiency of supervision of other employees, or in which there may be created a potential conflict of interest. 4.5 No person shall be appointed, promoted, demoted, flexibly placed, or transferred to any position, whether exempt, permanent, provisional, acting, part-time, or temporary, in any division of any department, where such person's near relative already holds a position which would create a supervisory relationship. 4.6 No employee shall interview, recommend, or in any way be involved in the selection or disciplinary process of his or her near relative. 4.7 All current employees of OCSD on the effective date of this policy will not be allowed to remain in positions where they are in a supervisory relationship with a near relative, except in those situations where a direct level of supervision or the ability to impact the terms or conditions of employment of a relative does not occur. 4.8 There shall be no appointments to any position at OCSD of a near relative of any member of the Board of Directors or Executive Management Team without the express written approval of the Chair of the Board of Directors and the General Manager. 4.9 Any individual having appointive power shall not appoint or promote any of their near relatives to any position at OCSD. 4.10 Hiring, reinstatement, promotion or transfer which will result in near relatives of employees working in the same department may be permitted, but only in such cases where direct supervision or the ability to impact the terms or conditions of employment of the near relative does not exist. 4.11 In cases whereby persons who are near relatives are employed in the same department, action shall be taken by the Department Head, Division Manager, or Supervisor to protect against situations which: Page 2 of 4 • may interfere with response to public health emergencies; • may adversely impact working conditions; • may jeopardize confidentiality; and, • may suggest a conflict of interest. 4.12 Remedies to the cases referred to in Section 4.11 may include, but are not necessarily limited to, shift change, reassignment to another position or location, transfer, or dependent upon a case-by-case basis, possible termination of one of the involved employees. 4.13 All appointments, transfers or promotions of near relatives under this policy will be evaluated under guidance of this policy and in terms of the extent to which the relationship could have an adverse effect on the operations of OCSD. This policy does not necessarily preclude the near relative or an OCSD employee applying for an OCSD position or promotion. The policy provides that the General Manager, or designee, may withhold approval to appoint a relative if such an appointment is not in the best interest of OCSD or does not follow this policy. 4.14 In those cases in which the aforementioned relationships exist, or in which employees marry or acquire a covered relationship, the Human Resources Division shall be responsible to ensure that work assignments are made or other steps taken so as to avoid conflicts of interest or violation of this policy. If no conflict of interest exists because employees have no working interrelationship, supervisory or evaluative control over one another, no action shall be necessary. If conflict exists, action may include reassignment to another position, work location, or work shift. If such reassignment or other alternative is not deemed appropriate by OCSD, one of the conflicted individuals may have to resign or be terminated. 4.15 Employees are responsible for immediately notifying their supervisor or the Human Resources Division of an impending marriage or the establishment of a near relative relationship with another employee of OCSD as specified in Section 3.1. 4.16 No persons who have a near relative working at OCSD may be hired without the approval of the General Manager, or designee. No OCSD employee who is related to any other OCSD employee may be transferred or promoted within OCSD without the approval of the General Manager, or designee. 4.17 The General Manager is responsible for enforcing this policy with the assistance of the Human Resources Division. 4.18 OCSD reserves the right to take action when relationships or associations of employees impact its mission. 4.19 OCSD retains the right to refuse to place a relative under the direct supervision of an OCSD employee, or 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. 4.20 OCSD 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 3 of 4 4.21 Except as otherwise provided by law, no employee, prospective employee or applicant shall be excluded from the competitive hiring and examination process or denied employment or benefits of employment solely on the basis of his or her familial relationship with an employee of the agency or a member of the Board of Directors. 5.0 PROCEDURE 5.1 OCSD employees shall submit the Near Relative Notification form, which is attached to this policy, to the Human Resources Division within 30-days of the effective date of this policy, if they currently have near relatives working for OCSD or within 30-days of becoming a near relative of another OCSD employee. Failure by an employee to complete and submit the required Near Relative Notification to the Human Resources Division may be grounds for disciplinary action, up to and including termination of employment. 5.2 If the Human Resources Division determines that employment of near relatives in a supervisory relationship violates this policy, the Human Resources Division may transfer one of the employees to a vacant position in another division or department for which he or she is qualified. The determination of which employee will be transferred will be based upon the promotion of effective and efficient operations of OCSD. Transfer must be to the same or equivalent position in another department without loss of classification, salary or benefits to the employee who is transferred. No regular, full-time employee shall be terminated at the time of the implementation of this policy as a result of a supervisory relationship with a near relative. 5.3 Any employee, contractor, or member of the Board of Directors who knowingly violates this policy may be subject to disciplinary action, up to and including termination of employment. 5.4 In cases involving a near relative of a member of the Board of Directors, the matter will be referred to the Steering Committee, General Manager, and General Counsel for resolution. 6.0 EXCEPTIONS 6.1 The General Manager may authorize exceptions to this policy whenever he or she determines that the best interests of OCSD so require. If an exception is granted, it shall be in writing and a copy placed in the employee's personnel file. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Near Relative Notification Form 8.2 Policy B150.00, Section 6.1 Employment of Former Employees Page 4 of 4 Employee Name: Job Title: Department: Near Relative Name: Job Title: Department: Check all that apply: 1. None: D Orange County Sanitation District NEAR RELATIVE NOTIFICATION Phone Number: Division: Relationship: Division: 2. Supervisory Relationship: D Direct D Indirect D Same supervisor 3. Sharing of Duties: D On the same work assignment D Related work assignments 4. Other (identify): Note: Attach separate sheet for additional Near Relatives. I hereby certify that this is a true and correct statement and that I have identified all of my near relatives who work for the Orange County Sanitation District in any and all capacities. Signature: ---------------Date: __________ _ Orange County Sanitation District Personnel Policies Subject: TRAVEL 1.0 PURPOSE Policy Number: C110.00 Effective Date: September 27, 2006 Supersedes: December 21, 2005 Approved by: Board of Directors 1.1 The purpose of this policy is to establish uniform guidelines and procedures pertaining to off-site travel for job-related meetings and training functions. 2.0 ·ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Orange County Sanitation District (OCSD) employees. 3.0 POLICY 3.1 It is OCSD's policy to reimburse employees for authorized travel and business expenses in accordance with the procedures of this policy. 4.0 PROCEDURE 4.1 GENERAL INFORMATION 4.1.1 OCSD will reimburse employees for reasonable travel expenses incurred in the course of representing OCSD at job-related meetings or training functions provided that approval is obtained in advance. 4.1.2 Employees are to exercise every effort to minimize travel and meeting expenses by utilizing the least expensive method of travel. 4.1.3 Related documents and forms are listed in section 7.0. The forms associated with this policy are accessible through the OCSD Internet, MyOCSD. 4.1.4 In determining whether a function shall be considered a meeting or a training function, determine how the majority of time is spent during the function. If the majority of time is spent in a convention or conference-type atmosphere, the function shall be considered a meeting. If the majority of the time is spent learning new skills, then the function shall be considered training. 4.1.5 Travel Approval -The procedures for obtaining approval to attend off-site meetings or training functions shall be established within each department/ division. The Travel Authorization Request form can be used to facilitate the approval process and is accessible through MyOCSD. 4.1.6 Travel arrangements shall be made as far in advance as possible to take advantage of discounted or reduced fares and rates. 4.1. 7 Business travel expenses incurred in excess of those described in this policy are not reimbursable. For example, if employees choose to drive instead of fly from Los Angeles to Phoenix; the total reimbursement will not exceed the Page I of 8 amount that would have been incurred had air travel been used (e.g., mileage, lodging and meal expense reimbursements resulting from car travel cannot exceed the amount that would have been required if air travel had been used). 4.1.8 Employees will be responsible for repaying OCSD for any expenses paid on their behalf by OCSD that are subsequently determined to be excessive. 4.1.9 OCSD's reimbursement plan has been developed to be considered an "accountable plan" by the IRS. The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by the IRS. You should check with your income tax preparer if you have any questions. Travel reimbursement amounts are not reported on your annual W-2. 4.2 REIMBURSEMENT 4.2.1 A Travel Expense Reimbursement form and a Daily Expense Breakdown form (if applicable) shall be completed if any eligible out-of-pocket expenses have been incurred. In addition, the employee shall also attach applicable receipts such as airfare itinerary, detailed hotel receipt, electronic receipts, rental car contract and receipt, etc. Receipts are not required for authorized meals. 4.2.2 A Travel Expense Reimbursement form shall be completed and submitted no later than two weeks after the travel has occurred. 4.2.3 Original receipts, including electronic receipts, are required for all reimbursable expenses except meals regardless of the dollar amount. If a receipt is missing, a lost/unavailable receipts memo must be prepared detailing the date, the expense and the amount of the missing receipt. The memo must be signed by the Department Head and attached to the Travel Expense Reimbursement package. See section 4. 7 for meals. 4.2.4 The approval level required on the Travel Expense Reimbursement form is based on total expenses incurred. Employees cannot approve their own travel expenses. 4.2.5 The designated department/division travel coordinator is responsible for auditing and signing the Travel Expense Reimbursement form. They shall also ensure that all applicable forms _are completed and attached; applicable receipts are attached, when required; and appropriate signatures have been obtained. 4.2.6 Travel and reimbursement requests shall be forwarded to the appropriate division; Accounting for meetings or the Human Resources division for training functions. 4.3 LODGING 4.3.1 Lodging shall be in a hotel, motel or lodge. Hotel/motel rooms shall be standard (single occupancy) rather than deluxe accommodations. The employee shall pay lodging expenses directly. Direct billings to OCSD for employee lodging will not be accepted unless the circumstances are unavoidable and written authorization from the General Manager's office is obtained in advance. 4.3.2 Meals or other reimbursable charges on the hotel bill will be applied towards, and must not exceed, the daily reimbursement maximum. Page 2 of 8 4.3.3 Overnight stays may be allowed for meetings or training functions lasting more than one day in OCSD's general geographical area (Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties) when the travel time involved is significant. Such matters will be determined on a case-by-case basis and at the discretion of the appropriate supervisor, manager or department head. 4.3.4 Making Reservations -When making hotel reservations, always ask for the lowest available rate the hotel is offering (e.g., government, season special), which may be lower than the convention/conference rate. 4.3.5 Canceling Reservations - A traveler canceling the reservation shall do so according to the hotel's policy in order to avoid charges. OCSD does not reimburse for non-canceled reservations, early departure, or late cancellation charges unless approved by the Department Head via an "Exceptions-Unauthorized Expenditures" memo. 4.4 GROUND TRANSPORTATION 4.4.1 Employees shall select the most economical, practical means of ground transportation that is appropriate for the particular site. 4.4.2 Reimbursement for personal auto usage for business will be calculated per the current Internal Revenue Service (IRS) guidelines. This rate is subject to change. 4.4.3 Automobile mileage is reimbursable if an employee is required to use a personal vehicle for travel within OCSD's general geographical area, which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Mileage is based upon the following: • If an employee drives round-trip from their residence to a meeting or training function, the round-trip mileage the employee would have driven from his/her residence to work must be subtracted from the round-trip mileage to the event. Any excess mileage is reimbursable to the employee at the current IRS approved rate. • If an employee drives round-trip from work to a meeting or training function, the round-trip mileage from OCSD to the event is reimbursable at the current IRS approved rate. 4.4.4 OCSD shall pay local transportation costs from the employee's residence to the departure airport and from the departure airport to the employee's residence. Local transportation to and from a departing airport shall be by bus, shuttle or taxi. If the employee uses his/her personal vehicle, then mileage is reimbursable at the current IRS approved rate. 4.4.5 The reimbursable mileage for air travel departures is the mileage between the last stop (e.g., OCSD or employee's residence) and the terminal. The reimbursable mileage for air travel arrivals is the mileage between the terminal and the first stop (e.g., OCSD or employee's residence). 4.4.6 Parking at the departure airport is reimbursable with receipts. 4.4. 7 Round-trip mileage expenses are reimbursable when family chauffeuring is the most economical alternative. Page 3 of 8 4.4.8 OCSD vehicles may be used to transport business guests (see Policy F41.00, Vehicle Usage: section 4.6.9). 4.4.9 Travel while at the local destination may be by shuttle, bus or taxi, as needed. A rental car may be allowed when it is more economical. 4.5 AUTO RENTALS 4.5.1 Rental Car Reservations -Employees shall utilize either OCSD's designated travel agency or the Internet, whichever is more cost effective, to secure rental car reservations. Internet reservations may require employees to charge their personal credit card. Employees will be reimbursed for pre-approved reservations made on their personal credit card after they submit a detailed receipt of the charges. Reservations made through the Internet require a written statement from the employee detailing the cost savings. 4.5.2 Rented autos shall only be used when no other means of transportation is economically feasible. Use of airport or hotel shuttles is encouraged. 4.5.3 Class size -Intermediate or standard model, mid-size car (Class C), or the smallest size compatible with the specific need, are to be used. Exceptions shall be explained on an "Exceptions-Unauthorized Expenditures" memo signed by the Department Head. The original copy of the car rental contract and receipt must be attached to the "Travel Expense Reimbursement" form. 4.5.4 Insurance -OCSD is insured or self-insured for damage to rental cars used on company business. ONLY the "Loss Damage Waiver Fee" is to be accepted and is reimbursable. Any additional insurance purchased for the rental car is not reimbursable. 4.5.5 Rental Contract -When completing the rental agency contract, sign for OCSD, not as an individual (i.e. Orange County Sanitation District, CA, by (your name). 4.5.6 Gas Surcharge-OCSD will not pay fuel surcharges. 4.5.7 Damage -In the event of damage to rental cars, all details of the event reported to the police and/or the rental firm shall also be provided to OCSD Safety Division within 24 hours of the incident. 4.6 AIR TRAVEL 4.6.1 Airline Reservations -Employees shall utilize OCSD's designated travel agency or the Internet, whichever is more cost effective, to secure airline reservations. Internet reservations may require employees to charge their personal credit card. Employees will be reimbursed for pre-approved reservations made on their personal credit card after they submit a detailed receipt of the charges. 4.6.2 Frequent Flyer Miles -Employees who belong to frequent flyer programs are entitled to personally use all bonuses accrued by them on company business. Under no circumstances, however, may employees purchase more expensive tickets in order to accumulate frequent flier mileage or upgrade the class of service. First or Business Class upgrades may be used as long as the original ticket still represents the lowest practical airfare. Page 4 of 8 4.6.3 Excess Baggage Fees -OCSD will not reimburse for excess baggage fees if not related to company business. This includes sporting equipment. 4.6.4 Alternative Airports • Alternative airports within close proximity (Los Angeles, Long Beach, and Ontario) shall be used if the savings exceed $150. 4.6.5 Lost or Unused Tickets/Ticket Changes -Once an employee accepts an airline ticket on behalf of OCSD, he or she is responsible for it. If the employee loses his/her ticket, the employee must incur any related fees. Unless directed by OCSD management, an employee who fails to use or changes an airline ticket for his/her convenience shall incur any related fees. It is the employee's responsibility to contact the agency that issued their ticket to find out how to remedy lost, unused or ticket change situations. 4.6.6 Flight Limitations -There shall be no more than four (4) OCSD employees total per flight. 4.6.7 Saturday Night Stay-over-OCSD may require a Saturday night stay-over if the stay- over results in significant cost savings to OCSD. In general, it is expected that business meetings that start on Tuesday or end on Thursday will not justify a reimbursement for Saturday night stay-over. Saturday night stay-over expenses are reimbursable only if the sum of the airfare plus the expenses of the additional lodging, meals and incidentals resulting from the stay- over are less than the lowest available airfare without the stay-over. 4.6.8 Flight Insurance -Flight insurance is not reimbursable. 4. 7 MEALS/INCIDENTALS 4.7.1 On overnight stays, or travel beyond the normal work day, OCSD employees are entitled to a "per diem" reimbursement per day depending upon the destination. The daily maximum includes amounts for breakfast, lunch and dinner and an allowance for incidentals. Receipts are not required to receive the per diem amount. 4.7.2 Per Diem amounts have been approved by the Board of Directors and comply with the Federal Meals Incidental Expense Rates found in the Code of Federal Regulations 301- 11.18. Use of these rates allows OCSD's reimbursement plan to be considered an "accountable plan" by the IRS. ]"he file containing the daily rates and governing destinations is accessible through MyOCSD. 4.7.3 When a training function or meeting does not involve overnight stay, the meal reimbursement shall not exceed the individual maximums above for the meals that are appropriate for travel times. 4.7.4 Provided Meals· Meal expenses are not reimbursable if furnished as part of the event and included in the registration or if provided by others. 4.7.5 Meals served by airlines are not counted as a full meal. If an airline serves breakfast, for example, an employee remains eligible for the breakfast per diem. Page 5 of 8 4.8 GROUP EXPENSE REIMBURSEMENT 4.8.1 When employees travel in a group, they shall pay their own expenses. If this is not practical, one member of the group may pay. Expense reimbursement form shall include: • Names of the individuals for whom the expense has been incurred • Department number(s) to be charged • Circumstances involved Expenses for meals etc. cannot exceed individual maximums on an average per employee basis. 4.8.2 When more than one OCSD employee is present for a business meal, the expense(s) must be reported by the most senior OCSD person. The cost of business meals should be in line with per diem rates. 4.9 COMBINING BUSINESS AND PERSONAL TRAVEL 4.9.1 If an employee combines business and personal travel, the personal travel expenses will be paid directly by the employee. For trips in which the primary purpose is personal, OCSD pays only that portion of the trip directly related to business. 4.9.2 Business travel is based on actual business expenses incurred. Therefore, no adjustment is permitted between expense categories (e.g., funding extra airfare expense in exchange for reduced lodging in a private home on a personal side trip). 4.9.3 In general, it is not appropriate for family members to accompany employees on business trips. Any costs incurred on behalf of family members are not reimbursable. 4.10 FOREIGN TRAVEL 4.10.1 Regardless of when expense reports are submitted, the exchange rate for converting foreign currency expenses into U.S. dollars will be the rate in effect at the time the U.S. dollars are converted to foreign currency and supported by receipts. 4.11 TELEPHONE CALLS 4.11.1 Business telephone calls and modem services are reimbursable with receipt. On overnight stays, a $4.25 per day allowance is provided for personal telephone calls. Employees with OCSD-issued cellular phones are encouraged to use their cellular phones for calls. 4.12 CASHADVANCE 4.12.1 Cash advances may be requested for overnight stays FOR EMERGENCY PURPOSES ONLY. The minimum request amount per trip is $100. The maximum request amount is $250 per trip. To receive a cash advance, the traveler is required to complete a "Request for Emergency Cash Advance" form, obtain proper signatures and submit the completed form to the Accounting Division. Page 6 of 8 4.13 NON-REIMBURSABLE EXPENSES 4.13.1 Expenses that are personal (not directly connected with OCSD business) are not reimbursable unless there are extenuating circumstances approved by the General Manager. These include, but are not limited to the following: • Clothing and toiletries • Personal side trips, personal entertainment and personal trip insurance • Fees for use of recreational, health and gym facilities • Home maintenance, baby sitting and pet boarding expenses • Personal legal charges and traffic violations • Loss or theft of cash, travelers checks, travel tickets and credit cards • Loss, theft or damage to personal property such as luggage, auto and clothing • Medical expenses • Accident related costs resulting from an employee's business use of a personal auto • Tips exceeding 15% • Movies • Alcohol 4.14 AGENCY/VENDOR-REIMBURSED EXPENSES 4.14.1 When any meeting or training fees are to be reimbursed by an outside agency or vendor, the agency/vendor shall provide a letter to the employee stating exactly which expenditures will be reimbursed. The letter shall accompany the employee's reimbursement package. The designated travel coordinator shall prepare a letter to the agency/vendor listing all expenditures that the agency/vendor has agreed to reimburse and enclose a copy of the agency/vendor authorization letter and copies of all receipts. This letter is copied to the employee and to Accounts Receivable in the Finance Department so that the payment can be credited to the proper account. 4.15 REIMBURSEMENT FOR NON-OCSD EMPLOYEES 4.15.1 Occasionally, OCSD requests others to travel either to OCSD properties or on behalf of OCSD. In those instances, the Department Head shall prepare a letter authorizing the travel. After completing the travel, the traveler submits a detailed invoice along with a payment request voucher to Accounts Payable for processing. A copy of the authorization letter shall accompany the payment request voucher. 4.16 EXCEPTIONS 4.16.1 Exceptions to the policy shall be indicated on the original Travel Expense Reimbursement form. Additionally an Exceptions-Unauthorized Expenditures memo shall be completed, signed by the Department Head and attached to the package. Page 7 of 8 5.0 PROVISIONS AND CONDITIONS 5.1 Employees shall have Department Head approval in writing before agreeing to appear on a panel or to give a presentation on behalf of OCSD. Failure to do so may preclude attendance. 6.0 RELATED DOCUMENTS 6.1 Travel Expense Reimbursement form 6.2 Airfare Payment Request Voucher form 6.3 Registration Payment Request Voucher form 6.4 Request for Travel Authorization form 6.5 Lost -Unavailable Receipts memo 6.6 Request for Emergency Cash Advance form 6.7 Federal Meals and Incidental Expense Rates per Code of Federal Regulations (CFR 301-11.18) 6.8 Policy F10.00, Rules of Conduct 6.9 Policy C190.00, Variable Non Base Pay 6.1 O Policy F41.00, Vehicle Usage Policy Page 8 of 8 Orange County Policy Number: D90.00 Sanitation District Personnel Policies Effective Date: September 27, 2006 Subject: TUITION REIMBURSEMENT Supersedes: April 26, 2006 PROGRAM Approved by: Board of Directors 1.0 PURPOSE 1.1 This program is designed to encourage self-development of Orange County Sanitation District (OCSD) employees by providing qualifying employees with tuition reimbursement for job-related educational courses at accredited colleges, universities, or other institutions approved by the Human Resources (HR) Division, provided that such courses are primarily for the purpose of: 1.1.1 Increasing capabilities in the employee's present position within OCSD; 1.1.2 Preparing for positions to which the employee could be reasonably expected to advance within OCSD; and/or 1.1.3 Updating professional and/or technical capabilities that are pertinent and beneficial to OCSD. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD qualifying employees. 3.0 DEFINITIONS 3.1 Qualifying Employees -All OCSD employees who have completed their initial probationary period of employment and work more than 19 hours per week. 3.2 Tuition Reimbursement -A program in which qualifying employees who successfully complete OCSD approved courses, on their own time, at accredited colleges, universities or other institutions approved by the HR Division, within the guidelines of this policy, can be reimbursed for eligible expenses incurred. 4.0 POLICY 4.1 OCSD will reimburse employees who successfully complete educational courses that serve the mission and goals of OCSD, at the sole determination of OCSD, in compliance with this policy based upon the number of hours worked per week as follows: HOURS OF WORK PER WEEK PERCENT OF REIMBURSEMENT 0-19 NOT ELIGIBLE -0% 20-29 50% 30-39 75% 40 100% Page I of 4 5.0 4.2 Employees may be reimbursed for the following: 4.2.1 Specific, job-related Associate, Baccalaureate, and Graduate degree program courses. 4.2.1.1 Requests for reimbursement of courses above the Bachelor degree level require special approval by the Department Head, Human Resources and the General Manager. Such requests will be subject to a more extensive process, including an analysis to determine the value to OCSD of the proposed courses or degree program. 4.2.2 Specific, job-related courses through accredited colleges or universities. 4.2.3 Specific, job-related courses offered through an institution of study approved by the HR Division. 4.2.3.1 The employee's Division Manager is responsible for determining whether or not the course is "job-related." 4.3 When an employee successfully completes a course with a grade of "C" or better and within the guidelines of this policy, OCSD will reimburse the employee for eligible expenses incurred, based on the number of hours worked per week, not to exceed $5,250 per calendar year. Reimbursements are paid through payroll. Examples of eligible and ineligible expenses are: Eligible Ex12enses Ineligible Ex12enses • Tuition • Travel • Registration fees • Optional student fees • Laboratory fees • Doctoral dissertation fees • Parking fees • Masters thesis fees • Health fees • Supplemental textbook costs • Application fees • Supplies and materials used for the • Required textbooks and materials course and retained by the employee per the course syllabus after course completion (i.e., paper, • Supplies required per the course pencils, notebooks, diskettes, etc.) syllabus not to exceed $100.00 • Graduation or diploma fees per course PROCEDURE 5.1 To participate in the Tuition Reimbursement Program, employees must submit a completed Tuition Reimbursement Application and a copy of the course description which includes the course cost, course start/end date, and number of units for each course to the HR Division NO EARLIER THAN 30 days prior to the course start date and NO LATER THAN one day prior to the course start date. Tuition Reimbursement Applications received in the HR Division more than 30 days prior to the course start date will not be processed and will be returned to the employee for future submittal. Tuition Reimbursement Applications received in the HR Division on or after the course start date will not be approved. 5.1.1 The Director of Finance & Administrative Services (or designee) will sign completed applications. A copy of the approved application will be forwarded to the employee to be re-submitted upon course completion. 5.1.2 Incomplete applications will be returned to the employee with explanation(s) attached. Page 2 of 4 5.2 Upon course completion, the employee must complete and submit a Request for Tuition Reimbursement along with (1) an official record of the final grade, (2) itemized receipts for eligible expenses, (3) a copy of the course syllabus (if requesting reimbursement for required textbooks, materials and/or supplies) and (4) a copy of the original approved Tuition Reimbursement Application for each course to the ED Division within 60 calendar days following the course end date. 5.2.1 The Director of Finance & Administrative Services (or designee) will sign completed requests. Copies of the approved request will be forwarded to the employee and submitted to the Accounting Division for reimbursement. 5.2.2 Incomplete requests will be returned to the employee with explanation(s) attached. 6.0 EXCEPTIONS 6.1 If an employee terminates employment or gives notice of termination prior to the completion of a course, no reimbursement will be made. 6.2 Reimbursement may be authorized whenever the employee's manager and HR Manager (or designee) determines that there is substantial benefit to be derived by OCSD when an employee takes a course that does not meet the requirements of this policy. 7.0 PROVISIONS AND CONDITIONS 7 .1 This policy does not apply to student interns or temporary employees. 7.2 Requests for Tuition Reimbursement received in the HR Division more than 60 days after the course end date will not be approved. 7.3 Tuition Reimbursement Applications received in the HR Division more than 30 days prior to the course start date will not be accepted and will be returned to the employee for re- submittal at a later date. 7.4 Tuition Reimbursement Applications received in the HR Division on or after the course start date will not be approved. 7.4.1 Reimbursement requests must be received by payroll by the second-to-last pay period of the calendar year to be applied to an employee's reimbursement limit for that calendar year. 7.4.2 Reimbursement requests received by payroll on or after the last pay period of the calendar year will be applied to the employee's reimbursement limit for the following year. 7.5 Employees, who for any reason, terminates employment with OCSD and received reimbursement through the Tuition Reimbursement Program within 36 months of resignation, shall be subject to the following: 7.5.1 Should an employee, for any reason, terminate employment with OCSD 1-12 months after receiving reimbursement, he/she shall repay OCSD 100% of the funds received through this program within the twelve-month period prior to the date of his/her voluntary termination. 7.5.2 Should an employee, for any reason, terminate employment with OCSD 13-24 months after receiving reimbursement, he/she shall repay OCSD 66% of all Page 3 of 4 funds received through this program within the twenty-four month period prior to the date of his/her termination. 7.5.3 Should an employee, for any reason, terminate employment with OCSD 25-36 months after receiving reimbursement, he/she shall repay OCSD 33% of all funds received through this program within the thirty-six month period prior to the date of his/her termination. 7.6 Reimbursement will be at the discretion of OCSD provided the employee meets the criteria specified in this policy. 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended. 8.2 Sections 127 and 132-J8 of the Internal Revenue Code. 8.3 Tuition Reimbursement Pre-Approval Application 8.4 Request for Tuition Reimbursement Form Page 4 of 4 Orange County Policy Number: F41.00 Sanitation District Personnel Policies Effective Date: September 27, 2006 Subject: Vehicle Usage Supersedes: September 28, 2005 Approved by: Board of Directors 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for the administration, utilization, and disposition of Orange County Sanitation District (OCSD) vehicles. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD employees and Student Interns regardless of their organizational unit. 3.0 DEFINITIONS 3.1 OCSD Vehicles are all OCSD -owned cars, trucks, carts, bicycles, and special motorized equipment. 3.2 Emergency for the purposes of this policy is an illness or injury of the car-pooler, carpool driver or car-pooler's immediate family member, or unscheduled overtime requested by the employee's immediate supervisor resulting in the car-pooler missing the vanpool or carpool departure time. 3.3 Authorized Drivers are all OCSD employees and Student Interns who participate in the OMV Employer Pull Notice (EPN) Program. Exceptions are outlined in section 6.0 of this policy. 3.4 Authorized Passengers are persons that are accompanied by OCSD staff for the purpose of conducting business with OCSD. 3.5 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 and ready for immediate return to work. 3.6 Employer Pull Notice (EPN) Program was established by the California Department of Motor Vehicles (DMV) to provide employers and regulatory agencies with a means of promoting driver safety through the ongoing review of employee driver records. 3.7 Hands-Free Devices are accessories that allow the driver of a vehicle to use wireless communication without holding any equipment. 4.0 POLICY 4.1 Vehicle Assignments 4.1.1 OCSD vehicles and equipment are assigned to departments depending on their need for such vehicle(s) and/or equipment to accomplish their mission. Division supervision shall designate or assign drivers or operators to specific vehicle(s) for conducting OCSD business during working hours only. Pagel of7 4.1.2 Pool vehicles are assigned to and managed by the Fleet Services Division for the purpose of providing temporary assigned vehicles for OCSD business. 4.1.3 OCSD vehicles and equipment shall not be loaned to contractors, other agencies, cities, or other organizations or companies except as provided for in section 6.1. 4.2 Use of Personal Vehicles for OCSD Business 4.2.1 The use of a private vehicle to conduct OCSD business shall require the approval of the employee's immediate supervisor. 4.2.2 The use of private vehicles to conduct OCSD business shall be reimbursed in accordance with policy C110.00 (Travel) not to exceed the prevailing rate allowed by the Internal Revenue Service. 4.2.3 The employee's or Student lntern's private vehicle insurance is the primary insurance on the vehicle. OCSD shall not be responsible for the replacement, or repair of any private vehicle, not otherwise owned, rented, or leased by OCSD and used to conduct OCSD business, if said vehicle is damaged or destroyed during the course of such use. Prior to said use, the employee's private vehicle shall have automobile insurance coverage that meets or exceeds the minimum requirements of the OMV for public liability and property damage. Drivers are responsible for ensuring that their personal vehicle insurance is valid for business use. 4.3 Use of Pool Vehicles 4.3.1 Pool vehicles are maintained by Fleet Services Division for: 4.3.1.1 Use by any authorized driver requiring transportation to conduct OCSD business on a trip-by-trip or as-needed basis. 4.3.1.2 Use by any authorized driver 9f while a regularly assigned vehicle or mobile equipment is undergoing service or repairs. 4.3.2 Pool vehicles should not be used for extended out-of-town business unless all other options, least costly to OCSD, have been considered and eliminated. 4.3.3 Pool vehicles may be reserved in advance on a first come first serve basis by contacting the appropriate Fleet Services Division personnel. 4.3.4 Overnight use of an OCSD pool vehicle must have prior approval by an OCSD manager level or above. The manager should consider all options (i.e., using personal vehicle instead) and shall choose the option that is the least costly to OCSD. An employee whose OCSD business requires an early morning departure will be allowed to check-out the vehicle the night prior to the travel day. 4.3.5 Drivers should avoid parking pool vehicles overnight in a public parking facility such as an airport. Costs for airport shuttles, public transportation, or personal vehicle use shall be reimbursed in accordance with policy C110.00 (Travel). 4.3.6 OCSD vanpool vehicles are limited to the approved route and schedule as assigned by the vanpool coordinator. Vanpool vehicles may be used for other OCSD purposes during working hours. Page 2 of7 4.3.7 Vanpoolers and carpoolers may check out a pool vehicle in the event of an emergency that requires their immediate or delayed departure from work. 4.3.8 Returned pool vehicles shall be refueled when less than one-half tank of fuel remains. All trash and personal items must be removed from the pool vehicle. Any mechanical problems shall be reported immediately to Fleet Services Division. 4.4 OCSD Vehicle Parking 4.4.1 OCSD vehicles shall be parked and locked in assigned parking spaces or designated areas. 4.4.2 OCSD vehicle keys are to remain in a secured area. 4.4.3 OCSD vehicles shall not be parked in visitor, carpool, vanpool, handicapped parking spaces or red zones. 4.4.4 Employees with a Disabled Persons Parking Permit issued by the OMV shall be authorized to use handicapped parking spaces for their assigned OCSD vehicle. 4.4.5 On call employees who take OCSD vehicles home shall park OCSD vehicle in a garage, carport, or driveway if possible and not on a private or public street. 4.5 Employee Personal Vehicle Parking 4.5.1 Personal vehicles shall be parked in employee parking areas only. 4.5.2 OCSD parking permits shall be visibly displayed in personal vehicles. 4.5.3 Personal vehicles shall not park in visitor, assigned parking spaces, or adjacent to red or green curbs. 4.6 Driver Responsibility 4.6.1 License: While operating an OCSD vehicle, or driving a personal vehicle, on official OCSD business, the driver must possess a valid State of California, Department of Motor Vehicles (OMV) Driver's License, and shall comply with the requirements of the California Vehicle Code and local regulations and ordinances. The consequences for failing to.comply with any law, regulation or ordinance shall be the responsibility of the driver. Drivers required to operate a commercial vehicle must possess a valid State of California, OMV Commercial Driver's License with the proper endorsements. 4.6.2 OMV Records: All employees and Student Interns operating OCSD vehicles on public roadways shall be required to participate in the OMV EPN Program. Employees with a class A or B license are automatically added to the EPN Program. 4.6.2.1 Employees and Student Interns shall complete a OMV authorization form. Those individuals who do not complete the OMV authorization form are not authorized to operate OCSD vehicles. 4.6.2.2 Records of class A and B licenses shall be presented to the California Highway Patrol upon request. Page 3 of 7 4.6.2.3 As part of the EPN program, OCSD shall verify that an authorized driver has a valid driver's license(s) and that the license(s) is not suspended, restricted, or revoked. Other information reported by OMV may be used to determine an authorized driver's ability to operate a vehicle. 4.6.3 Private Use: 4.6.3.1 OCSD vehicles shall be used only for purposes of OCSD business and not for personal business or pleasure by any person. This includes, but is not limited to, stopping for a meal break or running a personal errand unless such activity is during the course of official OCSD business. OCSD vehicles can not be used for the sole purpose of personal business. No one except authorized drivers and authorized passengers, as outlined in this policy, may be transported in an OCSD vehicle at anytime. 4.6.3.2 The transportation of personal property within an OCSD vehicle is prohibited with the exception of an employee's lunch or property ordinarily used by the employee while conducting OCSD business. 4.6.4 Care of Vehicles: Each employee having custody of an OCSD vehicle shall exercise due caution and prudence in the operation of such vehicle and shall minimize the risk of damage to such vehicle. Only OCSD related stickers are authorized on OCSD vehicles. 4.6.5 Smoking: Smoking is prohibited in OCSD owned vehicles. 4.6.6 Cell phones: While operating an OCSD vehicle, the driver must utilize a hands- free device and use the one touch or voice activated calling feature when using a cell phone. If a hands-free device is not available, the driver must pull over to a safe location in order to use a cell phone. Hands-free devices shall be provided in selected OCSD vehicles. 4.6. 7 Vehicles not in Use: OCSD vehicles are for use during working hours only. OCSD vehicles shall otherwise be parked and locked at assigned OCSD facilities. OCSD vehicle keys shall remain in a secured area. Keys for vehicles assigned to individuals may be kept overnight or during the weekend by the individual. OCSD vehicles shall be made available to an assigned department if the employee who is assigned the OCSD vehicle will gone for any extended period of time. 4.6.8 Stand-by Use: OCSD vehicles may be taken home by those employees on paid stand-by duty during the period of such stand-by duty. If possible, the vehicle shall be parked in a garage, carport, or driveway and not on a private or public street. Vehicles shall only be used for the express purpose of responding when called back to work and not for personal purposes. 4.6.8.1 With the permission of the employee's manager, employees may use assigned OCSD vehicles in lieu of personal vehicles for transportation to places/events to facilitate their availability during authorized stand-by. However, OCSD vehicles may not be parked at or near bars, casinos, adult entertainment establishments or other locations likely to reflect poorly on OCSD. Page 4 of7 4.6.9 Status Changes Affecting Drivers License: Drivers of OCSD vehicles are required to notify their supervisor, in writing, immediately upon the following: 4.6.9.1 If their driver's license is revoked, suspended, restricted, or expired. 4.6.9.2 If they are cited for a major moving violation, to include but not limited to the following: 4.6.9.2.1 Driving under the influence of alcohol, drugs or a combination of both. 4.6.9.2.2 Hit and run. 4.6.9.2.3 Reckless driving. 4.6.9.2.4 Leaving the scene of an accident. 4.6.9.2.5 Eluding or fleeing a police officer. 4.6.9.2.6 Speed contests or drag racing. 4.6.1 O Passengers: Only OCSD authorized drivers and authorized passengers, as outlined in this policy, are allowed in OCSD vehicles. Unauthorized passengers, including but not limited to hitchhikers and family members, are prohibited in OCSD vehicles. Drivers and passengers shall use seat belts and shoulder restraints at all times while the vehicle is in motion. No driver shall allow or cause any passenger to ride in or on any vehicle other than in a proper passenger seat equipped with legal seat belts. 4.6.11 Toll Roads: Drivers are responsible for ensuring the payment of any toll road expense while operating an OCSD or personal vehicle. Toll road expenses are reimbursable if the costs were incurred while performing official OCSD business. Requests for toll road reimbursement must be submitted on a Travel Expense Reimbursement Form. 4. 7 Safe Driving Habits and Vehicle Safety Practices 4.7.1 OCSD vehicles shall be operated in compliance with all applicable state and local laws and ordinances. The consequences for failing to comply with any law, regulation, or ordinance, such as speeding citations or toll road fines, shall be the responsibility of the driver. 4.7.2 Drivers are to drive defensively and maintain control of the vehicle at all times and be aware of personal limitations, road conditions, weather, visibility, and traffic. 4.7.3 No driver shall operate a vehicle at a speed greater than is reasonable and prudent for the conditions, having due regard for weather and visibility, the traffic on, and the surface and width of, the highway and in no event at a speed which endangers the safety of persons or property. 4.7.4 No person will operate an OCSD vehicle while under the influence of alcohol or illegal drugs. Also, over-the-counter or prescription medications that are reasonably known to adversely influence the safe operation of a vehicle are prohibited. Page 5 of7 4.7.5 In inclement weather, rain, fog, etc., drivers are required to turn on vehicle headlights. 4.7.6 Drivers are responsible for the secure placement and proportionate distribution therein of the load to be transported. Whenever the load extends beyond the bed or body of such vehicles, the driver will use clearance flags or signs, properly displayed, indicating a long or wide load, as required by California Vehicle Code. 4. 7. 7 Drivers are responsible to ensure that vehicles are not overloaded. 4.7.8 Whenever it is necessary to hook up a trailer to a truck, caution should be exercised and, if needed, the assistance of a fellow employee shall be obtained. 4.8 Accident Reports 4.8.1 OCSD requires employees and Student Interns to report a wide variety of incidents ranging from loss of OCSD property to injuries. All job related incidents or any incident involving OCSD property is to be reported no matter how slight. Drivers and/or operators of vehicles and equipment are required to complete a Vehicle Accident Report in the event of a vehicle accident, vehicle damage, vehicle theft, vehicle vandalism, property damage, and other vehicle related incidents. Reports and investigations shall be completed in accordance with SAFETY-POL-202, Accident Investigations. The drug testing requirement as described in the OCSD Substance Abuse Policy shall apply. 4.9 Responsibility Assignments 4.9.1 Employees 4.9.1.1 Employees are responsible for compliance with all provisions of this policy when using OCSD or private vehicles to conduct OCSD business. For purposes of this policy the actual driver and/or operator of the vehicle or equipment shall be the responsible employee. 4.9.1.2 Employees and Student Interns are responsible for the costs of any ticket, citation, and/or any other liability that may be imposed due to a violation of law, regulation, and/or ordinance as a result of their operation of a vehicle. 4.8.2 Directors, Managers, and Supervisors 5.0 PROCEDURES 6.0 EXCEPTIONS 4.8.2.1 It is the responsibility of supervisory personnel to ensure the policies of this document are understood by the employees under his or her immediate supervision. 6.1 Contractors who meet the requirements of this policy may, in limited situations, use an OCSD vehicle with Department Head Authorization. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 6 of7 8.1 OMV Employer Pull Notice Program 8.2 California Vehicle Code 8.3 Policy C110.00, Travel 8.4 Policy E80.00, Cellular Telephones 8.5 Policy F40.00, Use of District Property Page 7 of7