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HomeMy WebLinkAbout02-04-2021 Special Board Meeting Complete Agenda Packet N14 ANli�l� y � 9 � c+ o � Fir/Ms THE ENv\Po� ORANGE COUNTY SANITATION DISTRICT SPECIAL NOTICE REGARDING CORONAVIRUS (COVID-19� AND ATTENDANCE AT PUBLIC MEETINGS On March 4, 2020, Governor Newsom proclaimed a State of Emergency in California as a result of the threat of COVID-19. On March 12, 2020 and March 18, 2020, Governor Newsom issued Executive Order N-25-20 and Executive Order N-29-20, which temporarily suspends portions of the Brown Act which addresses the conduct of public meetings. The General Manager and the Chairman of the Board of Directors have determined that due to the size of the Orange County Sanitation District's Board of Directors (25), and the health and safety of the members, the Board of Directors will be participating in meetings of the Board telephonically and via Internet accessibility. PUBLIC PARTICIPATION Your participation is always welcome. The Special Board of Directors meeting will be available to the public online at: https://ocsd.legistar.com/Calendar.aspx You may submit your comments and questions in writing for the Board's consideration in advance of the meeting by using the eComment feature available via the webpage above or sending them to OCSanClerk(a-),ocsd.com with the subject line "PUBLIC COMMENT ITEM # (insert the item number relevant to your comment)" or "PUBLIC COMMENT NON-AGENDA ITEM". Submit your written comments by 2:00 p.m. on Wednesday, February 3, 2021. You may also submit comments and questions for the Board's consideration during the meeting by using the eComment feature that will be available via the webpage above for the duration of the meeting. All public comments will be provided to the Board and may be read into the record or compiled as part of the record. Thank you. Serving: Orange County Sanitation District Anaheim 10844 Ellis Avenue, Fountain Valley,CA 92708 714.962.2411 • www.ocsd.com Brea Buena Park January 28, 2021 Cypress Fountain Valley NOTICE OF SPECIAL MEETING Fullerton Board Orientation Garden Grove Huntington Beach BOARD OF DIRECTORS Irvine ORANGE COUNTY SANITATION DISTRICT La Habra La Palma Los Alamitos Thursday, February 4, 2021 — 2:00 P.M. Newport Beach ACCESSIBILITY FOR THE GENERAL PUBLIC Orange Due to the spread of COVID-19, the Orange County Sanitation District will Placentia be holding all upcoming Board and Committee meetings by teleconferencing and Internet accessibility. This meeting will be available Santa Ana to the public online at: Seal Beach Stanton https://ocsd.legistar.com/Calendar.aspx Tustin The Special Meeting of the Board of Directors of the Orange County Sanitation Villa Park District will be held in the manner indicated above on Thursday, February 4, 2021 at 2:00 p.m. County of Orange Costa Mesa Sanitary District Midway City Sanitary District Jerk of-t e Ooard Irvine Ranch Water District Yorba Linda Upcoming Meetings: Water District Special Board Meeting (Strategic Plan) - Wednesday, February 17, 2021 at 2:00 p.m. SANit, Special Board Meeting (Orientation Tour) - Thursday, February 18, 2021 at 3:00 p.m. Steering Committee - Wednesday, February 24, 2021 at 5:00 p.m. 9 Board Meeting - Wednesday, February 24, 2021 at 6:00 p.m. 1 �Cr/NG 1"E ENv\P Our Mission: To protect public health and the environment by providing effective wastewater collection, treatment, and recycling. ORANGE COUNTY SANITATION DISTRICT Effective 1/27/2021 BOARD OF DIRECTORS Complete Roster ALTERNATE AGENCY/CITIES ACTIVE DIRECTOR DIRECTOR Anaheim Stephen Faessel Jose Diaz Brea Glenn Parker Steven Vargas Buena Park Art Brown Connor Traut Cypress Stacy Berry Anne Hertz Fountain Valley Patrick Harper Glenn Grandis Fullerton Jesus J. Silva Nick Dunlap Garden Grove Steve Jones John O'Neill Huntington Beach Kim Carr Dan Kalmick Irvine Anthony Kuo Farrah N. Khan La Habra Rose Espinoza Jose Medrano La Palma Marshall Goodman Nitesh Patel Los Alamitos Mark A. Chirco Ron Bates Newport Beach Brad Avery Joy Brenner Orange Mark Murphy Kim Nichols Placentia Chad Wanke Ward Smith Santa Ana Johnathan Ryan Hernandez Nelida Mendoza Seal Beach Sandra Massa-Lavitt Schelly Sustarsic Stanton David Shawver Carol Warren Tustin Ryan Gallagher Austin Lumbard Villa Park Chad Zimmerman Robert Collacott Sanitary/Water Districts Costa Mesa Sanitary District Bob Ooten Art Perry Midway City Sanitary District Andrew Nguyen Sergio Contreras Irvine Ranch Water District John Withers Douglas Reinhart Yorba Linda Water District Brooke Jones Phil Hawkins County Areas Board of Supervisors Doug Chaffee Donald P. Wagner "'06SAN ORANGE COUNTY SANITATION DISTRICT BOARD OF DIRECTORS Special Meeting Agenda Thursday, February 4, 2021 - 2:00 PM Board Room Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 AGENDA POSTING: In accordance with the requirements of California Government Code Section 54954.2, this agenda has been posted outside the main gate of the Sanitation District's Administration Building located at 10844 Ellis Avenue, Fountain Valley, California, and on the Sanitation District's website at www.ocsd.com not less than 72 hours prior to the meeting date and time above. All public records relating to each agenda item, including any public records distributed less than 72 hours prior to the meeting to all, or a majority of the Board of Directors, are available for public inspection in the office of the Clerk of the Board. AGENDA DESCRIPTION: The agenda provides a brief general description of each item of business to be considered or discussed. The recommended action does not indicate what action will be taken. The Board of Directors may take any action which is deemed appropriate. MEETING AUDIO: An audio recording of this meeting is available within 24 hours after adjournment of the meeting. Please contact the Clerk of the Board's office at(714) 593-7433 to request the audio file. NOTICE TO DIRECTORS: To place items on the agenda for a Committee or Board Meeting, the item must be submitted in writing to the Clerk of the Board: Kelly A. Lore, MMC, (714) 593-7433/klore@ocsd.com at least 14 days before the meeting. FOR ANY QUESTIONS ON THE AGENDA, BOARD MEMBERS MAY CONTACT STAFF AT: General Manager: Jim Herberg,jherberg@ocsd.com/(714) 593-7300 Asst. General Manager: Lorenzo Tyner, Ityner@ocsd.com/(714)593-7550 Asst. General Manager: Rob Thompson, rhompson@ocsd.com/(714) 593-7310 Director of Human Resources: Celia Chandler, cchandler@ocsd.com/(714)593-7202 Director of Engineering: Kathy Millea, kmillea@ocsd.com/(714) 593-7365 Director of Environmental Services: Lan Wiborg, Iwiborg@ocsd.com/(714) 593-7450 BOARD OF DIRECTORS Special Meeting Agenda Thursday, February 4, 2021 CALL TO ORDER (Board Chairman David Shawver) PLEDGE OF ALLEGIANCE ROLL CALL AND DECLARATION OF QUORUM Clerk of the Board PUBLIC COMMENTS: Your participation is always welcome. The Special Board of Directors meeting will be available to the public online at:https://ocsd.legistar.com/Calendar.aspx. You may submit your comments and questions in writing for the Board of Directors consideration in advance of the meeting by using the eComment feature available via the webpage above or sending them to OCSanClerk@ocsd.com with the subject line "PUBLIC COMMENT ITEM # (insert the item number relevant to your comment)"or "PUBLIC COMMENT NON-AGENDA ITEM". Submit your written comments by 2:00 p.m. on February 3, 2021. You may also submit comments and questions for the Board of Directors consideration during the meeting by using the eComment feature that will be available via the webpage above for the duration of the meeting. All public comments will be provided to the Board of Directors and may be read into the record or compiled as part of the record. INFORMATION ITEMS: 1. BOARD OF DIRECTORS ORIENTATION PRESENTATION 2020-1393 RECOMMENDATION: STAFF PRESENTATIONS: • Welcome to OC San Jim Herberg, General Manager • Role of the Board Member Dave Shawver, Board Chairman • Board Services Overview Kelly Lore, Clerk of the Board • Transparency and Ethics Brad Hogin, General Counsel • Regional Infrastructure - 20-Year Plan Rob Thompson, Asst. General Manager • OC San Finances - Revenue Lorenzo Tyner, Asst. General Manager • Environmental Services Overview Lan Wiborg, Dir. of Environmental Services • Human Resources Overview Celia Chandler, Dir. of Human Resources • Engineering Overview Kathy Millea, Dir. of Engineering • Strategic Planning Overview John Withers, Board Vice-Chairman • Conclusion & Questions Dave Shawver, Board Chairman Originator: Kelly Lore Page 1 of 2 BOARD OF DIRECTORS Special Meeting Agenda Thursday, February 4, 2021 Attachments: Agenda Report Board Guide To Business Board Orientation Presentation Link to Video in Presentation ADJOURNMENT: Adjourn the Special Board meeting until the Special Meeting of the Board of Directors (Strategic Planning Workshop) on February 17, 2021 at 2:00 p.m. Page 2 of 2 BOARD OF DIRECTORS Administration Building 10844 Ellis Avenue SAIV Fountain Valley, CA 92708 ORANGE COUNTY SANITATION DISTRICT Agenda Report (714)593 7433 File #: 2020-1393 Agenda Date: 2/4/2021 Agenda Item No: 1. FROM: James D. Herberg, General Manager Originator: Kelly A. Lore, Clerk of the Board SUBJECT: BOARD OF DIRECTORS ORIENTATION PRESENTATION GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: STAFF PRESENTATIONS: • Welcome to OC San Jim Herberg, General Manager • Role of the Board Member Dave Shawver, Board Chairman • Board Services Overview Kelly Lore, Clerk of the Board • Transparency and Ethics Brad Hogin, General Counsel • Regional Infrastructure - 20-Year Plan Rob Thompson, Asst. General Manager • OC San Finances - Revenue Lorenzo Tyner, Asst. General Manager • Environmental Services Overview Lan Wiborg, Dir. of Environmental Services • Human Resources Overview Celia Chandler, Dir. of Human Resources • Engineering Overview Kathy Millea, Dir. of Engineering • Strategic Planning Overview John Withers, Board Vice-Chairman • Conclusion & Questions Dave Shawver, Board Chairman BACKGROUND Staff will provide a broad overview of the Orange County Sanitation District's Administration and Operations. ATTACHMENT The following attachment(s) may be viewed on-line at the OC San website (www.ocsan.com) with the complete agenda package: • Board of Directors Guide to Doing Business • Presentation • Link to Video in Presentation Orange County Sanitation District Page 1 of 1 Printed on 1/28/2021 powered by LegistarTM CO) v `� Z ��:•d CD • � ._ 41 LLI ca I It ' 1 I 2021 Board Payroll Calendar January 2021 February 2021 March 2021 April 2021 W S M T W T F S W S M T W T F S W S M T W T F S W S M T W T F S 1 2 5 1 2 3 4 5 6 9 1 2 3 4 5 6 13 1 2 3 1 3 4 5 6 7 8 9 6 7 8 9 10 11 12 13 10 7 8 9 10 11 12 13 14 4 5 6 7 8 9 10 2 10 11 12 13 14 15 16 7 14 15 16 17 18 19 20 11 14 15 16 17 18 19 20 15 11112113 14 15 116 17 3 17 18 19 20 21 22 23 8 21 22 23 2 25 26 27 12 21 22 23 25 26 27 16 18 19 20 21 24 24 25 4 24 25 26 27 28 29 30 9 28 13 28 29 30 31 17 25 26 27 28 29 30 5 31 May 2021 June 2021 July 2021 August 2021 W S M T W T F S W S M T W T F S W S M T W T F S W S M T W T F S 17 1 22 1 2 3 4 5 26 1 2 3 31 1 2 3 4 5 6 7 18 2 3 4 5 6 7 8 23 6 7 8 9 10 11 12 27 4 5 6 7 8 9 10 32 8 9 10 11 12 13 14 19 9 10 11 12 13 14 15 24 113 114 115 1 T 17118 19 28 Ill 112 113 14 115 1 16 17 33 15 116 117 18119 120 21 20 16 17 18 19 20 21 22 25 20 21 22 23 24 25 26 29 18 19 20 21 22 g3031 34 22 23 24 25 26 27 28 21 23 24 25 26 27 28 29 26 27 28 29 30 30 25 26 27 28 29 35 29 30 31 22 30 31 September 2021 October 2021 November 2021 December 2021 W S M T W T J34 W S M T W T F S W S M T W T F S W S M T W T F S 35 1 2 39 1 2 44 1 2 3 4 5 6 48 1 2 3 4 36 5 6 7 8 9 40 3 4 5 6 7 8 9 45 7 8 9 10 11 12 13 49 5 6 7 8 9 10 11 37 12 13 14 15 16 17 18 41 10111112 13114115 16 46 114115116 17 181 19 20 50 12 113 114 15 16117 18 38 19 20 21 22 23 24 25 42 17 18 19 20 21 22 23 47 21 22 23 24 25 26 27 51 19 20 21 22 23 24 25 39 26 27 28 29 30 43 24 25 26 27 28 29 30 4 28 29 30 52 26 27 28 29 30 31 44 31 Board Meetings 0 Board Payroll Date © OCSD Holidays ORANGE COUNTY SANITATION DISTRICT 2021 COMMITTEE/BOARD CALENDAR JANUARY `21 FEBRUARY `21 MARCH `21 S M T I W I T F S S M T W T F S S M T W T F S 1 2 1 2 3 4 5 6 1 2 3 4 5 6 3 4 5 6 7 8 9 7 8 9 10 11 12 13 7 8 9 10 11 12 13 10 11 12 13 14 15 16 14 15 16 17 18 19 20 14 15 16 17 18 19 20 17 18 19 20 21 22 23 21 22 23 >� 25 26 27 21 22 23 25 26 27 24 25 26 28 29 30 28 28 29 30 31 31 APRIL `21 MAY `21 JUNE `21 S M T W T F S S M T W T F S S M T W T F S 1 2 3 1 1 2 3 4 5 4 5 6 7 8 9 10 2 3 4 5 6 7 8 6 7 8 9 10 11 12 11 12 13 14 15 16 17 9 10 11 12 13 14 15 13 14 15 16 17 18 19 18 19 20 21 22 23 24 16 17 18 19 20 21 22 20 21 22 24 25 26 25 26 27 „�`, 29 30 23 24 25 27 28 29 27 28 29 30 30 31 11 JULY `21 AUGUST `21 SEPTEMBER `21 S I M I T I W I T I F FS S M T I W I T I F S S M T W T F S 1 2 3 1 2 3 4 5 6 7 1 2 3 4 4 5 6 7 8 9 10 8 9 10 11 12 13 14 5 6 7 8 9 10 11 11 12 13 14 15 16 17 15 16 17 18 19 20 21 12 13 14 15 16 17 18 18 19 20 21 22 23 24 22 23 24 26 27 28 19 20 21 23 24 25 25 26 27 29 30 31 29 30 31 26 27 28 29 30 OCTOBER `21 NOVEMBER `21 DECEMBER `21 S M T W T F S S M T W T F S S M I T I W I T F S 1 2 1 2 3 4 5 6 1 2 3 4 3 4 5 6 7 8 9 7 8 9 10 11 12 13 5 6 7 8 9 10 11 10 11 12 13 14 15 16 14 15 16 18 19 20 12 13 14 16 17 18 17 18 19 20 21 22 23 21 22 23 24 25 26 27 19 20 21 22 23 24 25 24 25 26 28 29 30 28 29 30 26 27 28 29 30 31 31 Steering/Board (Blue) Operations (Red) 7T Administration (Green) OCSD Holidays (Yellow) H:\dept\gmo\120\BS\Calendars\2020 Condensed Calendar.docx Legislative & Public Affairs (Lt. Bl) Orange County Sanitation Distpi TEAM CON TACT GENERAL MANAGER ' S OFFICE Jim Herberg General Manager Areas of Responsibility • Agent of the Board of Directors • Full management responsibility for all OCSD operations, services and activities • Plans, manages and oversees the activities and operations of seven departments • Public Affairs Office { • Board Services _ - Carrie Robles Secretary to the General Manager f Areas of Responsibility '� 1� • Maintains the general manager's schedule including meetings and appointments • Prioritizes the General Manager's daily tasks and responsibilities ,a� • Edit all General Manager communications including PowerPoint presentations, °- letters and meeting notes 9 • Prepare and disseminate correspondence, memos and forms Jennifer Cabral Administration Manager Management responsibility for assigned services/activities including: Areas of Responsibility • Community& Educational Outreach l� • Internal & External Communications • Legislative & Grant Management • Media Relations • Board Services • Records Management Kelly Lore Clerk of the Board Areas of Responsibility • Administrative support to the Board of Directors _ • Prepare, record, preserve and maintain the legislative actions of the Board of Directors • Serves as the custodian of records and filing officer for OCSD OC6SAN 3 ORANGE COYNrY�M111U1T10N alE1pCT HUMAN RESOURCES DEPARTMENT Celia Chandler Director of Human Resources _ Areas of Responsibility 'y • Employee/Labor Relations • Classification & Compensation • Benefits • Staffing • Employee Development • Performance Management • Risk Management • Safety& Health Laura Maravilla Human Resources & Risk Manager Areas of Responsibility Management responsibility for assigned services/activities including: • Employee/Labor Relations ' • Classification & Compensation f` • Benefits • Staffing • Employee Development • Performance Management • Risk Management • Safety & Health OC6SAN ORAMOE COUNRY SAMITJAlT10N D16R�IC'T 4 OPERATIONS & MAINTENANCE DEPARTMENT Rob Thompson Assistant General Manager I Director of Operations & Maintenance Areas of Responsibility • Treatment Plants • Collection System • Cogeneration Power Plants • Collections • Fleet Services -r � 4 Jim Spears Operations Manager Areas of Responsibility Management responsibility for services/activities including: • Plants No. 1 and No. 2 wastewater operations, power management, and central generation • Process Engineering and Optimization • Odor Complaints, Mitigation, and Collections Engineering • Interplant gas line Operations Riaz Moinuddin �q Engineering Manager Areas of Responsibility Management responsibility for services/activities including: • Maintenance Division A. • Ensuring the reliability and safety of assets for both treatment plants • Electrical and instrumentation maintenance of the pump stations • Maintenance Reliability and Planning Division • Development of maintenance strategies for civil, mechanical, electrical and control systems Don Stokes Maintenance Manager f Areas of Responsibility Management responsibility for services/activities including: • Regional Odor and Corrosion Control • Fleet Services Division �,': �•' • Operations and maintenance of collection system force mains and pump stations • Mobile equipment and vehicles • Logistics Support OC6SAN owrNoe COYIIII'Y=ANIRAnoN a�rnICT 5 ENGINEERING,,DEPARTMENT Kathy Millea Director of Engineering :r Areas of Responsibility > Ij • Capital Improvement Program • Project Management • Engineering Design • Planning • Construction Management Dean Fisher Engineering Manager r Areas of Responsibility a� Management responsibility for assigned services/activities including: t+ • Construction Management y1 • Construction Quality Assurance and Code Compliance ', ,�' • Construction Safety 'a. ` • Constructability Design Reviews 1 Implementation Support for Other Sanitation District Divisions Eros Yong Engineering Manager _ Areas of Responsibility r Management responsibility for assigned services/activities including: • Planning Division • 20-Year Capital Improvement Program Plan • External Agency Coordination and Agreements l • California Environmental Quality Act • Asset Management Michael Dorman Engineering Manager Areas of Responsibility Management responsibility for assigned services/activities including: • Design �'-'• • Control Systems Design and Programming 7 • Commissioning Oversight and Plan Development • Design Quality Assurance and Code Compliance • Engineering Design Standards Development and Management • Construction Support "�- • Technical Support for Other Sanitation District Divisions Jeff Mohr Engineering Manager �. Areas of Responsibility Management responsibility for assigned services/activities including: • Project Management Office UC6SAN • Project scope, schedules, and budgets • Small Project Delivery - ORAMOE COUNTY SAMI'MlT10N DI�RICT 6 ADMINISTRATIVE SERVICES DEPARTMENT Lorenzo Tyner Assistant General Manager I Director of Finance &Administrative Services Areas of Responsibility 4+ • Budget Administration • Treasury and Portfolio Management ,� • Accounting Financial Reporting • Debt Issuance �:�► Information Technology • Contracts, Purchasing& Warehouse Operations Wallace (Wally) Ritchie Controller Areas of Responsibility Management responsibility for assigned activities/operations including: • Accounting • Financial Reporting • Debt Issuance • Budget Development • Treasury and Portfolio Management Ruth Zintzun Contracts & Purchasing Manager K. Areas of Responsibility Management responsibility for assigned services/activities including: • Contracts Administration • Procurement of Supplies • Equipment and Services • Warehousing Operations Rob Michaels Information Technology Systems & Operations Manager Areas of Responsibility Management responsibility for assigned services/activities including: • Hardware • Software • Geographic Information System • Telecommunications • Cyber Security OC6SAN ORNIOE COUNTY SAliRAT10N Qf8'R�lCT 7 ENVIRONMENTAL SERVICES DEPARTMENT ' Lan Wiborg Director of Environmental Services Areas of Responsibility V Environmental Compliance & Regulatory Affairs �y 11 Environmental Laboratory a, • Ocean Monitoring Program a • Source Control Operations Roya Sohanaki Engineering Manager f Areas of Responsibility I Management responsibility for assigned services/activities including: +' • Resource Protection Division • Oversees OCSD's federally mandated and state approved pretreatment program i • Oversees the management of industrial and non-industrial discharge and the possible impacts of any sources on the wastewater stream • Regional oversight of wastewater pollutant source control and its reuse Sam Choi Environmental Lab & Ocean Monitoring Manager Areas of Responsibility Management responsibility for assigned services/activities including: • Environmental Laboratory • Ocean Monitoring Division • Testing and evaluating operational impact on the ocean receiving waters OC6SAN ORANGE OOUNTY aANITATION DRRRICT 8 KEY STAFF CONTACT INFORMATION Name Responsibility Phone/Cell Jim Herberg General Manager (714) 593-7110 (714) 713-7765 (cell) Rob Thompson Assistant General Manager (714) 593-7310 Director of Operations & Maintenance (714) 473-9569 (cell) Lorenzo Tyner Assistant General Manager (714) 593-7550 Director of Finance &Administrative Services (714) 423-8206 (cell) Brad Hogin General Counsel (714) 415-1006 Kelly Lore Clerk of the Board (714) 593-7433 (714) 587-8197 (cell) Lan Wiborg Director of Environmental Services (714) 593-7450 (714) 316-4121 (cell) Kathy Millea Director of Engineering (714) 593-7365 (714) 713-6165 (cell) Celia Chandler Director of Human Resources (714) 593-7202 (714) 553-1420 (cell) Emergency Control Center - Staffed 24 hours (714) 593-7025 6, SAN ORANGE COUNTY SANITATION DISTRICT 01/2020 ii To learn more about OC San and how we serve the community, please click on the various YouTube videos. We hope you enjoy them and find them as informational as we do. General OCSD Video 2017 - YouTube OCSD RECRUITING VIDEO 2017 -YouTube OCSD BUDGET VIDEO -YouTube OCSD Resource Recovery - YouTube OCSD Biosolids Treatment Video 2017 - YouTube OCSD Onboarding - YouTube OCSD's Capital Improvement Program Video 2017 - YouTube *While these videos were created in 2017 and 2019 the overall information and messages have remained the same with some dollar figures changing. Of special note is how we refer to ourselves. We now call ourselves OC San to better represent who we are and what we do. As soon as we have updated videos we will be sure to share with the Board of Directors. OC6SAN ORANGE COUNTY SANITATION DISTRICT 01/2021 MWI* s\ I Board of DirectorsIDEELIN r_ y f r i 1 l Prepared _ ORANGE COUNTY SANITATION DISTRICT TABLE OF CONTENTS I. BOARD AND COMMITTEE STRUCTURES 1 Duties of the Board Chairperson & Vice-Chairperson 2 Overview 2 Board of Directors 2 Committees 2 • Steering 3 • Operations 3 • Administration 4 • Legislative and Public Affairs 5 • Special and Ad Hoc Committees 6 II. BUSINESS PROCEDURES 7 Agenda Report Process 7 Important Directives 7 • Ralph M. Brown Act 8 • Closed Session Government Codes 9 • Rules of Procedure for Conduct of OC San Board 9 • Board Procedures - Summary of Motions 10 • Main and Subsidiary Motions 11 • Privileged Motions 12 • Incidental Motions 13 • Campaign Contributions 14 • Board of Directors Compensation 14 • Business and Travel Expense Reimbursement and Meeting Attendance Compensation 15 • Deferred Compensation 16 III. FORMS AND ASSOCIATED GUIDELINES 17 • Oath of Office 17 • FPPC Form 700 - Statement of Economic Interests 18 • Director Information Questionnaire 19 • 457(b) Deferred Compensation Plan 20 • W-4 - Employee's Withholding Allowance 21 • Direct Deposit Authorization 22 • Monthly Compensation and Mileage Statement 23 • Ethics Training (AB 1234) 23 • Discrimination/Harassment Prevention Training (AB 1661) 23 IV. FREQUENTLY ASKED QUESTIONS 24 I. BOARD AND COMMITTEE STRUCTURES The Orange County Sanitation District (OC San; Sanitation District) is a public agency that provides wastewater collection, treatment, and disposal services for approximately 2.6 million people in central and northwest Orange County. OC San is a special district that is governed by a 25-member Board of Directors that is comprised of one primary representative and one alternate for each of the cities, special districts, and the County of Orange that are in OC San's sewer service area. They are: • Anaheim 0 Orange Brea 0 Placentia • Buena Park 0 Santa Ana • Cypress 0 Seal Beach • Fountain Valley 0 Stanton Fullerton 0 Tustin • Garden Grove Villa Park Huntington Beach . Costa Mesa Sanitary D n 0 Irvine Ranch Water District • Midway City Sanitary District A 0 Yorba Linda Water District N 0 County of Orange Under State Health and Safety Code 4730.65, the elected representatives of each member agency may appoint any one of its legislative members to the Board of Directors whenever the agency chooses and in a method dependent upon its own rules. If a Director is no longer a member of their city council or agency board, they are not eligible to serve on the Sanitation District's Board of Directors. Newly appointed Directors will be sworn into office generally at the first regular meeting attended following appointment. Immediately following appointment, all members are subject to the provisions of the Brown Act. Newly appointed members shall not be allowed to participate in any meeting prior to being sworn in. Directors are compensated for meetings per California Water Code Sections 20200 through 20207 and as further stipulated in the Sanitation District Ordinance No. OCSD- 34. Each Director receives $212.50 for attendance at each meeting of the Board of Directors, or for each day of service, or portion thereof, rendered as a member of the Board provided that each Director shall receive compensation for not more than a total of six (6) meetings or six (6) days of service per month. The Board Chairperson may receive compensation for not more than a total of ten (10) meetings or ten (10) days of service per month. 1 Duties of the Board Chairperson & Vice-Chairperson The Board Chairperson shall preside at the meetings of the Board of Directors. If he/she is absent or unable to act, the Board Vice-Chairperson shall serve until the Chairperson returns or is able to act. The Board Chairperson appoints members to the various Committees of the Board of Directors. The Board Chairperson, or their designee, shall represent the Board of Directors at OC San or related ceremonial functions. Overview OC San agenda reports are presented to the Board of Directors by either the General Manager, Executive Management Team member, Special or General Counsel; or the Clerk of the Board, through the Operations Committee, Administration Committee, and Legislative and Public Affairs Committee. In addition, there is a Steering Committee consisting of the Chairperson and Vice-Chairperson of the Board, the Chairpersons of the three standing committees, and two at-large members selected by the Chairperson of the Board. Periodically, special ad hoc committees are appointed on an as-needed basis to address specific issues. All meetings of the Board of Directors shall be audio recorded. The audio tape of any open and public meeting shall be subject to inspection pursuant to the California Public Records Act. BOARD OF DIRECTORS Scope of Business The Board of Directors, representing 20 cities, four special districts, and the County of Orange, oversees the Sanitation District's operations, approves programs and projects, and sets policy. What to Expect The Board of Directors meet the fourth Wednesday of every month at 6:00 p.m. at OC San's Plant No. 1 Administration building at 10844 Ellis Avenue in Fountain Valley unless otherwise noticed. Meeting dates and times can be found at ocsan.gov. OC San's Executive Management Team, General Counsel, Clerk of the Board, a small number of support staff, and a varied number of interested community members attend the meeting as well. Board meetings generally last one hour; however, there are meetings that will extend beyond this time if there is a lengthy agenda. Dinner is provided for all in person meetings. STANDING COMMITTEES Standing Committees have authority to approve purchases up to $200,000 and change orders and amendments within a contingency budget to be established by said Standing 2 Committee for each individual agreement. The Standing Committee shall establish a contingency budget not to exceed 50% of the original agreement price. (Purchasing Ordinance No. OCSD-52) STEERING COMMITTEE Scope of Business The Steering Committee acts as an advisory group to the General Manager and Executive Management Team. Specifically, the Steering Committee: • Directs the flow of activities and issues to the other standing committees and the Board of Directors. • Receives information and provides direction on labor negotiations. • Advises the General Manager on newly emerging initiatives and issues of strategic or policy importance to the Sanitation District. • Conducts an annual performance evaluation of the General Manager and submits recommendations on compensation to the Board of Directors. • Reviews the General Manager's performance evaluation and compensation of executive management who report directly to him based on established criteria and executive management's goals and objectives for the following year. • Conducts an annual performance evaluation of the General Counsel. (Resolution No. OCSD 12-03) What to Expect The Steering Committee meets the fourth Wednesday of every month preceding the meeting of the Board of Directors or at the call of the Chairperson of the Board. Meetings are held at 5:00 p.m. at OC San's Plant No. 1 Administration building at 10844 Ellis Avenue, Fountain Valley. Dinner is provided. OC S n's General Manager, Assistant General Manager, General Counsel, Executive Management Team, Clerk of the Board, a small number of support staff, and a varied number of interested community members attend the meeting. Steering Committee meetings last approximately one hour. The Steering Committee members include the Chairperson and Vice-Chairperson of the Board, the Chairpersons of the Operations, Administration, and Legislative and Public Affairs Committees, and two at-large members selected by the Chairperson of the Board. The Vice-Chairperson of each Committee may serve as an alternate in the absence of the Committee Chairperson. No other Alternate Director is able to serve on this committee. OPERATIONS COMMITTEE Scope of Business The Operations Committee advises staff and approves or makes recommendations to the Board of Directors on matters related to planning, design, and construction of the Sanitation District's wastewater collection, treatment, and disposal facilities with the goal of compliance with all public health and environmental laws and regulations. The 3 The Operations Committee also approves or submits recommendations to the Board of Directors on the operation of the joint treatment works and collections systems, current and projected service/flow/treatment needs, level and quality of sewage treatment, and environmental and regulatory issues. Specifically, the Operations Committee: • Reviews sewage service contract arrangements for areas outside the Sanitation District's boundaries or spheres of influence such as biosolids management contracts. • Regularly studies, visits, and observes the various operational functions of the joint treatment works. • Recommends professional consulting firms to assist in studying, planning, and designing needed joint treatment works and support facilities including automation systems. • Reviews construction projects. • Provides oversight of contracts and addenda for professional consulting services. • Provides oversight of contracts and change orders for public works construction projects. What to Expect The Operations Committee meets the first Wednesday of every month at 5:00 p.m. at OC San's Plant No. 1 Administration building at 10844 Ellis Avenue, Fountain Valley. Dinner is provided at in person meetings. There are two "dark" months for the Committee per calendar year unless otherwise noticed. They are typically January and August. OC San's General Manager, Assistant General Manager, Executive Management Team, Clerk of the Board, a small number of support staff, and a varied number of interested community members attend the meeting as well. Committee meetings generally last one hour; however, there are meetings that will extend beyond this time if there is a lengthy agenda. Committee membership is at the discretion of the Chairperson of the Board and consists of 14 members. Each Board Member will be appointed to either the Operations Committee or the Administration Committee by the Board Chairperson. You will receive notification of your appointment from the Clerk of the Board. The Chairperson of the Board shall appoint a Committee Chairperson and Vice-Chairperson who will serve the Operations Committee at the pleasure of the Chairperson of the Board. ADMINISTRATION COMMITTEE Scope of Business The Administration Committee advises staff and approves or makes recommendations to the Board of Directors on matters related to the financial, budgeting, administration, information technology, and human resources policies and programs. Staff will provide project reports and other forms of detailed evaluation for proposed new actions so that the Committee can review the issues and alternatives in formulating recommendations to the Board of Directors. 4 Specifically, the Administration Committee: • Reviews the procedures for developing, preparing, and formatting the annual budget; makes recommendations for changes to the budget; and counsels staff during the budget process to ensure proper interpretation and implementation of Board policies. • Recommends proposed budgets to the Board of Directors. • Periodically interviews and recommends selection of outside auditors, reviews the results of the annual audit, reviews management's response, and makes recommendations for implementation. • Reviews safety issues and information technology needs. • Periodically recommends employment of an outside firm to audit internal control procedures to safeguard OC San's assets. • Interviews and recommends employment of investment banking firms, bond counsel, and financial advisors, if needed, for the financing program. • Periodically coordinates recommendations on personnel audits of OC San's operations, or segments of the operations. • Recommends policies and procedures regarding personnel, insurers and coverage, procurement procedures, and other related activities as needed or appropriate. • Receives and provides direction on the investment policy and treasurer's report. • Reviews the Sanitation District's ocean discharge permit, ocean monitoring services contracts, and other marine protection issues relating to the Orange County coastline, as they are affected by the Sanitation District's operations and treated effluent discharge. What to Expect The Administration Committee meets the second Wednesday of every month at 5:00 p.m. at OC San's Plant No. 1 Administration building at 10844 Ellis Avenue, Fountain Valley. Dinner is provided at in person meetings. There are two "dark" months for the Committee per calendar year unless otherwise noticed. They are typically January and August. OC San's General Manager, Assistant General Manager, General Counsel, Executive Management Team, Clerk of the Board, Controller, a small number of support staff, and a varied number of interested community members attend the meeting as well. Committee meetings generally last one hour; however, there are meetings that will extend beyond this time if there is a lengthy agenda. Committee membership is at the discretion of the Chairperson of the Board and consists of 13 members. Each Board Member will be appointed to either the Operations Committee or the Administration Committee by the Board Chairperson. You will receive notification of your appointment from the Clerk of the Board. The Chairperson of the Board shall appoint a Committee Chairperson and Vice-Chairperson who will serve the Administration Committee at the pleasure of the Chairperson of the Board. 5 LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE Scope of Business The Legislative and Public Affairs Committee advises staff and makes recommendations on matters related to the legislative and public affairs programs of the Sanitation District. What to Expect The Legislative and Public Affairs Committee meets on Mondays in the months of February, March, April, May, July, September, and November. at 12:00 p.m. at OC San's Plant No. 1 Administration building at 10844 Ellis Avenue, Fountain Valley. The meetings in April, and July, are held at 3:30 p.m. Lunch is provided for in person meetings beginning at 12:00 p.m. The Legislative and Public Affairs Committee is comprised of the Committee Chairperson and Vice-Chairperson, Chairperson and Vice-Chairperson of the Board, and three at-large members selected by the Chairperson of the Board. You will receive notification of your appointment from the Clerk of the Board. The Chairperson of the Board shall appoint a Committee Chairperson and Vice-Chairperson who will serve the Legislative and Public Affairs Committee at the pleasure of the Chairperson of the Board. SPECIAL AND AD-HOC COMMITTEES Occasionally, Special or Ad Hoc Committees are formed to address specific OC San issues or projects of major scope. Following is a list of the current Special or Ad Hoc Committees: 1. Audit Ad Hoc Committee 2. Headquarters Complex Ad Hoc Committee 3. Groundwater Replenishment System (GWRS) Steering Committee OC San also appoints a representative(s) from the Board of Directors to the following external Committees or Boards: 1. OC San/SAWPA Joint Policy Committee 2. Orange County Council of Governments (OCCOG) 3. National Water Research Institute (NWRI) 4. Santa Ana River Flood Protection Agency (SARFPA) 5. Independent Special Districts of Orange County (ISDOC) The Chairperson of the Board of Directors appoints each representative who will serve at the pleasure of the Chairperson of the Board. 6 II. BUSINESS PROCEDURES Agenda Report Process Communication with the Board of Directors is conducted formally through agenda reports included in the agenda package, which is similar to methods used at other local government agencies. The Directors should expect the following related to the agenda report process: • Agenda packages are electronically delivered to the Director's agency/city hall email address unless an alternate email has been provided for delivery. If you would like to have a staff member received the information, please notify the Clerk of the Board. • Materials are also available online at OC San Board of Directors meeting information. • Agenda packages are generally posted and distributed the Wednesday or Thursday preceding the regular meeting; however, the Clerk of the Board may send such packages the preceding Friday (Resolution No. OC SAN 21-01 • Closed Session agenda reports, and materials are disseminated through CapLinked, a secure website accessible by each Director. The information is provided through the website when the documents are available in advance of the meeting. Documents not available in advance will be made available at the actual meeting. If made available in person, the Clerk of the Board will collect all Closed Session material after the meeting adjournment to reduce the risk of inadvertent disclosure. • On occasion, due to timing of available materials, supplemental agenda items may be distributed at the meeting and posted on-line. Directors are notified by email in advance, if possible. • Periodically, based on Committee decisions, agenda reports will be modified. These modifications will be reflected in the Board of Directors' agenda package. Important Directives Like other public agencies, OC San is governed by Federal and State statutes as well as a variety of its own ordinances and resolutions which help frame operations. The following summarizes the content of specific items that you should find of interest. The complete texts are available from the Clerk of the Board upon request, and interpretations and opinions can be requested from General Counsel. 7 California Government Code Sections 54950 et seq. RALPH M. BROWN ACT A good resource of the Ralph M. Brown Act is located on the League of California Cities website at: Ralph M. Brown Act. The following items abstracted from various materials may serve as an important reminder of both the fundamentals and important questions surrounding the Brown Act: • In enacting this chapter, the Legislature finds and declares that the public commissions, boards and councils, and the other public agencies in this State exist to aid in the conduct of the people's business. It is the intent of the law that their actions be taken openly and that their deliberations be conducted openly. • All meetings of the legislative body of a local agency shall be open and public, and all persons shall be permitted to attend any meeting of the legislative body of a local agency, except as otherwise provided in the Act. • The most common purpose of a Closed Session is to avoid revealing confidential information that may, in specified circumstances, prejudice the legal or negotiating position of OC San or compromise the privacy interests of employees. Closed Sessions should be conducted keeping this narrow purpose in mind. • The Brown Act defines a meeting as any congregation of a majority of the members of a legislative body at the same time and place to hear, discuss, or deliberate upon any item that is within the subject matter jurisdiction of the legislative body or the local agency to which it pertains. The term "meeting" is not limited to gatherings at which action is taken, but also includes deliberative gatherings as well. • The Brown Act specifically prohibits any use of direct communication, personal intermediaries, or technological devices that is employed by a majority of the members of the legislative body to develop a collective concurrence as to action to be taken on an item by the members of the legislative body. • Provided that no collective discussion and decisions about OC San business are made by a majority of Directors, there are the following exceptions to these rules: • Individual Contacts • Conferences • Community Meetings • Other Legislative Bodies • Social or Ceremonial Events • The use of email to communicate among the Board of Directors is restricted by the Brown Act: • According to the State Attorney General, a majority of the Board Members of a local public agency may NOT email each other to develop a collective concurrence as to action to be taken by the Board without violating the Ralph M. Brown Act even if the emails are also sent to the Clerk of the Board and the Chairperson of the agency, or if the emails are posted on the agency's Internet website, and a printed version of each email is reported at the next public meeting of the Board. This would be considered a violation. Government Code Sections 54956.8, 54956.9, 54957 and/or 54957.6 CLOSED SESSIONS Summarized in part: • During the course of conducting the business set forth on the agenda as a regular meeting of the Board, the Chairperson may convene the Board in Closed Session to consider matters of pending real estate negotiations, pending or potential litigation, or personnel matters. • Reports relating to (a) purchase and sale of real property, (b) matters of pending or potential litigation, (c) employment actions or negotiations with employee representatives, or which are exempt from public disclosure under the California Public Records Act, may be reviewed by the Board during a permitted Closed Session and are not available for public inspection. At such time as the Board takes final action on any of these subjects, the action will be publicly reported as described in GC 54957.1. The Minutes will reflect all required disclosures of information. Resolution No. OCSD 19-19 ESTABLISHING RULES OF PROCEDURES FOR THE CONDUCT OF BUSINESS OF ORANGE COUNTY SANITATION DISTRICT The Resolution reads in part: • A special meeting of the Board of Directors may be called in either one of the following ways: 1) By the Chairperson of the Board of Directors; or 2) By the written request of a majority of the Steering Committee delivered to the Clerk of the Board. The call or notice for a special meeting shall be in writing and delivered personally or by mail at least twenty-four (24) hours before the time of such meeting, as specified in the notice. • A majority of the Directors shall constitute a quorum of the Board. 9 • A Chairperson and Vice Chairperson of the Board shall be elected by a majority vote of Directors at the regular meeting in June of each year and will assume office July 1. The nominations for Chairperson and Vice Chairperson shall be made at the regular Board meeting in May of each year. If only one individual is nominated for Chairperson or Vice Chairperson at the regular Board meeting in May, that individual shall be deemed elected as Chairperson or Vice Chairperson, no election shall be held in June, and the individual shall assume office July 1. • The Agenda for the Board of Directors' meetings includes the use of a Consent Calendar to quickly handle routine matters. • The Board does not conduct meetings under Roberts Rules of Order. The customized rules of procedure are as summarized: Board Procedures - Summary of Motions OC San has refined and streamlined the process of motions defined in Roberts Rules of Orders. The following summarize the definition of other motion types: • A Main motion is made to bring before OC San for its consideration, any particular subject. It takes precedence over nothing — that is, it cannot be made when any other question is before OC San; and it yields to all Privileged, Incidental, and Subsidiary motions; any of these motions can be made while a Main motion is pending. Main motions are debatable, subject to amendment, and can have any Subsidiary motions applied to them. When a Main motion is laid on the table, or postponed to a certain time, it carries with it all pending Subsidiary motions. • Subsidiary motions are applied to other motions for the purpose of most appropriately disposing of them. By means of them the original motion may be modified, action postponed, or it may be referred to a Committee to investigate and report, etc. They may be applied to any Main motion and, when made, they supersede the Main motion and must be decided before the Main motion can be acted upon. 10 Main Motion and Related Subsidiary Motions Kind of Second Vote Motion Required Debatable Amendable Required Purpose Main Yes Yes Yes Majority To Motion introduce new business Amend Yes Yes Yes Majority To modify Main or alter a Motion motion Substitute Yes Yes Yes Majority To replace Motion the main motion entirely Previous Yes No No Majority To close Question debate on the main or amended motion immediately Continue Yes Yes Yes Majority To defer to a action Certain Time To Table Yes No No Majority To discontinue consideratio n until brought back by vote of the Board Take a Yes No No Majority To bring Motion before the from the group a Table motion previously tabled 11 Limit or Yes No Yes Majority To limit or Extend extend Limits of limits of Debate debate Refer to a Yes Yes Yes Majority To place Committee business in hands of a Committee Withdraw a No No No None To withdraw Motion a motion before it is voted on Reconsider Yes Yes No Majority To secure a must be new vote on by a a motion Director previously who voted voted upon for the prevailing side on the original motion • Privileged motions are such that, while not relating to the pending question are of great importance as to require them to take precedence over all other questions, and on account of this high privilege, they are not debatable. They cannot have any Subsidiary motion applied to them, except the motions to fix the time to which to adjourn and to take a recess, which may be amended. After OC San has actually taken up the question of privilege, debate and amendment are permitted, and Subsidiary motions may be applied the same as on any Main motion. Privileged Motions Kind of Second Vote Motion Required Debatable Amendable Required Purpose Adjourn Yes No No Majority To end the meeting 12 To Take Yes No No Majority To interrupt a Recess a meeting for a short time or to provide an intermission Raise a No No No None To obtain Question action of immediately Privilege in an emergency • Incidental motions arise out of another question which is pending, and therefore take precedence over, and must be decided before, the question out of which they arise. They yield to Privileged motions and are not debatable, cannot be amended except where they relate to the division of a question to the method of considering a question, or to methods of voting. Whenever it is stated that all Incidental motions take precedence of a certain motion, the Incidental motions referred to are only those that are legitimately incidental at the time they are made. For example, Incidental motions take precedence over Subsidiary motions, but an Incidental motion to object to the consideration of a Main motion cannot be made until a Subsidiary motion is resolved. Incidental Motions Kind of Second Vote Motion Required Debatable Amendable Required Purpose Request Yes No No Two- To to Thirds facilitate Suspend business the Rules ordinarily contrary to the rules of the organizati on Override Yes No No Majority To have Order of Board the Chair majority rule on the order 13 Point of No No No None To enforce Order the rules of the organization Government Code Section 84308 CAMPAIGN CONTRIBUTIONS General Counsel's review summarized in part: • The section relates to campaign contributions received by Directors in their capacities as city, county, or special district elected officials when participating in your capacity as an OC San Director, in decisions regarding OC San contracts. • The section disqualifies any "officer" of a public agency, who is running or has run for elective office, from participating in decisions affecting his/her campaign contributors. The law disqualifies the officer from participating in certain proceedings if the official has received campaign contributions of more than $250 from a party, participant, or their agents within the 12 months preceding the decision. Additionally, such contributions are prohibited up to 90 days after a contract decision. Ordinance No. OCSD-34 ESTABLISHING BOARD OF DIRECTORS COMPENSATION The Ordinance reads in part: • The State Legislature adopted legislation (Senate Bill 1559), chaptered into law effective January 1, 2001, authorizing the adoption of an Ordinance pursuant to California Water Code Sections 20200 through 20207, including an increase of the per diem compensation in an amount not to exceed five (5%) percent for each calendar year following the operative date of the last adjustment. This increase is not automatic but is available through Board action. • Each Director shall receive the sum of Two Hundred Twelve Dollars and Fifty- Cents ($212.50) for attendance at each meeting of the Board of Directors, or for each day's service rendered as a Member of the Board, by request of the Board; provided that each Director, other than the Chairperson of the Board, shall receive compensation for not more than a total of six (6) meetings or six (6) days' service per month. 14 • Each Director shall be reimbursed at the rate per mile established by the United States Internal Revenue Service as allowable for mileage expense deduction for use of a personal vehicle for business of OC San. • When traveling on Board approved business of OC San, the Director shall be entitled to reimbursement of expenses necessarily incurred in the course of said travel in accordance with Resolution No. OCSD 18-20 (see section below for further information). Resolution No. OCSD 18-20 ADOPTING A REVISED POLICY REGARDING BOARD OF DIRECTORS' EXPENSE REIMBURSEMENT AND MEETING ATTENDANCE AND COMPENSATION The Resolution reads in part: • The Chairperson of the Board will authorize attendance at conferences, seminars, meetings, and travel, but such expenses related thereto will only be approved to the extent they are necessary to further the accomplishment of OC San's goals and objectives. • Directors shall be familiar with and comply with the Policy, ensure all travel and other reimbursable expenses are reasonable, coordinate multiple Director participation at conferences to avoid unnecessary duplication, and promote economic means of travel. The Board Chairperson can approve or deny requests for travel or business activities and reimbursements for Board and Committee Members. • Attendance at seminars, conferences, and meetings must be approved in advance by the Board Chairperson except when specifically, pre-authorized by this Policy. In addition, the Steering Committee may, on a case-by-case basis, authorize compensation of individual Directors for attending meetings, conferences, or seminars relating to wastewater, local government, and/or other matters within the Board's jurisdiction. The number of Directors attending a seminar, conference, or meeting should be minimized, and there must be an OC San business reason for attendance. • Each regular Director shall be entitled to compensation for attendance at (1) each meeting of the Board of Directors; (2) each meeting of the Standing Committee on which the Director serves; (3) each meeting of an Ad Hoc Committee to which the Director has been duly appointed; and (4) each meeting of any joint governmental board, committee, or association to which the Director has been appointed as OC San's representative. Each alternate Director shall be entitled to compensation for attendance at a meeting when, 15 and only when, the alternate Director attends the meeting in place of the regular Director. • Board members shall not receive compensation for the following activities: (1) attendance at meetings or events of nonprofit organizations or service clubs, except when the Board Chairperson has authorized the Director to make a presentation on behalf of OC San as further described in Article I Section 1.C. of the Policy; (2) OC San-sponsored employee events including, but not limited to, the annual employee holiday luncheon and retirement events; (3) parades, festivals, holiday events, or retirement dinners; (4) meetings with existing or potential contractors, vendors, or consultants; (5) meetings of partisan political organizations; (6) meetings, tours, and similar events conducted at the request of a Director; or (7) any activity not described in Article I Section 1.C. of the Policy. • No Director shall receive compensation for attendance at any meeting, such as Committee Meetings, which are scheduled immediately preceding, immediately succeeding, or concurrent with a regularly scheduled OC San Board of Directors Meeting. • No Alternate Director shall receive compensation for attendance at any meeting unless serving in the absence of the regular, Active Director; or with prior approval of the Board Chairperson. Resolution No. OCSD 16-18 AUTHORIZING VOYA FINANCIAL SERVICES TO CONTINUE SERVING AS PLAN ADMINISTRATOR OF THE DEFERRED COMPENSATION PLAN FOR OFFICERS AND EMPLOYEES OF THE ORANGE COUNTY SANITATION DISTRICT The Resolution reads in part: • "Employee" shall mean any employee who is a Director or Officer, or who is a permanent, full-time employee of the Orange County Sanitation District. • Any employee designated by the employer to be eligible may elect to become a participant in the plan by executing and filing a Participation Agreement with the employer. • The amount deferred each year may not exceed the amount established by the Secretary of the Treasury as established, from time to time, under Internal Revenue Code section 457 (e)(15). 16 III. FORMS AND ASSOCIATED GUIDELINES There are various forms that will be completed during a Director's tenure. Some of them are completed once; others periodically. Examples of these forms are included on the following pages with a brief description. Oath of Office Directors will take an oath of office prior to being seated. This will be signed electronically or in person and sealed by the Clerk of the Board. ORANGE CUUNTY SANITATION DISTRICT STATE OF CALIFORNIA)ss COUNTY OF ORANGE ) FIRST NAME MIDDLE LAST NAME I do solemnly swear for affirm)that I will support and defend the Constitution of the United States and the Constitutinn of the State of California against all enemies foreign and domestic that I will bear true taith and allegiance to the Constitution of the United States and the Constitution of the State of California,that I will take this obligation freely without any rnental reservation or purpose of evasion and that I will well and faithfully discharge the duties upon which I am about to enter sigrature Subscribed and svcrn before me this day of 20 (Seal) Clerk of the Board 17 Fair Political Practices Commission - Form 700 Statement of Economic Interests As a public official you are required to file a Form 700 Statement of Economic Interest annually. The County of Orange Clerk of the Board of Supervisors is the filing official for OC San Public Officials and will e-notify you when, where, and how to file. For additional information regarding the Form 700, please visit the Fair Political Practices Commission website at www.fppc.ca.gov. STATEMENT OF E CON OWC INTERESTS .w1141107CALIFORNIA FORm7O(r nenJ•{..w.1 COVER PAGE A PUBLIC DOCOVENT FW"npe qI prMf el Jfr. IM7FDr RM LAM rW T, 1.OfAce,Agency,or Court Aver Name Ole not ate aeleeymrl DIImM Bwrd osparene d owd,r .eid liar f m r Iff"6 nwkOM PoPWM IW Maw a dh aft AeeTm.IL(C 10 U.tmnynrsl 2 Jurlsd cation u!ice rChera rrh„rune I,o,:l 2:c1� r]Jrdgo,FdlnTd Ldac,ko T-Ldpc ar Carr Carmssd— IS1u�axrdo d�nad�oovl} _W40 ceumv -1tcsrlh ar _ _rrr¢ -] 3_ Type of Statement IChak.r host m.bos) J Annual Toe 1-d.1rred I-11—F,I ZM.NI o,SV It Mlq olhce: DA,Let__!d oroctuber3f XM IGWk afs akkl ar• 1Te prnod ce�end Is J ! fMOYdI I Th pr1M clvorcd Is Je2,ary 1.a0a1,thaulh Ihs die I>f Crsrmtrr 31,a0a1 lea'A1q of1� of- LI--Am Ptk.- bats a,—d _J F L The P-d arvarad Is--J I Ihroddr It.dalE of bannq nak2_ Md oCce wjd m a dws-M t w",„t k Schedule Summary(must complete) ►Total number ofpalles including dds cover page Schedules attached LI Schedule A-1-1,Awmmntc-smoddle al;achnd Schedule C-(mume Larw d Ltrvees7 Pasdiods-scMOse idw-;4 U Sch.duk A-2-uaeohfrnla-ecnedtk atlachod Schedule O•foams-G`U-e NAA ay.:nred Q Schedule 8-Rost Wolieny-sc.M ul.awched -Schedule E-brc wv-Ggla- aRa irW -Or-r I None-W reportable iMereas on any sctaluM 5.Verification t41T la_Uiny 1-_r - ,edw-p A-f d�M+m - ' folk r.s.a.W n'•TW F T=1 FFI•r,F 1lUFiF r�lr 77T--- } I luMe��to Roorah(q deQem n nfq.T+,p di.slalgnerr 1lrre Rnr'.ed bra fl.kma7 and to lle Fl ed d m1'IrarrdF�e MF_In tl�don�re�ned Iwan and m my yhdpd is Vuc and camnk MA"D%kdr Ilu rr a Pubfa d—A I c-N oi&r erllally of prrlury under the laen of the Sf7fe o1 6flforMa Ihal the foregainq is Inn vid can .f. 9ne$Igned Signalme pK.om 1N c—x i-e lIG=1L22:) w1alNkpc.cara•M"71517:•w•W+.haco.ao. Fyr f 18 Information Questionnaire This Information form provides a brief biography of the Director for use internally, as a source for important contact information, and as a tool for the General Manager and Board Chairperson in determining committee assignments. ORANGE COUNTY SANITATION DISTRICT BOARD DIRECTOR INFORMATION QUESTIONNAIRE Thefollowing information is requested in orderto assist the Board's leadership in making Committee appoirdmerAs and prnviding infnrmation to you tr an efficient manner, Name: Date: Preferred Street Address City Zip Code (Area Code)Phone Numher for st aft to contact svlert one Hum« ( } El City,'Agency" ( } O business' ( } Cell Phone: ( } Email: May attach a business card for Tire standard method of general communicationwith the Board of Directors CftyAgency or Business location here is via email_ If you have an alternative preferred method of communication, please let us krrow i Cate first electedto current position If you are subject to term limits,when ones your term expire? NIA Additional Age ncies/CommissionslCommittees you have been appointcxd to other than the Sanitation bistrict Academic Major Current Occupation Retired _a Semi-Retired ❑ Ocoupational Bar-kground Other Interests OR Questions for staff_ I I'.Sop I CCT�,F,Fo—ND-A,,Irii,Form Ru,11.020�J Jo. REV 11l2G:u ll,l; 19 Deferred Comaensation Plan Questionnaire OC San participates in the 457(b) Deferred Compensation Plan offered by VOYA. The enrollment form must be completed if the Director wishes to participate in a deferred compensation plan. Ybl„ ORANGE COUNTY SANITATION DISTRICT 457(b) DEFERRED COMPENSATION PLAN y PARTICIPATION AGREEMENT DcSD Employees may request to participate in or make changes to their existing 4S7(b) Deferred Compensation Plan and/car Roth 457(b) option by complettg this Agreement or submitting an online request through the VOYA website: mvw.yovaretirementDlans.comlcustornlocsd. EMPLOYEE INFOPMATION Narrht• Employee # Work Phone EMPLOYEE ELECT70NS Cheri all Deferral Per Paycheck mar apply rii sc"ion (Min.S25.00) OLhef ln�fmabatt5rra 1S b -pnetay Roth-post tat O New Account ❑ ccmtao vc..1v'A Represe itauve for new account P' ceNn. ❑ Change Deductions c ❑ Stop Deductions Flfe rive first available pay date after recerp]. ctl-Lk? 5il 0 Requesteo altemat.r.stop date! This paynrn contnbutim wd.rount tuWard your arvMual mat,mum. It yell not affect yo.lr current payroll One-Time Leave Curttnbubcn- See fcotnote fui effective date EJ tntnrmalon Payout Deferral Select Payout:❑December O lEnda y❑ TcYnotaLat s k •-Wnte"Max^to allocate ds much as oe-ssNla Type:❑ 50*Calxh up ar❑ Special Catch tip O Catch Up Election ❑It Special Catch Up,canttr:t VDrA Represented- 5 complete additional qualification wzs.sheet. Restorative Deferral ?er reemoloved military onW. r S ❑Caknder year apolicable. u 'K M I "!pnd•+bn iKA ,L —Fever I— WyoyR A pA lealli /hire t]IOWUb Af Mal to 015C—�AVER --ft" ,S � x - of/(WC ply mw to IA*UARY rERNINAZION mbote wnt,ate potd it L#*moAM Aftat,LVbeit a sitift0w CPnb1#butXms_re J foiled to bey",,a 1tAKh&4 pdVO e.Arid JJ,LrArh Q,-fdt aowA' eY'40.rQ Orel^Yew 14"W tit ytvr zppl Qt0l 1b-A'AwAbA-•.^nry,n Me]—SCc h 'Ars M.to Wt not.YiC Aj og feat enwby-'rp—: Nemr Rptrrevrrtu A9ir SKW,c eYiddmne.atelp�rmnt:nnfveraY/q'YC7/'A Cn�•err C«n tab an fit ete_trdper year nfw:f rApr a/vcnrrrrdmy ngnert rland+e�ttmn sniatAlt UNLESS OTHERWISE SPECIFIED, CHANGES TAKE EFFECT THE NEXT APPLICABLE PAY PERIOD IN THE MONTH FOLLOWING THIS REQUEST DATE. REQUESTS EXPIRE AFTER 4 MONTHS IF NOT IMPLEMENTED. By completing this Agreement, you acknowledge the following: • I elect to participate in the Plan and aqree to reduce my cornpensaton n accordance with Lhe Plan ard Code • I agree that all right,to my deferreo compensation shall be governed tyv the tarns and conditions of the plan and Code. • I agree that these elections will remain in effect until I subunit a nevi Agreement to change my elections;hwYw_ver,if my contributions durng any given calendar year reach the maximum dollar amount allowed Under the Plan and Code,aedumbns volt auto tatcally StoL. • if t am a current employee,I understand that this election awe lies only to_ompensation oaid or made available no earlier than the rust day of the calendar month after the calendar month In which ttns Aoreeirent is signed,unless otherwise speofied. • If t am a newly hired employee,I understand that this eled:on applies to compensation payable in the calendar month in whlrb I first becune an empsovee if I enter into this Agreement on or Defore the first day in which I perform services for OCSD. • I further understand that this Agreement short superseor any pr�ot Agreement between CICSD and me under the Plan. EMPLOYEE AUTHORIZATION, Employee Signature Date RETURN COMPLETED FORM TO THE HUMAN RESOURCES DEPARTMENT awlW ct.AN rl,2eSA 20 W-4 - Employee's Withholding Allowance A form required by both federal and state government for income tax purposes. Employee's Withholding Certificate aMBNo 154"074 Form Is Complete Form W-4 so that y xv employer can withhold tha ion ,t federal income tax from yrmr paV. Dwxtrr nr of it.Treawry 1.Give Form W-4 to your employer_ 2021 atAnal Revenue Servrr- ►Your withholding is subject to review by the IRS_ Steps: Is) First ns" ''1 1',liil lrillal L-i:l l.iltti (b) Social seoUllry nunb+r Enter ado e. ►Dave --moron tint. Persona name on youl your r social seounty Information card?It not.la mute you filet city or tax.,sletc,arat C�'raW credit for your earnings,oonlact SSA al R00??2.1213.1 go Ur (c) ❑single ra Married filing sopersi sly ❑Meased filii iointly ar Oualirying—dowfert F—Fiead of hou:vh old tCl lk lacy it y„u nr uirr—r d:aril Iwly more Illun I'Al Itn a hranc kn v--Il..I,rV.Ii1 n41 I Comptele Steps 2-4 ONLY rf they apply to you;otherwise,skip to Step S See page 2 for more information on each step,who can claim exemption from withhoiding,when to use the estimator at wwwJrs,.gev1VV4App,and privacy, Step 2: Complete this step if you it)hold more than one job at a time.or(2)are married filing jointly and your spouse Multiple Jogs also works.The correct amount of withholding depends on income earned from all of these jobs. or Spouse Do only one of the following. Works (a) Use the estimator at www.us.gov/W4App for roost accurate withholding for this step(and Steps 3-4);or (b)Use the Multiple Jabs Worksheet on page 3 and enter the result in Step 4(c)below for roughly accurate wkhhelding;or (c) If there are only two jobs total,you may check this box.Do the same on Form W-4 for the other job.This option is accurate for jobs with similar pay,otherwise,more tax than necessary may be withheld ► l] TIP.To be accurate,submit a 2021 Farm W-4 for all other jobs_ If you(or your spouse) have self-employment income,including as an independent contractor,usethe estimator_ Complete Steps 3-4(h)on Form W-0 for only ONE of these jabs.Leave those steps blank for the other jobs.(Your withholding will be most accurate if you complete Steps 4(b)on the Fonn WA for the highest paying job.) Step 3: If your total income v,rill be&I00.000 or less(F400,000 or less if married filing jointly): Claim Multiply the number of qualifying children under age 17 by S2,000► S Dependents Multiply the number of other dependents by S500 ► S Add the amounts above and enter the total here 3 $ Step 4 (a)Other income(not from jobs).If you want tax withheld for other income you expect (optional): this year that won't have withholding,enter the amount of other income here.This may Other include irl dividends.and retirement income a} $ Adjustments (h) Deductions. If you expect to claim deductions other than the standard deduction and vuant to reduce your withholding,use the Deductions Worksheet on page 3 and enter the result here _ _ _ _ _ _ _ _ _ _ _ _ 4 $ (c) Extra withholding.Enter any additional tax you want withheld each pay period 4(c}IS Step 5: Under penalties of perjury,I declare that thin certificate,to the best of my knavledge and belief,Is true,correct,and complete, Sign Here ' Employee's signature(This form is not valid unless you sign it.) ' Date Employers Employer's name and address First data of Employer identification Only employment number(EIN) For PI iva cy Act and Paper wok Reduction Act Notice,see page 3. C,1 N,.111 rVll FRxm WA 42021 21 Direct Deposit Authorization To be completed by the Director if they wish checks to be directly deposited into their financial institution's checking or savings account. a i—r a c c a • a a .� a �—i—i--i=a.- a .c �� •- R � � A Direct Deposit A u t h o ri z a t i on R X N {. A I kName: Emp. No.: Date: r New_ Add_ Change Delete New Add_ Change Delete_ R Account Type ❑Checking ❑Savings Account Type: O Checking L]Savings R Financial Financial a a Institution Institution s Akzount No Account No Transit No Transit No a Net Check YIN? Amt$ Net Check YIN? Amt$ w s d New_____ Add_____ Change_-__ Delete New— Add-_ Change____ Delete_ Acrourn Type []Checking ❑Savings Account Type: Q Checking []Savings Financial Financial p Institution Institution Account Ne Account No ` Transit Mo Transit No. A Net Check YIN? Amt S Net Check YM? Amt$ A 4 M l� R Please attach a voided check frorn the checking account for accurate Bank Transit and Account Numbers a s I hereby authorize OCSD to initiate debit entries and/or adjustments to my Checking and/or Savings account(s) ° Indicated above and the depository institution named above to debit the same to such account. This authority is to remain in full force and effective unfit OCSD Payroll Department has received written notification from me of its termination in such manner as to afford OCSD and Line depository a reasonable opportunity to act on it w a i � s R Employee Signature pate R A a • a w r For reel/7-L p ca PPF- 6icmdBr. a a K !: ]�.K ! • K ! -f K q K 1 < q K -V K Y S 'l Y Y .K '! Y 22 Monthly Compensation and Mileage Statement This form is completed by staff and signed by the Director for compensation for in person meeting attendance and monthly personal vehicle mileage when conducting OC San business. ORANGE COUNTY SANITATION DISTRICT BOARD OF DIRECTORS 1 COMPENSATION&MILEAGE SAMPL[ONLY m ` Director's Name: Address AMP.0 Address BOA RD OF COMP, STEERING OPERATIONS ADMINISTRATION MRECTORB R«Unln MmlHryY w« T-1 hi«11"i'd—I Iry 1 L17,14 '•eY II«IxU In II«• r«abi al MIIenU.l Nni. ~- 1 COMP. MILES OTHER OATS COMP. MILEAGE TOTAL MILEAGE MILE6 3 TOTAL COMP bMI LEAGE a PI«AY«low aW S. arlrMtlolul nleMlnes 4t IIY«-11Ulf MH«,N- 6 R«RIneI commine° hgnature aM SnxU Me«Itn De Gate x=Exceeds one mlg Jday Y=Exceeds six rntgs/m nitt Ethics Trainin_q Board Members must file a copy of their certificate of AB 1234 Ethics Training with the OC San Clerk of the Board within one (1) year of appointment and every two years thereafter. (GC 53235.1(b)) Discrimination/Harassment Prevention Training Board Members must file a copy of their certificate of AB 1661 Sexual Harassment Training for Local Agency Officials with the OC San Clerk of the Board within six (6) months of appointment and every two years thereafter. (GC 53237.1). 23 IV. FREQUENTLY ASKED QUESTIONS Does OC San have representing unions? OC San has six (6) recognized bargaining units. Three (3) of the bargaining units are represented by the Orange County Employees Association (OCEA). OCEA represents 98 OC San employees, who perform para-professional, technical, and administrative jobs. One (1) bargaining unit is represented by the International Union of Operating Engineers - Local 501 (Local 501). Local 501 represents 202 OC San employees, who perform operations, maintenance, and other trade-related jobs. The remaining two (2) bargaining units are represented by the Supervisor and Professional Management Group (SPMT) affiliated with the American Federation of State, County and Municipal Employees (AFSCME). SPMT/AFSCME represent 64 OC San employees that are responsible for supervisory duties across all divisions. In addition, SPMT/AFSCME represent 212 OC San employees holding professional, exempt-level positions who perform analytical work. Executive management, managers, and confidential employees are unrepresented. What governs employer/employee relations? As with other local government agencies, OC San is governed by the Meyers-Milias- Brown Act, and in accordance with that, has enacted a comprehensive set of Rules and Regulations for the administration of employer-employee relations (Resolution No. OCSD 99-24). Further, OC San has adopted our own comprehensive set of Policies and Procedures governing employment practices and establishing terms and conditions of employment, including wages, salaries, and benefits. The Board of Directors nn Policies and Procedures "manual" is adopted by Resolution No. OCSD 18-18. Are communications between OC San officials or staff and General Counsel protected by the attorney client privilege? Confidential communications between OC San's General Counsel and OC San's officials, executive staff, and/or other employees are protected from disclosure by the attorney-client privilege as long as such communications are within the course and scope of their employment and are not otherwise averse to OC San's interests. Who is the client of OC San's contracted General Counsel? The Board of Directors of OC San is the client of General Counsel. 24 Where does OC San get its funding? As in most cities, funding sources are numerous; nevertheless, the primary revenue OC San relies on for annual operations are the Sewer Service Fee and Property Taxes. Sewer Service Fees are set by OC San after a review of projected needs. They fund operation of the sewer systems in accordance with the Clean Water Act. OC San's share of the one percent ad valorem property tax is obligated for the payment of debt service by OC San policy. Extensive details on OC San's revenue and expenditure programs are available in OC San's annual budget. How are Directors compensated? Directors are compensated $212.50 per meeting, or day if multiple meetings, up to six per month. Directors are paid on a monthly basis by either check or direct deposit. In addition to this, Directors may contribute a portion of their OC San earned income in a deferred compensation plan in lieu of social security tax. Directors are not eligible to participate in the Orange County Employees Retirement System (OCERS). How can a Director obtain an agenda package? Agenda packages are assembled for the various Committees and the monthly Board meeting and are electronically mailed out to Committee/Board Members the week prior to the meeting. Directors can also review any committee or Board package online at https://ocsd.legistar.com/Calendar.aspx. Further, you may either email the Clerk of the Board at or reach her at klore(aocsd.com or (714) 593-7433 and an agenda package will be forwarded to the requesting Board Member. 25 Return to Guide RESOLUTION NO. OCSD 99-24 ADOPTING A NEW EMPLOYER-EMPLOYEE RELATIONS RESOLUTION AND REPEALING RESOLUTION NO, OCSD 98-34 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ADOPTING A NEW EMPLOYER-EMPLOYEE RELATIONS RESOLUTION AND REPEALING RESOLUTION NO. OCSD 98-34. WHEREAS, Joint Resolution No. 75-127 established rules and regulations for Employer-Employee Relations of the former County Sanitation Districts of Orange County; and, WHEREAS, upon consolidation of the Districts into the Orange County Sanitation District, former Joint Resolution No. 75-127 was re-enacted without change as Resolution No. OCSD 98-34; and WHEREAS, changes in the laws and District practices since 1975 make it desirable and appropriate to update the District's employment relations rules and regulations; and WHEREAS, State law (the Meyers-Milias-Brown Act) permits local agencies to adopt reasonable rules and regulations for the orderly administration of labor relations after meeting and consulting with appropriate labor organizations, NOW THEREFORE, the Board of Directors of the Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: That this Resolution upon adoption approves the rules and regulations set forth herein for employer-employee relations and repeals Resolution No. OCSD 98-34 H:\wp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 1 RULES AND REGULATIONS ARTICLE I. GENERAL PROVISIONS SECTION 1. STATEMENT OF PURPOSE This Resolution implements Chapter 10, division 4, Title 1 of the Government Code of the State of California (Sections 3500 et seq.) captioned "Local Public Employee Organizations", by providing orderly procedures for the administration of employer- employee relations between the District and its employee organizations. Nothing contained herein shall be deemed to supersede the provisions of the State law. It is the purpose of this Resolution to provide procedures for meeting and conferring in good faith with recognized employee organizations regarding the wages, hours and other terms and conditions of employment of employees in appropriate units and that are not preempted by Federal or State law. This policy is supplemented by provisions recognizing and defining the rights of employees to join organizations of their own choosing for the purpose of representation on matters affecting employee relations or to represent themselves individually in dealing with the District. SECTION 2. DEFINITIONS As used in this Resolution, the following terms shall have the meanings indicated: a. "Appropriate representation unit" means a group of employee classes or positions, established in accordance with the criteria set forth in Article II, Section 6. b. "Confidential employees" are those employees who, with authorized access, assist and act in a confidential capacity to and for persons who formulate, determine, and effectuate management policies with respect to labor relations. C. "Consult" means to communicate verbally or in writing for the purpose of presenting and obtaining views and advising of intended action. d. "Contract employee" means an individual who works for the District pursuant to a written contract as set forth in Policy A10.00 in the "Human Resources Department Policies and Procedures" manual. e. "Day" means calendar day unless expressly stated otherwise. f. "District" means the Orange County Sanitation District. Wwp.dta\adm1n\BS\Resolutions\l999\OCSD99-24.doc 2 g. "District representative" means any individual designated to represent the District with regard to employer-employee relations. h. "Regular employee" means any person employed by the District except elected officials and temporary and contract employees. i. "Employee organization" means any organization which includes employees of the District and which has as one of its primary purposes representing such employees in their employment relations with the District. j. "Employee Relations Officer" means the Director of Human Resources or the Director's designee. k. "Exclusively Recognized Employee Organization" means the employee organization which has been formally acknowledged by the District as the exclusive representative of employees in an appropriate representation unit, pursuant to a majority vote of the employees in such a unit. There shall be no recognition of employee organizations other than exclusive recognition. I. "Impasse" means the existence of unresolved differences after good faith negotiations over an issue regarding wages, hours or other terms and conditions of employment. M. "Management Employee" means an employee having responsibility for formulating, administering or managing the implementation of District policies and programs. n. °Mediation" means the efforts of an impartial third person, or persons, functioning as intermediaries, to assist the parties in reaching a voluntary resolution of an impasse. o. "Meet and confer in good faith", or "meet and confer", means that the representatives of Exclusively Recognized Employee Organizations and the District shall have the mutual obligation personally to meet and confer promptly upon request by either party and continue for a reasonable period of time in order to exchange freely, information, opinions, and proposals, and to endeavor to reach agreement on matters within the scope of representation, including the mutual obligation to execute a written document incorporating any agreement reached. P. "Proof of Employee Support" means (1) an authorization card recently signed and dated by an employee, or (2) a verified authorization petition or petitions recently signed and dated by an employee, or (3) employee dues deduction authorization, using the payroll register for the period immediately prior to the date a petition is filed except that dues deduction authorizations for more than one employee organization for the account of any one employee shall not be H:\wp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 3 considered as proof of employee support. The only authorization which shall be considered as proof of employee support shall be the authorization last signed by an employee. The words "recently signed" shall mean within sixty (60) days prior to the filing of a petition. q. "Professional Employees" means employees engaged in work requiring specialized knowledge and skills attained through completion of a recognized course of instruction, including but not limited to, attorneys, physicians, registered nurses, engineers, architects, teachers, and the various types of physical, chemical, and biological scientists. r. "Resolution" means, unless otherwise specified herein, this "Employer-Employee Relations Resolution" and any amendments thereto. S. "Scope of Representation" means all matters relating to employment conditions and employer-employee relations, concerning which the District is obligated by law to meet and confer, including, but not limited to, wages, hours, and other terms and conditions of employment; except that the parties may, by mutual agreement, negotiate on matters of employment concerning issues upon which negotiation is neither required nor prohibited by the law or this Resolution. t. "Supervisory employee" means any employee having authority, in the interest of the District, to hire, transfer, suspend, layoff, recall, promote, discharge, assign, reward, or discipline other employees, or responsibility to direct them, or to adjust their grievances, or effectively to recommend such action if, in connection with the foregoing, the exercise of such authority is not of a merely routine or clerical nature, but required the use of independent judgment. SECTION 3. EMPLOYEE RIGHTS AND RESPONSIBILITIES a. Employees of the District shall have the right to form, join and participate in the activities of employee organizations of their own choosing for the purpose of representation on matters within the scope of representation. b. Employees of the District shall also have the right to refuse to join or participate in the activities of employee organizations and shall have the right to represent themselves individually in their employment relations with the district to the extent permitted by law. C. No employee shall be interfered with, dominated, intimidated, restrained, coerced or discriminated against by the District because of the exercise of the rights contained in this Resolution. d. No employee shall be interfered with, intimidated, restrained, coerced or discriminated against by any employee organization because of the exercise of the rights contained in this Resolution. H:\wp.dta\admin\BS\Resolutions\1999\0=99-24.doc 4 SECTION 4. MANAGMENT RIGHTS AND RESPONSIBILITIES a. In order to insure that the District is able to carry out functions and responsibilities imposed by law, the District has and will retain the exclusive right to manage and direct the performance of District services, which includes, among others, the exclusive right to: • Determine issues of public policy; determine the mission of its constituent departments, commissions and boards; set levels and standards of service; • Determine the procedures and standards of selection for employment; direct its employees; • Relieve its employees from duty because of lack of work, for cause or for other lawful reasons; • Maintain the efficiency of District operations; • Contract out work; • Determine the methods, means and personnel by which District operations are to be conducted; and, exercise control and discretion over its organization and the technology of performing its work. b.. The District retains its right to amend, modify, or rescind any policies, practices or agreements which impact upon wages, hours or working conditions of employees in cases of emergency. Emergencies shall be defined as acts of God, natural disasters, legislative acts, judicial action or other acts which are beyond the control of the District, and which would authorize District action without meeting and conferring under State law. If under this section the District amends, modifies or rescinds any policy, practice or agreement, such amendment, modification or rescission will continue only for the duration of the emergency. ARTICLE II. EXCLUSIVE REPRESENTATION PROCEEDINGS SECTION 1. FILING OF RECOGNITION PETITION BY EMPLOYEE ORGANIZATION An employee organization that seeks to be formally acknowledged as the Exclusively Recognized Employee Organization representing the employees in an appropriate representation unit shall file a statement with the Employee Relations Officer containing the following information and documentation: H:\wp.dta\admin\BS\Resolutions\1999\0=99-24.doc 5 a. Name and address of the employee organization. b. Names and titles of its officers. C. Names of employee organization representatives who are authorized to act on behalf of the organization. d. A statement that the employee organization has, as one of its primary purposes, representing employees in their employment relations with the District. e. A statement whether the employee organization is a chapter of, or affiliated directly or indirectly in any manner, with a local, regional, state, national or international organization, and, if so, the name and address of each such other organization. f. Certified copies of the employee organization's Constitution and By-Laws. g. A designation of those persons, not exceeding two in number, and their addresses, to whom notice sent by regular United States mail will be deemed sufficient notice to the employee organization for any purpose. h. The job classifications or titles of employees in the unit claimed to be appropriate. i. A statement that the employee organization has in its possession proof of employee support to establish that thirty percent (30%) of the employees in the unit claimed to be appropriate have designated the employee organization to represent them in their employment relations with the District. j. A request that the District formally acknowledge the petitioner as the Exclusively Recognized Employee Organization representing the employees in the unit claimed to be appropriate for the purposes of meeting and conferring in good faith. k. The petition, including the proof of employee support and all accompanying documentation, shall be declared to be true, correct and complete, under penalty of perjury, by the duly authorized officer(s) of the employee organization executing it. I. The District or its Employee Relations Officer may request verification of the sufficiency of the signatures submitted in support of a petition. Such request for verification shall be made within fifteen (15) calendar days after receipt of the petition. H:\wp.dta\admin\BS\Resolutions\1999\0=99-24.doc 6 SECTION 2. RESPONSE TO RECOGNITION PETITION Upon receipt of the Petition, the Employee Relations Officer shall determine whether: a. There has been compliance with the requirements of a Recognition Petition; and, b. The proposed representation unit is an appropriate unit in accordance with Section 6 of Article II. If an affirmative determination is made by the Employee Relations Officer on the foregoing two matters, he or she shall post a notice of election setting an election date not less than forty-five (45) days and not more than sixty (60) days after such determination. If either of the foregoing matters are not affirmatively determined, the Employee Relations Officer shall provide written notice to the petitioning employee organization. The petitioning employee organization may either resubmit an amended petition or appeal the determination of the Employee Relations Officer pursuant to Article II, Section 8 of this Resolution. SECTION 3. OPEN PERIOD FOR FILING CHALLENGING PETITION Within thirty (30) days of the date the notice of election is posted, any other employee organization may file a request to be the Exclusively Recognized Employee Organization of employees in the same unit by filing a petition which conforms to Section 1 of Article II. SECTION 4. ELECTION PROCEDURE a. The Employee Relations Officer shall arrange for a secret ballot election to be conducted by the California State Mediation and Conciliation Service or by a mutually selected third party subject to the provisions of this Resolution. In the event the State Mediation and Conciliation Service, or other mutually selected third party, if any, declines or is unable to conduct the election in a timely fashion, the election shall be conducted by the Secretary to the Board of Directors in accordance with the election procedures specified in this Resolution. All employee organizations who have duly submitted petitions which have been determined to be in conformance with Section 1 of Article II shall be included in the ballot. The ballot shall also reserve to employees the choice of no representative. Regular and temporary employees employed in positions within the designated appropriate unit who were so employed during the pay period which ended at least fifteen (15) days before the date the election commences, shall be entitled to vote in a representation election. Regular and temporary employees who did not work during such period because of illness, vacation or other authorized leaves of absence, and who are employed by the District in the same unit on the date of the election shall also be eligible to vote in a H:\wp.dta\admin\BS\Resolutions\t999\0CSD99-24.doc 7 representation election. An employee organization shall be formally acknowledged as the Exclusively Recognized Employee Organization for the designated appropriate unit following an election or run-off election if it received a majority of all valid votes cast in the election. In an election involving three or more choices, where none of the choices receives a majority of the valid votes cast, a run-off election shall be conducted between the two choices receiving the largest number of valid votes cast. The rules governing an initial election shall be. applicable to a run-off election. b. Within 30 days prior to an election, the District's Employee Relations Officer will present to the agency conducting the election, and the applicable employee organization(s), a list of eligible voters in the appropriate unit for which the employee organization(s) has made a satisfactory showing of interest. The eligibility list will be kept current by the District during the month before the election and a revised eligibility list will be presented to the applicable employee organization(s) and the agency conducting the election on the day(s) of the election. Either the District or the employee organization or organizations participating in the election may challenge any name on the list of eligible voters, including the revised list, at any time, up to and including the day(s) of the election. No challenges to the eligibility list may be made after the election has concluded. The agency conducting the election shall determine who is an eligible employee and its decision shall be final and binding. C. Election ballots shall offer eligible employees a choice between representation by the employee organization or organizations involved, on the one hand, and no organization, on the other. The ballot question shall read as follows: "Do you want [insert name of employee organizationl to act as your exclusive representative: Yes No " The question will be repeated where more than one employee organization will be on the ballot. The question will be followed by the question, "Do you want no organization? Yes No " d. There shall be no more than one representation election under this Resolution for each designated appropriate unit, excluding run-off elections, in a 12-month period. e. Costs of conducting elections under this Section shall be borne in equal shares by District and by each of the employee organizations appearing on the ballot. f. The election will be held on the District's premises at a time and on the date selected by the Employee Relations Officer for the election, or by mail ballots, in the discretion of the Employee Relations Officer. Notwithstanding the foregoing, the Employee Relations Officer and petitioning employee organization may agree to a different election date so long as it is consistent with the employees' rights to choose their representative and there is a reasonable basis for such stipulation. H:\wp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 8 g. The agency conducting the election shall also be responsible for maintaining the voting site, the ballot box and tallying the votes at the conclusion of the election day(s). The conducting agency shall certify the results of the election to both parties as soon as it has counted the ballots. h. If it is determined that an Employee Organization has received affirmative votes from a majority of the eligible employees casting ballots in an appropriate unit, the Employee Relations Officer shall so report to the District's Board of Directors at its next regularly scheduled meeting. Upon receiving such a report, the Board of Directors shall certify the employee organization as the Exclusive Representative for the unit in which the election was held. Once such certification is given, it may only be withdrawn if the Exclusive Representative subsequently loses a decertification election or if the District has a good faith belief that the Exclusive Representative no longer enjoys majority support from eligible employees in the unit in question. SECTION 5. PROCEDURE FOR DECERTIFICATION OF EXCLUSIVELY RECOGNIZED EMPLOYEE ORGANIZATION a. A decertification petition alleging that the incumbent Exclusively Recognized Employee Organization no longer represents a majority of the employees in an established unit may be filed with the Employee Relations Officer. A decertification petition may not be filed within one (1) year after a valid election in which the challenged Exclusively Recognized Employee Organization appeared on the ballot, whether for decertification or certification. A decertification petition may not be filed during the term of a valid Memorandum of Understanding except during the open period preceding the expiration of a Memorandum of Understanding. The open period shall be the thirty (30) day period commencing one hundred fifty (150) days and ending one hundred twenty (120) days prior to the expiration of a Memorandum of Understanding. A decertification petition may be filed after a valid Memorandum of Understanding has expired. A valid Memorandum of Understanding shall not serve as a bar to the filing of a decertification petition for more than a three-year period. A decertification petition may be filed by an employee or an employee organization(s), shall be accompanied by proof of employee support, and shall conform to the extent possible to the requirements for a petition for recognition under Section 1 of Article ll. b. The Employee Relations Officer shall initially determine whether the decertification petition has been filed in accordance with the applicable provisions of this Resolution. If, in the judgment of the Employee Relations Officer, the decertification petition does not meet the requirements set forth in this Resolution, the Employee Relations Officer shall provide written notice to the petitioning employee(s) or employee organization. The petitioning employee(s) or employee organization may either resubmit an amended petition for decertification or may appeal the determination of the Employee Relations Officer H:\wp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 9 pursuant to Article II, Section 8 of this Resolution. If the decertification petition ` satisfies the requirements of this Resolution, the Employee Relations Officer shall so advise the petitioning employee(s) or employee organization and shall give written notice of the petition to the challenged Exclusively Recognized Employee Organization. C. If a decertification petition satisfying the requirements of this Resolution is filed, the Employee Relations Officer shall post notice of election to occur on or about thirty (30) days after notice of the decertification petition is given pursuant to subparagraph (b) hereof, to determine the wishes of unit employees as to representation. A decertification election shall be conducted by secret ballot. The ballot shall offer employees eligible to vote the choice of no representation. Only those regular employees eligible to vote for the certification of an employee organization shall be eligible to vote in a decertification election. If the challenged incumbent Exclusively Recognized Employee Organization does not receive affirmative votes from a majority of the eligible employees voting, that employee organization shall be decertified, and the unit shall not be represented by an employee organization until such time as a new exclusive employee organization is recognized pursuant to this Resolution. d. A petition for decertification of an incumbent Exclusively Recognized Employee Organization may be combined with a petition for certification of a new Exclusively Recognized Employee Organization. A decertification election held pursuant to this Section may be combined with an election for certification of a new Exclusively Recognized Employee Organization held pursuant to Article II Section 4. However, no new exclusive employee organization may be recognized to represent an appropriately designated employee unit unless, by majority vote, the regular employees who vote in said unit, vote to decertify the incumbent Exclusively Recognized Employee Organization. If, pursuant to this Section, a different employee organization is formally certified as the Exclusively Recognized Employee Organization, such organization shall be bound by the terms and conditions of any Memorandum of Understanding then in effect for its remaining term. SECTION 6. POLICY AND STANDARDS FOR DETERMINATION OF APPROPRIATE UNITS a. The policy objectives in determining the appropriateness of a unit shall be the effect of a proposed unit on (1) the efficient operations of the District and its compatibility with the primary responsibility of the District and its employees to effectively and economically serve the public, and (2) providing employees with effective representation based on recognized community of interest considerations. These policy objectives require that the appropriate unit shall be the broadest feasible grouping of positions that share an identifiable community of interest. Factors to be considered shall be: H:\wp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 10 1. Similarity of the general kinds of work performed, types of qualifications I required, and the general working conditions; 2. History of representation in the District and similar employment; except, however, that no unit shall be deemed to be an appropriate unit solely on the basis of the extent to which employees in the proposed unit have organized; 3. Consistency with the organizational patterns of the District; 4. Number of employees and classifications, and the effect on the administration of employer-employee relations created by the fragmentation of classifications and proliferation of units; 5. Effect on the classification structures and impact on the stability of the employer-employee relationship of dividing a single or related classification(s) among two or more units. b. Further, it is presumed that all non-management employees in all classifications constitute an appropriate unit except for the following: 1. Temporary and contract employees who are hired for a specific duration might not be included in an appropriate unit of full-time and part-time regular employees; and 2. Except to the extent that they are management, supervisory or confidential employees, professional employees may be permitted to vote by classification whether or not they wish to be represented in a unit that includes non-professional employees; professional employees that vote by a majority for inclusion in a unit including non-professional employees shall be so included. C. Notwithstanding the foregoing provisions of this Section, managerial, supervisory and confidential responsibilities, as defined in Section 2 of Article 1, are determining factors in establishing appropriate units, and such managerial, supervisory and confidential employees may only be included in units that do not include non-managerial, non-supervisory and non-confidential employees. Managerial, supervisory and confidential employees may not represent any employee organization that represents other employees. d. Notwithstanding any other provision of this Resolution, the Employee Relations Officer, after notice to affected employee organizations, may allocate new classifications or positions, delete eliminated classifications or positions, and retain, reallocate or delete modified classifications or positions from units in order to conform with the policy objectives of this Section. HAwp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 11 SECTION 7. PROCEDURE FOR MODIFICATION OF ESTABLISHED APPROPRIATE UNITS a. Requests by employee organizations for modification of established units represented by an Exclusively Recognized Employee Organization may be considered by the Employee Relations Officer only during the open period specified in Section 5 of Article II, after a Memorandum of Understanding has expired or when such action is deemed consistent with the purposes of this Resolution. Modification requests shall be submitted in the form of a recognition petition and, in addition to the requirements set forth in Section 1 of Article II shall contain a complete statement of all relevant facts and citations in support of the proposed modified unit in terms of the policies and standards contained in Section 6 of Article II. b. The Employee Relations Officer may on his or her own initiative propose that an established unit be modified at any time during which an employee organization is permitted to make such a request. The Employee Relations Officer shall give written notice of the proposed modifications to an affected employee organization and shall hold a meeting concerning the proposed modifications, at which time all affected employee organizations shall be heard. The Employee Relations Officer shall determine the composition of the appropriate unit or units in accordance with Section 6 of Article II and shall give written notice of such determination to the affected employee organizations. The determination of the unit placement of a new classification may be made without regard to the open period specified in Section 5 of Article II. The Employee Relations Officer's determination may be appealed as provided in Section 8 of Article II. SECTION 8. APPEALS FROM RULINGS OF THE EMPLOYEE RELATIONS OFFICER a. An employee organization aggrieved by a determination of the Employee Relations Officer relating to the specific provisions of this Resolution may, within fifteen (15) days of notice of such determination, appeal the determination to the General Manager. b. Appeals to the General Manager shall be filed in writing with the District's Secretary and a copy served on the General Manager and the Employee Relations Officer. The General Manager shall begin to consider the matter within thirty (30) days of the filing of the appeal. The General Manager may, in his or her discretion, refer the dispute to a third party for a hearing and advisory recommendation. The decision of the General Manager on the use of such procedure, and the decision of the General Manager on the resolution of the dispute shall be final and no further administrative appeal shall be allowed. H:\wp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 12 ARTICLE III. ADMINISTRATION SECTION 1. SUBMISSION OF CURRENT INFORMATION BY RECOGNIZED EMPLOYEE ORGANIZATIONS a. All changes in the information filed with the District by an Exclusively Recognized Employee Organization under items (a) through (g) of the recognition petition under Section 1 of Article II shall be submitted in writing to the Employee Relations Officer within fourteen (14) days of such change. b. The District shall allow a reasonable number of employee representatives of an Exclusively Recognized Employee Organization reasonable time off without loss of compensation or other benefits when formally meeting and conferring with representatives of the District on matters within the scope of representation. SECTION 2. ADMINISTRATIVE RULES AND PROCEDURES If the meet and confer process has reached impasse as defined in this Resolution, either party may initiate the impasse procedures by filing with the other party a written request for an impasse meeting. The impasse request shall contain a statement of the parties' position on all issues. An impasse meeting shall be scheduled promptly by the Employee Relations Officer. The purpose of such meeting shall be: a. To review the position of the parties in a final effort to reach agreement on a Memorandum of Understanding; and, b. If the impasse is not resolved, to discuss arrangements for the utilization of the impasse procedures provided herein. SECTION 3. IMPASSE PROCEDURES Impasse procedures are as follows: a. If the parties agree to submit the dispute to mediation the dispute shall be submitted to mediation. The mediation proceedings shall be private. The mediator shall make no public recommendations, nor take any public position at any time concerning the issues. If the parties agree upon mediation, all costs of mediation shall be borne in equal shares by District and by each Exclusively Recognized Employee Organization participating in the mediation. b. If the parties do not agree on mediation or the selection of a mediator, or having so agreed, the impasse has not been resolved, and unless prohibited by law, all issues shall be submitted to the District's Board of Directors for its determination and such action as it, in its discretion, deems to be appropriate in the public interest. The action by the District's Board of Directors shall be final and conclusive. H:\wp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 13 ARTICLE V. MISCELLANEOUS PROVISIONS SECTION 1. CONSTRUCTION This Resolution shall be administered and construed as follows: a. Nothing in this Resolution shall be construed to deny to any person, employee, organization, the District or any officer or other representative of the District, the rights, powers and authority granted by Federal or State law. b. This Resolution shall be interpreted so as to carry out its purposes as set forth in Article I. SECTION 2. REPEAL OF PRIOR RESOLUTIONS The provisions of this Resolution shall supersede and take precedence over the provisions of any prior Resolutions, minute orders or statements of policy, adopted by the District's Board of Directors, dealing with the same subjects and matters as are covered herein, including, but not limited to Resolution No. OCSD 98-34. .SECTION 3. SEVERABILITY If any provision of this Resolution, or the application of such provision to any persons or circumstances, shall be held invalid, the remainder of this Resolution, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected. SECTION 4. CERTIFICATION The Secretary of the Board of Directors is hereby directed to certify to the passage of this Resolution and thereupon and thereafter the same shall be in full force and effect. SECTION 5. GRANDFATHER CLAUSE District recognizes that the following employee organizations have been elected pursuant to majority vote of the employees in and for the following units: H:\wp.dta\admin\BS\Resolutions\1999\0CS099-24.doc 14 Orange County Employees Association - Administrative and Clerical Unit - Technical Services Unit - Engineering Unit International Union of Operating - Operations, Maintenance and General Engineers, Local 501 Services Unit Supervisory and Professional - Supervisory Management Unit Management Group - Professional Unit District grants Exclusive Recognition to such employee organizations for said units until such status is changed pursuant to this Resolution. PASSED AND ADOPTED at a regular meeting held this 17th day of November, 1999. Ch 'rma , Board of Dire rs Secretary, B rd of Dir ors H:\wp.dta\admin\BS\Resolutions\1999\OCSD99-24.doc 15 Return to Guide RESOLUTION NO. OCSD 12-03 ESTABLISHING THE PROCEDURE TO CONDUCT AN ANNUAL PERFORMANCE EVALUATION OF THE GENERAL COUNSEL WHEREAS, the Board contracts with a law firm for legal services; and, WHEREAS, the Board selects its General Counsel; and, WHEREAS, the Board is the client of General Counsel; and, WHEREAS, the General Counsel reports to the Board; and, WHEREAS, the Board supervises General Counsel; and, WHEREAS, the Board desires to conduct an annual evaluation of the General Counsel; and, WHEREAS, the Brown Act authorizes a closed session to evaluate performance of the General Counsel. NOW THEREFORE, the Board of Directors of the Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: The Steering Committee conducts an annual performance evaluation of the General Counsel and submits recommendations to the Board of Directors. PASSED AND ADOPTED at a regular meeting held this 22nd day of February 2012. Larry n all, Chair VV •`f' Clerk f the Bo d 1 Return to Guide RESOLUTION NO. OCSD 16-18 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ACKNOWLEDGING THE CHANGE IN TITLE OF THE CURRENT DEFERRED COMPENSATION PLAN ADMINISTRATOR TO VOYA FINANCIAL SERVICES AND AUTHORIZING VOYA FINANCIAL SERVICES TO CONTINUE SERVING AS PLAN ADMINISTRATOR OF THE DEFERRED COMPENSATION PLAN FOR OFFICERS AND EMPLOYEES OF THE ORANGE COUNTY SANITATION DISTRICT; AND, REPEALING RESOLUTION NO. OCSD 09-02. WHEREAS, the Orange County Sanitation District Deferred Compensation Plan was most recently amended by Resolution No. OCSD 09-02, adopted by the District's Board of Directors on March 25, 2009, and which repealed prior Resolution Nos. 03-27 and 05-27; WHEREAS, as the result of numerous legislative and regulatory changes increasing the scope of the District's fiduciary responsibilities as an employer in the administration of deferred compensation plans, OCSD requested proposals in 2008, for plan administrators to act as agents or advisors for the purpose of implementing and administering the District's Deferred Compensation Plan; and WHEREAS, the Board of Directors appointed ING Financial Services in 2009 to act as agents or advisors for the purpose of implementing and administering the District's Deferred Compensation Plan; and WHEREAS, ING Financial Services changed its name to Voya Financial Services in 2014 without affecting any substantive changes to the scope of services it provided as plan administrator for the District's Deferred Compensation Plan; and WHEREAS, the assets in the Existing Plan, as amended, are currently held with Voya Financial Services. NOW, THEREFORE, the Board of Directors of the Orange County Sanitation District DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1. All of the recitals herein contained are true and correct and the Board of Directors of the District so finds. Section 2. The Orange County Sanitation District Deferred Compensation Plan, as set forth in Exhibit'A" attached hereto and incorporated herein by reference as though set forth herein at length, is hereby adopted, as the new Deferred Compensation Plan of the District, superseding all previous plans and amendments of the District, and shall remain in effect until amended or terminated by Resolution of the Board of Directors. 1194905.1 OCSD 16-18-1 Section 3. The District's General Manager, or his designee, is hereby authorized to appoint or employ the services of Voya Financial Services to continue acting as agents or advisors for the purpose of implementing and administering the District's Deferred Compensation Plan. Section 4. The District's General Manager, or his designee, is hereby authorized to execute, on behalf of the District, any and all documents necessary to effect the new Deferred Compensation Plan, with the approval as to form by the District's General Counsel. Section 5. Resolution No. OCSD 09-02 is hereby repealed. Section 6. This Resolution shall take effect immediately upon its adoption. PASSED AND ADOPTED at a regular meeting of the Board of Directors held on October 26, 2016. J h Nielsen and Chairman j ST: ard APPROVED: A 4 9, Bradley R. Hogin General Counsel vaar;; , OCSD 16-18-2 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 16-18 was passed and adopted at a regular meeting of said Board on the 26t' day of October, 2016, by the following vote, to wit: AYES: Beamish; Beard (Alternate), Choi; Curry; Deaton; Ferryman; Katapodis; Kiley; Kim; Kring; Mills; R. Murphy: Nagel; Neugebauer; Nielsen; Parker; Sebourn; Shawver; F. Smith- T. Smith; Steel; Tinajero; Wanke; and Yarc NOES: None ABSTENTIONS: None ABSENT: Withers IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seaf of Orange County Sanitation District this 2611 day of October, 2016. Kel y A. re) Cl k of Ve Board of Directors Orange County Sanitation District OCSD 16-18-3 California Consumer Notice Important Information to Contract Holders When you have any questions or problems concerning your insurance, or want to make any changes, your Voya representative or agent will be glad to help you. You may contact the insurance company issuing this contract at the following address and telephone number: Voya Retirement Insurance and Annuity Company One Orange Way Windsor, CT 06095-4774 Telephone: 1-800-654-8065 If you have contacted you agent or representative and for some reason, a satisfactory solution to the problem has not been reached, you may seek assistance from the California Department of Insurance. Please write or call: 1-800-927-HELP Consumer Affairs Department of Insurance 300 South Spring Street Los Angeles, CA 90013 CA-NOT(11-0 0) NOTICE OF PROTECTION PROVIDED BY CALIFORNIA LIFE AND HEALTH INSURANCE GUARANTEE ASSOCIATION This notice provides a brief summary regarding the protections provided to policyholders by the California Life and Health Insurance Guarantee Association ("the Association").The purpose of the Association is to assure that policyholders will be protected,within certain limits, in the unlikely event that a member insurer of the Association becomes financially unable to meet its obligations. Insurance companies licensed in California to sell life insurance, health insurance,annuities and structured settlement annuities are members of the Association.The protection provided by the Association is not unlimited and is not a substitute for consumers'care in selecting insurers.This protection was created under California law,which determines who and what is covered and the amounts of coverage. Below is a brief summary of the coverages,exclusions and limits provided by the Association.This summary does not cover all provisions of the law; nor does it in any way change anyone's rights or obligations or the rights or obligations of the Association. COVERAGE Persons Covered Generally,an individual is covered by the Association if the insurer was a member of the Association and the individual lives in California at the time the insurer is determined by a court to be insolvent. Coverage is also provided to policy beneficiaries, payees or assignees, whether or not they live in California. Amounts of Coverage The basic coverage protections provided by the Association are as follows. Life Insurance,Annuities and Structured Settlement Annuities For life insurance policies, annuities and structured settlement annuities,the Association will provide the following: Life Insurance 80% of death benefits but not to exceed$300,000 80%of cash surrender or withdrawal values but not tc exceed$100,000 Annuities and Structured Settlement Annuities 80%of the present value of annuity benefits, including net cash withdrawal and net cash surrender values but not to exceed$250,000 The maximum amount of protection provided by the Association to an individual, for all insurance, annuities and structured settlement annuities is$300,000, regardless of the number of policies or contracts covering the individual. Health Insurance The maximum amount of protection provided by the Association to an individual, as of April 1, 2011, is $470,125.This amount will increase or decrease based upon changes in the health care cost component of the consumer price index to the date on which an insurer becomes an insolvent insurer. 115586-CA(9-11) COVERAGE LIMITATIONS AND EXCLUSIONS FROM COVERAGE The Association may not provide coverage for this policy. Coverage by the Association generally requires residency in California. You should not rely on coverage by the Association in selecting an insurance company or in selecting an insurance policy. The following policies and persons are among those that are excluded from Association coverage: A policy or contract issued by an insurer that was not authorized to do business in California when it issued the policy or contract. A policy issued by a health care service plan(HMO), a hospital or medical service organization,a charitable organization, a fraternal benefit society, a mandatory state pooling plan, a mutual assessment company, an insurance exchange, or a grants and annuities society. If the person is provided coverage by the guaranty association of another state. Unallocated annuity contracts; that is, contracts which are not issued to and owned by an individual and which do not guaranty annuity benefits to an individual. Employer and association plans, to the extent they are self-funded or uninsured. A policy or contract providing any health care benefits under Medicare Part C or Part D. An annuity issued by an organization that is only licensed to issue charitable gift annuities. Any policy or portion of a policy which is not guaranteed by the insurer or for which the individual has assumed the risk, spch as certain investment elements of a variable life insurance policy or a variable annuity contract. Any policy of reinsurance unless an assumption certificate was issued. Interest rate yields(including implied yields)that exceed limits that are specified in Insurance Code Section 1607.02(b)(2)(C). NOTICES Insurance companies or their agents are required by law to give or send you this notice. Policyholders with additional questions shouid first contact their insurer or agent.To learn more about coverages provided by the Association, please visit the Association's website at www.califega.org_or contact either of the following: Califomia Life and Health Insurance California Department of Insurance Guarantee Association Consumer Communications Bureau P.O. Box 16860 300 South Spring Street Beverly Hills, CA 90209-3319 Los Angeles, CA 90013 (323) 782-0182 (800) 927-4357 insurance companies and agents are not allowed by California law to use the existence of the Association or its coverage to solicit, induce or encourage you to purchase any form of insurance.When selecting an insurance company, you should not rely on Association coverage. If there is any inconsistency between this notice and California law, then California law will control. 115586-CA (9-11) Contract Amendment 2 This contract is amended and restated effective as of May 1, 2016. When you sign this restatement, it will Contractholder: replace all prior versions of your contract. ING NATIONAL TRUST AS TRUSTEE OF THE All references to the name of the Contractholder are ORANGE COUNTY SANITATION DISTRICT changed from ING NATIONAL TRUST AS 457(b) DEFERRED COMPENSATION PLAN TRUSTEE OF THE ORANGE COUNTY SANITATION DISTRICT 457(b)DEFERRED Contract Document Number: COMPENSATION PLAN to VOYA ST-60284 INSTITUTIONAL TRUST COMPANY AS TRUSTEE OF THE ORANGE COUNTY SANITATION DISTRICT 457(b)DEFERRED COMPENSATION PLAN. THE VALUE OF THE SEPARATE ACCOUNT(S) DESCRIBED IN THIS CONTRACT,AS AMENDED, IS SUBJECT TO CHANGE AND WILL VARY BOTH UP AND DOWN IN ACCORDANCE WITH THE INVESTMENT RESULTS OF THE ACCOUNT(S)AND IS NOT GUARANTEED AS TO FIXED DOLLAR AMOUNTS. Voya Retirement Insurance and Annuity Company has signed this restatement at its Home Office,One Orange Way, Windsor, Connecticut 06095,on April 21,2016. Uy Charles P.Nelson, President �4 A. d�u_ Jennifer M. Ogren, Secretary Restatement Accepted: VOYA INSTITUTI N TRUST COMPANY Date: By: Name: h " Title: ORANGE COUNTY SANITATION DISTRICT Date: By: y - Name: L o v VOYA. Title: p•�reC{uv a� rl-,^c.,rc-e ST,AFP(510L) Fx 1 Sr-60284 This page,the following pages and the application are Stabilizersm Contract the entire contract. A group annuity contract issued by Voya Retirement You acknowledge that you have read and understand Insurance and Annuity Company to: this contract and that,by completing an application, VOYA INSTITUTIONAL TRUST COMPANY AS you have agreed to make deposits to this contract. TRUSTEE OF THE ORANGE COUNTY Your application and any other writings acceptable to SANITATION DISTRICT 457(b)DEFERRED us,in which you agree to make deposits,are part of COMPENSATION PLAN this contract. Contract Effective Date: This contract is delivered in California. July 16,2009 THE VALUE OF THE SEPARATE ACCOUNT(S) Contract Document Number: DESCRIBED IN THIS CONTRACT IS SUBJECT ST-60284 TO CHANGE AND WILL VARY BOTH UP AND DOWN IN ACCORDANCE WITH THE INVESTMENT RESULTS OF THE ACCOUNT(S) AND IS NOT GUARANTEED AS TO FIXED DOLLAR AMOUNTS. Voya Retirement Insurance and Annuity Company has signed this contract at its Home Office,One Orange Way, Windsor,Connecticut 06095 on April 21,2016. 09t Charles P.Nelson,President 944 74. a?U4-- Jennifer M.Ogren, Secretary VOYA- S'T(5/02) Pagel STD Table of Contents 1. Definitions Definitions...................................................................2 Parties to this Contract Operation of the Contract............................................4 1.1. Voya is Voya Retirement Insurance and Annuity Company. Wherever"we," "us"or Discontinuance............................................................7 "our" is used in this contract,it means Voya. Amendments................................................................8 1.2. Contractholder is the holder of this contract Annuities.....................................................................9 named on the face page. Wherever"you"or Fees.............................. "your" is used in this contract,it means the Contractholder. When this contract provides General Matters.........................................................10 that we will make a payment to you,the payment will be made to you if you are a trustee of the Plan;otherwise,we will pay the Term Schedule(s)/Exhibit(s) Plan funding agent you designate. Other Defined Terms 1.3. Annuity is a Member's periodic benefit that you may direct us to purchase under this contract. 1.4. Benefit Withdrawals are withdrawals(other than Contractholder Withdrawals as described in the Operation of the Contract section of this contract)made in accordance with your Plan and this contract for: (a)Member-initiated withdrawals; (b)Member-directed transfers of their account balances between Investment Options; (c)loans to Members;or (d)Annuity purchases. Benefit Withdrawals must meet the conditions in the Operation of the Contract section. 1.5. Book Value Settlement Phase is the phase this contract enters following its total discontinuance if you elect to receive the balance of the Interest Accumulation Fund subject to the terms described in the attached Book Value Settlement Exhibit. 1.6. Business Day is any day both we and the financial markets are open for business. 1.7. Code is the Internal Revenue Code of 1986,as amended,or any successor to it. Page 2 STD 1.8. Competing Investment Option is any 1.15. Immediate Credited Rate is our calculation of Investment Option(other than the one using what the effective annual rate of interest this contract or such other Investment Options determined according to the Credited Rate as we may from time to time designate as Determination Exhibit would be,assuming the competing in accordance with our next Credited Rate Period were to commence underwriting standards)which is invested in immediately. money market instruments,repurchase 1.16. Interest Accumulation Fund is an accounting agreements,guaranteed investment contracts, or investments offering a fixed rate of return, record we maintain under this contract for amounts allocated to a Separate Account, or any Investment Option having a targeted reflecting deposits received,withdrawals you duration of less than three(3)years. make,fees charged,plus interest at the 1.9. Contractholder Withdrawals are any Credited Rate and other adjustments. This withdrawals you make which are not Benefit account may be used by you for Plan Withdrawals. recordkeeping and communications. 1.10. Credited Rate is the effective annual rate of 1.17. Investment Option is any facility used for interest we periodically announce for this Member-directed investment of account contract and which is credited to the Interest balances. If the Plan does not have Accumulation Fund. Unless we agree Investment Options,then a reference to an otherwise,it is effective as of the first day of a Investment Option means all Plan funds. Credited Rate Period. 1.18. Member is a participant in the Plan,or any 1.11. Credited Rate Period is the period of time for person deriving his rights from such which the Credited Rate is applicable. It is an participant. A Member has no rights or annual,semiannual or quarterly period as obligations under this contract,except as directed by you or such shorter period as may specifically stated. be required during the Book Value Settlement 1.19. Plan is the Orange County Sanitation District Phase. 457(b)Deferred Compensation Plan. You 1.12. Deposit Agreement is your written must give us a copy of the Plan upon entering commitment,on a form acceptable to us,to into this contract. We are not a parry to the make deposits. The Deposit Agreement is a Plan. part of the contract. 1.20. A Separate Account is a segregated asset 1.13. Eligible Assets are all Plan assets if Members account we established under Connecticut do not have the option to direct investment of law. A Separate Account may have amounts their account balances among various Plan allocated to it on a pooled basis. investment facilities. If Members have such 1.21. Separate Account Balance is an accounting an option,Eligible Assets are all Plan record we maintain to reflect the fair market investments allocated to the Investment value of your pro rata share of a Separate Option which includes amounts held under Account. this contract. 1.14. Employer is any corporation,partnership, 1.22. Term Schedule is an attachment to this proprietorship or other entity whose contract describing the terms applicable to a employees may participate in the Plan. Separate Account you use to support the Interest Accumulation Fund. Page 3 ST-602B4 2. Operation of the Contract Deposits 2.5. The balance of the Interest Accumulation 2.1. You agree to make deposits to this contract at Fund is an amount equal to the termination value of the predecessor investment vehicle such times, in such amounts and under such conditions as mutually agreed to in the from which deposits to this contract were paid Deposit Agreement. We are obligated to as proceeds,plus any additional Plan deposits accept only those deposits you are committed plus interest, less any withdrawals,less any to make,except as follows: adjustment made in connection with an Contractholder Withdrawal,and less any fees (a)We may stop accepting deposits under the or expenses that are deducted from time to current Deposit Agreement if an action you time. take causes a reason for discontinuance to arise under the Discontinuance Section. 2.6. If you request,we can establish multiple accounts for Plan recordkeeping purposes. If (b)We may refuse to accept deposits under an additional account has its own Credited any renewal Deposit Agreement. If we refuse Rate,it is treated as a distinct Interest to accept deposits under a renewal Deposit Accumulation Fund. Agreement,we will give you 30 days advance written notice. 2.7. Amounts in a Separate Account are invested consistent with the investment objectives we 2.2. Deposits received by us are allocated to the set for that Separate Account. The Separate Account(s)in which you choose to investments and operation of a Separate participate. Deposits are subject to any Account are also subject to any rules and conditions or limitations in the Term Schedule limitations established by our Board of for that Separate Account. Unless otherwise Directors or its duly authorized committee. agreed,deposits are made by wire transfer. 2.8. The value of a Separate Account is the fair Operation of the Fund market value of investments in the Separate 2.3. As of the contract effective date and at least Account plus cash balances and accruals,less 30 days prior to each Credited Rate Period,or liabilities,in accordance with such methods as such shorter period as may be required during are described in the Term Schedule or as we the Book Value Settlement Phase, we will may adopt from time to time. Income and notify you of the rate to be credited to the gains or losses,realized or unrealized,are Interest Accumulation Fund for that period. credited or charged directly to a Separate Interest is credited on a daily basis. Account. The values determined may decrease or increase according to such 2.4. The Credited Rate is determined by us. It procedure. A Separate Account is charged reflects our assumptions as to your deposits with expenses arising from the operation of and withdrawals to this contract and the the account,including taxes,brokerage investment results of the Separate Account. It commissions and other costs. also reflects an adjustment for differences between the balance of the Interest 2.9. Your pro rata share of a Separate Account increases when you make a deposit or when Accumulation Fund and the Separate Account others participating in the Separate Account Balance. The formula we currently use to make withdrawals. Your share decreases determine this contract's Credited Rate is described in the attached Credited Rate when you make a withdrawal or when others participating make deposits. Determination Exhibit. Page STD 2.10. The assets in a Separate Account are not 2.15. This contract follows a LIFO/pro rata chargeable with liabilities arising out of any of withdrawal order. If all Eligible Assets are our other business. We own the investments being held under this contract,the Plan held in a Separate Account. We are not a agrees to pay all amounts needed for Benefit trustee of such assets. Withdrawals from this contract. If all 2.11. Unless the Term Schedule specifies otherwise, Eligible Assets are not being held under this we may discontinue the use or availability of contract,the Plan agrees to pay all amounts needed for Benefit Withdrawals from the any Separate Account(other than any investment vehicle receiving then current Separate Account you use during the Book Value Settlement Phase). At your direction, plan fixed fund deposits as long as that we will transfer your Separate Account investment vehicle has Eligible Assets. The Balance to another of our investment facilities term"Plan fixed fund deposits" includes or pay such value to you as a Contractholder amounts received by the Plan in the form of interest payments and proceeds resulting Withdrawal. from the maturity or termination of other 2.12. At least annually,we will send you financial Plan investment vehicles that are reinvested statements. by the Plan. If more than one investment Benefit Withdrawals vehicle is receiving then current Plan fixed fund deposits,the Plan agrees to make 2.13. If the Plan has a Competing Investment withdrawals from such investment vehicles Option,Benefit Withdrawals to effect according to their pro rata share of Benefit Member-directed transfers of their account Withdrawals(pro rata share,for this purpose, balances between Investment Options may be equals the total amount needed for Benefit made only if: Withdrawals times the percentage of current (a) the transfers are not made from the fixed fund deposits being directed to each Investment Option that includes amounts held contract from which Benefit Withdrawals are under this contract and to any Competing to be paid). If the investment vehicle(s) Investment Option;or receiving then current Plan fixed fund deposits has no Eligible Assets,the Plan (b) the Plan requires that the amount agrees to make withdrawals from this transferred from the Investment Option that contract equal to this contract's pro rata share includes amounts held under this contract of Benefit Withdrawals(pro rata share,for remain invested in non-Competing Investment this purpose, equals the total amount needed Options for 90 days before being eligible for by the Plan for Benefit Withdrawals times transfer to a Competing Investment Option. the ratio of the Interest Accumulation Fund 2.14. If the Plan permits loans,amounts needed to to the total amount of Eligible Assets). meet Member loan requests are considered 2.16. We can require reasonable proof that Benefit Benefit Withdrawals. The loan must meet the Withdrawals are being made in accordance requirements of section 72(p)(2)of the Code with the Plan and this contract. and,if applicable,section 4975(d)of the Code and section 408(b)(1)of the Employee 2.17. Subject to the withdrawal deferral provision in Retirement Income Security Act of 1974,as the General Matters section of this contract, amended(ERISA). payments are normally made within 30 Business Days after our receipt of all necessary information or proofs. Page 5 STD 2.18. Benefit Withdrawals are not subject to any 2.24. Subject to the withdrawal deferral provision in market value adjustment. They are deducted the General Matters section of this contract, from the balance of the Interest Accumulation Contractholder Withdrawal requests are Fund and the Separate Account Balance. normally honored promptly,taking into 2.19. Benefit Withdrawals may not exceed the account the character of the investments in the balance in the Interest Accumulation Fund. Separate Account and reasonable business and settlement practices. 2.20. Any withdrawal not eligible for treatment as a 2 Benefit Withdrawal must be withdrawn as a .25. In connection with any Contractholder Contractholder Withdrawal. Withdrawal,the balance of the Interest Accumulation Fund is reduced by an amount 2.21. You must promptly give us a description of equal to the payment made times the ratio of any proposed amendment to the Plan. You the balance of the Interest Accumulation Fund must also give us a copy of all Plan to the Separate Account Balance. amendments actually adopted. We will add these amendments to our copy of the Plan,but 2.26. Member-initiated withdrawal or transfer requests,directly or indirectly arising out of we can advise you that we will not alter our administration of this contract to comply with corporate actions such as bankruptcies, any Plan amendment which we determine may spinoffs,divestitures,corporate relocations, otherwise directly or indirectly have a layoffs,retirement incentive programs,the material adverse effect on our obligations to creation of a Competing Investment Option, partial or total Plan terminations,or the you. liberalization of Plan withdrawal or transfer 2.22. If,at any time(including any notice period rules,are all Contractholder Withdrawals. preceding a discontinuance of the contract): Such payments are not treated as Benefit we calculate the Immediate Credited Rate to Withdrawals,but as a partial discontinuance be 3%or less and the ratio of the contract's of this contract. Separate Account Balance divided by the 2 Interest Accumulation Fund is less than 95"/0, .27• With our consent,you may elect to treat a Contractholder Withdrawal as a Benefit then Benefit Withdrawals are not available to effect either loans to Members or Member- Withdrawal if the total amount withdrawn under this section and the Benefit directed transfers between Investment Options. We will notify you promptly that Withdrawals section over any continuous 12- /o such action has occurred. month period is less than 20 of the Interest Accumulation Fund balance at the start of that Contractholder Withdrawals period. 2.23. You may withdraw all or a part of your 2.28. Subject to our underwriting requirements and Separate Account Balance. Your Separate approval,we may allow you to transfer your Account Balance is determined as of the Separate Account Balance to another Separate payment date if there is cash available in the Account. This transfer may affect the Separate Account. If no cash is available this Credited Rate. value is determined on the date we make any transactions necessary to raise cash to pay your withdrawal request. In no event may you withdraw more than the value of your Separate Account Balance. The Term Schedule for a Separate Account may limit the timing of receipt of amounts from the account. Pages Sr-6=4 3. Discontinuance 3.1. You may discontinue this contract by giving (i)We elect to discontinue accepting deposits us 30 days written notice. A discontinuance for all contracts of this class. may be total or may be for a group of 0)Employees of an Employer are no longer Members(a"partial discontinuance"). The eligible to participate in the Plan. (Any such discontinuance is effective on the later of: discontinuance affects only those ineligible (a)the date specified in your notice,or employees.) (b)30 days after we receive your notice. (k)A change in applicable laws and 3.2. We may discontinue this contract,either regulations(including tax laws and totally or partially,by giving you 90 days regulations) which materially affects the notice. taxation of this contract or Separate Account, or otherwise materially affects our obligations 3.3. We may discontinue this contract,either hereunder. totally or partially,after a reason for discontinuance occurs. We will give you 45 3.5. The contract automatically discontinues if,at days written notice. any time,we calculate the Immediate Credited Rate to be 3%or less and the ratio of the 3.4. Reasons for our discontinuance are: contract's Separate Account Balance divided (a)You fail to meet any of your obligations by the Interest Accumulation Fund is less than under this contract or under any related 95%. We give you at least 30 days notice of agreement. such a discontinuance. (b)All amounts under this contract are 3.6. We will pay all available funds to you as withdrawn. follows: (c)The Plan is no longer a qualified plan (a)In the case of a total discontinuance,you under the Code. will direct us to pay you: (d)The Plan is terminated. (i)your Separate Account Balance; or (e)You no longer have any obligations under (ii)the balance of the Interest the Plan. Accumulation Fund,subject to the terms described in the attached Book Value (f)Any action is taken by you,the plan Settlement Exhibit. sponsor,or other plan official,which: (b)In the case of a partial discontinuance,you (i)creates a Competing Investment Option; will: or (i)direct us under item(a)to pay the (ii)significantly liberalizes,as determined appropriate portion of this contract's value by us,the Plan withdrawal or transfer to Members or the funding agent of a rights of Members; or successor plan;or (iii)materially affects our rights and (ii)request us to issue a new contract to obligations under this contract. the plan sponsor or funding agent of a (g)You,without our written agreement, successor plan. attempt to assign your interest in this contract. (h)You reject an amendment to this contract proposed by us under the Amendments section. Page 7 STD 4. Amendments (c)If you do not give us a direction under item (a)within 30 days following the date the 4.1. This contract may be amended by mutual discontinuance is effective,we may pay you the balance of the Interest Accumulation agreement. Fund,subject to the terms described in the 4.2. We may amend any provision of this contract attached Book Value Settlement Exhibit. to comply with applicable laws or regulations Payment under this item fully discharges all of without your consent. our obligations under this contract with 4.3. We may propose other amendments that are respect to both the Interest Accumulation effective 30 days after we give you written Fund and the Separate Account Balance. notice of the change. You may reject our (d)Any contract issued upon a partial proposed change by giving us written notice discontinuance of this contract is subject to before it becomes effective. any terms and conditions mutually agreed to 4.4. No amendment to this contract may: and is conditioned upon satisfaction of our reasonable underwriting rules and the securing (a)revoke your right to withdraw amounts of any necessary regulatory approvals. held under this contract. All withdrawals 3.7. Unless you elect to directly pay any due or follow the rules in effect when we receive accrued expense fee at discontinuance,we your request. may deduct the appropriate amount from (b)reduce the amount or change the terms of amounts paid or transferred out of the any Annuity you have purchased,unless Separate Account. required by applicable laws. 3.8. Payments or transfers upon discontinuance are 4.5. Unless otherwise provided in the Term subject to any limitations or restrictions that Schedule,we may modify any Term Schedule appear elsewhere in this contract. by giving you 30 days notice. We may also 3.9. You may not make deposits to this contract modify the exhibits. The exhibit states after discontinuance. requirements for making such changes. 3.10. Annuities purchased prior to discontinuance are not affected by discontinuance. 3.11. We will continue to provide any services necessary to fulfill our obligations or to transfer such responsibility to a successor. You agree to pay us for such services. Page 8 ST-602B3 5. Annuities Annuity Purchase Rules annuitant's adjusted age is his or her age as of 5.1. You may direct us to purchase Annuities with the birthday closest to the Annuity effective date reduced by two years for Annuity amounts held under this contract at any time. effective dates occurring during the period of Any Annuities you purchase are subject to our regular practices. You agree to provide us time from January 1,2000 through December with whatever information or application we 31,2009.The annuitant's and second annuitant's age will be reduced by one require. additional year for Annuity effective dates 5.2. You may specify the requested Annuity occurring in each succeeding decade. effective date and any form of Annuity we regularly offer under contracts of this class. Interest: 1.50% The Annuity form determines payments to be 5.10. If,when you purchase an Annuity,a more made upon death. favorable premium rate basis is in effect for 5.3. The Annuity effective date is usually the first the Annuity you are purchasing,we use the day of the month coinciding with or next more favorable basis. following the date you request. 5.11. We guarantee your initial minimum annuity 5.4. The minimum amount of Annuity you may premium rate basis through December 31, purchase is$75 per month. We may change 2009. Unless,prior to a guarantee expiration this amount by notifying you. date,we notify you in writing of a new guarantee basis,the current guarantee basis is 5.5. An Annuity may not be revoked,and the automatically extended for an additional three premium,form or joint annuitant may not be years. changed,after the Annuity effective date. If the Member or his joint annuitant dies before General Annuity Provisions the Annuity effective date,the Annuity is not 5.12. If we are uncertain whether a payee of a life purchased. Any premium we receive is contingent Annuity is alive,we have no returned as you direct. obligation to make any Annuity payment 5.6. Annuities are subject to any limitations in the unless,within seven years after the payment Plan required by applicable laws or due date,we receive proof from you or the regulations. Plan administrator that the payee was living on that date. If we do not receive proof,our Annuity Purchase Rates obligations pertaining to that payment and 5.7. If you specify the gross premium,we later payments are the same as if the payee determine the Annuity amount using the had died immediately before that payment due Annuity net premium rate then in effect. date. 5.8. The Annuity purchase rate is based on a net 5.13. Annuity payments are made to the Member. If premium. The net premium equals the gross we have reason to believe a payee is legally premium,less any applicable premium tax. incapable of giving a valid receipt for any Annuity payment,we may make the payment to 5.9. The initial minimum premium rate basis in any payee permissible under the Plan. Such effect for this contract is: payment discharges our obligation for the Mortality: 1983 Table a. For purposes of Annuity payment. calculating the initial minimum premium rate, 5.14. Certificates we issue include the terms and the annuitant's and second annuitant's adjusted restrictions we believe are in compliance with age will be used.The annuitant's and second applicable laws or regulations. Page9 STD 6. Fees 7. General Matters 6.1. Fees are payable as described in the Fee Exhibit 7.1. All agreements,notices or other communication or as otherwise agreed. required by this contract must be in writing. 6.2. Any fee we bill you is payable within 31 days of Notices to us are effective when we receive them the billing date. If we do not receive prompt at the address designated by us. Notices to you payment,we may deduct the unpaid fees plus are effective when sent. One of our duly reasonable interest from the contract or from authorized officers must sign all our agreements. payments due you. 7.2. Any error in making payments or keeping any records pertaining to this contract may be corrected by us. 7.3. Any provision of this contract which we may have waived on one occasion may continue to be enforced by us. 7.4. No interest in this contract may be assigned without our prior written consent. 7.5. You may name,by notice to us,an agent to act for you in matters concerning this contract. The agent will have all your rights,powers and duties in such matters. 7.6. You are responsible for determining the proper accounting for this contract by the Plan. 7.7. You will provide us with satisfactory evidence that the Plan is a qualified plan under the Code. You will notify us promptly if the Plan fails to meet these requirements. 7.8. You(and any person you name responsible for directing Plan investments)are solely responsible for determining whether this contract is a suitable Plan funding vehicle and in making that determination have taken into consideration the Plan investment objectives,including its liquidity and diversification needs. 7.9. We may take any reasonable action,as permitted by this contract,that we determine is appropriate to assure that any of our contractual obligations are adequately supported. 7.10. We are not chargeable with knowledge of the terms of any trust agreement. 7.11. We are not responsible for reconciling Member statements to the contract. Page 10 STD 7.12. We acknowledge that,if the Plan is subject to the Employee Retirement Income Security Act of 1974,as amended (ERISA),we are acting as an investment manager and are a fiduciary,as defined in section 3(38)of ERISA,solely with respect to the management of Plan funds held in a Separate Account. In all other respects,in exercising our rights,we represent ourselves and not the Plan. 7.13. We may defer honoring any withdrawal request or other payment obligation if,due to the closing or other disruption of financial markets or exchanges,we are unable to prudently execute or settle transactions on behalf of a Separate Account Such deferral generally will be limited to the period of the market disruption. We may also defer honoring any withdrawal request for the period of time necessary to prudently liquidate assets to satisfy such request. Withdrawals may be subject to any other limitations described in the Term Schedules. 7.14. We are not obligated to determine whether any payment is made in accordance with the terms of the Plan or any aPplicable law or regulation. 7.15. If you use more than one Separate Account under this contract,we will normally establish a distinct Interest Accumulation Fund with respect to each account used. Unless we agree otherwise,this contract's terms,including those pertaining to the Credited Rate,apply separately to each Separate Account and its associated Interest Accumulation Fund. Page 11 Sr-80284 Term Schedule Quality Fund II Quality Fund u is a pooled long-term public bond SA-392 Separate Account. Account investments consist primarily of a diversified portfolio of United States Treasury and agency securities,mortgage pass- Stabilizer Contract: through and other asset backed securities and other ST—60284 publicly traded investment grade debt securities. The portfolio is managed to match the investment duration of the Barclays Capital U.S.A or Better Aggregate Bond Index,plus or minus 0.50 years. The portfolio may also include cash,forward contracts, financial futures and options(including options on futures)or such other instruments and investments as we believe appropriate for the proper management of the Account. Expenses charged to the Account include,but are not limited to,brokerage commissions,transfer taxes and other direct charges arising from the purchase, sale or management of account investments and such other taxes or charges attributable to the assets or operation of the Account,including audit fees. Deposits and Withdrawals Subject to the contract's terms,deposits to and withdrawals from the Account may normally be made on any Business Day. Valuation The value of the Separate Account is the fair market value of all investments held in the Separate Account plus accounts receivable less accounts payable. Market value for publicly traded securities is based on closing sales prices as reported on national securities exchanges,or closing bid prices as reported by investment dealers. Securities purchased but not yet paid for are carried as securities owned at the current market value with the total cost thereof,including commissions and taxes,being an account payable. Securities sold but not yet paid for are carried at their sale price less commissions and taxes. Page 12 ST-60284 Credited Rate Determination Credited Rate Under your contract we announce a new Credited Rate Determination Exhibit for each Credited Rate Period,which is credited to your contract's Interest Accumulation Fund. The Contractholder: formula we use is based on the relationship: VOYA INSTITUTIONAL TRUST COMPANY AS TRUSTEE OF THE ORANGE COUNTY MV(1+I)d=IAF(1 +G)d SANITATION DISTRICT 457(b)DEFERRED COMPENSATION PLAN The equivalent formula,expressed in terms of G is: Contract Document Number: G=[(MV/IAF)I/d x(1+I)] -1 ST—60284 Where: G= Your new Credited Rate. MV= Your projected Separate Account Balance on the date the new Credited Rate is first effective,plus our projection of anticipated net deposits,withdrawals and expense charge deductions in the next Credited Rate Pcricd. IAF= The projected balance of the Interest Accumulation Fund on the date the new Credited Rate is first effective,plus our projection of anticipated net deposits, withdrawals and expense charge deductions in the next Credited Rate Period. d= The target investment duration of the Separate Account your contract uses. I= The net effective yield available,on the date we determine the new Credited Rate,on assets similar to those in the Separate Account. Rabiliaa Cmftad EAbk Page 13 ST-6m Any projections are based on current balances or values available on the date we determine the new Credited Rate,and reasonable assumptions as to cash flows,earnings and other occurrences between that date and the date the new Credited Rate is first effective,or during the next Credited Rate Period,as appropriate. The new Credited Rate we announce for any Credited Rate Period will never be less than 0%. We may change this Exhibit by 30 days notice to you. Any change will not apply if you give us a discontinuance notice before the change is effective. Stabilim CMW EARat Page U ST-6104 Fee Description 2016 Stabilizer The asset fee is guaranteed for 2016. If this fee Contract Fee Exhibit changes,you will receive 30 days written notice. Other fees may be changed at any time. The fees are Contractholder: as follows: VOYA INSTITUTIONAL TRUST COMPANY AS Asset Fee TRUSTEE OF THE ORANGE COUNTY The asset fee is deducted or billed. It equals the SANITATION DISTRICT 457(b)DEFERRED amount determined by applying the following table to COMPENSATION PLAN the mean assets of the Interest Accumulation Fund Contract Document Number: associated with Quality Fund H,prorated for periods ST—60284 other than 12 months. Mean Assets Percentage Charge First$25,000,000 0.50% Over$25,000,000 0.40% Extra Reporting Account Fee If you require separate financial information for various groups,a fee of$0 is charged for each such group in excess of one. This fee is prorated for periods other than 12 months. Miscellaneous Fees Additional fees apply for any non-standard service we provide at your request. We will notify you of the applicable fees,if any. Si HzEr Ca tad Edibit Page 15 STD Book Value Settlement Description Stabilizer Contract If,at contract discontinuance,you elect to receive Book Value Settlement the balance of the Interest Accumulation Fund,your contract will enter into its Book Value Settlement Exhibit Phase. Over the Book Value Settlement Phase,we will pay you the balance of the Interest Accumulation Fund. The Book Value Settlement Contractholder:VOYA INSTITUTIONAL TRUST COMPANY AS Phase will operate on the following terms. TRUSTEE OF THE ORANGE COUNTY Within 30 days of the date your contract's SANITATION DISTRICT 457(b)DEFERRED discontinuance is effective,we will establish an COMPENSATION PLAN initial installment payment schedule for your contract. The initial installment payment schedule Contract Document Number: will establish three target dates for the payment to ST—60284 you of the balance of the Interest Accumulation Fund in installments. The target dates will be established in relation to the target duration of the Separate Account. The first target date will be six months prior to a date(the"Central Maturity Date") that is established by adding a period of time equal to the target duration of the Separate Account to the date your contract's discontinuance is effective. The second target date will be the Central Maturity Date. The third and final target date will be six months after the Central Maturity Date. The amount that is scheduled to be paid on each target payment date is as follows: 6 months prior to 1/3 Remaining Interest Central Maturity Date Accumulation Fund Central Maturity Date 1/2 Remaining Interest Accumulation Fund 6 Months following Remaining Interest Central Maturity Date Accumulation Fund If you desire an alternative initial installment payment schedule or alternative payment amounts we may propose differing schedules and amounts to you. The use of an alternative payment schedule or amounts may be conditioned upon the securing of any necessary regulatory approvals. Unless the parties agree to an alternative,the initial installment payment schedule and payment amounts will be determined as described above. SWrw Oor bW Uibit Page 16 ST-602&1 Upon commencement of the Book Value Settlement (d) Withdrawals may continue to be made in Phase,we will adjust the target duration of the assets accordance with the Benefit Withdrawals and in the Separate Account to equal the average of the Contractholder Withdrawals section of your contract. times remaining to each of the outstanding The portfolio may increase its investment in Treasury installment payments,and we will strive to maintain securities and short term securities in anticipation of the duration of the Separate Account's investments to any approaching installment payment. plus or minus 10/o of this target duration. During the final six months of the Separate Account's operation, On the final installment payment date,we will the Separate Account's target duration will be increase the payment to you by the amount, if any,of adjusted to reflect anticipated withdrawals. the excess of the Separate Account Balance as of that In connection with any installment payment that is date over the Interest Accumulation Fund balance as made,we will reduce your Separate Account Balance of that date. and the balance of the Interest Accumulation Fund by If we calculate the Credited Rate to be 3%or less, an amount equal to the payment that is made. and the ratio of the contract's Separate Account Balance divided by the Interest Accumulation Fund During your contract's Book Value Settlement Phase: is less than 95%,for any Credited Rate Period during (a) We will accept only those deposits that you are the Book Value Settlement Phase,we will establish a committed to make under the current Deposit new target installment payment schedule by Agreement and that we are obligated to accept under extending the Central Maturity Date as far as the Deposits section of the contract. No additional necessary to support a Credited Rate of 3%. deposits will be accepted. We will not enter into any However,in no event may we extend the Central renewal Deposit Agreement. Maturity Date more than ten years from the date your (b) We will continue to renew you_rr Credited Rate as contract's discontinuance is effective. provided under the Operation of the Fund section of Upon any such extension of the Central Maturity the contract and the Credited Rate Determination Date,we will similarly extend the target investment Exhibit. In establishing the variables for purposes of duration of the assets in the Separate Account. the Credited Rate Determination Exhibit,we may If the Central Maturity Date is extended after any take into account our projection of anticipated installment payment(s)has been made,the new withdrawals,scheduled installment payments,and schedule will exclude the that have expense charge deductions over the time remaining payment(s) already been made. until the final target installment payment date. The lowest Credited Rate we will announce for any At any time after your contract has entered its Book Credited Rate Period while your contract is in its Value Settlement Phase,but before the final Book Value Settlement Phase is 0%. installment payment has been made,you may elect (c) Your Credited Rate Period will be quarterly until an early termination of your contract by directing us three months prior to the final scheduled installment to pay you your Separate Account Balance. payment. Credited Rate Periods may,at our Following such an election by you,our payment of discretion,be monthly periods during the three- your Separate Account Balance will terminate your month period prior to the final scheduled installment contract and fully discharge our obligations to you. payment. If we choose to provide monthly Credited We may change this exhibit upon 90 days advance Rate Periods,we will notify you of the rate to be notice to you. Any change will not apply if you give credited for that period concurrently with the start of or have given us a discontinuance notice before the that period. change is effective. Stabilizer Contract Efibit Page 17 STD Interest Rate 2016 Stabilizer Contract Interest The net effective annual interest rate credited to your Interest Accumulation Fund from May 1,2016 Exhibit through June 30,2016 is 2.58%. We may change this rate at the beginning of each Contractholder: Credited Rate Period upon 30 days advance written VOYA INSTITUTIONAL TRUST COMPANY AS notice to you. TRUSTEE OF THE ORANGE COUNTY SANITATION DISTRICT 457(b)DEFERRED COMPENSATION PLAN Contract Document Number: ST—60284 RabiliZEr Catad Fdibit Page 18 ST-60284 Return to Guide RESOLUTION NO. OCSD 18-20 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ADOPTING A REVISED POLICY REGARDING BOARD OF DIRECTORS' EXPENSE REIMBURSEMENT, MEETING ATTENDANCE AND COMPENSATION; AND REPEALING RESOLUTION NO. OCSD 15-06 WHEREAS, pursuant to Government Code section 53232.2, the Board of Directors adopted a written policy governing compensable activities and reimbursable expenses for travel, meals, lodging, and incidentials; ; and WHEREAS, the Board of Directors desires to revise the policy; NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1: Adoption of Policy and Establishment of Procedures. The Board of Directors hereby adopts the Directors Compensation and Expense Reimbursement Policy, set forth as Exhibit "A", attached hereto and incorporated herein by reference. Section 2: Rescission of Inconsistent Resolutions and Policies. Resolution No, OCSD 15-06 is hereby repealed. In addition, any prior resolutions and/or policies established by the Board of Directors that conflict with the policy set forth in Exhibit "A" shall be deemed rescinded to the extent of such conflict. PASSED AND ADOPTED at a regular meeting of the Board of Directors held 281h day of November 2018. QT61-gorylt. S9bourn, PLS Chairman of the Board ATTE T: Kelly A. L MC Cler of tW Board OCSD 18-20-1 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 18-20 was passed and adopted at a regular meeting of said Board on the 2811 day of November 2018, by the following vote, to wit: AYES: Barnes; Bernstein; Collacott; Deaton; Ferryman; Hawkins; Jones; Kim; R. Murphy; Nagel; Nguyen; Parker; Peotter; Peterson; Sebourn; Shawver; T. Smith; Steel; Wagner; Wanke; and Yarc NOES: None ABSTENTIONS: None ABSENT: Shaw; F. Smith; Tinajero; and Withers IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 2V day of November 2018. K ly .Veoard Cler o of Directors Orange C my Sanitation District OCSD 18-20-2 EXHIBIT "A" ORANGE COUNTY SANITATION DISTRICT BOARD OF DIRECTORS' COMPENSATION AND EXPENSE REIMBURSEMENT POLICY This Policy governs compensation and reimbursement of expenses for members of the District's Board of Directors. The Policy applies to both regular members of the Board and alternate members. ARTICLE I. DIRECTORS' COMPENSATION Pursuant to an ordinance adopted by the Board of Directors, the District is authorized to compensate Board members in a specified amount for (1) attending each meeting of the Board of Directors, and (2) otherwise providing a day of service to the District. The ordinance limits compensation to a specified maximum number of days per month. The Board of Directors may, from time to time, amend the ordinance to change the amount of compensation and/or the maximum number of compensable days per month. As required by state law, ' this Article identifies those activities that are compensable. Section 1: Compensable Activities. A. Meetings. Each regular Director shall be entitled to compensation for attendance at (1) each meeting of the Board of Directors; (2) each meeting of the Standing Committee on which the Director serves; (3) each meeting of an Ad Hoc Committee to which the Director has been duly appointed; and (4) each meeting of any joint governmental board, committee, or association to which the Director has been appointed as the District's representative. Each alternate Director shall be entitled to compensation for attendance at a meeting when, and only when, the alternate Director attends the meeting in place of the regular Director. B. Required Training. Each Director shall be entitled to compensation for attendance at the ethics training required by Government Code Section 53235 and the sexual harassment training and education required by Government Code Section 12950.1. C. Other Activities. The Chair of the Board of Directors may, on a case-by- case basis, authorize compensation of individual Directors for participating in the following types of activities: (1) meetings with representatives of local, regional, state, or national government on issues affecting the District; (2) meetings, conferences, and seminars sponsored by the California Association of Sanitation Agencies or the California Special i Health&Safety Code section 4733(c)and Government Code section 53232 et seq OCSD 18-20-3 Districts Association; (3) ceremonial events sponsored by the District; (4) ceremonial events sponsored by another organization if the Board Chair has authorized the Director to represent the District at the event; (5) meetings of a Standing Committee or Ad Hoc Committee when the Director is not a committee member; (6) meetings of agencies, nonprofit organizations, or service clubs when the Board Chair has authorized the Director to make a presentation on behalf of the District; and (7) meetings with District staff, including telephone conferences when physical attendance is impractical. In addition, the Steering Committee may, on a case-by-case basis, authorize compensation of individual Directors for attending meetings, conferences, or seminars relating to wastewater, local government, and/or other matters within the Board's jurisdiction. D. Considerations. The Board Chair and the Steering Committee shall approve compensation under Section C above only for activities that provides a benefit to the District. Benefits include, but are not necessarily limited to, the acquisition of information, education, training, and skills that will further the District's ability to protect public health and the environment by providing effective wastewater collection, treatment, and recycling. Other benefits include positive changes to federal and state statutes and regulations that govern the District, and maintenance of positive relations with the public and other governmental agencies. Section 2: Limitation. In no event shall a Director receive compensation for more than one meeting or other activity on the same day. Section 3: Non-Compensable Activities. Notwithstanding Section 1 above, Board members shall not receive compensation for the following activities: (1) attendance at meetings or events of nonprofit organizations or service clubs, except when the Board Chair has authorized the Director to make a presentation on behalf of the District as described in Section 1.1.C. above; (2) District- sponsored employee events including, but not limited to, the annual employee holiday luncheon and retirement events; (3) parades, festivals, holiday events, or retirement dinners, (4) meetings with existing or potential contractors, vendors, or consultants, (5) meetings of partisan political organizations; (6) meetings, tours, and similar events conducted at the request of the Board member; or (7) any activity not described in Section 1.C. above. ARTICLE II. REIMBURSEMENT OF DIRECTORS' EXPENSES Section 1: Approved Activities. In accordance with the terms of this Policy, the District will reimburse Directors for certain expenses incurred in connection with the compensable activities described above in Article I. The District will not reimburse Directors for any other expenses. OCSD 18-20-4 Section 2: Reimbursable Expenses. A. Transportation. In travelling to and from events, Directors must use the most economical form of transportation that is reasonably consistent with the Director's travel and scheduling requirements. i. Mileage for Personal Vehicles. The District will reimburse Directors for use of personal vehicles based on actual miles traveled at the then-current "standard mileage rate" adopted by the U.S. Internal Revenue Service for use in deducting the cost of operating an automobile for business purposes. The District will not reimburse Directors for any other personal vehicle expenses. When calculating mileage traveled by a Director to attend an event, the District will use the lesser of (1) the distance from the administrative headquarters of the Director's member agency to the event, and (2) the actual distance traveled. Mileage reimbursements shall not exceed the cost of the lowest available airfare. ii. Other Transportation Expenses. When travel by personal vehicle is impractical, the District will reimburse Directors for the actual cost of (1) regularly-scheduled travel by airplane, train, bus, or other commercial carrier, (2) rental cars, and (3) taxis and other comparably-priced for-hire vehicles. The District will also reimburse Directors for related necessary travel expenses such as baggage fees, toll charges, and parking fees. Directors must take advantage of any government or group rates offered by a transportation provider. Before deciding to travel by air, each Director must consider the total cost of alternatives, including the cost of ground transportation and any necessary lodging. Each Director should also consider alternative departure times, departure and arrival airports, dates, departure times, and stopovers to minimize airfare. Directors should request travel arrangements as early as possible to take advantage of lower airfares. Generally, the District will only reimburse Directors for air travel in coach class. When necessary based on a Director's physical needs and/or the need to conduct meaningful work during a flight, the Board Chair has the discretion to approve reimbursement of first class air travel. For trips that will exceed 24 hours, Directors must use their personal cars to travel to and from the airport, and utilize long-term airport parking, rather than pay for a taxi or other transportation to and from the airport. B. Lodging. The District will reimburse Directors for actual and necessary lodging expenses incurred in attending a conference, seminar, or meeting. Directors must take advantage of any government rate or group rate for lodging whenever possible. If there is no OCSD 18-20-5 government or group rate, the District will reimburse Directors for lodging up to the per diem rate used by the U.S. Internal Revenue Service as the maximum allowable deduction for business-related lodging expenses. The per diem rates are set by the General Service Administration ("GSA") for federal employees. The rates are set forth at GSA.gov/per diem. Lodging in connection with an activity that lasts only one day is considered "necessary" when the travel time to and from the activity exceeds two hours. C. Meals. The District will reimburse Directors for actual and necessary dining expenses incurred while attending (1) a conference, seminar, or meeting outside of the District, or (2) a District-related business meeting within the District. The District will reimburse Directors up to the applicable GSA per diem rate for each separate meal set forth at GSA.gov/per diem. D. Incidentals. The District will reimburse Directors for actual and necessary incidental expenses incurred while attending a conference, seminar, or meeting outside the District, up to the applicable GSA per diem rate set forth at GSA.gov/per diem. Reimbursable expenses include tips given to drivers, porters, bellhops, baggage carriers, and hotel housekeepers. E. Travel Arrangements. Each Director must utilize District staff to arrange all travel, lodging, and event registrations. The General Manager shall designate a District employee responsible for making these arrangements. The General Manager shall designate a single travel agency for use in making all travel arrangements. Section 3: Expenses That Are Not Reimbursable. The District will not reimburse Directors for the costs of: (1) barber and/or beauty shop services; (2) fines for traffic or parking violations; (3) any person accompanying a Director on a District-approved trip or event; (4) personal telephone calls; (5) fitness/health facility use; (6) massages; (7) alcoholic beverages; (8) entertainment (movies, sporting events, etc.); or (9) vehicle expenses other than the standard mileage charge. Section 4: Reimbursement Procedure. Each Director seeking reimbursement must file with the Clerk of the Board an expense report no later than three weeks after the conclusion of the compensable activity. The report shall attach detailed, actual receipts for all expenses. The report shall document that each expense meets the requirements for reimbursement set forth in this policy. Without limiting the foregoing, each report shall identify the compensable activity OCSD 18-20-6 and the date, nature, and purpose of each expense for which reimbursement is sought. For reimbursement of a personal vehicle expense at the standard mileage rate, the expense report shall identify the date of the travel, the actual miles traveled, and the business purpose of the travel. The General Manager shall prepare a standard form of expense report for use by Directors in seeking reimbursement. Section 5: Board Reports. Each Director seeking reimbursement of expenses incurred in connection with an activity shall provide a brief report of the activity at the next regular meeting of the Board of Directors. Section 6: Other Expenses. Any expense that does not meet the requirements of this policy may be reimbursed only if the Board of Directors approves the expense at a public meeting before the expense is incurred. ARTICLE III. PENALTIES. Any Director that misuses public resources or falsifies an expense report required by this policy is subject to the following penalties: (1) loss of reimbursement privileges; (2) restitution of the District; (3) civil penalties for misuse of public resources pursuant to Government Code Section 8314; and/or (4) prosecution for misuse of public resources pursuant to Penal Code Section 424. OCSD 18-20-7 Return to Guide RESOLUTION NO. OC SAN 21-01 A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ESTABLISHING RULES OF PROCEDURE FOR THE CONDUCT OF BUSINESS OF THE ORANGE COUNTY SANITATION DISTRICT, AND REPEALING RESOLUTION NO. OCSD 19-19 WHEREAS it is necessary to establish rules of procedure to facilitate the orderly handling of business to come before the Orange County Sanitation District Board of Directors and Standing, Steering, Special and Ad Hoc Committees. NOW THEREFORE, the Board of Directors of the Orange County Sanitation District DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1 : Rules of Procedure. That the following rules of procedure be adopted for the conduct of business of the Orange County Sanitation District (Sanitation District): A. Regular Meetings. There shall be a regular monthly meeting of the Board of Directors of the Sanitation District on the fourth Wednesday of every month at 6:00 p.m., in the Administrative Offices of the Sanitation District, located at 10844 Ellis Avenue, Fountain Valley, California; provided, however, if the fourth Wednesday of the month falls upon a legal holiday, said monthly meeting shall be held on the next day thereafter, at the same time and place, unless the Board of Directors adjourns to a different date and time. The Board of Directors may adjourn any regular, special or adjourned special meeting to a time and place certain, as specified in the order of adjournment. B. Special Meetings. A special meeting of the Board of Directors may be called in either one of the following ways: (1) By the Chairperson of the Board of Directors; or (2) By the written request of a majority of the Steering Committee delivered to the Clerk of the Board. The call or notice for special meeting shall be in writing and delivered electronically or by mail at least twenty-four (24) hours before the time of such meeting, as specified in the notice. Any notice deposited in the regular mail addressed to a Director at the address he or she has on file with the Clerk of the Board postage prepaid, sixty (60) hours in advance of any such meeting as specified in the notice, shall be presumed to have been delivered. If the notice is delivered electronically, the Clerk of the Board should use an electronic "read receipt" to ensure delivery. If a Director has not read the notice, the Clerk OC SAN 21-01-1 will diligently attempt to contact the Director by telephone as soon as possible after the publication of the notice. The call or notice shall specify the time and place of the special meeting, a description of the business to be transacted and copies of all pertinent material. Such notice may be dispensed with as to any Director or Alternate Director who, at or prior to the time the meeting convenes, files with the Clerk of the Board a written waiver of notice. Such waiver may be given by facsimile or electronic mail. Such notice may also be dispensed with as to any member who is actually present at the meeting at the time it convenes. The Clerk of the Board shall diligently attempt to notify each Director personally of the time, place and purpose of said meeting, not less than twenty-four (24) hours before the time of said meeting. The call or notice shall be posted in the administrative offices' public lobby and in a location freely accessible to the public at least twenty-four(24) hours prior to the special meeting. C. Meetings Adjourned by Clerk of the Board. If at any regular, adjourned regular, special or adjourned special meeting there is not a quorum of Directors present, the Clerk of the Board may declare the meeting adjourned to a stated time and place and shall cause written notice of the adjournment to be given in the same manner as for a special meeting, unless such notice is waived as provided for in special meetings. Within twenty-four (24) hours after the time of the adjournment, a copy of the order or notice of adjournment shall be conspicuously posted on or near the door of the place where the meeting was held and, in a location, freely accessible to the public. D. Notices to News Media. When any local newspaper of general circulation, radio or television station requests, in writing, notices of meetings of the Board of Directors, the Clerk of the Board shall thereafter, until receipt of a notice terminating said request, deliver notices of regular, regular adjourned and special adjourned meetings to such newspapers, radio or television stations. Delivery shall be made in the same manner as delivery is made to the Directors. E. Conduct of Meetings. (1) Procedural Rules. The procedural rules for debate and action shall be as set forth in Table 1, attached hereto and adopted herein by reference. Robert's Rules of Order shall not be applicable or govern the procedures for the conduct of Sanitation District business. (2) Legal Officer. In any case of ambiguity or uncertainty in the interpretation or application of these Rules to any procedure, the presiding officer may direct such question for a ruling to the Board's General Counsel, who shall be the parliamentarian of the Board. OC SAN 21-01-2 (3) Obtaining the Floor and Making Motions. Any member of the Board wishing to speak, or any member of the public wishing to address the Board, must first be recognized by the Chairperson. The Chairperson must recognize any member of the Board who seeks the floor when appropriately entitled to address the Board. Any member of the Board, including the Chairperson, may bring a matter of business properly before the Board by making a motion. Any member, including the Chairperson, except the member making the motion, may second the motion. Once a motion is seconded, it may be opened for discussion and debate, in accordance with the procedures in Subsection (4) below. (4) Rules for Discussion, Debate and Deliberation by the Board. The procedures for consideration and action on all matters to come before the Board shall be in compliance with the terms of this Section, as follows: (a) Each item on the Agenda will be introduced in a form of a report by either the General Manager, a member of the Executive Management Team, General Counsel, Special Counsel, or the Clerk of the Board. (b) Upon completion of the report, the Chairperson will allow for direct questions regarding the item, by Directors, each in turn, and in the order as selected by the Chairperson. (c) Upon completion of the question period, the Chairperson will entertain a motion and second for consideration by the Board. (d) Discussion among the Directors will follow. Each Director will be recognized to address the Board in the order selected by the Chairperson, with a five (5) minute time limit for each Member wishing to speak on the Agenda item, unless the time limit is waived by the Chairperson. Directors should limit comment to the subject matter, item, or motion currently being considered. There will be no interruptions of the Director who has been recognized. Attempted interruptions will be declared out-of-order, and the Director attempting to interrupt will be asked to remain silent until recognized. (e) As an additional courtesy to everyone, repetition of comments will be discouraged in the interest of time and, at the discretion of the Chairperson, can be declared out-of-order. (f) After each Member who wishes to speak has been recognized and completed their remarks, a single three (3) minute period of rebuttal will be allowed any Director, unless the time limit is waived by the Chairperson. (g) If it appears to the Chairperson that any Director is pursuing a line of questioning or commentary due to lack of preparation or prior review with the Sanitation District's Staff, the Director's time will be declared to have been used up, and no further inquiry will be allowed. OC SAN 21-01-3 (h) Upon adoption of a motion on an Agenda item, there will be no further discussion of that item. (5) Decorum in Debate. All Members shall address their remarks to the Chairperson and confine them to the business then pending and subject to discussion before the Board, avoiding personalities and reflections upon anyone's motives. (6) Closing or Limiting Debate. At all times, the Board shall endeavor to allow free and open debate among Members of the Board. However, in the discretion of the Chairperson, it may become necessary to close or limit debate, so that action can be taken by the Board. An order by the Chairperson closing or limiting the debate can only be set aside by a majority vote of the Board. F. Quorum. A majority of the Directors shall constitute a quorum of the Board. G. Chairperson and Vice Chairperson of the Board. A Chairperson and Vice Chairperson of the Board shall be elected by a majority vote of Directors at the regular meeting in June of each year and will assume office July 1st. The nominations for Chairperson and Vice Chairperson shall be made at the regular Board meeting in May of each year. Any person nominated for Chairperson shall be deemed to be nominated for Vice Chairperson in the event the person is not elected as Chairperson. Thereafter, the nominees shall prepare a statement setting forth their qualifications for the office sought. The statements should be forwarded to the Clerk of the Board who will in turn forward by electronic mail to the members of the Board of Directors with the Agenda and other meeting material for the June regular meeting. If only one individual is nominated for Chairperson at the regular Board meeting in May, that individual shall be deemed elected as Chairperson, no election shall be held in June, and the individual shall assume office July 1st. If only one individual is nominated for Vice Chairperson at the regular Board meeting in May, that individual shall be deemed elected as Vice Chairperson, no election shall be held in June, and the individual shall assume office July 1 st The Chairperson and Vice Chairperson shall serve at the pleasure of a majority of the Directors. In the event the office of Chairperson becomes vacant due to resignation or retirement of the incumbent prior to the expiration of the regular term, the Vice Chairperson shall automatically succeed to the office of the Chairperson and shall continue to serve through the remainder of the regular term unless sooner removed by action of a majority of the Directors. In the event the office of Vice Chairperson becomes vacant prior to the expiration of the regular term, nominations, and the election of a Director to serve in that capacity shall be conducted at the next regular Board meeting. The person so elected shall serve the balance of the regularly scheduled term unless sooner removed as a result of action by a majority of the Directors. The Chairperson shall not serve more than two consecutive one-year terms for which they have been elected to the office of Chairperson. The Vice Chairperson shall OC SAN 21-01-4 not serve more than two consecutive one-year terms for which they have been elected to the office of Vice Chairperson. H. Presiding Officer. The Chairperson of the Board shall preside during meetings of the Directors. In the absence of the Chairperson, the Vice Chairperson shall preside. I. Clerk of the Board and Minutes. The Board of Directors shall have a person designated to serve as Clerk of the Board. The Clerk of the Board will be appointed to the position by the General Manager and shall report to the General Manager or their designee. The Clerk of the Board will be a regular full-time employee, subject to all the rules and policies applicable to all regular full-time employees. The Clerk of the Board shall attend all meetings of the Board of Directors, unless excused by the Chairperson, and shall prepare an accurate record of each meeting for submission to the Directors and subsequent approval at the following meeting; provided, however, that when an adjourned, special or special adjourned meeting of the Board of Directors immediately precedes a regular meeting, Minutes of said meeting shall be submitted for approval at the next meeting of the Board following said regular meeting. In the preparation of Official Minutes of a meeting of the Board of Directors, the Clerk of the Board will not record the name of the Director who moves or who seconds the adoption of a motion or Resolution but will reflect the votes by name of each Director on each item brought before the Board. In the absence of the Clerk of the Board, an Assistant Clerk of the Board shall be appointed to exercise the duties of the Clerk of the Board. Regular Business to Come Before the Board of Directors. Insofar as practicable, all items of business to be taken up at a regular meeting of the Board shall be submitted to the Clerk of the Board, who shall include the Agenda all such items submitted by Directors, the General Manager and General Counsel, and all formal communications. The General Manager, in consultation with the Board Chairperson and Board Vice Chairperson, shall determine agenda items for Sanitation District Board of Director Meetings. Directors should prepare in advance of meetings and be familiar with items on the agenda. Directors shall make a reasonable effort to meet with the General Manager or related staff before meetings to receive answers to questions regarding the agenda. The Order of Business on the agenda for regular meetings of the Board of Directors shall be: i. Call to Order ii. Invocation and Pledge of Allegiance iii. Roll Call and Declaration of Quorum iv. Public Comment - Pursuant to the Brown Act, public comment will be allowed on items on the Board/Committee agendas at the beginning of the meeting either on agenda items or general comments within the subject matter jurisdiction of the Sanitation District. Public OC SAN 21-01-5 comments are limited to no more than three minutes each. Individuals desiring to speak are encouraged to submit a request to speak card or place an eComment online to the Clerk of the Board. v. Special Presentations - Special presentations shall be scheduled as necessary in recognition of employee or Director service, or other requested presentations. Requests for special presentation must be submitted to the Clerk of the Board in writing in advance of the agenda publication deadline. The Clerk of the Board will coordinate the scheduling of presentations with the Board Chairperson. vi. Board Chairperson / General Manager Reports - The reports portion of the meeting provides the Chairperson and the General Manager the opportunity to briefly comment on Sanitation District business, operations, projects and other items of interest. vii. Public Hearings - Public Hearings may be required on certain items as prescribed by state or federal law. The regular time for public hearings is established by this resolution. viii. Elections — Annually or when deemed necessary. ix. Consent Calendar - Items on the Board/Committee Agenda which are considered to be of a routine nature by the General Manager shall be listed on the "Consent Calendar." These items shall be approved, adopted, etc. by one motion of the Board and majority vote. Directors may comment on Consent Calendar items or ask for minor clarifications without the need for pulling the item for separate consideration. Items requiring deliberation should be pulled for separate consideration. x. Receive and File - Items that require no action; and if no objection, the Chairperson may so order. A. Committee Items — Items approved at the monthly Committee meetings are brought forward under each Standing Committee title on the agenda for Board approval. These items may be treated as a consent calendar by one motion of the Committee and majority vote. xii. Non-Consent — Items on the Board/Committee Agenda which have not been previously considered and require study,report or action. xiii. Information Items — Educational or Items of interest that require no OC SAN 21-01-6 action. xiv. AB 1234 Disclosure Reports — This item allows Board members to provide a brief oral report regarding the disclosure of outside committees, conferences, training, seminars, et. Attended at the Agency's expense, per Government Code §53232.3(d). xv. Closed Session - During the course of conducting the business set forth on an agenda as a regular meeting, the Chairperson may convene the Board/Committee in closed session pursuant to pursuant to Government Code Sections 54956.8, 54956.9, 54957 or 54957.6, as noted. All written materials and verbal information regarding closed session items shall remain confidential. No member of the Board of Directors, employee of the Sanitation District, or any other person present shall disclose to any person the content or substance of any discussion which takes place in a closed session unless authorized by General Counsel and a majority of the Board of Directors. xvi. Other Business and communications or Supplemental agenda items — Prior to adjournment, the Board Chairperson will inquire if there is any other business to bring before the meeting. xvii. Board of Directors initiated items for a future meeting - This portion of the meeting allow Directors to request an agenda item for a future meeting. If the Board Chair or a majority of the body indicates support for the request at that time, then the item shall be placed on a future agenda. Upon support for the request, the Board of Directors/Committee will provide direction to staff on the information that is desired to be presented when the item is placed on a future agenda. xviii. Adjournment The Board Chairperson shall have the discretion to change the order of business. The Clerk of the Board shall electronically mail to each Director a notice of such regular meetings, together with a proposed Agenda, not later than the Friday immediately preceding such regular meetings. Said Agenda, insofar as possible, shall include copies of Resolutions, except as hereafter provided, and a description of all matters to be considered, together with any additional pertinent material. Agendas shall be posted in a location freely accessible to the public not less than seventy-two (72) hours in advance of the meeting. OC SAN 21-01-7 Resolutions designated as "standard" and adopted by the Board of Directors from time to time, and approved as to form and content, need not be included with said Agenda; provided, however, that the information completing said standard Resolutions shall be set forth on the Agenda listing, and copies of said standard Resolutions shall be on file with the Clerk of the Board at the meeting time and place. Items of business not known at the time the regular Agenda is electronically mailed as herein provided, may be considered as supplemental Agenda items; provided that all requirements of the Ralph M. Brown Act (California Government Code Sections 54950 et sec.) are satisfied. No business, except with consent of two-thirds of the Directors present (a majority of Directors present for emergency actions), and only if permitted by the Ralph M. Brown Act, not appearing on the regular or supplemental Agendas may be brought before the Board of Directors. The meeting Agenda shall provide for an opportunity for members of the public to address the Board on items on the Agenda and non-Agenda items of public interest. As determined by the Chairperson, speakers may be deferred until the specific Agenda item is taken for discussion, and remarks may be limited to three (3) minutes. Speakers on non-Agenda items may address only items that are within the subject matter jurisdiction of the Board of Directors. Time allotted for such presentations is limited to three (3) minutes or less. Total time allotted for all public input on each non-Agenda item is limited to thirty (30) minutes to one (1) hour, taking into consideration the number of persons filing a request to address the Board. However, time allotments may be waived by a majority vote of the Board. K. Handling of Business and Voting. During the course of a Board meeting, routine matters listed on the Agenda for consideration will be referred to by Agenda Item Number only. Voting on all Resolutions shall be by roll call, except if waived by unanimous voice vote, in which event, the Chairperson may order a unanimous ballot cast in favor of the motion or Resolution under discussion. The name of each Director shall be called only once. On matters of considerable interest or on which there appears to be a controversy, the motion or Resolution shall be read by title or repeated by the Chairperson. The Chairperson shall thereafter call for discussion of the motion or Resolution, at which time any member may discuss the pending matter. Any person other than a Director present at the meeting may speak on the motion if recognized by the Chairperson. Sole discretion as to the extent of discussion outside of the membership of the Board shall rest with the Chairperson. At the close of discussion, the Chairperson may, at the Chairperson's discretion, repeat the motion or Resolution pending, and thereafter, call for a vote. OC SAN 21-01-8 The Clerk of the Board shall determine and state whether or not a motion or Resolution is adopted by roll call vote. On all other matters, the Chairperson shall determine the outcome of the voting. L. Committees. (1) Standing Committees. (a) Steering Committee: There shall be a permanent Committee designated as the Steering Committee, comprised of the Chairperson of the Board, the Vice Chairperson of the Board, the Chairperson of each of the Standing Committees and two at-large members selected by the Chairperson of the Board. The Vice Chairperson of each of the three Standing Committees shall serve as the designated Alternate, in the absence or inability to serve by any Chairperson. In the absence or inability of any designated member of the Steering Committee to serve, his/her city/agency appointed Alternate Director may not serve in that member's absence. The Committee shall conduct an annual performance evaluation of the General Manager and submit recommendations on their compensation to the Board of Directors. The Committee shall also review the General Manager's evaluation and compensation of the executive management employees, based on established criteria, and executive management's goals and objectives for the following year. The Committee shall also conduct an annual performance evaluation of General Counsel and submit recommendations to the Board of Directors as provided by Resolution No. OCSD 12-03. The Committee shall make recommendations to the Board of Directors on labor negotiations and other related activities as may be needed or appropriate. The Committee shall also be authorized to assign new subjects of significant importance to the appropriate Standing Committee for study, evaluation and recommendation. The Steering Committee shall meet on the fourth Wednesday of each month at 5:00 p.m. preceding the Board's meeting, or at the call of the Chairperson of the Board of Directors. (b) Administration Committee: There shall be a permanent Administration Committee (Finance & Administrative Services, Environmental Services, and Human Resources) to advise the Staff and make recommendations on matters related to the financial, budgeting, administrative, environmental and personnel policies and programs of the Sanitation District. The Committee shall review with the Staff the procedures for development, preparation and format of the annual budget and recommend appropriate change, and OC SAN 21-01-9 counsel the Staff during the budget process to assure the proper interpretation and implementation of the Board's policies and that the desired procedures have been followed. The responsibility for consideration and adoption of the Sanitation District budget rests with the Board of Directors. The Committee shall periodically interview and recommend the selection of outside auditors. The Committee shall review the result of the annual audit of the Sanitation District's accounts with representatives of the outside audit firm, including any comments received recommending improvements. The Committee shall review management's response to these comments and make appropriate recommendations for implementation. Periodically, the Committee shall recommend employment of an outside firm to audit internal control procedures to safeguard the assets of the Sanitation District. The Committee shall interview and make recommendations on the employment of investment-banking firms, bond counsel and, if necessary or desired, financial advisors, to be used in connection with the Sanitation District's financing programs. The Committee shall periodically coordinate recommendations on personnel audits of the Sanitation District's operations or segments of the operations on an as- needed basis. The Committee shall make recommendations on personnel policies and procedures, insurers and coverage, procurement procedures and such other related activities as may be needed or appropriate. The Committee shall also review issues pertaining to the Sanitation District's National Pollutant Discharge Elimination System (NPDES) Ocean Outfall Discharge Permit, including annual review of the contractor(s) performing the ocean monitoring and research programs required as a condition of said permit, and related issues regarding protection of the marine waters off metropolitan Orange County's coastline from impacts resulting from the Sanitation District's operations and discharge of treated wastewater. The Chairperson of the Board of Directors shall appoint a Committee Chairperson and a Committee Vice Chairperson for the Administration Committee. The Committee Chairperson and Committee Vice Chairperson shall serve at the pleasure of the Chairperson of the Board of Directors. The Administration Committee shall consist of thirteen members, as follows: (1) The Chairperson of the Board of Directors; (2) The Vice Chairperson of the Board of Directors; OC SAN 21-01-10 (3) The Committee Chair of the Administration Committee; (4) The Committee Vice Chair of the Administration Committee; and (5) Nine additional Directors appointed by the Chairperson of the Board of Directors. Other than the Board Chairperson and the Board Vice Chairperson, no Director who serves on the Operations Committee shall be eligible to serve concurrently on the Administration Committee. In the absence of the Board Chairperson, his or her alternate Director may attend meetings of the Administration Committee. The Administration Committee shall meet on the second Wednesday of each month at 5:00 p.m., or at the call of its Chairperson. (c) Operations Committee: There shall be a permanent Committee designated the Operations Committee (Engineering and Operations & Maintenance). With the goal of compliance with all public health and environmental laws and regulations, the Operations Committee shall review and submit appropriate recommendations on the matters pertaining to the operation of the Sanitation District wastewater treatment process, including such matters as current and projected service/flow needs, level and quality of treatment, conservation, recycling and reuse activities and air quality issues. The Committee shall also review matters pertaining to contractual arrangements by the Sanitation District to provide sewerage services to areas outside the Sanitation District's boundaries or approved spheres of influence. The Committee shall review plans for the future needs of the Sanitation District, explore alternatives and make recommendations to the Board of Directors. The Operations Committee shall also review and submit appropriate recommendations on matters pertaining to capital projects which address operational needs, including the selection of professional consulting services to assist in studying, planning and designing needed Sanitation District wastewater treatment systems and support facilities, including computerized systems, in accordance with the Board's established policies and procedures for procuring such services; the Committee shall further review construction projects for said facilities in accordance with applicable public works laws and Board policies. Said oversight shall include the contracts for professional services and public works construction projects and addenda or change orders thereto. In carrying out its responsibilities, the Committee shall receive advance notice and regular status reports on the projects from Staff, and monitor, visit and observe the Sanitation District wastewater systems operational functions and major capital construction projects. OC SAN 21-01-11 The Chairperson of the Board of Directors shall appoint a Committee Chairperson and a Committee Vice Chairperson of the Operations Committee. The Committee Chairperson and Committee Vice Chairperson shall serve at the pleasure of the Chairperson of the Board of Directors. The Operations Committee shall consist of fourteen members, as follows: (1) The Chairperson of the Board of Directors; (2) The Vice Chairperson of the Board of Directors; (3) The Committee Chair of the Operations Committee; (4) The Committee Vice Chair of the Operations Committee; and (5) Ten (10) additional Directors appointed by the Chairperson of the Board of Directors. Other than the Board Chairperson and the Board Vice Chairperson, no Director who serves on the Administration Committee shall be eligible to serve concurrently on the Operations Committee. In the absence of the Board Vice-Chairperson, his or her Alternate Director may attend meetings of the Operations Committee. The Operations Committee shall meet on the first Wednesday of each month at 5:00 p.m., or at the call of its Chairperson. (d) Legislative and Public Affairs Committee: There shall be a permanent Committee designated as the Legislative and Public Affairs (LaPA) Committee. The Committee shall review issues pertaining to the impact on OCSD of legislative and regulatory proposals and submit appropriate recommendations on the matters. The Committee shall also be responsible for overseeing the contractual arrangements with the Sanitation District's legislative advocates to provide advocacy services in Sacramento and Washington, D.C. In carrying out its responsibilities, the Committee shall receive regular status reports from the advocates and staff and monitor and recommend positions on legislative and regulatory proposals. The Committee shall also review issues pertaining to the Sanitation District's public outreach, branding, and communications activities, evaluate alternatives and make recommendations to the Board of Directors. The Chairperson of the Board of Directors shall appoint a Committee Chairperson and a Committee Vice Chairperson to the LaPA committee. The Committee Chairperson OC SAN 21-01-12 and Vice Chairperson shall serve at the pleasure of the Chairperson of the Board of Directors. The LaPA Committee shall consist of seven members, as follows: (1) The Chairperson of the Board of Directors (2) The Vice Chairperson of the Board of Directors (3) The Committee Chairperson of the LaPA Committee (4) The Committee Vice Chairperson of the LaPA committee (5) Three (3) additional Directors appointed by the Chairperson of the Board of Directors The LaPA Committee shall meet on the second Monday of the months of February, March, May, September, and November at 12:00 p.m. and the months of April and July at 3:30 p.m. or at the call of its Chairperson." (2) Special and Ad Hoc Committees. In addition to the Standing Committees, the Chairperson of the Board of Directors, the Chairperson of a Standing Committee or a majority of the Directors, may appoint from time to time, Special or Ad Hoc Committees to study and report on specific matters. Such Committees shall be temporary in nature, and their assignments shall pertain to a current, specific issue. Upon completion of the assigned task, the Ad Hoc or Special Committee will be dissolved. The Chairperson and Vice Chairperson of Special and Ad Hoc Committees shall be appointed by the Chairperson of the appointing authority. Each Special and Ad Hoc Committee shall meet at the call of its Chairperson. M. Alternate Directors: If a regular Director cannot attend a meeting of the Operations Committee, the Administration Committee or the full Board of Directors, the Director's alternate may attend in place of his or her regular Director. An alternate Director may not, however, attend a meeting of any other Committee in the absence of his or her regular Director. An Alternate Director serving in place of a regular member shall not act as Chairperson or Vice Chairperson of the Board or any Committee, even if the absent regular member serves as Chairperson or Vice Chairperson of one of those bodies. If the regular Director and the Alternate Director are both unable to attend the meeting, the regular Director may request that the meeting be teleconferenced. The request may be approved, at the Board Chairperson's discretion, provided that all requirements of the Ralph M. Brown Act (California Government Code Sections 54950 et sec.) are able to be satisfied. OC SAN 21-01-13 N. Motion to Refer to a Standing Committee. Any Director at a Board or Committee meeting may move to have a policy or any other activity affecting the Sanitation District, or any one of the member Agencies, referred to a Standing Committee for study and report. This motion shall be a privileged motion, and when duly seconded, discussion thereof shall be limited to Directors only. Said motion shall receive an affirmative vote of a majority of the Directors for adoption. O. All meetings of the Board of Directors shall be publicly available and recorded. The audio/video recording of any open and public meeting shall be subject to inspection pursuant to the California Public Records Act. Section 2: Procedure for Consideration of Demands for Corrective Action. A. Requirement of Written Demand. Prior to any person commencing a judicial action for injunction or mandamus to declare any action taken by the Board void because of failure to observe Brown Act requirements, such person must first serve upon the Clerk of the Board a written demand describing the alleged violation and demanding corrective action. Such demand must be served upon the Clerk of the Board within thirty (30) days of the complained of action. Failure to serve any such demand within this thirty (30) day period shall result in the loss of any right to challenge any action to have been taken in violation of Sections 54953, 54954.2 or 54956 of the California Government Code. B. Consideration of Corrective Action. Upon receipt of such a demand, consideration of the demand shall immediately be placed on the Agenda for the next meeting of the Board of Directors. If the demand is received less than seventy-two (72) hours prior to the time set for the next meeting, the Board may determine that the notice constitutes the initiation of litigation, and that the need to take action on the threatened litigation arose subsequent to the posting of the Agenda and may consider it at that meeting pursuant to Section 1(J) above. A description of any item so placed on the Agenda shall include both consideration of the demand, and the possibility of corrective action, by the Board. In considering such demands, the Board shall first determine, by motion, whether corrective action should be taken. If no motion to take corrective action is carried, the Clerk of the Board shall inform the demanding party in writing of the Board's decision not to cure or correct the challenged action. C. Implementing Corrective Action. If a motion to take corrective action passes, the Chairperson may entertain a motion implementing corrective action. Any motion implementing corrective action shall address the concerns raised in the consideration of corrective action. The motion implementing corrective action may include a motion to rescind prior action taken, as appropriate. Passage of a motion to rescind invalidates prior action only as of the time of the passage of the motion, and not from the date of the initial action. A motion implementing corrective action resulting from a written demand is out-of-order if the action complained of(a) was in connection with the sale or issuance of notes, bonds or other evidence of indebtedness, or any contract, OC SAN 21-01-14 agreement or incident thereto; or (b) gave rise to a contractual obligation upon which a party has, in good faith, detrimentally relied. In any event, the Board shall notify the party making the demand in writing of its decision to take corrective action and shall describe any corrective action taken. This notice shall be given to the demanding party as soon as possible after the meeting, but in no event more than thirty (30) days after receipt of the demand. Section 4: Resolution No. OCSD 19-19 is hereby repealed. Section 5: This Resolution shall become effective immediately. PASSED AND ADOPTED at a regular meeting of the Board of Directors held January 27, 2021. David 7ohn Shaw✓or David John Shawver(Jan 28,2021 09:33 PST) David John Shawver Board Chairman ATTEST: Kelly A.L (Jan 28,2021 09:34 PST) Kelly A. Lore, MMC Clerk of the Board OC SAN 21-01-15 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OC SAN 21-01 was passed and adopted at a regular meeting of said Board on the 27th day of January 2021, by the following vote, to wit: AYES: Brad Avery, Stacy Berry, Art Brown, Doug Chaffee, Mark Chirco, Stephen Faessel, Ryan Gallagher, Marshall Goodman, Patrick Harper, Johnathan Ryan Hernandez, Brooke Jones, Steve Jones, Anthony Kuo, Sandra Massa-Lavitt, Mark Murphy, Andrew Nguyen, Robert Ooten, Glenn Parker, David Shawver, Jesus Silva, Chad Wanke, John Withers, Chad Zimmerman, and Dan Kalmick (Alternate) NOES: None. ABSTENTIONS: None. ABSENT: Rose Espinoza IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 27th day of January 2021. 2'a, KeIIy P (Jan 28,2021 09:34 PST) Kelly A. Lore, MMC Clerk of the Board of Directors Orange County Sanitation District OC SAN 21-01-16 TABLE 1 BOARD PROCEDURES AND ORGANIZATION SUMMARY OF MOTIONS A. PRIVILEGED MOTIONS Kind of Second Vote Motion Required Debatable Amendable Required Purpose Adjourn Yes No No Majority To end the meeting To Take a Yes No No Majority To interrupt a Recess meeting for a short time or to provide an intermission Raise a No No No None To obtain action Question of immediately in an Privilege emergency B. MAIN MOTION AND RELATED SUBSIDIARY MOTIONS Kind of Second Vote Motion Required Debatable Amendable Required Purpose Main Yes Yes Yes Majority To introduce new Motion business Amend Yes Yes Yes Majority To modify or alter a Main motion Motion Substitute Yes Yes Yes Majority To replace the main Motion motion entirely OC SAN 21-01-17 Previous Yes No No Majority To close debate on Question the main or amended motion immediately Continue to Yes Yes Yes Majority To defer action a Certain Time To Table Yes No No Majority To discontinue consideration until brought back by vote of the Board Take a Yes No No Majority To bring before the Motion group a motion from the previously tabled Table Limit or Yes No Yes Majority To limit or extend Extend limits of debate Limits of Debate Refer to a Yes Yes Yes Majority To place business in Committee hands of a Committee Withdraw a No No No None To withdraw a Motion motion before it is voted on Reconsider Yes Yes No Majority To secure a new must be vote on a motion by a previously voted Director upon who voted for the prevailing side on the original motion OC SAN 21-01-18 C. INCIDENTAL RULES NON-RANKING Kind of Second Vote Motion Required Debatable Amendable Required Purpose Request to Yes No No Two- To facilitate business Suspend Thirds ordinarily contrary to the Rules the rules of the organization Override Yes No No Majority To have Board Order of majority rule on the the Chair order Point of No No No None To enforce the rules Order of the organization OC SAN 21-01-19 Resolution OC SAN 21 -01 Final Audit Report 2021-01-28 Created: 2021-01-28 By: Kelly A.Lore(klore@ocsd.com) Status: Signed Transaction ID: CBJCHBCAABAAIS121lhQ460_lymEfOloQR1rA0MrS1LIC "Resolution OC SAN 21 -01 " History " Document created by Kelly A. Lore (klore@ocsd.com) 2021-01-28-3:27:40 PM GMT-IP address:47.176.92.30 Document emailed to David John Shawver(dshawver1 @att.net)for signature 2021-01-28-3:29:01 PM GMT Email viewed by David John Shawver(dshawver1 @att.net) 2021-01-28-5:31:44 PM GMT-IP address:69.147.90.62 Document e-signed by David John Shawver(dshawver1 @att.net) Signature Date:2021-01-28-5:33:31 PM GMT-Time Source:server-IP address:98.149.71.112 Document emailed to Kelly A. Lore (klore@ocsd.com)for signature 2021-01-28-5:33:32 PM GMT Email viewed by Kelly A. Lore (klore@ocsd.com) 2021-01-28-5:34:03 PM GMT-IP address: 104.47.64.254 :, Document e-signed by Kelly A. Lore (klore@ocsd.com) Signature Date:2021-01-28-5:34:53 PM GMT-Time Source:server-IP address:47.176.92.30 ® Agreement completed. 2021-01-28-5:34:53 PM GMT 1[ , `SA Adobe Sign ORANGE COUNTY SANITATION DISTRICT Return to Guide RESOLUTION NO. OCSD 20-01 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT GRANTING EMERGENCY POWER TO THE GENERAL MANAGER IN THE EVENT THE PUBLIC HEALTH AND SAFETY IS ENDANGERED DUE TO A DISRUPTION OF SEWERAGE SERVICE; AND REPEALING RESOLUTION NO 75-160 WHEREAS, Orange County Sanitation District (Sanitation District) has the primary responsibility to provide sewage collection, treatment, recycling, and disposal services for metropolitan Orange County, serving a population of approximately 2 6 million people, WHEREAS, implicit in the nature of said service provided by the aforementioned Sanitation District is the protection of the public health and safety to the greatest extent possible; WHEREAS, pursuant to the California Emergency Services Act, Sanitation District currently has emergency authority to promulgate orders and regulations necessary to provide for the protection of life and property, and WHEREAS, continued operation of the Sanitation District's sewerage facilities is essentiai to the maintenance of said public health and safety. NOW, THEREFORE, the Board of Directors of the Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: Section 1: That in the event of the disruption, or potential disruption, of Sanitation District services due to employee absences or other matters beyond the control of the Sanitation District, the General Manager be, and is hereby authorized, to declare an emergency status to mitigate danger to the public health and safety; Section 2- That in the event an emergency status is declared by the General Manager, he shall have full and complete authority to implement the following orders and regulations necessary to provide for the protection of life and property: (a) Waive provisions of existing salary resolutions prohibiting overtime compensation for management and supervisory personnel and be authorized to pay said personnel overtime compensation at the rate of one and one-half times their regular pay for all hours worked in excess of 4C hours per pay period. (b) Employ personnel to operate and maintain the Sanitation District's facilities as needed (c) Employ security personnel or firms to protect the Sanitation District's property as needed, OCSD 20-01-1 1007S7 I STATE OF CALIFORNIA ) } ss COUNTY OF ORANGE } I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 20-01 was passed and adopted at a regular meeting of said Board on the 25th day of March, 2020, by the following vote, to wit: AYES: Collacott; Ferryman; Iglesias; B Jones, S. Jones; Kim; Kring; Massa-Lavitt; M. Murphy; R. Murphy; Nagel; Nguyen; Parker; Peterson, Shaw, Shawver; Shea; Silva; F. Smith; Wanke; Withers; and Yarc NOES: None ABSTENTIONS: None ABSENT: Avery; Bernstein and R. Murphy IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 25'" day of March 202C K II A. e, MMC Cle of t Board of Directors Orange County Sanitation District OCSD 20-01-3 14R)787 1 (d) Invoke the emergency provisions of the Sanitation District's Purchasing Ordinance regarding procurement of materials and services, and (e) Change other provisions of HUril"arl Resources Policies arid Procedures or Resolutions as the General Manager deems necessary to ensure public safety in the time of emergency, with consent of the Board Chain The General Manager shall obtain consent from the Vice-Chair in the absence of the Chair, Any changes to Board-approved policies and procedures or resolutions shall be presented to the Board of Directors for ratification at their next regular meeting. Such changes shall only remain in force and effect until necessary to ensure public safety and only during the time of emergency, and Section 3: That in the event an emergency status is declared by the General Manager, the General Counsel be, and is hereby authorized, to commence any appropriate legal proceedings that the circumstances warrant. Section 4: Resolution No. 75-160 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors held March 25, 2020. �t�J S'`tCe,c,vc.P11� David John Shawver Chairman of the Board of Directors ATTRST: K u A. ro11 r CCie of Board OCSD 20-01-2 1480737 1 See also OCSD 20-01 authorizing GM to change policies during COVID-19 pandemic RESOLUTION NO. OCSD 18-18 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ADOPTING A BOARD OF DIRECTORS PERSONNEL POLICIES AND PROCEDURES MANUAL PROVIDING FOR CLASSIFICATION, COMPENSATION, AND OTHER TERMS, CONDITIONS, POLICIES, AND PROCEDURES GOVERNING EMPLOYMENT OF DISTRICT EMPLOYEES; AND REPEALING RESOLUTION NO. OCSD 15-18 NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1 : The Board of Directors Personnel Policies and Procedures Manual, attached hereto as Exhibit "A", be adopted. Section 2: Any change in the Policies and Procedures set forth in the Board of Directors Personnel Policies and Procedures Manual must be approved by the Board of Directors prior to implementation. Section 1 This Resolution shall take effect immediately upon its adoption. Section 4: Resolution No. OCSD 15-18 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors held September 26, 2018. Cofe'goryC. bourn, PLS Board Chairman A Trf CST !'1I I CJI . ell A. Lr , Wt Clerk of t Board OCSD 18-18-1 STATE OF CALIFORNIA J ) COUNTY OF ORANGE } I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 18-18 was passed and adopted at a regular meeting of said Board on the 2611, day of September 2018, by the following vote, to wit: AYES: Barnes; Bernstein; Brothers (Alternate); Collacott; Deaton; Ferryman; B. Jones (Alternate); Beard (Alternate); Kim; R. Murphy Nguyen; Parker; Sebourn; Shawver; F. Smith; Steel; Wanke; Withers; and Yarc NOES: None ABSTENTIONS: None ABSENT: Peotter; Peterson; Shaw; T. Smith; Tinajero; and Wagner IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of orange County Sanitation District this 261h day of September 2018, Kell A. L e, MC Cl k of Board of Directors Orange Wunty Sanitation District ocsa 18-18-2 in! �R t n 4l� ` -1 - :, r i , • `S Cf) • 1�' i �f •0 a i LLJ rr • y'F 1 Introduction and Purpose This manual contains the Orange County Sanitation District's Board of Directors' Personnel Policies and Procedures, the terms, conditions, rules and regulations of employment and consolidates all into one reference document. Accordingly, these policies and procedures, as adopted by the Resolution of the Board of Directors, supersede any and all prior Board resolutions and actions that are inconsistent with these policies and procedures, unless otherwise specified herein. The Board of Directors` Personnel Policies and Procedures manual does not constitute a contract of employment- To the extent these policies and procedures are inconsistent with any term or provision of an individual employment agreement or Memorandum of Understanding, the term or provision of the employment agreement or Memorandum of Understanding shall govern. Theseupdated policies and procedures should increase our mutual understanding of expectations and minimize the making of personal decisions on matters of District-wide policy. District employees can assist in keeping policies and procedures relevant to our needs by notifying the Human Resources Department with your suggestions for improvement. Such a free exchange of information and ideas will help make the District a better place to work- Personnel Policies & Procedures Manual Introduction and Purpose UCSD 18-18 4 TABLE OF CONTENTS Search Instructions: Adobe Acrobat Version of Policies & Procedures Manual Section 1 .0 - Employment 1 1 Harassment & Discrimination 1.2 Retaliation & Whistleblowing 1.3 Workplace Violence & Weapons 1.4 Recruitment & Selection 1.5 Outside Employment & Professional Associations 1-6 Nepotism 1.7 At-Will EMT Employment Agreements 1.8 Business Ethics 1.9 Layoff Procedure 1.10 Employee Separation 1-11 Temporary Workers 1.12 Student Internship Section 2.0 - Compensation 2 1 Classification & Compensation 2.2 Non-Base Building Pay 2.3 Wage Garnishments & Attachments Section 3.0 - Attendance & Leave Time 3.1 1 Hours of Work — Non-Exempt Employees 3,1,2 Hours of Work — Exempt Employees 3.2 Attendance 3.3 Leave of Absence with Pay 3.3.1 Military Leave 3.4 Leave of Absence without Pay Section 4.0 - Employee Benefits 4.1 Insurance 4.2 Retirement 4.3 Tuition Reimbursement 4,4 Certification Reimbursement 4.5 Professional & Technical Memberships & Fees 4.6 Domestic Partnership 4-7 Pro-Rata Benefits for Part-Time Employees 4.8 Employee Assistance Program 4.9 Catastrophic Leave Bank Donation Program 4.10 Employee Development 4.11 Development Pay Personnel Policies & Procedures Manual Effective, 09/26/18 Table of Contents OCSD 18-18-5 Section 5.0 - Discipline & Work Rules 5.1 Rules of Conduct 5.2 Discipline (including Exhibit A) 5.3 Operator Certification Maintenance 5A Participation in Recreational Activities 5.5 Meal & Rest Periods 5.6 Travel Policy 57 Solicitation & Distribution 5.10 Wireless/Electronic Communications 5.18 Use of District Property 5.19 Vehicle Usage 5.20 Substance Abuse 5.21 Smoking Policy Section 6.0 - Communications 6.1 Appraisal of Performance 6.2 Open Communications 6.3 Privacy & HR Records 6.4 Problem Solving 6.5 Grievance Procedure Section 7.0 - Miscellaneous 7.1 Miscellaneous Provisions 7.2 tDEA Program Personnel Policies 8 Procedures Manual Effective 09/26/19 Table of Contents OCSD 18-18-6 Orange County policy Number: 1.1 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Harassment & Supersedes: June 8, 2011 Discrimination Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to provide a working environment for all employees, contractors, interns, volunteers, and temporary workers that is free of harassment and discriminatory behavior, whether based on race, color, religion, sex (including pregnancy, childbirth, and breastfeeding), sexual orientation, age, national origin, ancestry, actual or perceived disability, medical condition, genetic information, military and veteran status, marital status gender, gender identity, gender expression, exercise of rights relating to any legally-provided leave of absence, or any other legally protected basis 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This po#icy applies to all Orange County Sanitation District (OCSD) employees, applicants, and all persons who perform services for the OCSD, including interns, volunteers, and persons working under contract. 3.0 DEFINITIONS 3 1 Discrimination is the unfavorable or unfair treatment of a person in the work environment, based or a legally protected class 3 2 Harassment includes premising the granting or denial of employment benefits on the acceptance of unwanted verbal or physical conduct cr verbal physical or visual conduct based on a legally protected class that is so severe and/or pervasive that it creates a hostile or abusive working environment, and interferes with an employee's ability to do his or herjob. 3.3 Legally Protected Class includes race, religious creed. color, national origin, ancestry, physical or mental disability, medical condition genetic information, marital status, sex {including pregnancy, childbirth, and breastfeeding) gender, gender identity, gender expression, age (40 years or older), sexual orientation, military and veteran status, and exercise of rights relating to any legally-provided leave of absence 34 Sex includes, but is not limited to, pregnancy or medical conditions related to pregnancy, childbirth or medical conditions related to childbirth breastfeeding or medical conditions related to breastfeeding "Sex'' also includes but is not lamited to, a person's gender. 3.5 Sexual Harassment may involve the behavior of a person of either sex against a person of the opposite or same sex, and occurs when such behavior constitutes unwelcome sexual advances, unwelcome requests for sexual favors, and other unwelcome verbal, physical, or visual behavior of a sexual nature where Personnel Policies & Procedures Manual Page 1 of 4 Effective 09/26/18 Policy 1.1, Harassment& Discrimination OCSD 18-18-7 15.1 Submission to such conduct is made either explicitly or implicitly a term or condition of an individual's current or future employment; 3.5.2 Submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting the individual's welfare, or 3,5.3 Such conduct has the purpose or effect of substantially interfering with an individual's welfare or work performance, or creates an intimidating, hostile, offensive, and/or demeaning work environment. 3.54 Prohibited acts that cunstitute sexual harassment may take a variety of forms. 4.0 POLICY 4.2 OCSD does not tolerate any form of harassment or discrimination and is committed to providing a work environment that is free of harassment and discrimination. 43 OCSD is an Equal Opportunity Employer, and does not discriminate against any person in matters of employment, application for employment, participation in programs and benefits, or in the application of rules and regulations with regard to any legally protected class 4 4 All OCSD employees, contractors, interns, volunteers, and temporary workers are expected to support and comply with this policy. Any supervisor or manager observing or knowing of a harassing situation shall take immediate action to stop it and report the matter. 45 Supervisory and management personnel who receive reports of harassment or discrimination are expected to take all such complaints seriously, report the complaint to the Director of Human Resources, and take immediate steps to implement this policy in accordance with the provisions contained herein_ 4.5 OCSD will also take reasonable steps to prevent ur eliminate reported discrimination or harassment by non-employees, including vendors and contractors, who are likely to have workplace interactions with employees. 4 6 No employee shall be subjected to any form of retaliation for reporting any violation of this policy when it is reported truthfully and in good faith. A report is made in good faith when the complainant reasonably believes there is a violation of policy. 4.7 Hostile Work Environment An environment may be hostile if unwelcome behaviors, sexual or other, are directed specifically at an individual or if an individual witnesses unlawful harassment in his/her immediate surroundings. 4 8 Examples of Prohibited Behavior 4 8.1 Examples of the kinds of conduct that may constitute harassment when based on a legally protected class as defined in this policy include but are not limited to: 4.8.1.1 Verbal conduct such as racial epithets, demeaning comments of a personal nature, derugatory jokes, slurs, yelling, screaming, intimidation, threats or stereotypical statements. Personnel Policies & Procedures Manual Page 2 of Effective 09/26/18 Policy 1-1, Harassment & Discrimination OCSD 18-18-9 4,8A-2 Patronizing or ridiculing statements that convey derogatory attitudes about a particular gender. 4.7.1.3 Displaving or distributing posters, cartoons, computer graphics or electronic media transmissions containing material that could be viewed as offensive 4-7.1.4 Physical contact such as assault, unwanted touching, blocking normal movement, pushing or interfering with work because of sex, race or any other protected basis. 4.7.1.5 Retaliation for having reported or threatened to report harassment 4 8.2 Examples of the kinds of conduct that may constitute sexual harassment include, but are not limited to 4.8.2.1 Unwelcome sexual propositions, invitations, solicitations, flirtations and gestures. 4 8 2 2 Threats or insinuations that a person's employment, wages, promotional opportunities, or other conditions of employment may be adversely affected by not submitting to sexual advances. 4.8.2.3 Unwelcome verbal expressions of a sexual nature, including graphic sexual commentaries about a person's body, dress, appearance or sexual activities, the unwelcome use of sexually degrading language, jokes or innuendoes, unwelcome suggestive or insulting sounds or whistles, leering 4.8 24 Sexually suggestive objects, pictures, videotapes, audio recordings or literature placed in the work area which may embarrass or offend individuals. 4.8.25 Unwelcome touching, patting, or pinching. 4 8 2.6 Romantic or sexual relationships between supervisors and subordinate employees are discouraged There is an inherent imbalance of power and potential for exploitation in such relationships The relationship may create an appearance of impropriety and lead to charges of favoritism by other employees A welcome sexual relationship may change with the result that sexual conduct which was once welcome becomes unwelcome and harassing 5.0 PROCEDURE 5 1 Any employee who believes that he or she has been the victim of conduct prohibited by this policy must immediately report the matter, verbally or in writing, to his or her supervisor or manager, or to any other supervisor or manager, including the General Manager or Assistant General Manager, or to the Human Resources Department S.2 All reported incidents of harassment, discrimination and/or retaliation will be fairfv, timely and thoroughly investigated, and appropriate corrective action will be taken based on the findings of the investigation. Personnel Policies & Procedures Manual Page 3 of 4 Effective, 09/26/18 Policy 1.1, Harassment& Discrimination OCSD 18-1d-9 5.3 OCSD will document and track the complaint's progress and inform the complainant that the investigation has concluded, each issue was thoroughly investigated, and the outcome (sustained, or not sustained). 5A Investigations wid be conducted in such a way as to maintain confidentiality to the extent practicable under the circumstances and permissible under the law 5.5 It is important to be aware that under the California Fair Employment and Housing Act ("FEHA"}, employees may be held personally liable for any acts of unlawful harassment 15.0 EXCEPTIONS 6 1 Any employee who knowingly files a false and malicious report of harassment, as opposed to a complaint which, even if erroneous, Is made in good faith, or anyone who fails to report an actual or perceived form of harassment or discrimination as outlined in this policy. may be subject to appropriate disciplinary action, up to and Including termination 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 82 U.S. and California State Constitutions 8 3 Title VI of the Civil Rights Act of 1964 a 4 California Fair Fmployment and Housing Act (FEHA} 85 Policy 1.2, Retaliation & Whistieblowing 86 Policy 1.3, Workplace Violence & Weapons B 7 Policy 5,1, Rules of Conduct Personnei Policies &Procedures Manual Page 4 of 4 Effective; 09/26/18 Policy 1 1, Harassment& Discrimination OCSD 18-18-10 Orange County policy Number: 1.2 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Retaliation & Supersedes: June 171 2008 Whistleblowing Approved by: General Manager 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures prohibiting retaliation against individuals who report or participate in the investigation of a report of discrimination. harassment, or individuals who engage in whistleblowing. or a protected activity as defined herein 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District (OCSD) employees, potential employees, volunteers, interns, and all persons who perform services for the OCSD, including persons working under contract 3.0 DEFINITIONS 31 Retaliation means that a supervisor or manager has taken action(s) toward an individual for engaging in protected activity described within this policy, wherein the action(s) have a substantial and material impact on an employee's terms and conditions of employment. Depending on the facts, it may be retaliatory if action, is taken because of the following, but not limited to, unfounded discipline, failure to promote, failure to hire, termination of a contract, inaccurate poor performance evaluations, arbitrarily changing work assignments, or arbitrarily changing work locations 3 2 Whistleblowing refers to the act of an employee who discloses information to a government or law enforcement authority or to a supervisor or other person responsible for investigating, discovering, or correcting such matters where the employee has reasonable cause to believe that the information reveals (1) violations or non-compliance with state or federal statutes, (2) unfair labnr practices', (3) billing fnr services not performed or for goods not delivered, (4) gross mismanagement, significant waste of funds, and abuse of authority; and/or(5) a substantial and specific danger to the public health, safety or unsafe working conditions 4.0 POLICY 4 1 It is OCSD's policy to prohibit retaliation or reprisa€s towards employees, prospective employees and outside contractors who engage in, the following protected activities 4 1.1 Disclosing information to a government or law enforcement agency or internally to 01 where there is reasonable cause to believe that the information discloses a violation of state or federal statute or non-compliance with a state or federal regulation. 41,2 Disclosing the filing of a false claim for money, goods, or services to OCSD Personnel Policies & Procedures Manual Page 1 of 2 Effective: 09/26/18 Policy 1.2, Retaliation & Whistleblowing OCSD 18-18-11 4.1 3 Filing a written complaint, under penalty of perjury, of gross mismanagement a significant waste of funds, an abuse of authority or a substantial and specific danger to public health or safety 4 1 4 Complaints of discrimination cr harassment or any other conduct prohibited by the Fair Employment and Housing Act (FEHA) or related federal laws. 4.1.5 Complaints about an unfair labor practice 4.1 6 Participating in an administrative investigation either as the complainant, a witness or the accused, or conducting an administrative investigation 4 2 Any employee who. in good faith, reports an alleged incident involving the protected activities described in this policy, under no circumstances, shall be subjected to reprisal or retaliation of any kind A report is made in good faith when the complainant has reasonable cause to believe there is a violation of policy, 5-0 PROCEDURE 51 OCSD policy requires employees to report all perceived incidents of retaliation, or conditions justifying whistieblowing, regardless of the offender's identity or position 52 Any employee who believes that he or she has been the victim of retaliation prohibited by this policy should report the matter to his or her supervisor or manager, or to any other supervisor or manager, including the General Manager or Assistant General Manager. 5 3 Reports of retaliation will be investigated fairly, timely, and thoroughly_ The investigation may include individual interviews with the parties involved and, where, necessary. with individuals who may have observed the alleged conduct or may have other relevant knowledge. 54 Confidentiality will be maintained throughout the investigatory process to the extent permissible under the circumstances and consistent with applicable law. 55 No fixed report period has been established However, prompt reporting of complaints or concerns have proven to be the most effective method in finding rapid and constructive action and resolution 6-0 EXCEPTIONS 6.1 An employee who knowingly files a false and malicious report of retaliation, as opposed to a complaint which, even if erroneous, is made in good faith may be the subject of appropriate disciplinary action, up to and including termination 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8 1 Policy 1.1, Harassment & Discrimination 82 Policy 1 8, Conflict of Interest & Rusiness Ethics 8 3 Policy 5 1, Rules of Conduct Personnel Policies & Procedures Manual Page 2 of 2 Effective 09126/18 Policy 1.2, Retaliation & WhistlebloWng OCSD �,. Orange County policy Number: 1.3 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Workplace Violence & Supersedes: June 8, 2011 Weapons Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to promote a safe work environment for all employees, establish and maintain a workplace that is free from violence, threats of violence, harassment, intimidation, and other disruptive behavior, and encourage and foster a workplace that is characterized by respect and the use of acceptable conflict resolution techniques. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD employees, regardless of their organizational unit Additionally, all persons who perform any services for OCSD, regardless of their employment status are subject to the provisions of this policy while or OCSD property or while performing OCSD business 3.0 DEFINITIONS 3.1 Workplace Violence includes threats, violent behavior, harassment, intimidation and other disruptive behavior, direct, indirect, implied or actual from any person, and directed toward any person, occurring either at an OCSD facility or in connection with the conduct of OCSD business without regard to location 4.0 POLICY 4 1 It is OCSD policy to provide a safe work environment for its employees OCSD is committed to working with its employees to maintain a workplace free from violence, threats of violence, harassment, intimidation, and other disruptive behavior, and the commission of such acts are prohibited. 42 All employees are responsible for maintaining a safe work environment 4.3 Violence, threats, harassment, intimidation, and other disruptive behavior in the OCSD workplace will not be tolerated, furthermore, all reports of these types of incidents will be seriously reviewed and will be appropriately resolved 44 This policy applies to all incidents involving OCSD employees while they are on duty, on or off plant sites, and incidents involving non-employees perpetrating violence against OCSD employees while they are on duty 45 Available conflict resolution techniques, such as problem solving, grievance procedures and appeals processes, will be used to appropriately resolve conflicts that arise in the Personnel Policies & Procedures Manual Page 1 of 3 Effective: 09/26/18 Policy 1 3, Workplace Violence&Weapons OCSD 18-18.13 OCSD workpiace 46 OCSD strictly prohibits persons, excluding armed security services, from possessing weapons including, but not limited to, firearms. explosives, knives, clubs and incendiary devices on OCSD premises, in OCSD vehicles, in private vehicles parked on OCSt7 property, and in the possession of OCSD employees while on duty performing OCSD related business assignments 4 7 An employee who displays/exhibits prohibited conduct as set forth under this policy may be subject to disciplinary action, up to and including termination, regardless of the employee's past performance, prior discipline, length of service or work history 4 8 Persons who engage in prohibited conduct may also be subject to legal action by law enforcement authorities 49 The following examples, while not all-inclusive, are considered prohibited conduct and subject an employee to disciplinary action, up to and including termination, for even a first-time offense. 4,9.1 Prohibited Conduct 4.9 1 1 Causing physical injury to another person, 4 91,2 Making threatening remarks, whether with intent to harm or in jest, 4 9 1 3 Aggressive, hostile or harassing behavior that creates a reasonable fear of injury to another person or subjects another individual to emotional distress; 4 9 1 4 Intentionally damaging employer property or the property of another individual, 49 1.5 Possession of a weapon while on OCSD property or while on OCSD business or, 4.9 1 6 Committing acts motivated by, or related to, sexual harassment or domestic violence, 4.9 1 7 Other acts or threats of violence as determined by the OCSD, 5.0 PROCEDURE 5 1 Reporting If the incident involves an emergency and requires the direct intervention of public safety personnel (i,e„ law enforcement of emergency medical services), immediately CALL extension 2222. 51.1 Control Center personnel will contact emergency services via 911 and will coordinate the response of public safety personnel and onsite security personnel, 52 Any situation involving the commission or threat of violence, harassment intimidation, other disruptive behavior, possession of a weapon or any other potentially dangerous situation must be promptly reported to a supervisor, manager, or the Human Resources Personnei Policies & Procedures Manual Page 2 of 3 Effective 09126/1 E Policy 1 3, Workplace Violence &Weapons OCSD 18.18-14 Department 5.3 Risk Reduction Measures 5.3.1 Employees at Risk Employees are expected to exercise good judgement and to notify their supervisor, manager, or the Human Resources Department if a co- worker, or other person on OCSD property or place of business exhibits behavior that could be a sign of potentially dangerous situations Such behavior includes, but is not limited to. the following: 5.3.1.1 Discussing the use of weapons as a means to perpetrate violence against another or bringing them to the workplace, 5.3 12 Displaying overt signs of extreme stress, resentment, hostility or anger, 5.3 1.3 Making threatening statements or remarks, 5 3.1 4 Sudden or significant deterioration in work performance, 5.3.1.5 Displaying irrational or inappropriate behavior 5 3 2 Hiring The Human Resources Department takes reasonable measures to conduct background investigations in order to review candidates' backgrounds and to reduce the risk of hiring individuals with a histery of violent behavior 5 3 3 Enforcement Threats, threatening conduct, harassment, or any other act of aggression or violence within the OCSD work environment will not be tolerated All reports of these types of incidents will be fairly, timely, and thoroughly investigated and will be appropriately resolved. 5.3.3.1 Any employee determined to have committed such acts will be subject to disciplinary action, up to and including termination 5.3.3 2 Non-employees engaged in violent acts on OCSD premises will be immediately removed from OCSD and promptly reported to the proper authorities 6.0 EXCEPTIONS 6 1 Knives traditionally used as tools and having a blade length of three and ore-half (31/-,) inches or less are only considered weapons when used or displayed in a threatening manner Knives greater than three and one-half(31/2) inches in blade length are considered weapons as a matter of policy, unless used with approval by OCSD management 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8 1 Policy 1 1, Harassment & Discrimination 8.2 Policy 5.1, Ruies of Conduct 8 3 Policy 5.21 Discipline Personnel Policies & Procedures Manual Page 3 of 3 Effective: 09/26/1B Policy 1 3, Workplace Violence &Weapons OCSD 19-18-15 c�„n:� Orange County Policy Number: 1.4 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Recruitment and Supersedes: November 14, 2011 Selection - 1 - Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish 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 10 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 external 32 Internal recruitment means considering only current employees as applicants for job openings within the organization 33 External recruitment means considering applicants from outside the organization in an open recruitment, as well as current employees for job openings within the organization 34 Promotion is the advancement of an employee to another classification with a higher maximum rate of pay. 3 5 Lateral Transfer means the transfer of an employee from one department to a vacant position in another department in the same job classification, initiated by an employee request. 36 Reassignment means the transfer of an employee within a department or within the organization in the same job classification based on business need 37 Voluntary Job Change is an employee-initiated transfer within the organization 3 8 Assessment means an impartial method of systematically evaluating an applicant's ability to perform the essential job functions of a positions requirements An assessment may consist of one (1) or any combination of the following performance tests, written tests, appraisal interviews; scoring of the application, supplemental questions, work performance; or any other job-related selection criteria Assessment tools are intended to measure knowledge, skills, abilities, and/or competencies necessary to perform the job 3 9 Eligible test means an arrangement of applicants who have been identified as most qualified as a result of the recruitment and selection process Personnel Policies & Procedures Manual Page 1 of 10 Effective' 09/26/18 Policy 1.4 Recruftent and Selection OCSD 18-18-16 3.10 Initial Probationary Period, unless otherwise specified by an applicable bargaining unit Memorandum of Understanding (MOU), is defined as the period of service that extends to at least the first day of the pay period following twenty-six (26) weeks of employment with OCSD without a break in service, 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 initiai probationary period serve °at-wilt' and may be released from employment without cause or recourse to any appeal or grievance procedures 3 11 Promotional Probationary Period is defined as the period of service that extends to at least the first day of the pay period following twenty-six (26) weeks of employment without a break in service beginning with the effective date of promotion If an employee is promoted during his/her initial probationary period, the period will be extended until at least the first day of the pay period twenty-six (26) weeks after the effective date of the 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 312 Probationary Period— Reassignment Lateral Transfer or Voluntary Job Change, unless otherwise specified by an applicable bargaining unit MOU, is defined as the period of service that extends to at least the first twenty-six(26) weeks of employment with OCSD without a break in service, 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 4.0 POLICY 4 1 OCSD is an Equal Opportunity Employer (EOE) OCSD does not discriminate on the basis of race, color, religion, sex (including pregnancy, childbirth, and breastfeeding), sexual orientation, age, national origin, ancestry, actual or perceived disability, medical condition, genetic information, military and veteran status, marital status, gender, gender identity, gender expression, exercise of rights relating to any legally-provided leave of absence, or any other legally protected basis. 42 It is OCSD's policy to provide nondiscriminatory, lawful, and consistent guidelines and procedures to all recruitment processes, whether internal, or external. 5.0 PROCEDURE 5 1 TYPE OF RECRUITMENT 5.1 1 External Recruitment Any person meeting the requirements of the open position listed on the announcement may apply External recruitment announcements will be advertised on OCSD's career website, and may be posted on industry-related websites Announcements will specify a filing period of a minimum of(10) business days, or until Human Resources determines a sufficient number of qualified applications have been received, and will clearly state a deadline to file an appllcation 5 1 2 Internal Recruitment Applicants must be currently employed with OCSD Whenever the District intends to fill a position by promotion, the District will post the opportunity for a minimum of ten (10) business days. Employees must apply Personnel Policies & Procedures Manual Page 2 of 10 Effective: 09126/18 Policy 1.4 Recruitment and Selection OCSD 18-18-17 during the period of posting Notices will be posted on the District's internet- 52 EMPLOYMENT OPPORTONITYBCILLETINS/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 hiring salary range, department, brief job description. required qualifications, desired qualifications, posting/closing dates (if applicable), procedure for applying, brief benefits overview, physical requirementslworking conditions andlor other pertinent information as approved by the Director of Human Resources (or designee? and the Department Head (or designee) 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 jobs are posted for at least ten {10) business days, or until HR determines a sufficient number of applicants have been received 52 4 During the recruitment process, all current employees and external applicants may be interviewed at the same time at the discretion of the Department Head (or designee) If the process includes both groups, the hiring decision will be made at the completion of those interviews 5 2.5 Job opportunities will be posted to OCSD's online employment application system 5.3 ADVERTISING 53,1 External recruitments are advertised on the Internet, sent via e-mail to all OCSD employees, and may be posted in other media when deemed appropriate by Human Resources 5 32 Internal recruitments are e-mailed to current employees and posted on OCSD's intranet and internet sites 54 APPLICANT SCREENING 5A 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 any time 5 4 2 Applicants must submit a separate employment application for each vacant position using OCSD's online employment application system 54 3 Once an application is received and reviewed, it will only be selected by Human Resources for further consideration if the minimum job requirements on the class specification for tine position are met. 5 4 4 The Department Head (or designee) may review applications that meet the minimum qualifications to determine which candidates may be interviewed. 5.4.5 All materials (e.g . applications, resumes, examination information and results, test questions, interviewer notes, interview packets, etc ) submitted by applicants/candidates or generated by OCSD staff during the recruitment and selection process are confidential and considered OCSD property, and not Personnel Poiicies& Procedures Manual Page 3 of 19 Effective 49/26118 Policy 1.4 Recruitment and Selection OCSD 18-18-18 subject to disclosure Ail recruitment files are maintained by OCSD in accordance with established record keeping gUdelrnes. 5 5 SELECTION PROCESS 5,51 The selection process will consist of an assessment of each candidate's qualifications, which may vary by class specification and business need Assessments will be conducted in a manner consistent with job-related criteria. 5.5 2 The Department Head (or designee) may recommend raters in addition to Human Resources staff as needed to participate in the selection process, who may be representatives of OCSD departments, the public, interested organizations, or other public jurisdictions 5,53 Exam Contents: The Department Head (or designee) has the responsibility for exams Exams and selection interviews shall consider the fallowing analysis of job duties, availability of applicants, equal employment opportunity, occupational standards, professional testing principles, supportable experience, special certification or licensing, andlor any other job-related selection content. 5.54 Exams will be analyzed by Human Resources (or designee) to ensure that the content and grading rubrics are valid and reliable Exam material will relate to the fitness of the applicant for the work, duties, and requirements of the classification to be filled and shall be confined to the measurement of knowledge, skills, abilities, and/of competencies necessary to perform specific tasks Any pertinent factor or trait which affects job performance may be considered 5 5.5 The Human Resources representative facilitates the interview process When interviews are completed, the interview panel members evaluate each candidate interviewed The panel will refer a list of the top candidates based on a majority decision The Department Head (or designee) will then choose from among the top candidates The Department Head (or designee) will report the final hiring decision to the Human Resources Department, 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 Supervisor as soon as possible. The supervisor will review the issue and provide a written response within five (5) business days from the issue notification date 56,2 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 Human Resources within ten (10) business days of receipt of the supervisor'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 Human Resources (or designee), within ten (10) business days after the employee's statement is received The decision of the Director of Human Resources, or designee, is final (see policy 6 4, Problem Solving and 6 5, Grievance Procedure). 5 6 4 Time limits may be extended for cause upon mutual consent of the parties. Personnel Policies & Procedures Manual Page 4 of 10 Effective 09/26/18 Policy 1-4 Recruitment and Selection UCSo 18-18-18 ELIGIBLE LISTS 5,T 1 An eligible list is an arrangement of applicants who have been identified as most qualified as a result of the recruitment and selection process, Lists are maintained based on job classification, are valid for six-months, and may be extended up to twelve-months with approval from the Director of Human Resources prior to the expiration date of the list 5 3 EMPLOYMENT OFFERS 58 1 The Human Resources representative determines an appropriate starting salary for all candidates based on the applicant's qualifications, years of experience; and educational background, as fisted on the job application 5 8 2 The Human Resources representative 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 necess,tate 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 Human Resources, 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 8.3 The Human Resources representative refers the candidate for hire and routes for approval by the Department Head and General Manager, if required 5 8 4 When the referral for hire is approved, the Human Resources representative makes a verbat employment offer to the candidate, which is contingent upon results of a background investigation, and post offer physical and drug screen (if applicable) 5.8 5 The Human Resources representative schedules the post offer physical and drug screen (if applicable) 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 5,86 When the Human Resources representative ter designee) has cleared the background investigation, post offer physical and drug screen (if applicable) results, the applicant will be contacted to confirm the employment offer The Human Resources representative sends letters of regret to unsuccessful candidates. Current employees are contacted personally prior to receiving letters of regret 58 7 The Human Resources representative coordinates the candidate's start date 5.8 8 In the event that a candidate is selected and voluntarily or involuntarily vacates the position prior to completing the required probationary period. the Human Resources Department, at the request of the Department Head (or designee) may exercise the option to extend an offer to the second candidate From the original interview process Personnel Policies & Procedures Manual Page 5 of 1 D Effective 09/26/18 Policy 1 A Recruitment and Selection OCSD 18-18-20 6.0 PROMOTIONS 61 Promoted employees will receive the equivalent of a one (1) step increase in pay, not to exceed the top of the range for the new classification or the minimum rate of the new classification, whichever is greater. 6.1.1 Promotional increase in pay will be effective the first day of the next pay period following the approval of referral to hire by the Department Head (or designee). 7.0 EXCEPTIONS EMPLOYMENT OF FORMER EMPLOYEES 7.1.1 Employment of former employees for full-time equivalent or past-time positions shall be subject to and conducted in accordance with this policy. 71,2 Employment of a former employee is subject to the approval of the General Manager and the Director of Human Resources 7.1.3 In all cases, approval of the General Manager and the Director of Human Resources shall be obtained prior to an offer of employment to a former employee. 7.1 A 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 (2) weeks written notice in advance of resignation depending upon employment status, unless approved by the Director of Human Resources, or designee; or failed to return to work following an absence without leave of forty (40) consecutive work hours without notifying the immediate supervisor or the Human Resources Department with an acceptable reason for their absence. 7.1 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 (1? 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. 7,1.6 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 (1) 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("1) year. Said services shall be obtained only in accordance with all rules and procedures of OCSD relating to procurement 7.1.7 Any OCSD employee who receives an offer of employment or a request to Personnel Policies & Procedures Manual Page 6 of 10 Effective 09/26/18 Policy 1,4 Recruitment and Selection CCSD 18-18-21 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. 7.1.8 The prohibitions of this policy may be waived by the Administration Committee of the Board of Directors if, on a case-by-case basis, it is determined to be in the best interests of OCSD to do so 7.1 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 7.2 RE-EMPLOYMENT OF QCSD RETIRED EMPLOYEES 7.2 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 Retired members will have to wait at least 180 days before returning to work for OCSD on a limited time basis (960 hours or less a fiscal year} The length of service performed in any one (1) year shall be limited in accordance with the provisions prescribed by the Orange County Employees' retirement System 7 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. 7 23 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 7.3 LATERAL TRANSFERS 7.3.1 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 (6) months of the request and have no pending disciplinary action The lateral transfer must be of benefit to OCSD, 7,32 Employees who wish to be considered for a lateral transfer shall notify the Human Resources Department 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 Department. The employees written intent must be approved by any affected department head and the Director of Human Resources to the event a transfer is approved and accepted by the employee, Personnel Policies & Procedures Manual Page 7 of 10 Effective; 09/26/18 Policy 1.4 Recruitrnent and Selection OCSD 18-18-22 the department from which the employee is transferring may determine the effective date based upon operationai requirements and a reasonable period of time to acquire a suitable replacement. 7.3 3 Lateral transfers do not nomr iiy involve increased levels of duties and responsibilities, or otherwise qualify as promotions, and therefore do not involve saiary adjustments 7 3A In the event an adjustment appears warranted based on extenuating circumstances, the adjustment must have written approval from the department head prior to being extended to the employee_ 8.0 PROVISIONS AND CONDITIONS 8 1 The interview process for Student Intern positions shall be an abbreviated version of the process outlined in section 5.6 and will be administered by the appropriate division manager/supervisor and a Human Resources representative. 6 2 OCSD's Board of Directors must approve unbudgeted positions for new hires or promotions before any internal or external recruitment effort is initiated 8 3 Hiring an individual into a budgeted position requires the approval of the Department Head and General Manager. 13 4 Promoting an individual into a budgeted position requires the approval of the Division Manager, Department Head or General Manager 8 5 Employees on Performance Improvement Plans are not eligible for promotional opportunities and/or status change 8 6 INITIAL PROBATIONARY PERIOD 86 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. 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 (26) weeks of employment without a break in service, unless otherwise stipulated by a bargaining unit MOU 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 8.62 The probationary period may be extended up to a maximum of an additional ninety (90) days 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 mcmdual'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 OCSD will extend an employee's probationary period for the length of any period during which an employee is on an extended leave of absence during the probationary period. 86,3 A probationary employee's work performance is closely monitored during this Personnel Policies & Procedures Manual Page 8 of 10 Effective, 09t26118 Policy 1.4 Recruitment and Selection OCSD 18-18-23 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 87 PROMOTIONAL PROBATIONARY PERIOD 87 1 All promoted employees who have successfully completed the initial probationary period, except those designated as "at-will" employees shall serve a promotional probationary period beginning with the effective date of promotion lasting to at least the first day of the pay period following twenty-six (26) weeks of employment without a break in service. This period is regarded as an extension of the selecli process, and provides an opportunity for both the employee and OCSD managemert to assess, over a substantial period of time, whether or not the decision was appropriate For those employees promoted during the pendency of their initial probationary period, such period shall run concurrently with the promotional probationary period and shall apply over the promotional probationary period while it remains in effect Should the initial probationary period end before the promotional probationary period the promoted employee shall remain on the promotional probationary period for the remaining period until at least the first day of the pay period following twenty-six (26) weeks of ernploymei it without a break in service 8,7,2 At any time during the promotional probationary period an employee may be returned to his or her prior position The promotional probationary period may be extended by OCSD management for up to a maximum of an additional ninety (90) days If an employee is promoted during his or her initial probationary period, the period shall be extended until at least the first day of the pay period twenty-six s26) weeks after the effective date of the promotion 8,8 REFERENCE CHECKS 8 51 Employment with OCSD is contingent upon a pre employment screening process which may include 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 6,82 The background check will be conducted after an applicant has been selected as the best candidate for the position and giver a conditional offer of employment, if a background check yields information that is cf concern tc OCSD, the applicant will be provided an individualized assessment and given an opportunity to review the findings and present information regarding inaccuracy and rehabilitation. 88 3 OCSD may verify information contained in the job application of a prospective employee with the prospective employee's authorization 8 8A 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- Personnel Policies & Procedures Manual Page 9 of 1p Effective a9126118 Policy 1 4 Recruitment and Selection GCSE; 18-18-24 9.0 RELATED DOCUMENTS 9.1 Policy 1.6, Nepotism 9.2 Policy 1.7, At-Will EMT Employment Agreements 9.3 Policy 1.12, Student Internship Program 9.4 Policy 2 1, Classification & Compensation 95 Policy 6 4, Problem Solving Procedure 9.6 Policy 6.5, Grievance Procedure 9.7 Public Employee Pension Reform Act (PEPRA) 9 8 Equal Pay Act 99 California Government Code, Section 6254 Personnel Policies &Procedures Manual Page 10 of 10 Effective- 09/26/18 Policy 1 4 Recruitment and Selection OCSD 18-18-25 Orange County Policy Number: 1.5 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Outside Employment & Supersedes: June 19, 2012 Professional Associations Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for employees engaging in outside empicyment or any other outside remunerative activity as well as voluntary involvement in outside professional associations 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District (OCSD) employees regardless of their organizational unit 3.0 DEFINITIONS 3.1 Confident4 Information — Information that requires a 'need-to-know". restricted use, or is sensitive in nature is considered confidential information Generally, OCSD technical data, proprietary, customer, and personnel related information is confidential. Personnel related information includes, but is not limited to, medical, recruitment, disciplinary. and performance related information Once information becomes generally available to the public, it is no longer considered corfidential. 32 Conflicts) of Interest —As it relates to this policy occurs when an outside activity interferes with OCSD business operations, discredits the integrity and reputation of OCSD, and/or violates OCSD policies, procedures, or agreements 3 3 Outside Professional Association Activities —Any membership or affiliation to an outside organization, group, or activity that is related to an employee's profession. 34 Outside Remunerative Activities— Any outside employment or business-related relationship, which results in a payment, transfer of goods, or receipt of services to the employee involved. 4.0 POLICY 4 1 It is OCSD's policy to allow employees to engage in Outside Remunerative Activities or Outside Professional Association Activities in accordance with the procedures and prov;sions of this policy Personnel Policies & Procedures Manual Page 'I of 3 Effective 09126/18 Policy 1 51 Outside Employment& Professional AssoctaMns (Dr-SO 18-18-25 5.0 PROCEDURE 5 1 Outside Remunerative Activities. Performing any Outside Remunerative Activities requires initial and annual approval of the General Manager and is subject to the following conditions 5.1.1 An OCSD request form for outside employment must be completed and submitted for approval. 5 1.2 Outside Remunerative Activities shall not be performed on OCSD property, during an employee's work time for OCSD, or using any OCSD resource. OCSD resources include, but are not limited to, staff, equipment, facilities, and computers. 5.1.3 Outside Remunerative Activities shall not involve use of an employee's OCSD title or position to benefit the outside employer or business activity This activity must not give the appearance that an employee is acting in the official capacity of his/her job at OCSD 5.1 4 The Outside Remunerative Activities shall not give rise to any real or apparent conflict of interest, nor will the activities require the disclosure of OCSD confidential information Any attempt to influence OCSD business decisions, with respect to the employee's Outside Remunerative Activities is prohibited. 5.1.5 The performance of such services shall not affect the employee's efficiency and job performance for OCSD 5 1.6 Outside employment or other remunerative activity must not bring discredit upon or reasonably cause unfavorable criticism towards OCSD, or impair public confidence in the integrity of OCSD. 52 Professional Associations. Performing any Outside Professional Association Activities may be authorized by a supervisor subject to the following conditions: 5.2.1 Outside Professional Association Activities may not make use of OCSD staff, equipment, postage, telephones, computers, Internet access, or any other resource unless authorized by the General Manager, or designee. 5.2 2 Managers and supervisors may restrict activities in outside professional associations in order to prevent conflicts of interest from occurring 5,2 3 Employees are required to obtain prior approval from their supervisor for all Outside Professional Association Activities if these activities are performed during an employee's working hours In addition, employees are required to report all potential Conflicts of Interest, as defined in this policy, to their supervisor 5 24 Any duties performed for Outside Professional Association Activities must not adversely affect an employee's job performance or interfere with the official business of OCSD 52 5 All employees will follow OCSD's Information Systems Management policies when using OCSD computer resources The use of email and internst resources Personnel Policies & Procedures Manual Page 2 of 3 Effective 09/26/18 Policy 1 5, Outside Employment& Professional Associations OCSD 18-18-27 is strictly prohibited if such use conflicts or fnterferes with OCSD's Core Values and/or any administrative policy, guideline, or procedure. 52.6 Employee participation in outside activities not directly referenced ir1 this policy that affect the terms and conditions of employment are prohibited, unless authorzed by the General Manager, or designee 6.0 EXCEPTIONS 6 1 There are no exceptions to this policy unless authorized by the General Manager, or designee; superseded by an amending OCSD policy, or changed due to federal or state laws. 62 Employee association, bargaining unit, and labor union activities are authorized under the provisions of federal and states laws, adopted Orange County Sanitation District (OCSD) Employer-Employee Relations Resolution, and the terms and conditions of applicable Memoranda of Understanding with OCSD TO PROVISIONS AND CONDITIONS 7.1 The provisions of Government Code Section 1126 shall apply to all such services 8 0 RELATED DOCUMENTS 8 1 California Government Code, Sections 1126 and 3502 8 2 OCSD Core Values 8.3 OCSD Request Form for Outside Employment 8 4 Policy 5.2, Discipline 8 5 Policy 6 4, Problem Scivmg Procedure Personnel Policies& Procedures Manual Page 3 of 3 Effective 09/26/18 Policy 1 5, Outside Employment& Professional Associations OCSD 18-18-28 7.7T1.. Orange County Policy Number: 1 .6 4 Sanitation District Effective Date: September 26, 2018 Personnel Policies Subject: Nepotism Supersedes: June 8, 2011 i Approved by: General Manager 1 1.0 PURPOSE 1 1 The purpose of this policy is to avoid the possibility of nepotism in hiring, promoting, evaluating, awarding salary, and disciplining employees and to ensure that employment decisions are based on the individual's qualifications For the position, ability, and performance 1 2 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 ail Orange County Sanitation District (OCSD) 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 individuals: spouse grandparent nephew fiancee grandchild cousin domestic partner great-grandparent sister-in-law parent/stepparent great-grandchild brother-in-law sister/stepsister aunt son-in-law broth enrstepbrother uncle daughter-in-law child/stepchild niece dependent Near relatives shall also include persons who fall into the above categories by a previous marriage or adoption. 32 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, men( increases, training, or any other administrative action that may affect an employee; or near relatives reporting to the same immediate supervisor 4.0 POLICY Personnel Policies & Procedures Manual Page 1 of 4 Effective: 09/26/18 Policy 1.6, Nepotism OCSD 18-1&29 4 1 It is the policy of OCSD not to discrirrinate in its employment and personnei 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 44 Near relatives of members of the Board of Directors shall not be employed in any position where there is a potentsal for adversely impacting the safety, security, morale or efficiency of supervision of other employees, or in which there may be created a potenbai 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 47 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 B 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 4 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: • may interfere with response to public health emergencies • may adversely impact working conditions; Personnel Policies & Procedures Manual Page 2 of 4 Effective:89/26/11#118_3a Policy 1.6, Nepotism • may jeopardize confidentiality, and, • may suggest a corflict 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 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 lr 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 air 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 Department 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 Department 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 erforcing this policy with the assistance of the Human Resources Department 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. 4.21 Except as otherwise provided by law or this policy, no employee, prospective employee or appiicart shall be excluded from the competitive hiring and examination process or deried 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 Personnel Policies & Procedures Manual Page 3 of 4 Effective:`f M'11P 18-31 Policy 1 6, Nepotism 5,0 PROCEDURE 51 OCSD employees shall submit the Near Relative Notification form, which is attached to this policy, to the Human Resources Department 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 Department may be grounds for disciplinary action, up to and including termination of employment 52 If the Human Resources Department determines that employment of near relatives in a supervisory relationship violates this policy, the Human Resources Department may transfer one of the employees to a vacant position in another division or department for which he or she is quaiified_ 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. 53 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 the cessation of the respective relationship with OCSD 54 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 8 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 70 PROVISIONS AND CONDITIONS 8 0 RELATED DOCUMENTS 8 1 Near Relative Notification Form 8.2 Policy 1 4. Recruitment & Selection Personnel Policies & Procedures Manual Page 4 of 4 Effective:8M'11Vt8 32 Policy 1.6, Nepotism Orange County Sanitation District NEAR RELATIVE NOTIFICATION EMPLOYEE INFORMATION Employee Name, Job Title Phone Number Department Division NEAR RELATIVE INFORMATION Near Relative Name Job Title: Relationship: Department Division: Check all that apply: 1 None: ❑ 2. Supervisory Relationship- ❑ Direct ❑ Indirect ❑ Same supervisor 3. Sharing of Duties: ❑ On the same work assignment ❑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 �D�,, Policy Number: 1,7 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: At-Will EMT Employment Supersedes: June 17, 2008 Agreements Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for the General Manager's administration of Orange County Sanitation District's (OCSD) At-Will Agreement with Executive Management Team (EMT) members. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to EMT members only. 3.0 DEFINITIONS 31 At-Will is an employment status that either party may terminate at any time. An employer can terminate the employment of an FMT member with nr withniit cause if there is no express contract for a definite term governing the employment relationship. 3,2 Executive Benefits Structure is a benefits package exclusively for EMT members who elected to remain on this previous aicdel, in which the total benefits elected by the employee provide a value not to exceed thirty-seven percent (37%) of base salary, This includes healthcare insurance, paid leave, disability and life insurance, employer-paid pension contributions, and any elective benefits. 4,0 POLICY 4 1 The General Manager is authorized to employ EMT members on an At-Will basis. The employment status shall be memorialized by a written employment agreement known as an "At-Will Agreement," and signed by the General Manager and the EMT member, acknowledging that the At-Will employee shall serve at the pleasure of the General Manager 4,2 The General Manager is authorized to periodically adjust the rate of compensation and benefits for EMT members who have signed an At-Will agreement in accordance with Board Resolution No. CCSD 16-27. 4.3 EMT members hired or promoted after September 23, 2615, will receive organizational benefits as described in OCSD Policy 4.1 Insurance, and authorized in Board Resolution No. OCSD 16-27, with the exception of those EMT members who made a one-time irrevocable election to remain on the executive benefits structure providing a value of 37% of an incumbents compensation. as approved by Board Resolution No. OCSD 15-26 5.0 PROCEDURE 5.1 Notwithstanding any other provisions of this policy or any prior Board action, the General Personnel Policies& Procedures Manual Page 1 of 2 Effective 09/26/18 Policy 1 7, At-Will EMT Employment Agreements OCSD IB-18-34 Manager may provide for compensation agreements for EMT members as well as severance agreements, in accordance with the following guidelines: 5.1-1 Salary must be negotiated within the approved salary range and micro-step placement identified for the classification. 5 1.2 Annual merit increases may be considered and awarded by the General Manager based on performance goals and in alignment with the Board-approved micro-steps of the EMT pay grades, not to exceed 5% annually- 5.1.3 Severance packages will not exceed six (6) month's salary. 5.1 4 The total benefits package offered to each EMT member (e.g medical, dental, vision coverage, retirement, LTD, STD, life insurance, personal leave, etc.) will be based on OCSD Policy 4 1 Insurance and Board Resolution No. OCSD 16-27, 5,1.4.1 For EMT members who made the one-time election to remain on the executive benefits structure, the value of all benefits shall not exceed thirty-seven percent (37%) of the incumbent's compensation. 5.1-5 The value of the total compensation package will be evaluated against the market. Adjustments will be considered where market comparisons and other factors indicate they would be appropriate and results reported to the Administration Committee. Market is determined using an Executive Management Compensation and Benefits Survey of OCSD's comparison agencies. 5 2 General Counsel shall approve each employment At-Will agreement as to form- 6.0 EXCEPTIONS 7-0 PROVISIONS AND CONDITIONS 7.1 Employees who are hired or promoted into the Executive Management Team will be placed on an At-Will employment agreement. 7.2 Each At-Will employment agreement will be agreed upon between the General Manager and the Executive Management employee in accordance with the guidelines outlined in this policy, 8-0 RELATED DOCUMENTS 8.1 Policy 1.41 Recruitment & Selection 8.2 Policy 41, Insurance 8 3 Board Resolution No. OCSD 15-20 8.4 Board Resolution No. OCSD 16-27 Personnel Policies & Procedures Manual Page 2 of 2 Effective 09/26/18 Policy 1.7, At-Will EMT Employment Agreements OCSD 18-18-35 to Orange County Policy Number: 1.8 �+ Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Business Ethics Supersedes: July 19, 2010 [Approved by: General Manager 1.0 PURPOSE 1A. The purpose of this policy is to establish uniform guidelines and procedures for issues related to business ethics 2.0 ORGANIZATIONAL UNITS AFFECTED 2.T This policy applies to al# Orange County Sanitation District (OCSD) employees. 3 0 DEFINITIONS 3.1_ Conflict of Interest means a conflict that arises when an OCSD employee, or member of his or her immediate family, has a Financial Interest or a Significant Non-Financial Interest in any decision or other action that the employee may take in the course of his or her duties 312 0 es ig nated Positions are those positions identified in OCSD's Conflict of Interest Code. 33 Financial interest has the same meaning set forth in the Political Reform Act, Government Code Section 87103 and its implementing regulations 34 Gift has the same meaning set forth in the Political Reform Act, Government. Code Section 81000 et seq and regulations adopted thereunder 2 Cal. Code of Regulations 18109 et seq 3 5 Immediate Famih,j Member is defined as the employee's father, step-father, father-in-law, mother, step-mother, mother-in-law, brother, step-brother, sister. step-sister, husband, wife, domestic partner. biological child, stepchild, adopted child, child of a domestic partner. step parent, grandchild, grandparent, foster parent, foster child, legal guardian, or any family member with whorYi the employee resides. 36 Significant Non-Financial interest means a significant personal interest in any decision or other action, other than a Financial Interest, that could compromise the employee's duty of loyalty to OCSD 4.0 POLICY 41, OCSD employees shall conduct their duties with disinterested skill, zeal, and diligence for the benefit of OCSD and the public that OCSD serves. 50 PROCEDURE 51 Conflicts of Interest OCSD employees shall not participate in any decision, or take any other type of action, in which they have a Conflict of Interest When considering potential Personnel Policies & Procedures Manual Page 1 of 3 Effective 09/26/18 Policy 1 8, Business Ethics QC SD 1R-IFi-36 Conflicts of Interest, CCSD employees shall strive to avoid even the appearance of impropriety 5.2 Gifts OCSD employees shall not receive, directly or indirectly, any Gift from any source that provides goods or services to CCSD under a current contract or any source that intends to bid on an OCSD contract for goods or services in the foreseeable future Notwithstanding the foregoing, employees may accept the following items from existing and potential contractors 52 1. Food and drinks of nominal value in the ordinary course of OCSD business; 5.2.2 Unsolicited promotional items of nominal value; and 5.2.3. Incidental transportation, provided that the transportation is furnished in connection with the employee's official duties and of a type customarily provided 5.3 Return of Gifts A Gift that is prohibited by this policy shall be returned to the donor. if the employee carrot return the Gift to the donor, the Gift shall be reported to the employee's supervisor and donated to a public or charitable organization 5A Relationships with Contractors and Customers Employees that supervise contractors and/or interact with customers must, at all times, act in an impartial manner without bias or favoritism Employees shall not grant any special consideration, advantage, or treatment to any contractor or customer beyond that generally available to others in the same or similar circumstances 5.5 Disclosure of Significant Personal Relationships with Contractors and Customers Each OCSD employee must promptly disclose any Significant Personal Relationship, as defined below, that the employee may have with any contractor that the employee supervises and/or any customer that the employee regulates or otherwise interacts with during the course of the employee's duties 5.5.1. For purposes of this section 5.5, the term "Significant Personal Relationship" means (1) a romantic or intimate relationship, (2) a relationship within the employee's immediate family', (3) a relationship that involves one or more joint business ventures and/or joint ownership of real property or personal property of significant value, and (4) any other especially close personal relationship that may give rise to actual or apparent favoritism, bias, or preferential treatment 5.5.2 Employees must disclose Significant Personal Relationships to their supervisors, manager or the Human Resources Division immediately by completing a Significant Personal Relationship Disclosure Form. 5.5 3 Upon disclosure, OCSD will work with the employee to determine whether it is appropriate and possible to adjust work assignments, or take other action to eliminate any actual or apparent conflict of interest 5.6 Use of OCSD Assets. Employees shall not use or permit the use of OCSD assets for personal gain or any purpose other than OCSD business OCSD "assets" include, but are not limited to, OCSD facilities, equipment, stationary, records mailing lists, supplies, badges, vehicles, real and personal property, and employee staff time Employees shall not conduct any personal business during work hours (unless expressly authorized such as Internet usage during breaks/lunch periods), or direct any other employee to conduct Personnel Policies & Procedures Manual Page 2 of 3 Effective 09/26118 Policy 1 8, Business Ethics OCSD 18-1 8-37 personal business on their behalf during scheduled work hours 5,7. Confidential lnformatfon, OCSD employees shall not willfully and knowingly disclose to any other person, confidential information acquired in the course of OCSD employment. 5.8 Lthics Training- Employees holding Designated Positions must attend at least two (2) hours of ethics training every two (2) years and submit the associated certificate of attendance to the Clerk of the Board by April 1 of the year that training is due 5.9 Legal &. Regulatory Compliance OCSD employees are bound to uphold the Constitution of the United States and the Constitution of the State of California, and to carry out the laws of the nation, state and iecal government agencies, and the ordinances, resolutions, rules, polic{es and procedures of the OCSD 5.10 Public Interest & Conduct OCSD 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 most be of primary concern and that their conduct must be above reproach 60 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 6 1. Political Reform Act, Government Code Section 81000 of seq , and regulations adopted thereunder, 2 Cal Code of Regulations 18109 et seq 8.2 OCSO Conflict of Interest Code 8.3, Significant Personal ReEationship Disclosure Form Personnel Policies& Procedures Manual Page 3 of 3 Effective 09/26/18 Policy 1 8, Business Ethics OCSD tfi-iB 38 Orange County Policy Number: 1.9 Sanitation District Effective Date: September 26, 2018 Personnel Policies Subject: Layoff Procedure Supersedes: June 8, 2011 Approved by: General Manager 1-0 PURPOSE 1-1. The purpose of this policy is to establish uniform guidelines and procedures for layoff 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1. This policy applies to all current Orange County Sanitation District (OCSD) employees regardless of their organizational unit 3.0 DEFINITIONS 3.1 Layoff means the involuntary release of an employee due to lack of work or lack of funds, as determined by OCSD management 4.0 POLICY 41, It is OCSD policy to avoid layoffs if possible In the event layoffs are necessary, the procedures in this policy shall be followed 5.0 PROCEDURE 5 1 Notification of Layoff If, in the sole discretion of OCSD management, personnel reductions are necessary, layoff order and recall lists shall be developed based upon lob classification, priority of function,job performance, individual qualifications and seniority. Employees subject to layoff shall be provided with at least two (2) weeks notification in writing wherever possible. 52 Request for Voiurtary Demotion. Employees in classifications subject to layoff may request a voluntary demotion to any previously held position for which they remain qualified. Such request must be made in writing to the Human Resources Department within five (5) days of receipt of the Layoff Notice The salary of an employee who voluntarily demotes shall be unchanged except that it may not exceed the top step of the range for the lower level classification 5 3. Recall Lists. Recall lists shall be developed for all classifications experiencing personnel reductions, and shall be maintained for a period of two (2) years from the date of layoff Individuals shall be placed on the list in the inverse order of layoff, so that the last person laid off is the first recalled When a vacancy occurs in a classification for which a recall list exists, an offer of reemployment shall be made to the individual on the top of the list Personnel Policies& Procedures Manual Page 1 of 2 Effective 09/26/18 Policy 1 9, Layoff Procedure OCSD 18-18-39 That individual must respond to the offer within five (5) days, or the offer shall be made to the next person on the list An individual who either does not respond or refuses three (3) corsecutive offers shall have his/her name removed from the list. 6.0 EXCEPTIONS 70 PROVISIONS AND CONDITIONS 7.1. Layoff Notification and Responses. All layoff notifications and responses must be in writing and delivered either in person or by Certified Mail It is the responsibility of all employees to keep the Human Resources Department informed of their current address, or where they may be contacted. 8.0 RELATED DOCUMENTS 8.1, Policy 1.10, Employee Separation Personnel Policies& Procedures Manual Page 2 of 2 Effective 09/26/18 Policy 1.9, Layoff Procedure OCSD 18-18-40 Orange County Policy Number: 1.10 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Employee Separation Supersedes: November 14, 2011 Approved by: General Manager 10 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for processing employee separations 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to ail current Orange County Sanitation District (OCSD) employees regardless of their organizational unit 3.0 DEFINITIONS 3 1 At-Will is an employment status that either party may terminate at any time An employer can discontinue the employment of an At-MH employee with or without cause if there is no express contract for a definite term governing the employment relationship 3 2 Consolidated Omnibus Budget Reconciliation Act (_COBRA) is a federal law that gives employees and dependents who lose their group health insurance the right to elect to continue health insurance coverage for eighteen (18) or thirty-six (36) months under certain circumstances 33 Dismissal is a separation from OCSD employment of a regular employee initiated by OCSD for just cause or the separation of an At-Will employee 34 Exempt employees are those employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees are considered exempt by virtue of their duties in conformance with the Act's definition of executive, administrative and professional responsibilities. 3.5 Layoff is the involuntary release of an employee due to lark of work or lack of funds. 36 Non-Exempt are those employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended Such employees, because of the type of work that they perform and their earnings level, are subject to receiving overtime pay 3.7 Resignation is a voluntary separation, including: resignation with or without notice; an unauthorized absence of three (3) or more consecutive working days; failure to return from leave of absence as arranged, or failure to return from layoff upon recall Personnel Policies & Procedures b4anuai Page 1 of 4 Effective. 09/26/18 Policy 1.10, Employee Separation OCS0 18-18 41 3 S Termination bate is considered to be the last day actually worked by an employee irrespective of any additional pay they may receive. 4.0 POLICY 4 1 The General Manager, Executive Management Team (EMT) members, new-hire probationary employees, and student interns serve At-Will and may be released from employment without cause or recourse to any appeal or grievance procedures 4 2 It Is OCSD's policy to provide consistent guidelines for the administrative separation of individuals from OCSD employment consistent with positive employee relations practices 4 3 Employees may be separated due to a resignation, layoff, or dismissal 5-0 PROCEDURE 5 1 Notice. If separation is due to layoff, the employee will be given at least two (2) weeks notice At OCSD's discretion, the employee may be expected to continue to work during this period The layoff notice requirement does not affect At-Will employees. 52 Employees resigning from OCSD are expected to give at least two(2) weeks advanced written notice prior to leaving Employees who fail to provide two (2j weeks written notice in advance of resigning shall be prohibited from being rehired at OCSD without approval from the Director of Human Resources or designee. A voluntary written resignation of employment with OCSD is irrevocable after seventy-two (72) hours From the receipt of the resignation except by approval of the Human Resources Department 53 Pay in Lieu of Notice Immediate separation from duties may occasionally be desirable to minimize adverse effects on other employees or to allow the separated employee more time to seek new employment Pay may be provided in lieu of notice depending on the employee's length of service 54 Management_Approvals When an employee is released for reasons other than dismissal, written approval will be required from the Director of Human Resources, or designee, and two levels of management above the employee Release of an Assistant General Manager will require written approval of the General Manager and the Board of Directors 5 5 Change of Status. The immediate supervisor of the separating employee or Human Resources is responsible for initiating the Employee Status Change form and designating the appropriate separation category 5 6 Final Paycheck Payroll is responsible foe calculating and preparing the final paycheck in accordance with appropriate policy, and ensuring that final pay is issued to the separating employee not later than the subsequent regular pay day 5 7 Exit Interview. AEl separating employees will be asked to participate in an exit interview conducted by the Human Resources Department The purpose of the exit interview is to attempt to determine the individual's reasons for leaving OCSD, identify possible grievances, or explain the reasons for layoff or release An additional goal of the exit interview is to retain the goodwill of the employee towards OCSD and to review all Personnel Policies & Procedures Manuai Page 2 of 4 Effective 09/26/18 Policy 1 10. Employee Separation CCSD 18-18-42 benefits available to the separating employee 58 The exit interview will be scheduled by the Human Resources Department during the separating employee's notice period or on the last day of employment Ail OCSD property of shall be returned to the employee's supervisor or Human Resources prior to the last day of employment 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS Benefits F!gihility 7.1.2 Severance Pay. When a full-time regular employee is separated from employment by action of OCSD, except for disciplinary cause, the employee will be notified in writing two (2) weeks prior to the effective separation date. Unless otherwise stipulated in the employee's affiliated bargaining unit Memorandum of Understanding, the employee will be entitled to severance pay in accordance with the formula set forth below 7.1.2.1 Full-time, regular employees shall be entitled to eight (8) hours pay for each full calendar month of continuous employment not to exceed one hundred sixty (160) hours pay, or as may be determined by the General Manager 7,1.3 Employees in part-time positions, student interns, probationary employees, and employees who are separated for cause are not eligible for severance pay under any circumstances 7 1 4 Vacation, Personal Leave, and Compensatory Time. When an employee is separated for any reason, they will receive payment for all accrued vacation, personal leave, and banked compensatory time earned but not taken 7.1 5 Sick Leave Payment will be made to the separating employee for accrued, unused sick leave hours according to the following schedule: Accrued Sick Leave I- 101 Rate of Payoff Hours to 240 hours _25% 241 to 560 hours 35% I Over 560 hours 50% 7.1 6 Employees who retire or spouses of employees who decease shall be paid for all accrued and unused sick leave hours, as follows Years of Service Rate of Payoff Less than 20 years of service 75% 20 or more years of service 100% Personnel Policies & Procedures Manual Page 3 of 4 Effective'. 09/26/18 Policy 1,10, Employee Separation OCSD 18-18-43 71 7 Cancellation of Benefits and Insurance Conversion All employee benefits will cease upon the date of termination Coverage under the Group Insurance Programs for Medical, Dental. Vision, Life. and Accidental Death and Dismemberment will continue to the end of the month in which the termination date occurs Upon reaching the end of the month in which the termination date occurs, these benefit coverages will cease 7 1 8 Health Insurance Employees separated from employment may be eligible to continue their medical, dental, vision, and employee assistance insurance program benefits in accordance with the provisions of COBRA. 8,0 RELATED DOCUMENTS 8 1 Policy 1.7. At-Will EMT Employment Agreements 82 Policy 3.31 Leave of Absence With Pay 8 3 Policy 5 181 Use of District Property 8 4 Policy 5 2, Discipline 8 5 Financial Management Policy and Procedure (Number 301-3-1) Personnel Poixies & Procedures Manual Page 4 of 4 Effective; 09/26/18 Policy 1,1 a, Employee Separation OCSD 18-f8-44 by rrT?. Orange County Policy Number: 1.11 ? Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Temporary and Contract Supersedes: NIA Worker Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for hiring temporary and contract workers so that the Orange County Sanitation District (OCSD) can make appropriate management decisions, admirnster programs, and satisfy legal and compliance requirements 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all current Orange County Sanitation District (OCSD) managers and supervisors who utilized temporary and contractor workers. 3.0 DEFINITIONS 31 Temporary Workers)--An individual who is employed with a staffing agency (labor supplier) and whose assignment with OCSD is limited to 1,600 hours per year 3 2 Contract Workers) — A worker who provides services pursuant to a contract agreement for services and who is not entitled to an employee status 4.0 POLICY 4 1 Temporary and Contract Workers may be hired without following OCSD Policy 1.4, Recruitment and Selection 42 The service of a Temporary or Contract Worker may be discontinued by an OCSD management representative or the Director of Human Resources (or designee) at any time 4 3 Temporary and Contract Workers are not granted preferential treatment based on their relationship with OCSD if they apply for a permanent position with OCSD 4 4 Temporary Workers shall be provided rest periods and non-paid lunch breaks as required by law 4 5 Contract Workers shall determine on their own or through their contract employer the provisions of meal and rest periods required by law 46 OCSD retirees may not return to OCSD as a Temporary or Contract Worker for 180 days following their date of retirement from OCERS. 47 Temporary and Contract Workers are not in a collective bargaining unit and are not entitled to any of the contract rights granted to represented OCSD employees Personnel Ponies & Procedures Manual Page 1 of 4 Effective 09/26/18 Policy 1 11 Temporary and Contract Workers OCSD 18-18-45 4.7 1 They are not eligible for OCSD fringe benefits (medical, dental, sick leave, vacation, paid holidays, comp time, etc ), salary increases, reclassification, or for shift differential or special pay 4.7 2 They are not entitled to membership in Orange County Employee Retirement System or any other deferred compensation benefit plan through OCSD 4-8 Before Temporary and Contract Workers are used, the hiring division must ensure that the utilization of the worker is essential, and the work assignment cannot be performed by regular OCSD employees 49 Temporary Workers 49 1 It is the responsibly of the hiring division to budget for, and ensure that funds are available within the Board-approved annual temporary services budget prior to requesting a temporary worker. 4-9.2 The maximum duration for any Temporary Worker assignment is one (1) year Temporary Workers are hired in six (6) month increments 4.9.3 The documentation to request a Temporary Worker assignment must be submitted to the Human Resources Department 49 4 Divisions are not authorized to directly hire Temporary Workers without the prior approval of the Director of Human Resources (or designee), 4.1C Contract Workers 4.10 1 The division hiring authority must notify the Human Resources Department of all intended contracts that involve Contract Workers through a Professional Services agreement 5.0 PROCEDURE 5,1 Temporary Workers 5 1 1 The division hiring authority must coordinate temporary staffing with the Hurnar Resources Department 5 1 2 The division hiring authority requesting a Temporary Worker must complete, in detail, through a request for temporary staff form 5 1 2.1 The completed form must be submitted and approved by the Director of Human Resources (or designee) 5.1.3 If an interview is needed (in person or over the phone? a Human Resources representative presence is not required 5 1 4 The division hiring authority will not contact the temporary staffing agency to request temporary staff, negotiate bill rates or renew contracts 5.1 5 Human Resources will make all arrangements with the temporary staffing agency and notify the appropriate hiring authority of the Temporary Worker's name and start date Personnel Policies& Procedures Manual Pege 2 of 4 Effective! 09/26/18 Policy 1 11 Temporary and Contract Workers OCSD 10-1e-46 5.1.6 The hiring authority should submit a service desk request to the Information Technology Division (250) for a computer, network/iternet access (if applicable) and programs as well as a telephone/voicemail for the Temporary Worker prior to the Temporary Worker's start date 5 1.7 The hiring authority must notify the Human Resources Department when the Temporary Worker assignment has ended. 5 1 8 It is the responsibility of each division to verify the accuracy of invoices submitted to include actual hours worked and rate charged to CCSD 5.1 9 Temporary Worker time off requests should not be reviewed or approved by CCSD employee, rather provided directly from the Temporary Workers' staffing agency 51 10 Temporary Worker timecards must be completed by the manager or supervisor they are assigned to work for. 5.1.11 OCSD Employees are not authorized to sign timecards for Temporary Workers. 5.1.12 Temporary assignments will terminate on the date indicated on the original request or upon completion of 1,600 work hours in a one-year period, whichever comes first, unless discontinued earlier by an CCSD management representative or the Director of Human Resources (or designee) 5.1.13 If an extension is requested, attach a copy of the original request to the extension request form, obtain the necessary approval signatures (Department Manager & Department Head) and forward to Human Resources Director (or designee) for approval 5.1.14 Signed extension requests must be submitted to Human Resources Department two (2) weeks prior to the end date indicated on the original temporary services request form 5.2 Professional Services A reements 'Contract Workers 5.2.1 The division hiring authority requesting contract workers must work through the formal procurement process established by Purchasing and Contract Administration Division. 52,2 The hiring authority should submit a service desk request to the Information Technology Division (250) for a computer, network/Internet access (if applicable) and programs as well as a telephonelvoicemail for the contract worker prior to the temporary worker's start date. 5.2 3 It is the responsibility of each division to verify the accuracy of invoices submitted to include actual hours worked and rate charged to CCSD 5.24 Contract Worker timecards must be completed by the manager or supervisor they are assigned to work for. 52 5 CCSD Employees are not authorized to sign timecards for Contract Workers 52 6 Contract Worker assignments will terminate on the date indicated on the contract, unless discontinued earlier by an CCSD management representative or the Director of Human Resources (or designee). Personnel Poiicies & Procedures Manual Page 3 of 4 Effective 09/26/18 Policy 1.11 Temporary and Contract Workers OCSD 18-15-47 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8 1 Injury and Illness Prevention Program 82 Temporary Staffing Services — Request Form Personnel Policies & Procedures Manual Page 4 of 4 Effective 09/26/18 Policy 1 11 Temporary and Contract Workers OCSD 18-18-48 Orange County Policy Number: 1.12 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Student Internship Supersedes: NIA Program Approved by: General Manager 1'0 PURPOSE 11 The Orange County Sanitation District's (OCSD) Student Internship Program offers opportunities for undergraduate, graduate, and vocational students 1 2 An internship is designed to provide career-related work experience, workplace readiness skills, and an understanding of different career opportunities to supplement and enhance a student's academic and vocational studies 1 3 OCSD's Student internship Program helps to develop and prepare the future workforce in our community. The program can be part of a student's educational plan to explore a given career path that integrates classroom study with planned, supervised work It will enable the +ntern to experience the daily challenges and rewards of public service, and the ability to explore opportunities in a variety of disciplines, including: Engineering, Wastewater Operations and Collections, Mechanical, Instrumentation and Electrical Maintenance, Information Technology, Laboratory and Ocean Monitoring; Public Affairs; and Human Resources 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all OCSD undergraduate, graduate, and vocational interns. 10 DEFINITIONS 3 1 Undergraduate and Graduate Internships are internships jn which undergraduate and graduate students obtain valuable experience in professional occupations related to their field of study 32 Vocational Internships are internships in which vocatienai students gain valuable experience in trade occupations by rotating through different areas of the plant, including Wastewater Operations Mechanical Maintenance, Collections & Rebuild, and Instrumentation & Electrical Maintenance 40 POLICY 41 WORK HOURS 41.1 The rollowing restrictions apply to work hours for student interns Personnel Policies&Procedures Manual Page 1 of 9 Effective: 09/26/18 Policy 1.12, Student Internship Program OCSD 18-18-49 4 1.1.1 Work hours will be established between the Intern and division manager(or designee), and should be between core hours whenever possible. 4 1 1 2 Interns are not authorized to work overtime or to perform unsupervised work under any circumstances 4.1 1 3 Interns are not authorized to work beyond the maximum hours in a work week, which is defined as 41 1.3 1 A maximum of 20 hours per work week for undergraduate and graduate students, and 4,1 1 3.2 A maximum of 28 hours per work week for vocational interns 4.1.1 4 The schedule for vocational interns is Monday through Thursday. The hours are From 6 00AM to 1 30PM (may be 7 OOAM to 2,30PM during training and some assignments) with a '/z hour uncompensated meal break. 50 PROCEDURE 51 GOALS 5.1.1 Listed beluw are several different goals that OCSD expects to acuumplish with the program These goals reflect OCSD's desire to help students give back to the community, and provide a means to prepare the future workforce. 5 1 1.1 Provide meaningful career-related knowledge and on-the-job experience to students, through a paid internship. 5.1.1.2 Expose students to real-world challenges and trends in various occupations 5 1.1.3 Enable the student to establish effective working relationships and build a professional network with subject matter experts. 5.1.1 4 Provide firsthand knowledge and understanding of government processes and OCSO's Core Values. 5.1 1 5 Help educate communities, universities, and colleges on environmental protection issues 5 1.1.5 Provide awareness of opportunities and requirements in a chosen career field in the public sector. 51 1,7 Broaden the student's skills and competencies to meet the future workforce needs for OCSD and other public agencies. 5 1.1.8 Promote collaboration between public sector employers and educational institutions to support workforce development Personnel Policies 8 Procedures Manual Page 2 of 9 Effective 09/26118 Policy 1 12, Student Internship Program OCSD 15-1B-50 5.1.1 9 Promote OCSD as an employer of choice among students, universities, colleges, and the community 5 1.1.10 integrate the student as a contributing member of OCSD 52 TERMS AND CONDITIONS 5.2.1 OCSD, in its sole discretion, reserves the right to modify, revise or eliminate this program at any time. Participation in the program is contingent upon meeting the established eligibility requirements, and may continue if OCSD's workload dictates a need 5.22 Interns are not considered regular employees and therefore are not eligible for organizationai benefits including but not limited to retirement, insurance coverage, and accrued or paid time off, except for sick leave provided in accordance with Califomia's Paid Sick Leave Law and as outlined in this policy 5 2 3 Student interns are considered at-will positions and are is subject to the following terms and conditions 5.2.3.1 Students selected for an intemship must successfully complete a pre-employment screening process, which may include background investigation, drug screening, and physical exam 5 2.12 Participation in the program does not constitute an employment contract nor does it guarantee employment with OCSD upon completion of the program. 5 2.3.3 Interns will receive an orientation and general safety training, as necessary Intern work assignments will not be made unt6 the orientation and all necessary safety training are completed 5.2 3 4 Interns are not authorized to attend any training outside of the required safety training 5.2.3 5 Upon successful completion of an internship, students may apply for an internship in a different dMsionldepartment within OCSD 5.2.3,6 Intern experience qualifies as professional experience to meet employment standards for OCSD positions 5.2.3 7 If app4icab#e, uniforms and/or personal protective equipment (PPE) such as safety boots, goggles and hard hats must be worn in all specified areas 52 3.8 Undergraduate and graduate internships end when the student has worked the total number of hours requested by the division through the budget process or 12 months, whichever comes first 5.2.3.8 1 Department Heads may request to extend the duration of a student internship for an additional 12 months subject to budget approval. No internship shall exceed a total duration of 24 months. Personnel Policies & Procedures hAanual Page 3 of 9 Effective: D9126118 Policy 1,12, Student internship Program OCSO 18-18-51 52-3 9 Vocational internships are 52 weeks and consist of a 1-week Orientation and 51 weeks of Rotation Assignments 5.3 ELIGIBILITY 5.3.1 This section applies to all student lanterns. 5.3,i 1 Students must be enrolled in a college, university or vocational school to be eligible to participate in the program 53 12 Students must be in "goad standing" at their school, and maintain a GPA of 2 0 or better to remain in the internship program 5 3.1,3 Students must be at least 18 years of age and legally authorized to work in the United States 5.3 1 A Students may be required to provide a letter of recommendation from a professor as part of their application process 5 3 1,5 Students must have satisfactory performance and attendance, and will be evaluated throughout the internship to determine eligibility to continue in the program. 5,3,1 6 Students must submit a "student verification" or verification of enrollment from the registrars office to establish a pay rate based on dcedefn1C level, as applicable, and as proof of enrollmerit Verifications are required each semester 5.3.1.7 Students are eligible to remain in the internship program throughout the year (including during school breaks) if they are enrolled as a full- time student in fail and spring semester, or during the four quarters of the year, and if OGSD's workload dictates a need 5,32 These additional seetions apply to undergraduate/graduate student lntern.shrps 5 12 1 Students must be enrolled full-tithe in a four-year undergraduate program or a graduate program that is in a field of study related to the internship for which they are applying. 5 3 2.2 Students trust have at least one (1) year remaining in school at the beginning of their internship 5,323 Students enrolled in an undergraduate program must be at junior level status or above, which is the timeframe when students undertake upper-division core courses. 5.3 3 These additional sections apply to voeatio nal student internships: 5.3 3,1 Students must have completed at least six (6) units within a college, university, or vocational school's Water Utility Science Program, or related field of study, to ensure that students being considered are interested and committed to working in the wastewater industry Personnel Policies& Procedures Manual Page 4 of 9 Effective: 09i26118 Policy 1 12. Student Internship Program OCSD 1 g-1 B 52 5 3 3 2 Students must be enrolled in at least three (3) units in the Water Utility Science Program at Santiago Canyon College or comparable class at another educational institution for the duration of the internship 5.4 APPLICATION PROCESS 5A 1 Recruiting 541.1 Recruiting for internship positions differs in several respects from OCSD's traditional recruitment process 5.4.1.1.1 Internships may be posted on local college, university, technical and vocational school (as applicable) websites 5,411 2 Internships may be posted to intem-specific job websites. 54 1.1 3 OCSD may work with college career centers and faculty to outreach to potential internship candidates. 5 4-1.1 4 OCSD may participate in college, university, and school campus events like job fairs and utilize bulletin boards and other communication methods for student and community outreach about internships and careers offered through OCSD 5 4 2 Sefecbng 5,42 1 HR will pre-screen student appiicatiors to ensure that each candidate meets the requirements for the internship. The HR representative will coordinate with the hiring manager to select the best candidates, based or academic level and area of study, from the group of quaiified individuals HR may erkst the assistance of career centers at the local colleges, universities, and schools to identify and pre-screen students for available OCSD irtemships. 5 4 22 The interview panel will generally include an HR representative, and the person that Mi be supervising the work of the intern. It may include other persons, if necessary. 5 4.2.3 The student that appears to be the best overall fit will be the person considered for the internship The division manager (or designee) will make the final selection. 54,3 Hiring 5.4.3.1 Upon receiving an official verification of enrollment from the educational institution indicating academic level and status, the selected student will be made an offer and will be compensated in accordance with the current intern pay scale. This pay scale is detailed later in this document After the verbal offer has been made and accepted, the student will be scheduled for the pre-employment screening process Personnel Policies & Procedures Manual Page 5 of 9 Effective 09126l18 Policy 1 12, Student Internship Program OCSD 18-16-53 55 WORK ASSIGNMENTS & EVALUATION 5.5.1 The nature of the work assignments given the student is one of the most important internship components, and it should include diverse responsibilities. 5,52 The internship experience should provide the opportunity for the intern to learn new skills and perform work in a real-world setting, integrating the student as a contributing member of OCSD 5 5 3 The work assigned should benefit the student and be a good investment of OCSD time and resources Providing meaningful work experiences is the focus of the program 56 COMPENSATION 5 6 1 Student internships with OCSD are on a paid basis and are offered as "at-will" employment The rate of pay is based on the type of student and the intern1s academic level in schoot, as listed below Vocational student $15 per hour Undergraduate student $17 per hour Graduate student = $20 per hour PAID SICK LEAVE 5 7 1 Califor�iia's Paid Sick Leave law requires OCSD to provide paid sick leave to interns under the following conditions: 5.T1,1 An intern begins to accrue paid sick leave at the rate of one (1 i hour of paid sick leave for every thirty (30) hours worked beginning on the first day of the internship An intern is not eligible to begin using any accrued paid sick leave until after the first 90-days of their internship 5.7.1.2 An intern is on3y allowed to use up to a maximum of 3-days or 24 hours of paid sick leave in a 12-month period 5.7 1 3 An intern can onfy accrue paid sick leave up to a cap of 6-days or 48 hours ongoing 5.7.1 A Any unused accrued paid sick leave carries over year to year while continuously working at OCSD. 57 1 5 In accordance with California's Paid Sick Leave law, an intern may use 3-days or 24 hours of accrued paid sick leave In a 12-month period for one of the following reasons 5 7.1.6 For the intern's own diagnosis, care, or treatment of an existing health condition or preventative care. 5 7.1-7 For the diagnosis, care, or treatment of an existing health condition or preventative care for an intern's family member, including • Child(including a biological, adopted, or foster child, stepchild, Iega1 ward, or a child to whom the intem stands in loco parentis J Personnel Policies & Procedures Manual Page 6 of 9 Effective:09/26/18 Policy 1 12, Student Internship Program OCSD 18-18-54 • Spouse or Registered Domestic Partner ■ Parent (including biological, adoptive or foster parent, stepparent, or legal guardian of an intern or the intern's spouse or registered domestic partner, or a person who stood in loco parentis when the intern was a minor child} • Grandparent ■ Grandchild ■ sibling, 5 7.1.7.1 To obtain any relief or services related to being a victim of domestic violence, sexual assault, or stalking including the following with appropriate certification of the need for such services • A temporary restraining order or restraining order, • Other injunctive relief to help ensure the health, safety or welfare of themselves or their children. • To seek medical attention for injuries caused by domestic violence, sexual assault or stalking. • To obtain services from a domestic violence shelter, program, or rape crisis center as a result of domestic violence, sexual assault, or stalking • To obtain psychological counseling related to an experience of domestic violence, sexual assault, or stalking. ■ To participate in safety planning and take other actions to increase safety from future domestic violence, sexual assault, or stalking, including temporary or permanent relocation 5.7 1.8 Interns shall provide reasonable advance notification of their need to use accrued paid sick leave to their supervisor if the need for paid sick leave use is foreseeable (e g., doctor's appointment scheduled in advance) If the need for paid sick leave use is unforeseeable, the intern shall provide notice of the need for the leave to their supervisor as soon as is practicable. 5.7.1.9 An intern who uses paid sick leave must do so with a minimum increment of one-half(C) 5) hour 571,10 Paid sick leave will not be considered hours worked for purposes of overtime calculation An intern will not receive compensation for unused accrued paid sick leave upon termination, resignation or other separation from their student internship at OCSD Personnel Policies & Procedures Manual Page 7 of 9 Effective: 09/26/18 Policy 1 12, Student internship Program QCSD 18-18-55 5.7,1,11 If an intern separates from their internship at OCSD and is re-hired by OCSD within one year of the date of separation, previously accrued and unused paid sick leave hours shall be reinstated to the extent required by law However, if the individual had not yet worked the requisite 90-day period to use paid sick leave at the time of separation, the individual must still satisfy the 90-day requirement collectively over the periods with OCSD before any paid sick leave can be used 58 PROGRAM ADMINISTRATION & RESPONSIBILITIES 5.8.1 Human Resources Department 5.8.1.1 The HR Department will administer and manage the Student Internship Program This includes assisting with personnel requisitions, postings, advertising, and applicant screening, as well as working with division management on scheduling interviews 58,2 Finance Depaitrnenf 5,8 2 1 The Finance Department is responsible for tracking and reporting on the hours worked by interns based on timecard records By running bi-weekly reports on the total hours an intern has worked to date, Finance identifies and notifies the appropriate division manager (or designee) of intern(s) who may, be reaching the maximum total hours for the internship 5.8 3 Drvrsmnal Management 5 8.3.1 Divisions needing an intern are responsible for preparing and submitting a decision package to the Financial Management Division for consideration during the annual budget cycle Justification of the need, a description of the specific work that the intern will perform, and the total number of hours requested must be provided. 5 8 3.2 The division manager (or designee) is also responsible for scheduling, overseeing, and mentoring the intern during the period assigned Interns should be supervised closely with regular, frequent contact occurring between the division manager (or designee) and the ;nte(n 5 &3.3 Additionally, the division manager (or designee) will 1) provide meaningful tasks and responsibilities in order for the student intern to gain knowledge and skills to further their development, 2) conduct informal performance evaluations and feedback sessions for the intern and 3) track the hours worked and adhere to the established maximums in accordance with this policy 59 EMPLOYMENT OPPORTUNITIES 5.9.1 All Interested students are encouraged to review OCSD's internship policy (this document), and job announcement requirements to determine their eligibility to participate In the program Personnel Policies 8 Procedures Manuel Page 8 of 9 Effective 09126/18 Policy 1 12, Student Internship Program OCSQ 18-18-56 6.0 EXCEPTIONS &1 Any exceptions to this policy must be approved by Human Resources and the General Manager. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8 1 Healthy Workplace Healthy Family Act of 2014 (AB 1522) 8.2 Student internship Program, internship Guidelines 8 3 Vocational Internship Guidelines Personnel Policies & Procedures Manual Page 9 of 9 Effective: 09/26/18 Policy 1.12, Student Internship Program OCSD 18-18-57 F�•�, Orange County Policy Number: 2.1 �{ Sanitation District Effective Date: September 26, 2018 Personnel Policies Subject: Classification & Supersedes: June 19, 2012 Compensation Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish and maintain uniform guidelines and procedures for use in the administration of the Orange County Sanitation District's (OCSD's) classification and compensation programs 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 Ak OGSD employees, as specified herein. 3.0 DEFINITIONS 3 1 At-tail) is an employment status that either party may terminate at any time. An employer can terminate the employment of an At-Will employee with or without cause if there is no express contract for a definite term governing the employment relationship 32 Budgeted Positions are those positions that have been formally approved and authorized by the Board of Directors during the budget process 3 3 Classifications are groups of positions, regardless of location, which are alike enough in duties and responsibilities to be called by the same descriptive title, to be given the same pay scale under similar conditions, and to require substantially the same qualifications 34 Comparative Labor Market are those agencies that the Board of Directors considers most comparable to OCSD in terms of agency size, function, population served, employee population job function, techno{ogy, and equipment 35 Equity Adjustment is a modification to an employee's salary so that the salary remains competitive to the job's relative value to the organization 36 Inequity is an unusual salary disparity either between an employee and the comparative labor market or between two (2) or more employees 37 Market Rate is the prevailing salary being paid in the comparable labor market for a given job. 3 8 Pa�Grade is an organizational unit into which classifications of the same or similar value are grouped for compensation purposes All classifications in a pay grade have the same salary range Personnel Policies &Procedures Manual Page 1 of 7 Effective:09/26/18 Policy 2.1, Classification & Compensation OCSD 18-18-58 39 Salary Ranges are the range of pay rates, from minimum to maximum, set for a pay grade or class. 3.10 YY-Ratirq is the freezing of an employee's salary that exceeds the salary range maximum of a position that has been allocated to a lower paid classification 3,11 Decision Packages are requests by departments for new programs, positions, capital equipment, and reciassi€ications of existing positions during the budget development process. 4.0 POLICY 4 1 It is the policy of 0CSD to apply uniform classification and compensation standards. OCSD's Classification and Compensation Program provides for the establishment of a wage and benefit structure that allows OCSD to effectively compete in the labor market and to retain present employees through an internally consistent measure of relative jab worth and personal merit. Every position is assigned to a pay grade based upon OCSD's compensation strategy, which strives to be internally equitable and externally competitive The salary ranges are accessible on OCSD's internet website 4 2 It is OCSD policy to correct pay inequities, in accordance with this policy, that cannot be remedied through annual merit adjustments. 4 3 The General Manager is authorized to employ and assign persons as needed to occupy budgeted positions and to exercise supervision over all persons in accordance with the provisions of this policy and to terminate, for cause, the employment of any regular full time employee employed under these provisions 44 New-hire probationary, temporary, contract student and vocational interns, and executive management employees, may be released from employment at OCSD's sole discretion 4 5 Non-management employees are awarded merit increases based upon their performance as determined by the OCSD Performance Management Program The specific evaluation process is set forth in the Performance Management Program Guidelines. 46 Increases to pay will apply only to eligible employees in an active payroll status on the effective date of implementation Eligible employees will not receive retroactivity if active payroll status becomes effective after the date of implementation 47 Salary range adjustments for represented employees will be based on applicable Memorandum of Understanding (MOU) provisions Salary range adjustments for unrepresented employees may be reviewed annually and changed via Board Resolution 5.0 PROCEDURE 5 1 CLASSlFlCA TlON 5 1.1 Classification Studies. Employees who believe their position is not properly classified may submit a written request to the Department Head requesting that a classification study be conducted The Department Head will acknowledge the request in writing, review the request for accuracy, and forward it to the Human Resources /Risk Manager for review. Personnel Policies & Procedures Manual Page 2 of 7 Effective. 09/26118 Policy 2.1, Classification &Compensation OCSD 18-18-59 5.1-1 1 Classification studies can be requested by employees twice during the year - during the annual budget planning process and in November Those reclassifications approved in the budget may be made effective any time during the new fiscal year 51 1 2 Classification study requests must be submitted to Human Resources no later than October 111 for the November cycle and in accordance with the submittal schedule for the annual budget planning process 5 1 1.3 Classification studies may be conducted at the discretion of OCSD to ensure that the duties and responsibilities of all employees are appropriately akocated within the classification structure 5.1 1.4 Classification studies may result in. 5.1.1 4.1 Employees being reclassified to either a lower or higher level classification 5 1.1 4.2 Employees being reclassified to a newly created classification 51 1,43 Employees remaining in the current classification 5 1 1 5 All classification study findings regarding existing classifications are subject to approval by the General Manager, findings recommending the establishrnenl of new job classifications are subject to approval by OCSD's Board of Directors 5.1 2 Reclassifications Reclassification Guidelines have been established to ensure fair and objective processes are in place to support uniform application of classification and compensation standards The Reclassification Guidelines are located on the Human Resources pages on MyOCSD 5 1.2.1 Position reclassification categories are as follows 5.1 2 1 1 Upward An upward position reclassification occurs when the degree of change in job responsibilities, duties, and requirements is very high and significant. A significant change in the duties within a position may result in a job being placed at a higher salary grade The following requirements apply to Upward Reclassifications • The incumbent has been in the position being considered for reclassification and performing the higher level duties for at least six (6) months, • The incumbent meets the qualifications for the position being considered for reclassircation, and • If the position being considered for reclassification is a supervisory classification, the position must be openly recruited 5.1.2.1,2 Downward: A downward position reclassification occurs when there is a significant reduction in the level of work required The reduction in the level of work required results Personnel Policies& Procedures Manuai Page 3 of 7 Effective 09126118 Policy 2 1, Classification & Compensation GCSD 18-18-60 in the job being placed in a lower salary grade, which may effectuate the Y-Rating provision, 5 121.3 Lateral. A lateral position reclassification occurs when job responsibilities, duties, and requirements reflect no degree of change The job remains in its current salary grade placement 5.1.2 2 Additional information about reclassifications can be found on MyOCSD 52 COMPE'NSA TlON 5 2.1 Equity_Adjustments. Equity adjustment requests are submitted as Decision Packages during the budget process or outside the budget process if deemed appropriate by the General Manager 5 2.1.1 An analysis of the salary disparity will be conducted by Human Resources to include factors such as education, skills, related work experience, length of service, and job performance of the affected employee. 5.2.1 2 The application of an equity adjustment in addressing salary disparity may be appropriate in the following exceptional circumstances • Departmentldivision restructures that result in an employee taking on additional staff andlor additional job responsibilities not warranting an upward reclassification • Salary compaction between managers/supervisors and their direct reports • Salary inequity between and among employees holding similar positions. The factors of education, skills, related work experience, length of service. and lob performance of affected employees will be considered in determining the most appropriate salary relationship. 5.2-1 3 There shall be no right to an equity adjustment. Such adjustments shall be made at the sole discretion of OCSD and shall not be subject to the grievance procedure or to judicial review 5.2 2 Grade Five (5) California Wastewater Treatment Plant Operator Certificate Pay_ It is the policy of OCSD to compensate employees in the Operations Divisions who perform duties involving the operation and control of wastewater through the treatment plant for the obtainment of a California Wastewater Treatment Plant Operator's Grade V Certificate. 5.2 2.1 Employees who perform duties involving the operation and control of wastewater through the treatment plant are eligible to receive a 1 375% increase, upon obtainment of a California Wastewater Treatment Plant Operator's Grade V Certificate. 5 2.2.2 Employees who fail to maintain their Grade V Certificate will lose the Grade V Certificate pay. Personnel Poiicies &Procedures Manual Page 4 of 7 Effective, 0919-6/18 Policy 2 11 Classification& Compensation OCSD 18-18-61 52 2.3 Employees in classifications with a minimum qualification of California Wastewater Treatment Plant Operator's Grade V Certificate are not entitled to Grade V Certificate pay 5 2 2 4 Employees who receive Grade V Certificate Pay are ineligible to receive Development Pay for the Grade V California Wastewater Treatment Plant Operator Certificate Employees who possess a Grade V Certificate and do not meet the criteria for Grade V Pay are eligible for Development Pay in accordance with the Development Pay Program Guidelines 5.2 3 Merit Increases Employees will be eligible for a merit increase based upon receipt of a year-end (over a 12-month period) performance appraisal issued by the assigned supervisor Merit increases will be paid according to the folloWmg 5 2.3,1 Employees must have a proficient year-end performance appraisal to receive a one (1) step base-building merit increase until earning placement at the top of the salary range, step five (5) 5 2.3.2 Employees who are placed on a Performance Improvement Plan (PIP) due to a needs improvement performance review on the year-end appraisal or who are on a PIP at the time of the year-end appraisal period will remain at their current step until the PIP is satisfactorily completed 5 2 3 3 Managers and EMT annual merit increases are based on performance in established organization and individual goals. 5.2 4 New Employees Employees shall be offered a salary at or near the minimum of the salary range unless their level of training, educational background, expertise, and/or prior earnings indicate a need for a salary greater than the minimum The determination of an appropriate salary also should consider the relationship of the employee's proposed salary to that of other employees in the same classificatior and to employees supervised, if applicable 5 2 4 1 Exempt acid riuri-exempt employees shall Ue cuinpensa i within ttie salary range authorized for the classification in which they are employed and, in the case of non-exempt employees, in accordance with FLSA provisions 5.25 Pay Grades Each pay grade is divided into five (5) steps, with an approximate 5 0% difference between each step 5.2 5.1 Manager and EMT pay grades are divided into five (5) steps, and each step is divided into ter (10) micro-steps. 5,2.6 Promotional Increases Employees who earn promotions to a higher pay range will normally receive an increase of at least one (1) step or a salary increase to the rminimum of the new pay range- 5 2 6.1 Employees shall not receive a probationary salary adjustment at the conclusion of the Promotional Probationary Period Personnel Policies &Procedures Manual Page 5 of 7 Effective:09/26/18 Policy 2 1, Classification & Compensation OCSb 1 B-18 6L 5.2.7 Upward Reclassification Increases: Employees approved for an upward reclassification will normally receive an increase of at least one (1) step or a salary increase to the minimum of the new pay range. 52 8 Y_-Rating In the event the duties and responsibilities of a position are allocated to a lower paid classification and the incumbent's salary is above the salary range maximum of the lower paid classification, the salary of the Incumbent of that position wilt remain unchanged, unless otherwise stipulated by an employee's affi€fated bargaining unit MOU 52,8 1 Y-Rating will be granted for all reclassifications where employees are working in a job classification with a lower salary range maximum rate of pay resulting from changes to OCSD's staffing requirements, organizational structure or"bumping° associated with layoffs 52 82 Y-Rating shall not apply in cases involving disciplinary actions or voluntary changes to a job classification with a lower salary range maximum rate of pay (unless otherwise authorized by the General Manager). 5.2 8 3 The Y-Rating will remain in effect until the salary range maximum for the new classification equals or exceeds the employee's Y-Rated salary. 5 2.8.4 Employees become eiigible for merit increases and salary range adjustments when the Y-Rating is no forger in effect. 5 28 5 Y-Rating may also apply when an existing employee is selected as an Operator-in-Training or Power Plant Operator I candidate, as stipulated by the affiliated bargaining unit MOU. 6.0 EXCEPTIONS 6 1 The procedures of this policy do not apply to individuals serving in an At-Will employment status. 62 Employees on a Performance Improvement Plan (PIP) are not eligible for any pay status changes except for salary range adjustments 6.21 Employees on a PIP will continue to be eligible for participation in the shift bid process 7.0 PROVISIONS AND CONDITIONS i RELATED DOCUMENTS 8 1 Fair Labor Standards Act, as amended 8 2 Policy 1.4, Recruitment & Selection 8 3 Policy 1.7, At-Will EMT Employment Agreements 8 4 Policy 2 2, Non-Base Building Pay Personnel Policies & Procedures Manual Page 6 of 7 Effective 09/26/18 Policy 2.1, Classification & Compensation OCED 18-18-63 8 5 Reclassification Guidelines 96 OCSD Salary Schedules &7 Performance Improvement Plan Guidelines Personnel Policies&Procedures Manual Page 7 of 7 Effecbve, 0912611 a Policy 2.1, Classification & Compensation GGSD 18-18-64 Orange County Policy Number: 2.2 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Non-Base Building Pay Supersedes: November 14, 2011 Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for non- base building pay that does not become a permanent part of base pay, and may vary in amount from period to period 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 All Orange County Sanitation District (OCSD) regular, full-time employees, as specified herein 3.0 DEFINITIONS 3 1 Actmq means performing substantially aii of the duties of a vacant, budgeted position, unless otherwise stipulated by an employee's affiliated bargaining unit Memorandum of Understanding (MOU) with a higher maximum rate of pay. 32 Call-Back Pay is compensation provided to employees for returning to work at the direction of OCSD management. 33 Development Pay_ is non-base building compensation provided to employees for obtaining job-related educational degrees, certificates and/or licenses that increase job knowledge, skills, and abilities 34 Exempt Employees are those employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees are considered exempt by virtue of their duties in conformance with the Acfs definition of executive, administrative and professional responsibilities 3 5 Non-Exempt Lmployees are those employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended Such employees, because of the type of work that they perform and their earnings level, are subject to receiving overtime pay 36 Overtime is the number of hours which are counted as time worked in excess of forty (40) hours during a workweek 37 Shift Differential Pay is additional compensation provided to employees who are regularly assigned to work a night shift 38 Staff is time during which an employee is not required to be at the work location or at the employee's residence but is required to be available for immediate return to Personnel Policies & Procedures Manual Page 1 of 11 Effective: 09/26/18 Policy 2.2. Non-Base Building Pay OCSD 18-18-65 work 39 Substitution Pay is compensation provided to employees in the Operations and Maintenance Department for performing the duties of an absent supervisor 3 10 Workweek for full-time employees is forty (40) hours per one hundred sixty-eight (168) hour period, to be paid on a biweekly payroll basis of eighty (80) hours worked Employee work periods may be scheduled in shifts of four (4) 9-hour days, and one {1) four-hour day each workweek (9180 schedule), five (5) 8-hour days each workweek (1C180), four (4) 10-hour days each workweek (8/80), or three (3) 12-hour days and one (1 i 4-hour day each workweek (7180) The starting and ending times of individual employees' workweeks may vary 311 Variable Special Pay is additional compensation in the form of a one-time lump sum payment for an eligible employee who assumes the responsibilities of another position for an extended period of time due to a leave of absence or unusual circumstances 40 POLICY/PROCEDURE 4 The foilowinq pay types apply to exempt and non-exempt regulars full-time ern lio ee_s: 4 1.1 ACTING PAY 4.1.1.1 Unless otherwise stipulated by an employee's affiliated bargaining unit MOU, employees who are temporarily assigned by OCSD management to perform substantially all of the duties of an open, budgeted higher level classification for a period of at least one hundred (100) consecutive hours will be eligible for a salary increase Lip to a maximum of six (6) months, 4 1 1,1,1 For service beyond one hundred (100) consecutive hours, pay shall be one (1) step greater than the employee's current rate of pay, or at the minimum of the pay range for the acting position, whichever is greater 4.1 1.1.2 The higher rate of pay begins with the 1011� hour, and continues until the assignment ends 4.1.1 1 3 Requests for Acting Pay require the pre-approval of the employee's Department Director or designee and the Director of Human Resources, or designee 4 1.2 DEVELOPMENT PAY 4.1,2.1 Development Pay is intended to promote employee efforts that increase job knowledge, skills and abilities, consistent with OCSD personnel policies and procedures regarding tuition and certification reimbursement and in accordance with Policy 4 11 Development Pay and Development Pay Program Guidelines provided or the Human Resources website 4A 2.2 Development Pay is a non-base building pay type that is distributed In a lump-sum amount each pay period Personnel Palictes &Procedures Manual Page 2 of 11 Effective: 09/26/16 Policy 2.2, Non-Base Building Pay OCSID 18-18-66 4.1.2.3 Educational Degrees 4.1.2.3.1 Exempt employees who obtain or have obtained a graduate degree of approved subjects at an accredited college or university will receive$75 00 per pay period, unless stipulated otherwise in the employee's affiliated bargaining unit Memorandum of Understanding or Board resolution 4.1.2.3.2 Non-exempt employees who obtain or have obtained an undergraduate (bachelors) degree of approved subjects at an accredited college or university will receive $41 53 per pay period, unless stipulated otherwise in the employee's affiliated bargaining unit Memorandum of Understanding or Board resolution 4 1.2 33 Non-exempt employees who obtain or have obtained an associate's degree of approved subjects at an accredited college or university will receive $20 76 per pay period, unless stipulated otherwise in the employee's affiliated bargaining unit Memorandum of Understanding or Board resolution. 4 1.2.3.4 The maximum amount of education Development Pay for non-exempt employees with both an associate's and bachelor's degree is fixed at $41 53 per pay period, unless stipulated otherwise in the employee's affiliated bargaining unit Memorandum of Understanding or Board resolution 4A 2 4 Certification 1 License 4 1.2.4,1 Employees who obtain or who have obtained a District approved certification or license will receive $15 24 per pay period per certification or license with a maximum of three (3) certificates and /or licenses, unless stipulated otherwise in the employee's affiliated bargaining unit Memorandum of Understanding or Board resolution 4 1.2.5 The overall maximum Development Pay for education, certificates and/or licenses for exempt employees is fixed at $120.72 per pay period, unless stipulated otherwise in the employee's affiliated bargaining unit Memorandum of Understanding or Board resolution 4 1,26 The overall maximum Development Pay for education. certificates and/or licenses for non-exempt employees is fixed at $64 39 per pay period, unless stipulated otherwise in the employee's affiliated bargaining unit Memorandum of Understanding or Board resolution 4.1.3 SEVERANCE PAY 4.1.3.1 When a full-time regular employee is separated from employment by action of OCSD, except for disciplinary cause, the employee will be notified in writing two (2) weeks prior to the effective separation date Unless otherwise stipulated in the employee's affiliated bargaining Personnel Policies & Procedures Manual Page 3 of 11 Effecfive: 09/26/18 Policy 2.2, Non-Base Building Pay 0(:SX 16-18-67 unit MOU, the employee will be entitled to severance pay in accordance with the formula set forth below 4.1 3.1-1 Full-time, regular employees shall be entitled to eight (8) hours pay for each full calendar month of continuous employment, not to exceed one hundred sixty (1601 hours pay, or as may be determined by the General Manager 4 1 3 2 Employees in part-time classifications, Student Interns, probationary employees, and employees who are separated for cause are not eligible for severance pay under any circumstances 4 1.4 SHIFT DIFFERENTIAL PAY 4 1,4 1 Employees who are assigned to work a night shift that consists of 501/o or more of their hours between 6 00 p m. and 6:00 a m , and who actually work that shift, shall receive a shift differential of $3 00 per hour, unless otherwise stipulated by an employee's affiliated bargaining unit MOU. 4.1 5 UNSCHEDULED OVERTIME MEALS 41 51 When employees are required to work overtime due to an emergency, and actually work at least five (5) hours, or due to an unanticipated extension of their regular workday that includes a regular meal period, employees are entitled to reimbursement for the actual cost of a meal, not to exceed applicable per diem amounts, in addition to any compensation for time worked Receipts are not required to receive the per diem amount. In lieu of cash reimbursement. OCSD may provide actual food service to the employees 4 1 5 2 Per diem reimbursement and reimbursement for an individual's meal not eaten at the time and location of the overtime worked will be taxable 42 The following pay tees only apply to regular, full-time non-exempt employees: 4,21 CALL-BACK PAY 4.2 1 1 Unless otherwise stipulated by an employee's affiliated bargaining unit MOU, Call Back Pay shall be applied in accordance with the following provisions. 42 1.2 An employee shall receive a minimum of three (3) hours of call-back pay In the following instances 4.2.1.21 When an employee is called back to work by OCSD without prior notice, and the employee has completed his or her normal work shift for that day and left the work site 42 1 2.2 When prior notice is given by OCSD. but the work begins on the same day at least three (3) hours after completion of an employee's regular shift_ Personnet Polieiea & Procedures Manual Page 4 of 11 Effective: 09/26/18 Policy 2.2, Non-Base Building Pay pt:SD 18-18-68 4 2 1 23 When an employee assigned to standby is actually called to work 4.2 1 3 The three (3) hour minimum, whether or not actually worked, shall be paid at the rate of one and one half(1 5) times the employee's regular hourly rate. 4.2.1 4 If the actual work time exceeds three (3) hours, the employee will be compensated for that time as weft, except that no employee may be compensated for more than sixteen (16) hours in a 24-hour period 42 1.5 The call back period shall begin when the standby employee has been informed by the District to return to work The call back period shall end when either the employee arrives at his or her residence or the original destination; in either case, the employee must inform the District upon arrival 4.2.1 6 If the call back period has ended and the employee is called back to work (whether within or outside of the 3-hour minimum timeframe), a new call back period will be started and the employee will be eligible for at least the 3-hour minimum call back pay. 4 2.1.7 If the call back period has not ended and the employee is called back to work (whether within or outside of the 3-hour minimum timeframe), the call back period and associated pay will continue but the employee will not be eligible for another 3-hour minimum call back pay 4 2.1 8 Call back pay is applied per call back and not per work assignment or work order 4.2.1 9 Call back work performed by employees on standby assignments is intended for activities that are imperative and not routine in nature, as determined by the applicable on-duty Operations Supervisor or designee 42,1 9.1 In some instances, if call back work can be postponed for several hours, the Operations Supervisor or designee will do so as a courtesy to the employee and to allow for the work to be performed during daylight or day shift For instance, a breakdown occurs at 100am but work can be postponed a few hours so the standby employee can be called in at 6:00am. 4 2.2 OVERTIME PAY 4.2.2.1 Employees who work in excess of forty (40) hours in a workweek shall be paid one-and-a-half (1 5) times their regular rate of pay 4.2 2,2 Employees shall not be paid overtime compensation until forty (40) hours of work time, which includes scheduled leave, is reached in a seven (7) day workweek 4 2 2 3 For purposes of overtime, all time charged to unscheduled sick or personal leave will not be counted as time worked Personnel Poiicies & Procedures Manual Page 5 of 11 Effective: 09/26/18 Policy 2 2, Non-Base Building Pay OCSD 16-18-69 4 2.3 STANDBY PAY 4 Z3.1 Standby Pay applies to employees who are placed on a standby assignment as stipulated by an employee's affiliated bargaining unit MOU. 4 2.3 2 An employee who is placed on a standby assignment shall be compensated at the rate stipulated in the employee's affiliated bargaining unit Memorandum of Understanding, and wi11 also receive call-back pay when actually called to work 4.2.3 3 Standby assignments shall first be made on a voluntary basis. 423 4 Standby lists shall be established as stipulated in the employee's affiliated bargaining unit Memorandum of Understanding 43 The following pay type applies to_all employees: 4.3 1 HOLIDAY PAY 4.3.1.1 Employees shall receive holiday pay for OCSD-observed holidays 4.31 2 Employees shall receive holiday pay if their entire scheduled work shift immediately preceding and following the holiday is in a paid payroll status, meaning the employee worked those shifts or utilized paid tittle off in lieu of woikiiiy those shifts 4-3 1.3 Holiday pay for part-time employees is based on a nine (9) hour workday It is paid on the following prorated basis NORMALLY SCHEDULED HOURS OF WORK PER PERCENT BENEFITISUBSIDY WEEK 0—19, inclusive None 20—29, inclusive 50% -(4.5) hours 30 — 39, inclusive 75% - 6.75) hours 4.3,1 A Regularly Scheduled Work Day is a Holiday: When a holiday occurs on an employee's regularly scheduled work day, the employee will have the day off and be paid at the employee's regular rate of pay for the holiday 4.3 1.5 Regularly Scheduled Day Off is a Holiday: When a holiday occurs on an employee's regularly scheduled day off, the employee will have the day off and accrue compensatory time for the amount of hours normally scheduled for that day 4 3.1 0 Workinq on a Holiday: When an affected employee's work schedule requires, with management approval, that work be performed nn an observed holiday, the employee shall be paid: 4.3 1 6 1 At the employee's regular rate of pay for the holiday or receive an equivalent amount of holiday compensatory time, and Personnel Policies & Procedures Manual Page 6 of 11 Effective- 09/26/18 Policy 2.2, Non-Base Building Pay O�SD 18-18-?� 4.3.1 E 2 Receive overtime pay at the rate of one-and-one-half (1 5) times their regLiar hourly rate for ail hours actually worked 4.3 1 7 Employees with a compensatory time off balance in excess of fifty (50) hours as of the last pay period ending in October will receive a mandatory payout for the hours that exceed fifty(50) 4.3.1.8 The days listed below are observed by OCSD as holidays for noted calendar years, as examples Employees who are assigned to eight (8), nine (9) or ten (10) hour shifts, observe the holidays listed in Schedule A Employees who are assigned to twelve (12) hour shifts observe the holidays listed in Schedule B. SCHEDULE A for 8,9&10 Hour Shifts HOLIDAY 2017 2018 2019 New Year's Day January 2 Januarvl January 1 Lincoln's Birthday February 13 February 12 I Februa 12 President's Day February 20 February 19 February 18 Memorial Day May 29 May 28 May 27 Independence Day July 4 July 4 July 4 Labor Day septem ber 4 September 3 September 2 Veteran's Day November 10 November 12 November 11 Thanksgiving Day November 23 November 22 November 28 Day after Thanksgiving November 24 November 23 November 29 Day before Christmas December 25 December 24 December 24 Christmas I December 28 December 25 December 25 Floating Holiday See MOU See MOU See MOLJ SCHEDULE B for 12 Hour Shifts HOLIDAY 2017 2018 2019 New Year's Day January 1 January 1 January 1 Lincoln's Birthday February 12 February 12 February 12 President's Day February 20 February 19 February 18 Memorial Day May 29 May 28 May 27 Independence Day July 4 July 4 Jul 4 Labor Da September 4 Se tember 3 September 2 Veteran's Day November 11 November 11 November 11 Thanks ivi ay November 23 November 22 November 28 Day after Thanksgiving November 24 November 23 November 29 Day before Christmas December 24 December 24 December 24 Christmas December 25 December 25 December 25 Floating Holiday See MOU See MOU See MOU Personnel Policies & Procedures Manual Page 7 of 11 Effective 09/26/18 Policy 2.2, Non-Base Building Pay OCSD 18-18-71 4.3.1.9 Floatinq Holiday: 4 3.1.10 Employees may elect one (1) day during each calendar year as a Floating Holiday 43 1.11 There will be no more than one (1) Floating Holiday granted to an employee in any calendar year. 4 3.1.12 New employees will be granted a Floating Holiday on the following pro-rata basis in their first calendar year of service Percent of Hire Month Floating Holiday Granted January - March 100% April - June 7 511/} 1 July - September 5011/6 October - December 1 0% 4.3.1.13 The Floating Holiday shall only be used as a full day increment unless the holiday is pro-rated As such, the percent of holiday granted shall be used in one (1) occurrence 4 3.1.14 The Floating Holiday must be used within the calendar year it is granted The Floating Holiday will not be carried over from one (1) calendar year to the next If not used within the year granted, the Floating Holiday is lost 4.3.1.15 Within the year granted, an unused Floating Holiday is not subject to cash out or eligible for any mandatory payout regardless of the reason. 4.3.1.16 Every effort shall be made to grant an employee's request for a Floating Holiday off, subject to business requirements, providing an employee gives sufficient advance notice to his/her supervisor 4,3.1.17 A Floating Holiday should be used by the last full pay period in December of the year in which it is granted However, an employee may choose to use the Floating Holiday after the last full pay period up until December 31 44 The following pay types apply to specified employees only: 4.4.1 EXTRAORDINARY SERVICES COMPENSAr1ON 44 1.1 in accordance with applicable MOU provisions, employees may be eligible to receive additional compensation for performing extraordinary services under specific circumstances Personnel Policies & Procedures Manual Page 8 of 11 Fffective:09/26/18 l iicy 2 2, Non-Base Buiidfng Pay OCSD 18-1B-72 44 1.2 Except for performing extraordinary services as defined in this policy, exempt employees are not entitled to receive any compensation or compensatory time off for service rendered beyond their normal work schedule 4 4 2 SUBSTITUTION PAY 4,421 In accordance with applicable MOU provisions, employees in the Operations and Maintenance Department who are assigned by OCSD management to perform the duties of an absent supervisor shall be eligible for Substitution Pay. 44.3 VARIABLE SPECIAL PAY 44 3 1 Only Executive Management Team, Manager Group, and exempt Confidential Group employees are eligible for Variable Special' Pay. 44 3,2 An eligible employee must assume the responsibilities of another position for at least thirty (3C) days in order to receive Variable Special Pay, and such pay is limited to no more than three (3) months 4.433 Requests for Variable Special Pay require a review by the Human Resources Department and approval of the General Manager 443.4 Employees retain the normal duties of their regularly assigned position when assuming the responsibilities of another position. 4 4.3 5 A one (1) time lump sum payment shall be applied at the end of the leave of absence coverage. 4.4.3.6 Calculation of Variable Special Pay is as follows 4,4.3 6 1 Determine number of workweeks of the leave of absence Four (4) workweeks equals one month Two (2) workweeks equals half of a month 4.4 3.6.2 For employee covering the leave of absence, multiply 1% of the annual base salary which will equal the "baseline amount" 4 4 36,3 Multiply the "baseline amount" by the number of months covered, which will equal the one (1) time lump sum of the Variable Special Pay amount. 4.4.3.6.4 Example If the annual base salary of the employee covering the leave of absence is $90,000 The"baseline amount' equals $900 (1% X $90,000) Length of Variable Special Coverage Pa Amount 1 month $900 00 1.5 months $1350 00 i$900 x 1.5) 2 months $1800 ($900 X 2) 2 5 months $2250 $900 X 2.5 Personnel Policies & Procedures Manual Page 9 of 11 Effective; 09/26/18 Policy 2.2, Non-Base Building Pay OCSD 18-18-73 Length of Variable Special Coverage Pa AAr oun_t l 3 months $2700 $900 X 3 1 50 EXCEPTIONS 5 1 Student interns are ineligible for non-base building pay types, except overtime, if applicable 52 Acting Pay: Eligibility periods may be waived at the discretion of the General Manager 53 Development Pay: Part-time employees are eligible for Development Pay. 54 Holiday Pay: During the waiting period for disability benefits, employees will receive holiday pay in accordance with OCSD policy When an employee is receiving disability payments from the insurance carrier, the employee will be ineligible for holiday pay through OCSD since disability payments are based on a percentage of salary irrespective of when a holiday occurs 5 5 if a regularly scheduled holiday occurs on a Saturday, the previous Friday shall be taken off as the "holiday" for pay purposes. If a regularly scheduled holiday occurs on a Sunday, then the following Monday shall be taken off as the "holiday" for pay purposes 56 Variable Special Pay: Coverage for a leave of absence longer than three (3) months shall be re-evaluated by the Human Resources Department and if applicable re- approved by the General Manager based upon business necessity, operational requirements, or any other extenuating circumstance 6.0 PROVISIONS AND CONDITIONS 7.0 RELATED DOCUMENTS 7 1 Development Pay Program Guidelines 72 Extraordinary Services Compensation Request form 7 3 Fair Labor Standards Act 74 Policy 2 11 Classification & Compensation 7 5 Policy 4 7, Pro Rata Benefits for Part-Time Employees 76 Policy 3.1.1, Hours of Work — Non-Exempt Employees 77 Policy 3 1.2, Hours of Work — Exempt Empioyees 78 Policy 4 3, Tuition Reimbursement Personnel Policies& Procedures Manual Page 10 of 11 Effective: 09/26/18 Policy 2.2, Non-Base Building Pay OCSD IA-'18-74 T9 Policy 4 4, Certification Reimbursement 7.10 Poiicy 4 11, Development Pay 7.11 OCERS --Compensation Earnable for Legacy General Members Personnel Policies & Procedures Manual Page 11 of 11 Effective 09/26/18 Policy 2.2, Non-Base Buiiding Pay CCSD 18-18-75 Orange County Policy Number: 2.3 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Wage Garnishments & Supersedes: June 16, 2008 Attachments Approved by: General Manager 1.0 PURPOSE i 1 The purpose of this policy is to establish uniform guidelines and procedures for wage garnishments and other attachments. 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all current Orange County Sanitation District(OCSD) employees regardless of their organizational unit. 3.0 DEFINITIONS 3 1 Garnishment is a legal proceeding authorizing an involuntary transfer of an employee's wages to a creditor to satisfy a debt 32 Levy is an attachment to satisfy a tax debt or a court judgment 33 Wage Attachment is an involuntary transfer of an employee's wage payment to satisfy a debt. 34 Withholding Order is direction to withhold and remit a portion of an employee's wages, issued by a court or governmental taxing entity 40 POLICY 4 1 OCSD will comply with all court orders, earnings withholding orders and tax levies that require an employee's wages be garnished or attached in accordance with the procedures of this policy 5.0 PROCEDURE 51 OCSD management realizes that during the course of employment certain circumstances may cause an individual to fall behind in meeting financial obligations, which may result in that employee's wages being attached or garnished. When this occurs, the District is required to withhold and remit a portion of the employee's disposable earnings (as prescribed by law) to the court or taxing entity for the satisfaction of the debt The additional resources needed to perform these actions hinder OCSD productivity 52 OCSD will comply with the instructions of all withholding orders or tax levies received The employee will be notified as directed by the order or levy. Personnel Policies&Procedures Manual Page 1 of 2 Effective; 09/26/18 Policy 2 3,Wage Gamishments& Attachments OCSD 18-18-76 5.3 The employee may be encouraged to seek a release in writing from the creditor and to seek the advice of a financial counselor through the Employee Assistance Program. A payment schedute may also be sought directly from taxing entities 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7 1 Disciplinary action will not occur on the basis that an employee's wages have been subjected to garnishment for the payment of one (1)judgment. Judicial procedures that subject an employee's wages to garnishment for the payment of three (3) or more separate indebtedness within a 12-month period may result in disciplinary action up to and including discharge from employment 8.0 RELATED DOCUMENTS Personnel Policies & Procedures Manual Page 2 of 2 Effective, 09l26(18 Policy 2 3, Wage Garnishments&Attachments OCSD 18-18-77 Orange County Policy Number: 3.1.1 -" Sanitation District M Personnel Policies Effective Date: September 26, 2018 Subject: Hours of Work — Supersedes: December 15, 2008 Non-Exempt Employees Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District's (OCSD's) working hours 2A ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD non-exempt employees in all organizational units and departments unless otherwise specified 3.0 DEFINITIONS 3 1 Non-exempt Employees are employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended Such employees, because of the type of work that they perform and their earnings level. are subject to receiving overtime pay in addition to any other entitlement provided for in applicable Memorandums of Understanding and/or other OCSD policies 32 Day Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 a.m and 6:00 p.m. 3 3 Night Shift is an assigned work shift of at least seven consecutive hours between the hours of 600pm and6:00am 3.4 Flextime is the option of employees to choose the starting and finishing times of their shift, with supervisory pre-approval 3.5 Overtime is the number of hours, which are counted as time worked, in excess of 40 hours during a workweek For the purposes of overtime, all time charged to unscheduled leave will not be counted as time worked 36 Core Hours are the hours between 6'06 a.m and 4:00 p.m. on any given day 37 Payday is the Wednesday before the end of the subsequent pay period 38 Pay Periods occur bi-weekly and are calculated on the basis of 80-hours worked for full-time employees 3 9 Workweek means 40-hour5 of work. per 168-hour period The workweek is a fixed and recurring period of 168-hours or seven consecutive 24-hour periods OCSD employee workweeks are structured on an individual and/or group basis so that 40-hours of work regularly occurs during the fixed and regularly recurring period of 168-hours The specific workweek for each employee is fixed by the General Manager, or his designee, and is maintained by the accounting payroll office Personnel Policies & Procedures Manual Page 1 of 4 Effective 09126/16 Policy 3 1 1, Hours of Work—Non-Exempt Employees C>CSC� 1L+-18-78 4.0 POLICY 4 1 It is the policy of OCSD to establish the time and duration of working hours as required by work load, operations flow, customer service needs, the efficient management of human resources, and any applicable law 42 It is the policy of OCSD to require non-exempt employees to complete weekly timesheets. 43 On occasion, employees may request or be asked to transition from part-time to full-time status or vice-versa It is the right of OCSD, at its sole discretion, to schedule working hours and assign work that may be necessary to operate OGSD in the most efficient and economical manner and in the best interest of the public it serves Due consideration will be given to an employee's input and concerns prior to implementation of a schedule change Multiple transitions to full-time or part-time, requested by the affected employee, shall be deemed as an abuse of this privilege and factored into future considerations for approval A thirty (30) day written notice for work schedule changes must be given to an affected employee prior to the change 5.0 PROCEDURE 5 1 Normal Business Hours Administrative and business functions are normally performed between the hours of 7,30 am and 5 30 p m Monday through Thursday, and between the hours of 7:30 a.m and 4 30 p m on Friday However, OCSD allows fiextime for employees to choose their starting and finishing times as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8 00 a.m and 4 00 p m In addition, department heads, or designee, may deny flextime to certain employees for reasons of business necessity, work flow, or customer service needs 52 Core Hours Individual divisions may schedule work beyond the core hours of &00 a.m and 4.00 p.m., subject to approval by the department head, or designee, to meet specific operating or service requirements in the most cost-effective and efficient manner Actual starting and ending times of an employee's shift may vary depending on the operational requirements of each department 53 Shift Schedules. For time record keeping and accounting purposes, the"workweek" for full- time employees is 40 hours per 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked The actual work periods may be scheduled in shifts of four 9-hour days and one 4-hour day each workweek (9/80 schedule), five 8-hour days each workweek r 10/80), four 10-hour days each workweek (8/80), or three 12-hour days and one 4--hour day each workweek {7180) at the discretion of the supervisor The starting and ending times of individual employees' workweeks may vary 54 Overtime. Supervisors may schedule overtime or extra shifts as necessary Supervisors witi assign overtime to non-exempt employees in the particular job for which overtime is required- Non-exempt employees are not permitted to work overtime without the prior written or verbal approval of their supervisor, division manager, or department head. 5 5 Meeting Attendance Lmpleyee attendance at lectures, meetings, and training programs will be considered as part of an employee's work hours If attendance is requested by management Overtime or compensatory time may be allowed for such attendance only in unusual circumstances and must be approved by the department head in advance of the meeting. Personnel Policies & Procedures Manual Page 2 of 4 Effective: 09/26/18 Policy 3 1 1, Hours of Work- Non-Exempt Employees OCSD 18-18-79 56 Make-up Time Using discretion, supervisors may allow non-exempt employees to make up lost time during a given workweek. However, make up time may not be allowed if the lost time results from conditions the employee could control, if there is no work the employee is qualified to do, or if adequate supervision is not available 5.7 T_imesheets — Non-exempt Employees The following points shall be considered when filling out timesheets: 5,71 Employees shall record their total hours worked for each workday on their timesheets and submit their timesheets through the online timekeeping system every Thursday at the end of the employee's work day Management approval shall be completed by the Monday morning of the subsequent week 5 7 2 Employees are not permitted to begin work before their normal starting time or work after their normal quitting time without the prior approval of their supervisor 5.73 Employees are required to take scheduled lunch breaks and are required to take scheduled morning and afternoon breaks 5.7.4 Employee timesheets shall be reviewed and approved by their supervisor or designee through the online timekeeping system- 5 T5 Unapproved absences are not considered as hours worked for pay purposes Supervisors should inform employees if they will not be paid for certain hours in which they are or were absent from work 5.7.6 Filling out another employee's timesheet without management authorization, or fa€si€ying any timesheet is prohibited and may be grounds for disciplinary action, up to and including termination 5.7-7 Time worked should be charged to the appropriate work order category If an employee is unable to complete their timesheet due to absence, the timesheet must be completed by the supervisor or designee (e g designee authorized by management to process the employee's timesheet while on a leave-of-absence) and submitted through the online timekeeping system 57.8 An employee must record all time taken as paid or unpaid leave Any day with less than the typical amount of time for that shift recorded, usually 8, 9, 10 or 12 hours, must be supported by an explanation of the missing hours Total hours recorded for each day or shift must agree with the total time for the pay period 57.9 Supervisors are responsible for ensuring that timesheets are submitted in a timely manner 58 Payday Paychecks are distributed on the Wednesday immediately preceding the close of a pay period Paychecks received on Wednesday cover the period worked during the previous pay period If a payday falls on a holiday, paychecks will normally be distributed on the last working day preceding the holiday. Employees who will not be at work on a payday may request that their checks be held, forwarded to their supervisor, or mailed directly to them Unclaimed paychecks will be held in Accounting Paychecks of individuals who terminate their employment with OGSD, or are separated, will be mailed directly to them on the next regular payday subsequent to the separation date unless other arrangements are made to hold the check Personnel Policies & Procedures Manual Page 3 of 4 Effective. 09/26/18 Pokcy 3 1 1, Hours of Work—Non-Exempt Employees OCSO 18-18-80 6.0 EXCEPTIONS 61 Flextime does not apply to the Operations and Maintenance Department. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended 82 Policy 3.1.2, Hours of Work— Exempt Employees 8 3 Policy 4 7, Pro Rata Benefits for Part-Time Employees 84 Policy 5.1, Rules of Conduct Personnel Policies & Procedures Manual Page 4 of 4 EffecVve' 09/26/18 Policy 11 1, Hours of Work—Non-Exempt Employees OCSD 18-18-81 Orange County Policy Number: 3.1.2 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Hours of Work — Supersedes: December 15, 2008 Exempt Employees Approved by: General Manager 1.0 PURPOSE t t The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District's (OCSD's) working hours 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all OCSD exempt employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS 3 1 Exempt Employees are employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act (FLSA), as amended Such employees are considered exempt by virtue of their duties in conformance with FLSA's definition of Executive, Administrative and Professional employees 32 Overtime is the number of hours, which are counted as time worked, in excess of 40 hours during a workweek For the purposes of overtime, all time charged to unscheduled leave will not be counted as time worked Overtime only applies to non-exempt employees. Exempt employees are not eligible to receive overtime pay; however, in accordance with applicable MOU provisions, Operations Supervisors may be eligible to receive Extraordinary Services Compensation 33 Memo time is a pay code used by exempt-level employees to identify unpaid work hours in excess of eighty (80) hours in a biweekly pay period 3,4 Core Hours are the hours between 8 00 a m and 4 00 p m or any given day. 3 5 Payday is the Wednesday before the end of the subsequent pay period, 3 6 Pay Periods,occur bi-weekly and are calculated or the basis of 80-hours worked for full-time employees. 37 Workweek means 40-hours of wore: per 168-hour period The workweek is a fixed and recurring period of 166-hours, or seven consecutive 24-hour periods OCSO employee workweeks are structured on air individual and/or group basis so that 40-hours of work regularly occurs during the fixed and regularly recurring period of 168-hours. The specific workweek for each employee is fixed by the Gereral Manager or his designee, and is maintained by the accounting payroll office 38 Leave time is any authorized leave-of-absence with pay outlined in OCSD's policies and procedures, such as vacation leave, sick leave. personal leave, etc. Personnel Policies & Procedures Manual Page 1 of 3 Effective 09/26/18 Policy 3 1.2, Hours of Work-Exempt Employees OCso 1a-18-82 4.0 POLICY 4 1 It is the policy of OCSD to establish the time and duration of working hours as required by work load, operations flow, customer service needs, the efficient management of human resources, and any applicable law 42 It is the policy of OCSD to require exempt employees to complete weekly timesheets 4 3 On occasion, employees may request or be asked to transition from part-time to full-time status or vice-versa It is the right of OCSD, at its sole discretion, to schedule working hours and assign work that may be necessary to operate OCSD in the most efficient and economical manner and in the best interest of the public it serves Due consideration will be given to an employee's input and concerns prior to implementation of a schedule change Multiple transitions to full-time or part-time, requested by the affected employee, shall be deemed as an abuse of this privilege and factored into future considerations for approval A thirty (30) day written notice for work schedule changes must be given to an affected employee prior to the change 5.0 PROCEDURE 5 1 Normal Business Hours Administrative and business functions are normally performed between the hours of 7 3C a m. and S30 p.m , Monday through Thursday, and between the hours of 7,30 a.m. and 4:30 p.m on Friday However, the starting and finishing times of employees may vary as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 6:00 a.m. and 4 00 p m 5.2 Core Hours lndividual divisions may schedule work beyond the core hours of 8 00 a m and 4:00 p.m., subject to approval by the department head, or designee, to meet specific operating or service requirements in the most cost-effective and efficient manner Actual starting and ending times of an employee's shift may vary depending on the operational requirements of each department. 53 Shift Schedules For time record keeping and accounting purposes, the"workweek" for full- time employees is 40 hours per 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked. The actual work periods may be scheduled in shifts of four 9-hour days and one 4-hour day each workweek (9/80 schedule), five 8-hour days each workweek (10/80), four 10-hour days each workweek (8/80), or three 12-hour days and one 4-hour day each workweek (7180) at the discretion of the supervisor. The starting and ending times of individual employee workweeks may vary 54 With supervisor approval, employees may be allowed to flex their schedule within the pay period provided that the biweekly work hours are not less than 80 hours and the business needs, work flow, and customer service needs of OCSD are met 5.5 Meeting Attendance Employee attendance at lectures, meetings, and training programs will be considered as part of an employee's work hours if attendance is requested by management. 56 Timesheets - Exempt Employees Exempt employees are not eligible to receive overtime pay, however, exempt employees must account for daily attendance The following points shall be considered when filling out time sheets 5,6 1 Timesheets for exempt employees shall indicate the days worked during the pay period and include all time taken as paid or unpaid leave Timesheets should report a total of eighty (80) hours per pay period plus any applicable memo time Personnel Policies & Procedures Manual Page 2 of 3 Effective- 09/26/18 Policy 3 1 2, Hours of Work-Exempt Employees OCSD 18-18-83 5.6 2 Exempt personnel timesheets shall be submitted through the online timekeeping system every Thursday at the end of the employee's work day. Management approval shall be completed by the Monday morning of the subsequent week 56 3 Timesheets must be completed through the online timekeeping system Time worked shall be charged to the appropriate timekeeping categories If an employee is unable to complete a timesheet due to absence, the timesheet must be completed by the supervisor or designee (e.g., designee authorized by management to process employee's timesheet while on a leave-of-absence) and submitted using the online timekeeping system 5.6 4 Filling out another employee's timesheet without management authorization or falsifying any timesheet is prohibited and may be grounds for disciplinary action, up to and including termination. 57 Payday Paychecks are distributed on the Wednesday immediately preceding the close of a pay period. Paychecks received on Wednesday cover the period worked during the previous pay period If a payday falls on a holiday, paychecks will normally be distributed on the last working day preceding the holiday Employees who will not be at work on a payday may request that their checks be held, forwarded to their supervisor, or mailed directly to their residence Unclaimed paychecks will be held in Accounting Paychecks of individuals who terminate their employment with OCSD. or are separated, will be mailed directly to them on the next regular payday subsequent to the separation date unless other arrangements are made to hold the check 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS i RELATED DOCUMENTS 8 1 Fair Labor Standards Act, as amended 8.2 Policy 2.21 Non-Base Building Pay 8.3 Policy 3 1 1, Hours of Work— Non-Exempt Employees 84 Policy 4.7, Pro Rata Benefits for Part-Time Employees 85 Policy 5.1, Rules of Conduct Personnel Policies & Procedures Manual Page 3 of 3 Effective:09/26115 Policy 3 1 2, Hours of Work-Exempt Employees Ocso 18-18-84 Orange County Policy Number: 3.2 _ Sanitation District �L'• Personnel Policies Effective Date: September 26, 2018 Subject: Attendance Supersedes: June 3, 2011 Approved by: General Manager 1.0 PURPOSE 1.1 The purpose of this policy �s to establish uniform guidelines and procedures for attendance. 2-0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all current employees regardless of their organizational unit 3.0 DEFINITIONS 3 1 Tardiness occurs when an employee reports to work after the start time of an assigned work shift Employees are expected to be at their assigned work location and ready to work at the start of the assigned work shift. 3 2 Absence occurs when an employee does not report to work for all or a portion of an assigned work day An absence is considered unscheduled for nonexempt employees when it is requested within 23 hours of the start of an employee's work schedule 4-0 POLICY 4.1 Prompt and regular attendance is required to maintain effective and efficient Orange County Sanitation District (OCSD)-operations. Therefore all employees are expected to report to work as scheduled unless proper arrangements have been made to ensure that work flow, customer service needs, and business needs are met. 5.0 PROCEDURE 5 1 Supervisor's Responsibility Supervisors are responsible for ensuring that employees observe OCSD's need for prompt and regular attendance They are also responsible for providing counseling, as necessary, including referring employees to the Human Resources Department or Employee Assistance Program for help in dealing with medical, physical, or personal difficulties related to their attendance-causing performance deficiencies All of the facts and circumstances surrounding an employee's inability to report for work should be considered in the counseling process, including the employee's performance, overall attendance, reasons for missing work, and prospects for improvement While OCSD's reed for prompt and regular attendance of all employees is of utmost importance, it is equally important to recognize individual employee needs in an impartial manner 5 2 Notification. Employees must notify their supervisor of their inability to report for work as scheduled as far in advance as possible and in no case later than the regular start time The notification of absence should identify the type of leave and an estimate of when the employee expects to be able to return OCSD may require medical documentation of any absence due to illness or injury, particularly when there is an indication of abuse of time-off Personnel Policies & Procedures Manual Page 1 of 2 Effective 09/26/18 Policy 3 2, Attendance OCSD 18-18-95 privileges Employees must also notify their supervisor prior to leaving early from work unless other arrangements have been made and approved by management 53 Tardiness Tardiness is not acceptable from a performance standpoint and excessive tardiness may be the basis for discipline, up to and including termination. For timesheet reporting purposes, employees who are 15 or more minutes tardy to work will be required to use accrued time off to offset the time away from work unless other arrangements have been made and approved by management Tardiness of less than 15 minutes shall not be deducted from the employee's pay but numerous occurrences may warrant disciplinary action 54 Unscheduled time off vvW be properly recorded as such for nonexempt employees on the employee's timesheet 6.0 EXCEPTIONS 61 Negative impacts of an employee's attendance on the individual's performance or the operations of OCSD shall be addressed through the designated Performance Management Program and/or may be the basis for disciplinary action in accordance with Policy 5 1, Rules of Conduct 7.0 PROVISIONS AND CONDITIONS 8.4 RELATED DOCUMENTS 8 1 Policy 5 1, Rules of Conduct 8.2 Policy 3.1 1, Hours of Work —Nonexempt Employees 8,3 Policy 3.1.2, Hours of Work— Exempt Employees 8.4 Policy 3 3, Leave of Absence with Pay 8.5 Policy 3 4, Leave of Absence without Pay 8.6 OCSD Performance Management Programs Personnel Policies & Procedures Manual Page 2 of 2 Effective 09/26/19 Policy 3 2, Attendance oc.sn 18-18-es Orange County Policy Number: 3.3 r Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Leave-of-Absence with Pay Supersedes: September 3, 2013 Approved by: General Manager 1,0 PURPOSE 11 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Orange County Sanitation District's (OCSD's) leave-of-absence with pay program. 2,0 ORGANIZATIONAL UNITS AFFECTED 2.1 All regular OCSD employees. 3.0 DEFINITIONS 4.0 POLICY 41 Vacation Leave Except as otherwise provided, regular full-time employees accrue vacation leave in accordance with the following schedule Years of Service Hours-Biweekly Hours-Annually In years 0 through 4 3.08 80 In years 5 through 10 4.62 120 In year 11 4 93 128 In year 12 5.24 136 In year 13 5.54 144 In year 14 5.85 152 In year 15 6.16 160 In year 16 6.46 168 In year 17 6.77 176 In year 18 7 08 184 In year 19 7.39 192 In years 20 and over 769 200 4.1.1 Vacation leave begins to accrue after a new emp#cyee has completed six (6) months of continuous service. Personne4 Policies & Procedures Manual Page 1 of 13 Effective 09/26/18 Policy 3.3, Leave of Absence with Pay OCSD 18-18-87 4 1.2 After the first six (6) months of service, the employee's account will be credited with forty (40) hours. After that time the employee will accrue vacation hours consistent with the above chart. 4 1.3 Vacation leave may only be utilized in increments of one-half (0.5) hour or more 4.1 A Vacation leave is accrued for all paid hours, including hours actually worked and hours in a paid-leave payroll status. 4.1 5 When unpaid absences occur, vacation leave accruals will be applied by straight proration of leave accruals based on the number of hours actually worked, and is applicable to all types of leave, whether legally protected or not 4.1.6 Employees may have a maximum accumulation of two hundred (200) hours as of the last day of the final pay period in December of each year in the event an employee accrues vacation leave in excess of two hundred (200) hours, it must be used prior to the December date, all other remaining hours in excess of two hundred (200) will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 4A.7 Management shall make a reasonable efforl, considering the operational needs of OCSD, to accommodate all employee requests for vacation leave. Vacation leave should normally be requested at least two (2) weeks in advance to increase the likelihood of submitted dates being approved. However, in the event unforeseen circumstances prevent such advance notification, employees may request vacation leave with as little as one (1) days' notice 4.1.8 Preference among employees who request time off at least six (6) months in advance shall be based on seniority Requests received less than six (6) months it advance shall be scheduled in the order received Further guidelines for vacation leave are outlined in applicable Memorandums of Understanding (MOU) 4.2 Sick Leave Sick leave is an insurance or protection provided by OCSD to be granted to employees in circumstances of adversity to promote the health and welfare of the individual employee Sick leave is defined as the absence from duty of an employee because of a bona fide illness, injury, or pregnancy, or to attend to the illness or injury of a family member as hereinafter defined. 4.2.1 Sick-Leave Accrual. Full-time employees hired prior to November 27, 1981, accrue paid sick leave at the rate of three and one-half (3.5) hours for each biweekly pay period of continuous service (ninety-one [91] hours per year). 4.2.2 Full-time employees hired on or after November 27, 1981, accrue paid sick leave at the rate of three (3.0) hours for each biweekly pay period of continuous service (seventy-eight [78] hours per year), beginning with the First day of employment. 4.2.3 Part-Time (or Non-Full-Time) employees employed for at least 30 days will be eligible to accrue sick leave, Sick leave shall accrue at the rate of ore (1) hour for every thirty (30) hours worked and shall carry over to the following year Accrual of sick leave shall be capped at forty-eight (48) hours or six (6) days per year Part-Time (or Non-Full-Time) employees may use up to twenty-four(24) hours or three (3) days hours of sick leave per year commencing on the 90th day of employment in accordance with Assembiy Bill 109. Personnel Policies & Procedures Manual Page 2 of 13 Effective: 091Z6118 Policy 3.3, Leave of Absence with Pay OCSD 18-18-88 4.2.4 When unpaid absences occur, sick leave accruals will be applied by straight proration of leave accruals based on the number of hours actually worked, and is applicable to all types of leave, whether legally protected or not. 4,2.5 Sick-Leave Credit. A full-time, regular employee shall be granted pro rata sick- leave credit during any pay period in which he/she is absent without pay. A part- time, regular employee shall not be granted sick-leave credit during any period he/she is absent without pay an his/her regular working day In the event an employee is required to work part-time by direction of his/her physician, sick- leave credit shall be prorated, except that sick leave shall continue to accrue if an employee is absent due to an injury arising out of or in the course of his/her employment and is entitled to Workers' Compensation benefits 42,6 Annual Payoff. Employees may elect annually to be paid for any unused sick leave hours accrued through the end of the last pay period ending in October at their current hourly rate according to the following payoff schedule or as specified by an employee's affiliated bargaining unit Memorandum of Understanding (MOU). Accrued Sick Leave Hours Rate of Payoff 0—100 hours 0% 101 to 240 hours 25% 241 to 560 hours 35% Over 560 hours 50% 4 2.7 Employees who separate for any reason other than retirement or death shall be compensated for any accrued and unused sick leave according to the above schedule 4.2.8 Employees who retire or decease shall be paid a percentage of all accrued and unused sick leave based on years of service as follows: Years of Service Rate of Payoff Less than 20 years of service 75% 20 or more years of service 100% 4.2.9 Sick Leave Incentive Plan. The Sick Leave Incentive Plan applies to Executive Management Team (EMT) members, Managers, Supervisors and professional- level employees The Plan is administered on an individual Group basis 4,2.10 If the average sick leave usage of employees in a Group is under forty (40) hours per year, calculated an arnuaiized actual time off during the period November 1 to October 31 exclusive of catastrophic illness or injury requiring absence in excess of two hundred (200) hours or industrial injury leave in excess of eighty (80) hours, the annual payoff for unused sick leave will be made according to the following table or as otherwise stipulated in a prevailing MOU Personnel Policies& Procedures Manual Page 3 of 13 Effective' 09/26/18 Policy 3.3, Leave of Absence with Pay OCSD 18-18-89 Accrued Sick Leave Hours Rate of Payoff 0-100 15% 101-240 45% 241-560 60% Over 560 (mandatory) 75% 4,2 11 Permissible Uses. Sick leave may be applied only when 4,2.11.1 The employee is physically or mentally unable to perform his or her normal functions due to illness, injury, or a medical condition. 4,2.111 The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition of the employee or the absence is due to medical and dental office appointments of an employee when approved by the employee's supervisor 4,2.11.3 she absence is for other medical reasons of the employee, such as pregnancy or obtaining a physical examination 4.2.11.4 The absence is for the care of the employee's parent, step-parent, adoptive parent, father-in-law. mother-in-law, brother, step-brother, sister, step-sister, spouse, registered domestic partner, biological child, adopted child, step-child, foster child, legal ward, child of a domestic partner, grandchild, grandparent foster parent, legal guardian, or any family member with whom the employee resides, 4211.5 The absence is due to a job-related injury. 4.211 6 The absence is due to issues relating to domestic violence, sexual assault, or stalking, such as seeking services from crisis courselors or shelters, or from obtaining legal relief such as restraining orders or injunctions 4.2.12 Protected Sick Leave, As prescribed under California Labor Code section 233, employees may use up to one-half(112) of their annual sick leave accruals in any calendar year when 4.2.12.1 The absence is for the purpose of obtaining professional diagnosis, care, or treatment for an existing health condition of, or preventative care for, the employee. 4.2.12,2 The absence is for the purpose of obtaining diagnosis, care, or treatment for an existing health condition of, or preventive care for, the employee's parent, step-parent, adoptive parent, foster parent legal guardian, father-in-law, mother-in-law, brother, step-brother, sister, step-sister, spouse, registered domestic partner, biological child, adopted child, step-child, foster child, legal ward, child of a domestic partner, grandchild, and grandparent 4.2A2.3 The absence is due to issues relating to domestic violence, sexual assault, or stalking, such as seeking services from crisis counselors or shelters, or from obtaining legal relief such as restraining orders or injunctions. Personnel Policies& Procedures Manua! Page 4 of 13 Effective 09/26/18 Policy 3.3, Leave of Absence with Pay OCSD 18-18.90 4 2,13 General Provisions. To qualify for sick-leave pay, the employee shall provide reasonable advance notification of their need to use accrued paid sick leave to their supervisor if the need for paid sick leave use is foreseeable (e.g., doctors appointment scheduled in advance), As prescribed under the California Paid Sick Leave Law—for the first three (3) days of sick leave use, if the need for paid sick leave use is unforeseeable, the employee shall provide notice of the need for the leave to their supervisor as soon as is practicable. After the first three (3) days of sick leave use, the employee must notify OCSD at or in advance of the time the employee is scheduled to report for duty. Minimum charge to the employee's sick-leave account shall be one-half(0 5) hour and thereafter in one- half(0.5) hour increments. 4.2.14 Human Resources, along with the division management, shall be responsible for cortroi of abuse of the sick-leave privilege. Except for the first twenty-four hours or three (3) days of sick leave use as prescribed under the California Paid Sick Leave Law, if notified in advance by a manager or supervisor, the employee may be required, at any time, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness however, for absences of ten (10) consecutive working days or more, a request for leave and a medical statement, an prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources For absences of one (1) or more working days in an unpaid status, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. 4.2,15 Sick Leave Banks. Sick Leave Banks are administered on an individual Group basis. Employees represented by the International Union of Operating Engineers Local 501 for the Operations and Maintenance Unit (Local 501) who elect to bank sick leave accrued prior to the implementation of Personal Leave provisions may elect to use such time off for absence due to a bon a fide illness, injury, or pregnancy, or to attend to the illness or injury of an immediate family member. Employees represented by Local 501 who retire or die shall be paid at the 50% (fifty percent) rate for all Banked Sick Leave hours, an employee who separates shall be compensated for Barked Sick Leave as follows. IBanked Sick Leave Hours Rate of Payoff 0 - 100 0 percent 101 -240 25 percent 241 - 560 35 percent Over 560 50 percent 4.2.16 If the need for leave is due to the employee's serious health condition, as defined in the Family and Medical Leave Act ("FMLA") or the California Family Rights Act ("CFRA"), the certification requirement shall comply with provisions of these Acts 4 3 Personal Leave Personal leave is provided to allow employees time off with pay for vacation, personal business and non-job-related illness or injury Personal leave is accrued by full-time employees for all paid hours, including hours actually worked and hours in a paid-leave payroll status, on a biweekly basis as follows unless otherwise stipulated by an employee's affiliated bargaining unit MOU Personnel Policies & Procedures Manual Page 5 of 13 Effective, 09/26/18 Policy 3.31 Leave of Absence with Pay OCSD 18-18.91 Personal Leave Hours Biweekly Annual Years of Service 0 through 1 3.08 80` 2 through 4 5.38 140 5 through 10 6.92 180 11 7.23 188 12 7 54 196 13 7.85 204 14 8.15 212 15 8.46 220 16 8.69 226 17 8 92 232 18 9 15 238 19 938 244 20 and over 962 250 4.3,1 When unpaid absences occur, personal leave accruals will be applied by straight proration of leave accruals based on the number of hours actually worked, and is applicable to all types of leave, whether legally protected or not 4 3.2 Scheduled Time Off. Management shall make a reasonable effort, considering the operational needs of OCSD, to accommodate all employee requests for personal leave. Personal leave off should normally be requested at least two (2) weeks in advance to increase the likelihood of submitted dates being approved. 4 3.3 Supervisor absences will not affect an employee's ability to schedule time off unless the time off request is submitted within two (2) weeks of the date requested. 4.3.4 Unscheduled Time Off. Personal leave that is classified as unscheduled time off provides income protection to an employee who is unable to work due to the following 4.3.4 1 The employee is physically or mentally unable to perform his or her normal functions due to illness, injury, or a medical condition. 4.3.4.2 The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition of the employee or the absence is due to medical and dental office appointments of an employee when approved by the employee's supervisor 4.3 4.3 The absence is for other medical reasons of the employee, such as pregnancy or obtaining a physical examination, 4.3 4.4 The absence is for the care of the employee's parent, step-parent, adoptive parent, father-in-law, mother-in-law, brother, step-brother, sister, step-sister, spouse, registered domestic partner, biological child, adopted child, step-child, foster child, legal ward, child of a domestic partner, grandchild, grandparent. foster parent, legal guardian, or any family member with whom the employee resides. Personnel Policies & Procedures Manual Page 6 of 13 Effective: 09/26/18 Policy 3.3, Leave of Absence with Pay OCSD 16-16-92 4.3.4.E The absence is due to a job-related injury. 4.3 4.6 The absence is due to issues relating to domestic violence, sexual assault. or stalking, such as seeking services from crisis counselors or shelters, or from obtaining legal relief such as restraining orders of injunctions. 4.3.5 Unscheduled time off must be accounted for by management upon the employee's return to work. Except for the first twenty-four hours or three (3) days as prescribed under the California Paid Sick Leave Law in which the employee uses Personal Leave for reasons described in 5 3.5. Employees may be required to submit medical documentation for their injury or illness. It is the responsibility of OCSD management to control the potential abuse of unscheduled time off privileges. 4.3.6 Protected Use of Personal Leave. As prescribed under California Labor Code section 233, employees may use up to one-half(1/2) of their annual personal leave accruals in any calendar year when: 4 3.6.1 The absence is for the purpose of obtaining professional diagnosis, care, or treatment for an existing health condition of, or preventative care for, the employee, 4.3 6.2 The absence is for the purpose of obtaining diagnosis, care, or treatment for an existing health condition of, or preventive care for, the employee's parent, step-parent, adoptive parent, foster parent, legal guardian, father-in-law, mother-in-law, brother, step-brother, sister, step-sister, spouse, registered domestic partner, biological child, adopted child, step-child, foster child, legal ward, child of a domestic partner, grandchild, and grandparent. 4,3.6.3 The absence is due to issues relating to domestic violence, sexual assault, or stalking, such as seeking services from crisis counselors or shelters, or from obtaining legal relief such as restraining orders or injunctions. 4.3,7 OCSD also has the right to discipline employees on the basis of total absences away from work. Except for the first twenty-four hours or three (3) days as prescribed under the California Paid Sick Leave Law in which the employee uses Personal Leave for reasons described in section 5.3.4, Employees must notify their supervisor prior to the start time of their shift when they are unable to report for work. Any absence that is requested within twenty-three(23) hours of the start of an employee's work schedule, excluding protected leaves of absence and bereavement leave, shall be considered unscheduled time off unless otherwise stipulated by an employee's affiliated bargaining unit MOU. Employees returning from an extended leave should notify their supervisor as soon as possible to facilitate personnel scheduling. 4.3.8 Human Resources, along with the division management, shall be responsible for control of abuse of the unscheduled leave privilege. Except for the first twenty- four hours or three (3) days as prescribed under the California Paid Sick Leave Law in which the employee uses Personal Leave for reasons described in section 5.3 4, the employee may be required, at any time, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness, Personnel Policies & Procedures Manual Page 7 of 13 Effective' 09/26/18 Policy 3.3, Leave of Absence with Pay OCSE) 18-18-93 however, far unscheduled absences of ten (10) consecutive working days or more, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources. For absences of one (1) or more working days in an unpaid status, a request for leave and a medical statement on prescribed forms, stating expected date of return must be submitted to Human Resources. 4.3.9 Personal Leave Payoff. Employees (or their estate) who separate, retire or die shall be paid in full at their current rate of pay for all Personal Leave hours accrued, 4 3.10 Maximum Accrual Employees may have a maximum accumulation of four hundred-forty (44C) hours of Personal Leave as of the last day of the final pay period in December of each year. In the event an employee accrues personal leave in excess of the maximum accrual, it must be used prior to the December date. All, other remaining hours in excess of the maximum accrual will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 4.3.11 If the need for leave is due to the employee's own serious health condition, as defined in the Family and Medical Leave Act ("FMLA'') or the California Family Rights Act (''CFRA') the certification requirement shall comply with the pravisions of these Acts. 44 Protected Child-Related Activities Leave. As prescribed under California Labor Code, Section 230 8 an employee who is a parent with one (1) or more children attending kindergarten, grades one (1) to twelve (12), or is a child care provider may take paid or unpaid leave up to forty (40) hours per calendar year for the following child-related activities 4.4 1 To find, enroll, or reenroll his or her child in a school or with a licensed child care provider, or to participate in activities of the school or licensed child care provider of his or her child. Time off for this purpose shall not exceed eight (8) hours in any calendar month of the year. 4.4.2 To address a child care provider or school emergency 4 5 Jury Duty Leave Any full-time, including probationary, employee who is called for jury duty shall be entitled to his/her regular pay for those hours of absence due to performance of the jury duty for a period up to twenty-two (22) working days - 4.5.1 Prior to jury duty service, each employee must complete an online time off request form. Tc be entitled to receive regular pay for such jury leave, employees must report for work during their regularly scheduled work shift when they are relieved from jury duty service, unless there is less than one-half of their regular shift remaining Employees are not compensated for jury duty occurring on scheduled days off 45.2 An employee serving jury duty must obtain an attendance slip from the court to be submitted to his/her supervisor with his/her time sheet in order to be eligible for regular pay for those hours of absence due to jury duty 4.5.3 Employees are advised in all cases, whether serving jury duty for the state or federal court systems, to disclose their public employment and OCSD's jury duty Personnel Policies & Procedures Manual Page 8 of 13 Effective: 09/26/18 Policy 3.3, Leave of Absence with Pay CCSD 15-15-94 pay policy because employees who receive jury duty pay may not be entitled to court compensation 46 Witness Leave. Any full-time including probationary, employee who is required to be absent from work by a subpoena properly issued by a court, agency or commission legally empowered to subpoena witnesses, which subpoena compels his/her presence as a witness, except in a matter wherein he/she is named as a defendant or plaintiff or as an expert witness, shall, upon approval of an online time off request, be entitled to the time necessary to comply with such subpoena. An employee's regular pay will be reduced by the amount of witness leave pay received, exclusive of mileage 4.6.1 An employee so subpoenaed must submit a copy of the subpoena to their supervisor and complete an online time off request form in order to be eligible for pay for such absence To be entitled to receive regular pay for such witness leave, the employee must report for work at CCSD for time not actually retained on witness service of one (1) hour or more prior to and/or upon completion of each days service, exclusive of travel time 4,7 Military Leave. A request for military leave shall be made through the online time off request form and shall state the date when it is desired to begin the leave-of-absence and the date of anticipated return A copy of the orders requiring such military service shall be submitted with the request to the employee's supervisor 4.7.1 Provisions of the Military and Veterans Code of the State of California, Sections 395-395 5 shall govern military leave. In general, current law provides that an employee having one year or more service with a public entity is entitled to military leave with pay not exceeding thirty (30) days per year if the employee is engaged in military duty ordered for purposes of active military training or encampment. An employee who is required to attend scheduled service drill periods or perform other inactive duty reserve obligations is entitled to military leave without pay, not exceeding seventeen (17) calendar days per year, although the employee may, at his or her option, elect to use vacation or personal leave time to attend the scheduled reserve drill periods or to perform other inactive drill period obligations. Employees who participate in weekend military drill duty are not eligible for leave with pay for such activity, but may have their regular work schedule changed to accommodate the required time off. 4 8 Bereavement Leave. Using the online time off request form, any full-time employee, whether probationary or regular, shall receive a maximum of thirty-six (36) hours off with pay for the death or funeral of an immediate family member. Immediate family member is defined as the employee's father, step-father, father-in-law, mother, step-mother mother- in-law, brother, step-brother, sister, step-sister, husband, wife, domestic partner, biological child, step-child, adopted child, child of a domestic partner, step parent, grandchild, grandparent, foster parent, foster child, Iegai guardian, or any family member with whom the employee resides or who is identified in the employee's MCtJ, if applicable. Employees must submit an online time off request form for approval by the supervisor, 4 9 Workers' Compensation Leave. Employees who are injured in the course of their employment are placed on Workers' Compensation Leave and receive wage loss benefits to which they are entitled under the Workers Compensation Act Employees may request to concurrently use available paid leave accruals to supplement their Workers' Compensation payments in an amount such that the sum of both is equal to or less than the employee's regular base pay. Personnel Policies& Procedures Manual Page 9 of 13 Effective: 09/26/18 Policy 3.3, Leave of Absence with Pav CCSD 18-18-95 4.10 Administrative Leave. 4.10.1 Executive Management Employees 4.10.11 No more than forty (40) hours of administrative leave shall he granted to employees in the Lxecutive Management Group in any calendar year or January 1 st. 4,10.1.1.1 As an exception, Executive Management Group employees who elected to remain on the executive benefits structure, specified in 1.7 At-Will EMT EmpSoyment Agreements, may select whether to include Administrative Leave as part of their annual benefits package. 4.10.1 2 Employees who are hired or promoted into the Executive Management Group shall be granted administrative leave or a pro- rata basis in accordance with the fallowing schedule.- Month of Hire/Promotion Percentage of Leave Granted January -September 10D% October-December 50% 4,10.1 3 Adrninist�ative leave may only be used in quarter-flour increrrlents U1 more 4.10.1.4 Any unused administrative leave, within the calendar year granted, will not be carried over to the next calendar year 4.10.1 5 Any unused administrative leave, within the calendar year granted, is not subject to cash out or eligible for any mandatory payout. 4.10.1.6 Employees who cease to be part of the Executive Management Group for any reason will not receive payment of any unused administrative leave. 4.10.2 Manager Group Employees 4.10.2.1 No more than forty (40) hours of administrative leave shall be granted to employees in the Executive Management Group in any calendar year on January 1st. 4.10.2.2 Employees who are hired or promoted into the Manager Group shall be granted administrative leave on a pro-rata basis in accordance with the following schedule. Month of Hire/Promotion Percentage of Leave Granted January -September 100% October- December 50% Personr�el Policies & Procedures Manual Page 10 of 13 Effective 09/26/18 Policy 3.3, Leave of Absence with Pay OCSD 18-18-96 4.10.2.3 Administrative leave may only be used in quarter-hour increments or more. 4 10 2A Any unused administrative leave, within the calendar year granted, will not be carried over to the next calendar year. 4 102,5 Any unused administrative leave, within the calendar year granted, is not subject to cash out or eligible for any mandatory payout 4.10.2 6 Employees who cease to be part of the Manager Group for any reason will not receive payment of any unused administrative leave. 4.10.3 Professional, Supervisor and Exempt-level Confidential Group Employees 4.10.3.1 Effective the first pay period in July, regular full-time exempt-level employees in the Professional, Supervisor and Confidential Groups shall be granted forty (40) hours of Administrative Leave. 4,10 3.2 Regular full-time exempt-level employees who are hired or promoted into the Professional, Supervisor and Confidentiai Groups shall be granted Administrative Leave on a pro-rata basis per the following schedule Month of Hire/Promotion Percentage of Leave Granted July - September 100% October- December 75% January- March 50% April - June 0% 4.10.13 Administrative Leave will be administered in accordance with the following guidelines: 4,10.3.3.1 Administrative Leave may be used in quarter-hour increments. 4,10.3 3.2 Any unused Administrative Leave, within the fiscal year granted, will not be carried over to the next fiscal year 4.10.3.3.3 Any unused Administrative Leave, within the fiscal year granted, is not subject to cash out or eligible for any mandatory payout. 4.10.3.3A Lmployees who cease tD be part of the Professional Group fDr any reason will forfeit any unused Administrative Leave 4.11 Supplemental Leave 4.11.1 Nonexempt Confidential Group Employees {uniess otherwise stipulated by an employee's affiliated bargaining unit M0U} Personnel Policies & Procedures Manual Page 11 of 13 Effective: 09126MB Policy 3.3, Leave of Absence with Pay OCSD 18-18-97 4.11.1-1 In 2011, effective the first pay period in the month following the approval of this Agreement by the (DCSD Board of Directors, regular full-time employees in the bargaining unit shall be granted Supplemental Leave in accordance with the following schedule Years of Service 5-9 10 -14 15 - 19 20-24 25+ Supplemental Leave Hours 5 10 15 20 25 4.11 1.2 Supplemental Leave shall be granted per the schedule in the first pay period in July. 4 11.1.3 Supplemental Leave will be administered in accordance with the following guidelines 4-11,1,3.1 Supplemental Leave may be used In one-quarter(0,25) hour increments. 4A 1.1 3.2 Any unused Supplemental Leave, within the fiscal year granted, will not be carried over to the next fiscal year 4 11.1-3,3 Any unused Supplemental Leave, within the fiscal year granted, is not subject to cash out or eiigible for any mandatory payout. 4.11.1 3A Employees who cease to be part of the bargaining unit for any reason will forfeit any unused Supplemental Leave. 4.11.1.4 Employees who are hired or transferred into the bargaining unit shall be granted Supplemental Leave on a pro-rata basis per the following schedule Hire/Transfer Date Percent July—September 100% October— December 75% January— March 50% April—June 25% 5.0 PROCEDURE 6.0 EXCEPTiONS 6.1 Part-time employees receive leave of absence benefits on a pro-rated basis per Policy 4-7, Pro Rata Benefits for Part-time Employees. 6.2 Employees receive either both sick leave and vacation time off accruals or personal leave time off accruals depending on the employee's bargaining unit and/or employee group affiliation, Personnel Policies& Procedures Manual Page 12 of 13 Effective. 09/26/18 Policy 3.3, Leave of Absence with Pay OC:G 18-18-98 8.3 Vacation leave is not accrued for overtime hours worked 6.4 The unscheduled time off designation does not apply to exempt employees. 7.0 PROVISIONS AND CONDITIONS 7.1 Accrued balances of vacation leave, compensatory leave and personal leave may be cashed out at the employee's request on an annual basis in December of each calendar year 72 Vacation leave is accrued or a bi-weekly basis, and employees within the initial probationary period may request time off in the first six (6) months of employment and must use available leave accruals. 7.3 Employees may not maintain a negative balance of vacation, sick, compensatory, or personal leave accruals. 8.0 RELATED DOCUMENTS 8.1 California Labor Code, Section 230.8 8.2 California Labor Code, Section 246 (California Paid Sick Leave Law) 8.3 California Assembly Bill 109, Sick Leave Law 8A Policy 1.10, Employee Separation 8.5 Policy 4.7, Pro Rata Benefits for Part-time Employees Personnel Policies & Procedures Manual Page 13 of 13 Effective 09126/18 Policy 3.3. Leave of Absence with Pay OCSD 13-18-99 sr-�, Orange County Policy Number: 3.3.1 Sanitation District r - Personnel Policies Effective Date: September 26, 2018 Subject: Military Leave Supersedes: July 21, 2004 Approved by: General Manager 10 PURPOSE 1 1 The purpose of this policy is to support employees who serve in the United States military, National Guard, and Reserve branches of the United States Armed Forces 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all OCSD employees who serve in the United States military, National Guard, and Reserve branches of the United States Armed Forces 3.0 POLICY GENERAL INFORMATION 3.1 1 OCSD provides leave of absence to employees who are fulfilling military duty requirements as active military, Reservists, or National Guard members. 3.2 LEAVE WITH PAY 3 2.1 Employees on military leave (i e , active duty), who have one year or more service with OCSD, are entitled to full pay for the first thirty (30) calendar days of military leave, up to a maximum of one hundred-sixty (160) hours of pay, in any fiscal year 3,22 National Guard members on military leave(i e., active duty including military leave and Governor-proclaimed states of extreme emergency), regardless of their length of service with OCSD are entitled to full pay for the first thirty (30) calendar days of military leave, up to a maximum of one hundred-sixty (16M hours of pay, in any fiscal year 3,2 3 Employees on temporary military leave (i.e training), who have one year or more of service with OCSD, are entitled to full pay for the first thirty (30) calendar days of temporary military leave up to a maximum of one hundred-sixty(160) hours of pay, in any fiscal year. 3 2 4 In determining the one year of service with OCSD, all military service shall be counted as service with OCSD- 3 3 LEAVE WITHOUT PAY 3.3.1 Employees who are required to attend scheduled reserve drill periods or other inactive duty reserve obligations are entitled to military leave without pay Employees may, at their option, elect to use vacation or personal leave time to attend the scheduled reserve drill periods of to perform other inactive duty reserve obligations Employees who participate in weekend military drill duty are Personnel Policies & Procedures Manual Page 1 of 3 Effective 09/26/16 Policy 3 3,1, Military Leave OCSD 10-12-too not eligible for leave with pay, but may request to have their regular work schedule changed to accommodate the required time off 34 BENEFITS 3.4.1 Health insurance coverage, in accordance with plan documents, shall continue while employees are engaged in military duty 3.4,2 Time spent on a military leave of absence will be credited to "length of service" requirements for leave accruals and retirement benefits 34 3 Employees are entitled to receive pay for OCSD holidays that occur while employees are engaged in military duty and entitled to Leave with Pay Holiday pay hours shall be included in the maximum one hundred-sixty (160) hours of paid military leave (i,e., active or training) per fiscal year. 3 5 RETURN TO WORK 3,51 Employees are obligated to provide prompt notification of their intent to return to work Employees who are on a military leave of absence are guaranteed reemployment in accordance with the Uniformed Services Employment and Reemployment Rights Act (USERRAj. Employees returning to work shall be restored to their former position or a position of similar status and pay Employees who are released from military duty with a dishonorable or bad conduct discharge do not qualify for protection under USERRA. 3.6 STATE OR NATIONAL EMERGENCY 36,1 Employees called to active duty because of a State or National emergency are entitled to full pay for the first thirty (30) calendar days, up to a maximum of one hundred-sixty (160) hours of pay, of such order. Thereafter employees shall receive the difference between their pay with OCSD and their military pay (including allowances) Employees shall continue to receive all leave time accruals (personal leave, vacation, sick) and health insurance coverage in effect at the time they were called to active service Employees shall continue to receive credit towards ''length of service" requirements for retirement benefits. These benefits shall remain in effect for the full duration of the active military assignment 4.0 PROCEDURE 4 1 Unless precluded by military necessity, employees must provide as much advance notice as possible regarding their military obligation by completing an online time off request form 42 Employees should provide a copy of their orders, annual drill schedule or other documentation to their immediate supervisor in a timely manner and if possible, before they begin their assignment 5.0 PROVISIONS AND CONDITIONS 5 1 Provisions of Calffornia's Military and Veterans Code, Sections .389 et seq., and the Uniformed Services Employment and Reemployment Rights Act I;USERRA), 38 U S.C. Sections 4301 et seq shall govern military leave. Personnel Policies & Procedures Manual Page 2 of 3 Effiective 09126/18 Policy 3.3 1 Military Leave OCSD 18-18-101 52 As per the California Military and Veterans Code, Section 395 03, no more than the pay for a period of thirty (30) calendar days shall be allowed under the provisions of Section 395 01 or 395,02 for any one military leave of absence or during any fiscal year, except as otherwise authorized by resolution number 01-20, approved by OCSD's Board of Directors on October 24, 2001 6,0 RELATED DOCUMENTS 6,1 California Military and Veterans Code 162 Uniformed Services Employment and Reemployment Rights Act of 1994 (USERRA) 63 OCSD Resolution 0 1-20 Personnel Policies & Procedures Manual Page 3 of 3 Effective 09/26/18 Policy 3,3 1, Military Leave OCSD 18-18-102 _r" °? PolicyNumber: 3.4 Orange County Sanitation District Effective Date: September 26, 2018 Personnel Policies Subject: Leave-of-Absence Supersedes: November 11, 2011 Without Pay Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District's (OCSD) leave-of-absence without pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all regular OCSD employees 3.0 DEFINITIONS 3 1 Americans with Disabilities Act (ADA) -A federal law that prohibits discrimination against people with disabilities and requires employers to provide reasonable accommodation to employees with known disabilities when doing so does not pose an undue hardship. 32 _California Family Rights Act (CFRA) - A state law that provides certain employees with up to twelve (12) weeks of unpaid, job-protected leave per year 3.3 Child, for purposes of FMLAIC-F-RA- Means a biological, adopted or foster child, a stepchild. a legal ward, or a child of a person standing in loco parentis (in place of parents or instead of a parent), who is either under age 18, or age 18 or older and incapable of self-care because of a mental or physical disability, at the time that FMLA/CFRA leave is to commence. 34 Consolidated Omnibus Budget Reconciliation Act ICOBRA) -A federal law that gives employees and dependents who lose their group health insurance the right to elect to continue health insurance coverage for eighteen (18) or thirty-six (136) months under certain circumstances, such as voluntary or involuntary separation from employment for reasons other than gross misconduct, reduction in hours worked, change in employment status, death, divorce, and other life events 35 Covered Active Duty or Call to Covered Active Duty Status- Means a) in the case of a member of a regular component of the Armed Forces, duty during deployment of the member with the Armed Forces to a foreign country, and b) in the case of a member of a reserve component of the Armed Forces, duty during the deployment of the member with the Armed Forces to a foreign country under a call or order to active duty during a war or national emergency declared by the President or Congress Personnel Policies & Procedures Manual Page 1 of 13 Effective 09/26/18 Policy 3 4, Leave of Absence Without Pay OCSD 18-18-103 36 Covered Servicemember— Means a'i a current member of the Armed Forces, including a member of the National Guard or Reserves, who is undergoing medical treatment, recuperation, or therapy, is otherwise in outpatient status, or is otherwise on the temporary disability retired list, for a serious injury or illness incurred in the line of duty on covered active duty, or b) a veteran who is undergoing medical treatment, recuperation or therapy, for a serious injury or illness and who was a member of the Armed Forces iincluding a member of the National Guard or Reserves) at any time during the period of five (5) years preceding the date on which the veteran undergoes that medical treatment, recuperation or therapy. 3 7 Domestic Partner—As defined by California Family Code §§ 297 and 299.2, shall have the same meaning as "spouse" for purposes of CFRA. 3.8 Fair Employment& Housing Act (FEHA) —A California statute prohibiting employment discrimination based on race, color, religion; national origin, ancestry, physical disability, mental disability, genetic information, medical condition, marital status, sex, gender, gender identity, gender expression sexual orientation, age, with respect to persons over the age of 40, pregnancy, childbirth, or related medical conditions, and military or veteran status The Act also prohibits retaliation for opposing any practice forbidden by the Act or for filing a complaint, testifying, or assisting in proceedings under the Act and requires employers to provide reasonable accommodation to employees with disabilities when doing so does not pose an undue hardship 39 Family and Medical Leave Act (FMLAf—A federal law that provides certain employees up to twelve {12) weeks of unpaid, job-protected leave per year. Fami IV Member— For purposes of FMLA/CFRA, means an employee's spouse, parent, or child In addition, the definition of family member under CFRA includes an employee's domestic partner and child of a domestic partner 110 Health Care Provider 3.10 1 A doctor of medicine or osteopathy who is authorized to practice medicine or surgery by the State of California; 3 102 Individuals duly licensed as a physician, surgeon, or osteopathic physician or surgeon in another state or jurisdiction, including another country, who directly treat or supervise treatment of a serious health condition, 3 10 3 Podiatrists dentists, clinical psychologists, optometrists, and chiropractors (limited to treatment consisting of manual manipulation of the spine to correct a subluxation as demonstrated by X-ray to exist) authorized to practice in Caiifornia and performing within the scope of their practice as defined under California State law; 3.104 Nurse practitioners and nurse-midwives, clinical social workers, and physician assistants who are authorized to practice under California State law and who are performing within the scope of their practice as defined under California State law; 3.10.5 Christian Science practitioners listed with the First Church of Christ, Scientist in Boston, Massachusetts; and Personnel Policies & Procedures Manual Page 2 of 13 Effective. 09/26/18 Policy 3 4, Leave of Absence Without Pay OCSD 18-18-104 3,10.6 Any health care provider from whom OCSD or its group health plan's benefits manager will accept certification of the existence of a serious health condition to substantiate a claim for benefits 3,11 incapable of Self Care- Describes a person who requires active assistance or supervision to provide daily self-care in three(31 or more of the activities of daily living or instrumental activities of daily living — such as, caring for grooming and hygiene, bathing, dressing and eating, cooking, cleaning, shopping, taking public transportation, paying bills, maintaining a residence, and using telephones and directories, and using a post office 3,12 Next of Kin of a Covered Servicemember-Means the nearest blood relative other than the covered servicemember's spouse, parent, son or daughter. in the following order of priority Blood relatives who have been granted legal custody of the covered servicemember by court decree or statutory provisions, brothers and sisters, grandparents, aunts and uncles, and first cousins, unless the covered servicemember has specifically designated in writing another blood relative as his or her nearest blood relative for purposes of military caregiver leave under the FMLA 3.13 Outpatient Status means, with respect to a covered servicemember, the status of a member of the Armed Forces assigned to either, (1) a military medical treatment facility as an outpatient, or(2) a unit established for the purpose of providing command and control of members of the Armed Forces receiving medical care as outpatients 3,14 Parent, for purposes of FMLAICFRA -Means the biological, adoptive, step or foster parent of an employee, a legal guardian, or an individual who stands or stood in loco parentis (in place of parents of instead of a parent) to an employee when the employee was a child 3 15 Pregnancy Disability Leave (PDL)-A state law that provides an employee, who is disabled as a result of pregnancy childbirth, or a related condition, up to four (4) months of unpaid leave, with medical approval 3 16 Rolling 12-Month Period -A period measured backward from the date an employee uses any FMLA leave. Each time an employee takes FMLAICFRA leave, the remaining leave entitlement would be any balance of the 12 weeks which has not been used during the immediately preceding 12 months For example, if an employee has taken eight weeks of leave during the past 12 months, an additional four weeks of leave could be taken 3.17 Serious Health Condition - Means an illness, injury, impairment, or physical or mental condition that invoives 11 T1 Inpatient care(i e., an overnight stay or expectation of an overnight stay) in a hospital, hospice, or residential medical care facility, including any period of incapacity (i e inability to work, or perform other regular daily activities due to the serious health condition, treatment involved, or recovery therefrom), or 3 17.2 Continuing treatment by a health care provider, A serious health condition involving continuing treatment by a health care provider includes any one or more of the following: 3.17.2.1 A period of incapacity (i.e I inability to work, or perform other regular daily activities) due to serious health condition of more than three (3) Personnel Policies& Procedures Manual Page 3 of 13 Effective: 090-6/18 Policy 3 41 Leave of Absence Without Pay OCSD 18-18-105 consecutive calendar days, and any subsequent treatment ar period of incapacity relating to the same condition, that also involves 3.17-21.1 Treatment two (2) or more times-by a health care provider_ 3.17.2.1 2 Treatment by a health care provider on at least one (1) occasion that results in a regimen of continuing treatment under the supervision of the health care provider If the medication is over the counter, and can be initiated without a visit to a health care provider, it does not constitute a regimen of continuing treatment. 3 1722 Under FMIA only, any period of Incapacity due to pregnancy or for prenatal care Under state law, an employee disabled by pregnancy is entitled to PDL 3 17 23 Any period of incapacity or treatment for such incapacity due to a chronic serious health condition A chronic serious health condition is one which. 3-17-23 1 Requires periodic visits (defined as at least twice a year) for treatment by a health care provider or by a nurse, 3.1 T2-32 Continues over an extended period of time (including recurring episodes of a single underlying condition); and 3 17.2-3.3 May cause episodic rather than a continuing period of incapacity (e.g , asthma diabetes, epilepsy. etc ) Absences for such incapacity qualify for leave even if the absence lasts only one (1) day or less 31724 A period of incapacity which is permanent or long term due to a condition for which treatment may not be effective. The employee or family member must be under the treatment of a health care provider 3 1725 Any period of absence to receive multiple treatments (Including any period of recovery therefrom) by a health care provider or by a provider of health care services under orders of, or on referral by, a health care provider, either for restorative surgery after an accident of other injury, or for a condition that would likely result in a period of incapacity of more than three (3) consecutive calendar days in the absence of medical intervention or treatment. 3 18 Serious Injury or Illness— Means a) in the case of a member of the Armed Forces (including a member of the National Guard or Reserves), an injury or illness incurred by a covered servicemember in the line of duty on covered active duty (or existed before the beginning of the member's active duty and was aggravated by service in the line of duty on covered active duty in the Armed Forces) and that may render the servicemember medically unfit to perform the duties of the member's office, grade, rank, or rating, and b) in the case of a veteran who was a member of the Armed Forces (including a member of the National Guard or Reserves) at any time during the period of five (5) years preceding the date on which the veteran undergoes that medical treatment, recuperation, or therapy, a qualifying injury or illness that was incurred by the member in line of duty on covered active duty in the Armed Forces !or existed before the beginning of the member's active duty and was aggravated by service in the line of duty on covered active Personnel Policies& Procedoms Manual Page 4 of 13 Effective: 09/26/18 Policy 3.4, Leave of Absence Without Pay OCSD 16-16-106 duty in the Armed Forces) that manifested itself before or after the member became a veteran 3.19 Sin le 12-Month Period —For purposes of leave to care for a covered servicemember, begins on the first day the eligible employee takes FMLA leave to care for the covered servicemember and ends twelve {12) months after that date 3.20 Spouse —Means a partner in marriage as defined by state and/or federal law 3.21 Child-Related Activities — Include addressing a child care provider or school emergency, a request that the child be picked up from school or child care, behavioral/discipline problems, closure or unexpected unavailability of the school (excluding planned holidays), or a natural disaster, finding, enrolling, re-enrolling a child in a school or with a licensed child care provider 4.0 POLICY 4 1 To the extent not already provided for under current leave policies and provisions, it is the policy of OCSD to grant employees extended leave-of-absences under certain circumstances, including family and medical leave for eligible employees as required by state and federal taw The following provisions set forth the rights and obligations with respect to such leave Rights and obligations which are not specifically set forth below are set forth in the Department of Labor regulations implementing the Federal Family and Medical Leave Act of 1993 ("FMLA`), and the regulations of the California Family Rights Act ("CFRA"). 42 Reasons for FMLAlCFRA Leave FMLAICFRA leave is only permitted for the following reasons 4.2 1 The birth of a child or to care for a newborn of an employee, 4 2.2 The placement of a child with an employee in connection with the adoption or foster care of a child, 42 3 Leave to care for a family member who has a serious health condition, 4 2 4 Leave because of a serious health condition that makes the employee unable to perform the essential functions of his/her position, Under FMLA this includes incapacity due to pregnancy (CFRA does not include incapacity due to pregnancy; PDL applies instead), 4 25 Under FMLA only, leave for a qualifying exigency arising out of the fact that an employee's family member is on covered active duty or called to covered active duty status in the Armed Forces A qualifying exigency may include activities such as making arrangements for childcare, making financial and legal arrangements, attending counseling relating to the active duty of the service member, or attending to farewell or arrival arrangements for the service member, 4.2 6 Under FMLA only, leave to care for a family member or"next of kin" servicemember of the United States Armed Forces who has a serious injury or illness incurred in the line of duty while on active military duty (this leave may consist of up to 26 weeks of unpaid leave during a single 12-month period) Personnel Policies & Procedures Manual Page 5 of 13 Effective: 09126/18 Policy 3 4, Leave of Absence Without Pay OCSD 18-18-107 43 Leave Eligibility 4.3.1 A full-time, or part-time employee is eligibie for unpaid FMLA/CFRA leave if the employee. 4.3 1 1 Has been employed for at least twelve (12) months; and 4.3 1.2 Has worked at least 1,250 hours during the 12-month period immediately preceding the commencement of the leave 4 3 2 A full-time or part-time employee disabled due to pregnancy, childbirth, or a related condition is eligible for unpaid PDL on the first date of employment, regardless of length of service with OCSD. 4 4 FMLAICFRA Leave may not exceed twelve (12) weeks in a rolling twelve t12) month period PDL may not exceed four(4) months. 45 CFRA leave shalt run concurrently with FMLA leave except that an employee's incapacity due to pregnancy is not eligible for CFRA leave 4.5 1 incapacity due to pregnancy, childbirth, or a related condition may entitle an employee to up to four (4) months of PDL, with medical approval, plus another twelve {12) weeks of CFRA leave, to care for the child, in a rolling twelve (12) month period 46 Expiration of Leaves Upon expiration of FMLA/CFRA/PDL, OCSD will evaluate the employee's restrictions and the positions that are available at the time If a reasonable accommodation other than unpaid leave exists, the employee may return to work as long as it does not create an undue hardship on the organization 4 7 Both Spouses Are Employed By OCSD Employees of OCSD who are married to each other shall be limited to a combined total of twelve (12) weeks of FMLA Leave in a rolling twelve (12) month period if the leave is taken 47.1 For birth of the employee's son or daughter or to care for the child after birth; 4.7 2 For placement of a son or daughter with the employee for adoption or foster care, or to care for the child after piacement, or 4,7 3 To care for the employee's parent with a serious health condition 4 B Where the spouses both use a portion of the total 12-week FMLAICFRA leave entitlement for one of the above purposes, the spouses would each be entitled to the difference between the amount he or she has taken individually and twelve (12) weeks for FMLA/CFRA leave for a purpose such as his or her own serious health condition. n 9 In any case in which spouses both employed by OCSD are entitled to leave, the aggregate number of workweeks of leave to which both may be entitled may be limited to 26 workweeks during any 12-month period if leave is taken to care for a covered servicemember. 4.10 Both Parents Are Employed By OCSD CFRA leave for the birth, adoption or foster care placement of the parents' thud will be limited to twelve (12) workweeks in a 12-month period between the two (2) parents Personnel Policies & Procedures Manual Page 6 of 13 Etfeci 09/26/18 Policy 3 4, Leave of Absence Without Pay OCSD 18-18-1oe 4.11 California Leave for Military Spouses An employee who works more than twenty (20) hours per week and whose spouse is a member of the Armed Forces, National Guard or Reserves who has been deployed during a period of military conflict, may be granted ten (10) unpaid days off while the spouse is on leave from military deployment, Employees with need for this time off must provide their supervisor and Human Resources with notice that the employee wishes to take leave. This notice must be provided within at least two (2) business days of receiving official notice that the employee's spouse will be cr leave from deployment The employee must provide OCSD with written documentation certifying that the spouse w0l be on leave from deployment 4.12 Employee Benefits and Salary Adiustments While an Leave 4.12.1 Medical, Dental and Vision Premiums 4 12.1.1 During FMLAICFRAI leave, OCSD shall pay for medical, dental and vision benefits at the same level as coverage would have been provided if the employee was not on leave for up to twelve (12) weeks each leave year During PDL Leave, coverage will continue to the same extent for up to four (4) months for each pregnancy The employee shall be required to pay his or her share of medical and dental premiums Failure to submit a monthly co-payment, in full, within forty-five (45) days, unless otherwise stipulated in the employee's affiliated bargaining unit Memorandum of Understanding iMOU), of the invoice date will result in loss of group coverage . Coverage will be reinstated upon return to active employment. 4 12 1.2 Lmployees who have exhausted their paid leave accruals and FMLA/CFRA/PDL leave rights may be placed on a general leave-of- absence During a general leave-of-absence, the employee shall be required to pay both OCSD's and the employee's share of medical, dental and vision premiums. Failure to submit a monthly payment, in full, within forty-five (45) days (unless otherwise stipulated in the employee's affiliated bargaining unit MOU) of the invoice date will result in loss of group coverage Coverage will be reinstated upon return to active employment. 4.12.2 Employees may make the appropriate contributions for continued coverage under non-health benefit plans by payroll deductions or by arranging payment in coordination with the Human Resources Department 4 12.3 If an employee fails to return to work after his/her leave entitlement has been exhausted or expires, OCSD shall; have the right to recover its share of health plan premiums for the entire leave period, unless the employee does not return because of the continuation, recurrence, or onset of a serious health condition of the employee or his/her family member which would entitle the employee to leave, or because of circumstances beyond the employee's control, OCSD shall have the right to recover premiums through deduction from any sums due OCSD (e.g unpaid wages, vacation pay, etc ) 4.124 While an employee is on FMLAICFRAIPDL leave, salary range and annual merit increases will be applied as long as the employee Is in a paid payroll status Applicable salary range and annual merit increases not applied because of leave will be applied when the employee returns to a paid payroll status. Personnel Policies & Procedures Manual Page 7 of 13 Fffective 09/26/18 Policy 3.A, Leave of Absence Without Pay OCSD 18-18-109 4 12.5 Employees who are on a General Leave of absence do not receive Development Pay 4.13 Substitution of Paid Accrued Leaves 4.13 1 While on leave under this policy, as set forth herein, an employee may elect to concurrently use paid accrued leaves for his or her own serious health condition OCSD requires that an employee use paid leave accruals during FMLA/CFRA leave for all reasons other than the employee's own serious health condition 4.13.2 An employee may use sick leave while taking a leave under this policy if: 4.13.2.1 The leave is for the employee's own serious health condition; or 4 132 2 The leave is needed to care for a family member with a serious health condition, and the employee would be permitted to use sick leave under OCSD policy. 4 13 2 3 Employees must comply with all requirements for receiving sick leave in order to receive pay during this period A failure to comply with these requirements will only impact an employee's ability to receive sick pay and will not affect his or her right to FMLAlCFRA/PDL leave 4 13 3 OCSD's Right to Require an Employee to Exhaust FMLAICFRA Leave Concurrently With Other Leaves. if an employee takes a leave of absence for any reason which is also FMLAIC17RA-qualifying, OCSD may designate that leave as FMLA/CFRA and may run the leaves concurrently with each other. 4.13 4 OCSD and Employee's Rights if an Employee Requests Accrued Leave Without Mentioning Either the FMLA or CFRA. If an employee requests to utilize accrued vacation leave or other accrued paid time off without reference to a FMLAICFRA-qualifying purpose, OCSD may not ask the employee if the leave is for a FMLNURA-qualifying purpose However, if OCSD denies the employee's request and the employee provides information that the requested time off is for a FMLAlCFRA-qualifying purpose, OCSD may inquire further into the reason for the absence If the reason is FMLA/CFRA qualifying, OCSD may require the employee to exhaust accrued leave as described above. 4.13,5 Paid Time Off Accruals Paid time off shall not accrue during any pay period that an employee is absent without pay for more than one day 4.14 Medical Certification As a condition of FMLA or CFRA leave because of a 'serious health condition," OCSD -nay require certification by the employee's attending health care provider Employees who request FMLAICFRA/PDL leave for their own serious health condition or to care for a family member who has a serious health condition must provide written certification from the attending health care provider of the individual requiring care as a condition of receiving FMLA/CFRA/PDL leave. OCSD may require that a new medical cPrtifir.atinn hp suhmitted depending nn the r..ircumstanr..es 4.14.1 If the leave is requested because of the employee's own serious health condition, the certification must include a statement that the employee is unable to work at all or is unable to perform the essential functions of his/her position 4.142 Employees who request leave to care for a covered servicemember who is a child, spouse, parent, or"next of kin" of the employee must provide written Personnel Polices & Procedures Manual Page 8 of 13 Effective 09/26/18 Policy 3.4, Leave of Absence Without Pay OCSD 18-18-110 certification from a health care provider regarding the injured servicemember's serious injury or illness. 4 14 3 The first time an employee requests leave because of a qualifying exigency, an employer may require the employee to provide a copy of the covered military member's active duty orders or other documentation issued by the military which indicates that the covered military member is on covered active duty or call to covered active duty status, and the dates of the covered military member's covered active duty service A copy of new active duty orders or similar documentation shall be provided to the employer if the need for leave because of a qualifying exigency arises out of a different covered active duty or call to covered active duty status of the same or a different covered military member 4 144 Time to Provide a Certification When an employee's leave is foreseeable and at least thirty (3M days' notice has been provided, if a medical certification is requested, the employee must provide it before the leave begins When this is not possible, the employee must provide the requested certification to OCSD within fifteen (15) calendar days of OCSD's request, unless it is not practicable under the particular circumstances to do so despite the employee's diligent, good faith efforts 4.14.5 if an employee provides an incomplete medical certification the employee will be given a reasonable opportunity to cure any such deficiency. 4.14.E Consequences for Failure to Provide an Adequate or Timely Certification 4 14.6 1 If an employee fails to provide a medical certification within the time frame established by this policy, OCSD may delay the taking of FMLA/CFRA leave until the required certification is provided 4 14 62 Failure to provide complete medical certification may result in the denial of FMLA/CFRaIPDL leave 4.14 7 Second and Third Medical Opinions If OCSD has reason to doubt the validity of a medical certification, OCSD may require a medical opinion of a second health care provider chosen and paid for by OCSD If the second opinion is different from the first, CCSD may require the opinion of a third provider jointly approved by CCSD and the employee, but paid for by CCSD The opinion of the third provider will be binding. An employee may request a copy of the health care provider's opinions when there is a second or third medical opinion sought. 4 14 8 Intermittent Leave or Leave on a Reduced Leave Schedule If an employee requests leave intermittently (a few days or hours at a time) or on a reduced leave schedule to rare for family member with a serious health condition, the employee must provide medical certification that such leave is medically necessary "Medically necessary" means there must be a medical deed for the leave and that the leave can best be accomplished through an intermittent or reduced leave schedule. OCSD permits intermiltent leave to be taken in increments as small as fifteen (15) minutes When planning medical treatment, the employee must consult with a supervisor and/or Human Resources and make a reasonable effort to schedule the treatment so as not to disrupt unduly the operations, subject to the approval of the health care provider Such consultations must take place prior to the scheduling of treatment in order to work out a treatment schedule which best suits the needs of both CCSD and the employee Personnel Policies& Procedures Manual Page 9 of 13 Effective 09/26/18 Policy 3 4, Leave of Absence Without Pay CCSD 18-18-111 415 Employee Notice of Leave Where the need for leave is foreseeable, OCSD requires thirty (30) days advance notice In addition, it an employee knows that he/she will need leave in the future, but does not know the exact date(s) (e g for the birth of a child or to take care of a newborn), the employee shall inform his/her supervisor as soon as practicable that such leave will be needed, but no less than 30 days prior to the event Such notice may be orally given. For leave that is not foreseeable. barring unusual circumstances, employees must provide notice that they need leave prior to the stars of the shift on the day that leave is requested Written notice must also be provided which sets forth the reason for leave, the expected duration of the leave, and the anticipated start of the leave 4 15.1 For foreseeable leave due to a qualifying exigency an employee must provide notice of the need for leave as soon as practicable, regardless of how far in advance such leave is foreseeable 4 16 Return to Work Policy for Non-Work-Related Leave 4.16.1 Right to Reinstatement Upon expiration of FMLA/CFRA/PDL leave. an employee shall be entitled to be reinstated to the position of employment held when the leave commenced, or to an equivalent position with equivalent employment benefits, pay, and other terms and conditions of employment, An employee is entitled to reinstatement to the same or equivalent position unless the employee would not otherwise have been entitled to that position for reasons unrelated to such leave (e g., lay-offs'), in which case OCSD's obligation to cuntinue health aria dental ur ulher benefits shall cease Employees Have rru greater rights to reinstatement, benefits and other conditions of employment than if the employee had been continuously employed during the FMLA/CFRA/PDL period. 4,16 2 If a definite date of reinstatement has been agreed upon at the beginning of the leave, the employee will be reinstated on the date agreed upon If the reinstatement date differs from the original agreement of the employee and OCSD the employee will be reinstated within two (2} business days, where feasible, after the employee notifies the employer of his/her readiness to return 4.16.3 Employce's Obligation to Periodically Report on His/Her Condition Employees will be required to periodically report on their status and intent to return to work This will avoid any delays to reinstatement when the employee is ready to return 4,164 Fitness-for-Duty Certification As a condition of reinstatement of an employee whose leave was due to the employee's own serious health conditiun, which made the ernployee unable to perform his/her job, the employee may be forced to obtain and present a fitness-for-duty certification from the attending health care provider that the employee is able to resume work Failure to provide such certification, when required, will result in denial of reinstatement, 4.16.5 Medical Evaluation An employee who has been absent from work due to a medical, non-work-related reason shall be required to submit to a Return-to-Work medical evaluation 4.16.E Compatibility-of Employee Restrictions and the Job Demands of the Position Personnel Polices 8 Procedures Manual Page 10 of 13 Effective; 09/26/18 Policy 3.4, Leave of Absence Without Pay OCSO 18-18-1 12 4,16 6 1 If it is determined that the job demands of the position last held by the employee are not compatible with the employee's restrictions (with reasonable accommodation if the employee is disabled within the meaning of the ADA or FEHA) and the employee is willing to return to work, placement in an alternative position, if available, will be considered The employee shall be re-classified as medically disqualified while alternative positions are being considered Such time off shall be without pay, however, the employee may elect to use accrued leave hours, such as vacation, sick, or personal, to receive compensation Placement of an employee in an alternative position requires a pre-placement medical evaluation for the alternative job 4 16.6 2 F it is determined that the lob demands of the position last held by the employee are not compatible with the employee's restrictions (and cannot be reasonably accommodated if the employee is disabled within the meaning of the ADA or FEHA) and there is not an alternative position, or the employee's restrictions are not compatible with an alternative position, or the employee is not willing to return to work, the employee shall be re-classified as medically disqualified and not permitted to work Thereafter, the employee shall be retired for disability, if eligible or dismissed Such dismissal will not constitute disciplinary action for cause If requested, the employee's file will indicate the employee left for personal reasons. 4.161 Failure to Return to Work If, upon the expiration of FMLA-/CFRA/PDL Leave, or any OCSD -approved extension thereof, an employee fails to return to work, and no additional leave has been authorized, the employee shall be considered to have automatically resigned from his/her position. If, upon expiration of FMLA/CFRA/PDL Leave, or any OCSD-approved extension thereof, an employee is unable to perform the essential functions of the employee's position due to disability, OCSD shall review vacancies to determine whether or not a vacant position exists that the employee is qualified to perform with or without reasonable accommodation If the employee is still unable to perform the essential duties of such a position, the employee shall be considered to have automatically resigned from his/her position, unless eligible for disability retirement 4,16 8 Bridge of Service If an employee automatically resigns from his/her position as a result of a "bona-fide" injury or illness, and then is rehired to a position within OCSD within one (1) year, OCSD shall bridge the employees' service date "Bridging of service" means adding the total number of days away from work to the employees' original date of hire 4,17 General Leave 417.1 Employees who have exhausted a6 paid time off accruals may be granted a general ieave-of-absence to attend to personal matters, or for FMLA or CFRA qualifying events, after the expirations of previously authorized leave, if the Human Resources Department determines that an extended period of time away from the job shall be in the best interests of the employee and OCSD 4.17.2 During a general leave-of-absence, the employee shall be required to pay both OCSD's and the employee's share of medical, dental and vision premiums- Failure to submit a monthly payment, in full, within forty-five (45) days (unless Personnel Policies & Procedures Manual Page 11 of 13 Effective. 09/26/18 Policy 3.4, Leave of Absence Without Pay Ocsn 18-18-113 otherwise stipulated in the employee's affiliated bargaining unit MOU) of the invoice date will result in loss of group coverage. Coverage wi}l be reinstated upon return to active employment. 4.17 3 Fmpleyees will not be granted an unpaid leave of absence prior to exhausting all paid leave accrual balances, excluding employees protected by PDUFMLAICFRA for their own serious health condition. 4,18 Workers Compensation Leave 4 18.1 Employees who are Injured in the course of their employment are placed on Workers' Compensation Leave, and receive wage loss benefits to which they are entitled under the Workers' Compensation Act 418,2 During Workers' Compersation Leave, employees may request to concurrently use available paid leave accruals to supplement their Workers' Compensation payments in an amount such that the sum of both is equal to or less than the employee's regular base pay. 4 18.3 OCSD may designate Workers Compensation Leave as FMLA/CFRA and may run the leaves concurrently with each other, 4.18A During Workers' Compensation Leave, employees' medical, dental, and vision insurance premium payments are subject to the provisions provided in Section 4 12 1 4,19 Protected Child-Related Activities Leave As prescribed under California Labor Code section 230 8, an employee who is a parent with one (1) or more children attending kindergarten, grades one (1) to twelve 1'12), or is a licensed child care provider, may take up to 40 hours of unpaid leave per calendar year for the following child-related activities. 4,19.1 To find, enroll, or reerroll his or her child in a school or with a licensed child care provider, or to participate in activities of the school or licensed child care provider of his or her child Time off for this purpose shall not exceed eight (8) hours in any calendar month of the year 4 19.2 To address a child care provider or school emergency 5.0 PROCEDURF 5 t Fmpioyees must fill out the following prescribed forms in connection with leaves under this policy- 5.1 1 Leave of Absence Request form (Available on MyOCSD) — Required for all medical, pregnancy, family care, military, and general leaves of absence- 5 1.2 Medical Certification of Health Care Provider form (Available on MyOCSD) — Required for leave due to employee's own serious health condition, pregnancy, or the employee's need to care for a family member with a serious health condition 5.1.3 Fitness-for-Duty to Retum from Leave form (Available on MyOCSD) - if leave is taken for the employee's own serious health condition Personnel Polic}es& Procedures Manual Page 12 of 13 Effective: 09126118 Policy 3 4, Leave of Absence Wdhout Pay OGSO 18-18-114 6.0 EXCEPTIONS 6 1 Reinstatement of "Key Employees" OCSD may deny reinstatement to a "key" employee (i e , an empfoyee who is among the highest paid 10% of all employed by OCSD (within 75 miles of the work site) if such denial is necessary to prevent substantial and grievous economic injury to the operations of OCSD, and the employee is notified of OCSD's intent to deny reinstatement on such basis at the time OCSD determines that such injury would occur 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8 1 Policy 3.3, Leave of Absence with Pay 8.2 Policy 3.3 1, Military Leave 8 3 Leave of Absence Request Form 8.4 Medical Certification of Health Care Provider Form 8 5 Fitness-for-Duty to Return from Leave Form Personnel Policies & Procedures Manual Page 13 of 13 Effiective: 09/26/19 Policy 3.4. Leave of Absence Without Pay OCSD 18-18-115 Orange County ., Policy Number: 4.1 t W�; Sanitation District 7 Personnel Policies Effective Date: September 26, 2018 Subject: Insurance Supersedes: November 14, 2011 Approved by: General Manager 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District's (OCSD's) insurance benefits program. 2.0 ORGANIZATIONAL UNITS AFFECTED 21 This policy applies to all OCSD employees and legal dependents who are covered under OCSO's insurance carrier-provided Summary Plan Description (SPD). Domestic partners, in accordance with California Family Code, Sections 297 and 298, are considered legal dependents 3.0 DEFINITIONS 31 Summary Plan Description (SPD)/Plan Document—A booklet published by an insurance carrier that provides detailed information about the insurance plan. 32 Qualifying event—A change in an employee's personal life that may impact eligibility or dependent's eligibility for benefits. As defined in the IRS Irrevocability Rule, employees experiencing a qualifying event can change certain benefits for a specified time period. Oualifying events include 3.2.1 Legal marriage or registration approval as a domestic partner from the California Secretary of State, 3.2.2 Divorce, legal separation, or annulment of marriage 3.2.3 Birth, adoption, or placement for adoption of chi(d(ren); 3 2 4 Death of spouse or dependent; 3.2 5 Dependent becomes eligible for coverage, 3.2.6 Dependent no longer meets eligibility criteria or becomes ineligible for other coverage: 3.2.7 Court order resuKs in the employee gaining or losing custody of a dependent, 3.2.8 Court decree establishes an employee's financial responsibility for a child's medical, dental, or other health care, Personnel Policies &Procedures Manual Page 1 of 5 Effective 09/26/18 Policy 4.1, Insurance ,�CSD 18-18-116 32 9 Change in employee's, spouse's or dependent's employment status that affects eligibility under their plan, 3,2.10 Spouse's employer makes significant changes in coverage or premium costs (30% or greater change); 3.2.11 Coordination of spouse's annual election period; 3.2.12 Spouse is provided group insurance through employer for the first time; or 3.2.13 Reinstatement of coverage terminated due to non-payment of premium. 3.214 Retirement 3.3 IRS Irrevocability Rule— States that pursuant to Section 125 of the Internal Revenue Code, premiums paid by the employee for health, dental, and life insurance coverage are tax- exempt. The tax exemption applies only to premiums that are payroll deducted. For plans that provide the tax-exempt premium, the Internal Revenue Code prohibits changes in the employee's deduction during the plan year unless there is a qualifying change in status (qualifying event). The Irrevocability Rule applies to both increases and decreases in coverage, such as adding or dropping dependents from the health coverage or increasing or decreasing employee life insurance coverage. Non-compliance subjects the plan to loss of qualification and/or subjects employees to an IRS audit, additional taxes, and possible penalties. 3 4 Spouse—A partner in marriage as defined by state and/or federal law. 3 5 Domestic Partners—Two adults who have chosen to share one another's lives in an intimate and committed relationship of mutual caring and who have met the criteria set forth in California Family Code, Sections 297 and 298, 3 6 Consolidated Omnibus Budget Reconciliation Act (COBRA) —A federal law that gives employees and dependents who lose their group health insurance the right to elect to continue health insurance coverage for eighteen (18) or thirty-six (36) months under certain circumstances,such as voluntary or involuntary separation from employment for reasons other than gross misconduct, reduction in hours worked, change in employment status, death, divorce, and other life events. 4.0 POLICY 4,1 OCSD wih provide healthcare and welfare insurance benefits Part-time employees receive insurance benefits as set forth in Policy 4.7, Pro-Rata Benefits for Part-Time Employees. 4.2 All insurance coverage for OCSD employees shall become effective on the first day of the month following date of hire, regardless of hire date Insurance coverage for an employee's legal dependent(s), as defined m each insurance SPD, will become effective once the employee's insurance coverage becomes effective or upon a qualifying event An open enrollment period for insurance plans shall be held annually. 43 As set forth by COBRA, employees and/or their dependents (qualified beneficiaries) will be provided the opportunity for a temporary extension of health coverage (continuation coverage)in certain instances where coverage under the plan would otherwise end The-type of qualifying event determines the gualified beneficiaries and Personnel Policies & Procedures Manual Page 2 of 5 Effective 09/26/18 Policy 4.1, Insurance OCSD 18-18-117 period of time the coverage must be offered. COBRA continuation coverage will not be extended to employees terminated for gross misconduct. 4 4 If a former employee chooses to continue group benefits under COBRA, he/she must pay the total applicable premium plus a two percent (2%) administrative fee. Coverage will cease if the former employee fails to make premium payments as scheduled, becomes covered by another group plan that does not exclude pre-existing conditions, or becomes eligible for Medicare. 4,5 For detailed information or questions regarding COBRA, employees may reference their initial notice The initial notice is an explanation of COBRA rights that is sent to all employees and qualified beneficiaries upon enrollment in an OCSO health insurance plan 5.0 PROCEDURE 5,1 Medical —OCSD offers a choice of medical plans through Anthem Blue Cross and Kaiser Permanente. Plan eligibility and premium contributions are based on bargaining unit or employee group affiiiation as published annually in OCSD's Employee Benefits Brochure_ 5.1.1 Any change in insurance rates shall be shared equally in the same ratio as premiums are currently paid by OCSD and employees. 5,1.2 Before the renewal of any OCSD's sponsored health insurance plan, the parties agree to meet and confer as to changes in the plan, as applicable. 5 2 Life — OCSD provides basic term life insurance coverage for all regular, full-time employees. OCSD shall pay the full premium for basic term life insurance in accordance with the employee's affiliated bargaining unit Memorandum of Understanding (MOU) or as otherwise agreed upon 5.2.1 Managers are eligible for additional term life insurance coverage OCSD shall pay the full premium for term life insurance as agreed upon. 5 3 Short Term Disability — OCSD shall provide a non-work related, short-term disability insurance plan that pays up to the weekly maximum equal to the California State Disability Insurance(SDI) program for up to ninety (90) days (employees with Long- Term Disability) or twenty-six(26) weeks (employees without Long-Term Disability) following a fourteen (14) calendar day waiting period Employees may request to receive prorated sick leave, personal leave, or vacation pay to supplement their short term disability payments in an amount such that the sum of both is equal to the employee's regular base pay. 5A Long-Term Disability —OCSO offers, at the empioyee's expense, a non-work related, long-term disability insurance plan that pays two-thirds of the employee's rate of pay in effect at the time of such disability, not to exceed $5,000 per month following a 90-day waiting period of continuous disability. OCSD provides this coverage at OCSD's expense after five (5) years of employment 5,4.1 For participants age 64 and younger, the maximum duration of long-term disability benefits is based on the employee's normal retirement age under the Social Security Act. For participants age 65 and older, the maximum duration of benefits is specified in the summary plan document accessible on the Personnel Policies &Procedures Manual Page 3 of 5 Effective 09/26/18 PolJcy 4.1, Insurance 0CSI 18-18-118 intranet. 5.4 2 Managers enrolled in the group long-term disability plan may be eligible for increased disability benefits through OCSD's Executive Disability plan. Enrollment is subject to approval by the insurance carrier, 5 5 Dental —OCSD will contribute 80% of premiums for dental insurance 5 5 Vision —OCSD shall provide and pay the full premium for a vision insurance plan for regular, full-time employees and their eligible dependents. 56 Retiring Employees — OCSD shall pay, for employees hired prior to July 1, 1988, two and one-half(2.5) months' premium for each year of continuous service of a retiring employee towards the premium costs of coverage for the employee and eligible dependents under OCSD's medical plan, 5.61 Unless otherwise stipulated by an employee's affiliated bargaining unit Memorandum of Understanding(MOU), OCSD will continue to implement the retiree medical health premium offset program wherein the cost of health premiums are offset by 510 per month for every year of service up to a maximum of twenty-five(25) years or $250 per month In the event of a retired employee's death, the benefit will be provided to the surviving spouse or domestic partner. 5 6 2 For employees hired prior to July 1, 1988, the retiree medical health premium offset program will begin after the District-paid medical benefit ends 57 Deceased Employees — In the event of the death of an active employee OCSD shall pay the COBRA premium cost for a period of one (1) year from the date benefits would otherwise terminate for the surviving dependents covered under the deceased employee's medical, dental, and vision insurance plans. 5.8 Workers Compensation Insurance —OCSD's Workers Compensation program is self- funded and administered by a third party administrator. Workers' Compensation insurance provides coverage for injuries arising out of employment with OCSD and occurring in the course of employment 59 Reimbursement Account — Section 125 of the Internal Revenue Code permits employees to use pretax dollars to pay for their portion of the cost of benehts under the plan through salary redirection arrangements.The available options are summarized below For complete information regarding Flexible Spending Accounts (FSA) employees must refer to the plan booklet available in the Human Resources Department. Participation in this Program does not affect OCSD's contribution to the Orange County Employees Retirement System The amount deducted shall then be repaid to the employee through OCSD's provided Reimbursement Program. Enrollment, termination, and/or changes to the medical or dependent care reimbursement accounts shall not be permitted outside of the annual open enrollment period unless the employee experiences a qualifying event. An FSA open enrollment period is held annually. 5.9 1 Healthcare Reimbursement Account— The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Healthcare Reimbursement Account for the purposes of reimbursing the employee for payment of health care costs not otherwise covered by the health insurance. Personnel Policies &Procedures Manual Page 4 of 5 Effective: 09/26/1 a Policy4.1, Insurance OCSD 18-18-119 5.9.2 Dependent Care Assistance Account—The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Dependent Care Assistance Account for the purposes of reimbursing the employee for child care expenses or day care for a disabled dependent 6.0 EXCEPTIONS 6 1 Contract workers and student interns are not entitled to and are ineligible to join or participate in any benefit plans offered by OCSD. 7.0 PROVISIONS AND CONDITIONS Lmployees have thirty-one(31 j days from the date of a qualifying event to submit a change In any health insurance plan through OCSD's benefits administration system. Lmployees must wait until the next open enrollment period to make a change outside of the 31-day period Changes must be consistent with the qualifying event experienced. 72 No combination of disability and other pay shall result in more than an employee's regu;ar rate of pay. Employees may not receive short-term and long-term disability benefits at the same time An employee who is otherwise not eligible for OCSD paid long-term disability may purchase such coverage at their own expense. 7 3 In the event OCSD adds additional optional insurance plans, OCSD's share of the premium shall be the same as for existing p}ars. In the event OCSD charges underwriters for existing insurance plans, OCSD's share of the premium shall be the same as for existing insurance plans 8.0 RELATED DOCUMENTS 8.1 Policy 3.4, Leave-ef-Absence Without Pay 8.2 Policy 4 2, Retirement 8.3 Policy 4.6, Domestic Partnership 8A Policy 4.7. Pro Rata Benefits for Part-Time Employees 8.5 Policy 4.8, Employee Assistance Program Personnel Policies &Procedures Manual Page 5 of 5 Effective 09/26/18 Policy 4.1, Insurance OCSD 18-18-120 Orange County policy Number: 4.2 ` Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Retirement Supersedes: September 3, 2013 Approved bym General Manager 1.0 PURPOSE 11 The purpose of this policy is to establish uniform guidelines and procedures for retirement This policy does not provide a complete description of all benefits available to OCSD employees upon retirement, but rather provides top-level policy issues Details about retirement options, benefits and other administrative information are available in the Summary Plan Description (SPDi booklets for each applicable plan titled, "A Guide to Your Retirement Plan Benefits,' by the Orange County Employees Retirement System (OCERS), which is available through the OCERS website (www.ocers.orq) or OCSD's intranet site and is considered a part of this policy. 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy app#ies to ali current OCSD employees regardless of their organizational unit. 3.0 DEFINITIONS 3 1 Plan— Refers to a retirement benefits group Plan membership is determined as follows 3.1.1 An employee is considered a Plan A member if the date of membership into the OCERS is before September 21, 1979 and the employee was age 62 or older as of July 1, 2005 3 1.2 An employee is considered a Plan G member if the date of membership into OCERS is before September 21, 1979 and the employee was under age 62 as of July 1, 2005 3.1 3 An employee is considered a Plan H member if the date of membership into OCERS is on or after September 21, 1979 and before October 1, 2010 (SPMT— Managers, EMT & Confidential Exempt), July 1, 2011 (Local 501), or August 1, 2011 (OCEA —Confidential Non-Exempt) 3.1.4 An employee is considered a Plan B member if the date of membership into OCERS is on or after October 1, 2010 (,SPMT— Managers, EMT & Confidential Exempt), July 1, 2011 (Local 501), or August 1, 2011 (OCEA —Confidential Non- Exempt) and before January 1, 2013 3 1 5 An employee is considered a Plan U member if the date of membership into OCERS is on or after January 1, 2013 3 2 Service Credit—The hours worked as a member of OCERS, converted to months for Personnel Policies& Procedures Manual Page 1 of 4 Effective: 09/26/18 Policy 4 2, Retirement OCSD 18-18-121 which an employee makes contributions and receives credit in the retirement system One hour is equal to .00576923 months of service credit 33 Summary Plan Description (SPD)—A booklet published by OCERS that provides detailed information about how the retirement plan works 4A POLICY 4 1 it is the policy of the OCSD to continue participation in the OCERS in accordance with the provisions of the SPD, California Public Employees' Pension Reform Act of 2013 (PEPRA), and the County Employees Retirement Act of 1937 4 2 OCSD retirement plans are reciprocal and allow employees who transfer between different retirement systems to preserve and enhance their total retirement benefits in accordance with reciprocity criteria Additional information about reciprocity is accessible on OCSD's intranet site, OCERS website and in the SPD 4 3 An employee's service retirement date will be the day following the termination date 44 OCSD Contributions Unless otherwise stipulated by an employee's affiliated bargaining unit MOU, CCSD wi0 pay 3 5% toward the employee's contribution to OCERS for Plan G and H members and 0%toward the employee's contribution to OCERS for Plan B and U members 44,1 Ad monies paid into the retirement system as an employee's contribution are deducted from gross salary for taxation purposes in accordance with Internal Revenue Code provisions. 45 Early Retirement Incentive When, in the determination of OCSD, a change in the manner of performing service, savings of money or other economic benefit would result from employees being able to receive additional service credit and retire early OCSD s Board of Directors may adopt an ordinance implementing the provisions of Government Code Section 31641 04 4,51 Receipt of Additional Service Credit Subject to certain specified conditions, this Section generally provides that an employee who is at least age fifty (50) with ten (10) years of service, and who is otherwise eligible to retire, may receive up to two (21 years additional service credit, if the employee retires within a period of time designated by the Board in accordance with this provision. 5.0 PROCEDURE 5 1 The OCSD participates in OCERS, wherein all regular full-time employees and eligible part-time employees are considered members from their date of hire The retirement program is in effect pursuant to the contract between OCERS and OCSD es of December 2, 1977, and will continue unless amendments to contracts or termination of membership is affected by OCSD subsequent to meeting and conferring with employee bargaining units concerning such proposed amendments or termination Personnel Policies & Procedures Manual Page 2 of 4 Effective_ 09/26/18 Panty 4 2, Retirement OCSD 18-18-122 6.0 EXCEPTIONS 61 In extenuating circumstances, as authorized by the General Manager (or designee), an employee's termination date may be a non-work day, 7.0 PROVISIONS AND CONDITIONS 7"1 Employees must contact OCERS within sixty (60) days of their expected retirement date to make an appointment to apply for retirement Employees may not file for retirement earlier than sixty(60) days before their expected retirement date Retirement applications are considered void after sixty (60) days. 7.2 Upon determining a retirement date, employees must notify Human Resources (HR) and their supervisor in writing at least two (2) weeks prior to their termination date HR staff will arrange a meeting to review retiree benefits and address retirement questions 7.3 Eligibility Criteria. Employees are eligible for retirement when they are no longer working in a position requiring them to be a member of OCERS and they meet any of the following criteria- 7.3.1 Any part-time or full-time employee age fifty (50) or over with ten (10) or more years of service credit 7 32 Any employee at any age with thirty (30) or more years of service credit 7.3.3 A part-time employee age fifty-five (55) or older with five (5) years of service credit and at least ten (10) years of active employment 7,34 Any employee at age seventy (70) or over, regardless of years of service credit 8.0 RELATED DOCUMENTS 8 1 "A Guide to Your Retirement Plan Benefits" Orange County Employees Retirement System Summary Plan Description for Plans A & 6 General Members (Tier 1 and 2) 82 "A Guide to Your Retirement Plan Benefits," Orange County Employees Retirement System Summary Plan Description for Plans G & H General Members (2.5% @ 55) 8 3 "A Guide to Your Retirement Plan Benefits," Orange County Employees Retirement System Summary Plan Description for Plan U General Members (2% @ 62) 8 4 County Employees Retirement Law of 1937, Sections 31450 through 31899 10 of the California Government Code 8 5 California Public Employees' Pension Reform Act of 2013 86 Government Code Section 31641 04, Receipt of Additional Service Credit Personnel Policies & Procedures Manual Page 3 of 4 Effective: 09/26/18 Policy 4 2, Retirement OCSG 18-18-123 8 7 Policy 4.1, Insurance 8.8 Policy 3.31 Leave of Absence with Pay 89 Retirement Preparation document located on OCSD's Intranet site Personnel Policies& Procedures Manual Page 4 of 4 Effective: 09/26/18 Policy 4-2, Retirement OGSD 18-18-124 Orange County Policy Number: 4.3 4 r. y Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Tuition Reimbursement Supersedes: September 23, 2015 Program Approved by: General Manager 1.0 PURPOSE 1.1 This program is designed to encourage self-development of Orange County Sanitation District (OCSO) employees by providing qualifying employees with tuition reimbursement for specific educational courses at accredited colleges or universities provided that such courses are primarily for the purpose cf 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 gualifying Employees-All regular OCSD employees who have completed their initial probationary period 3.2 Tuition Reimbursement-A program of eligible expense reimbursement for qualifying employees who successfully complete OCSD approved courses, on their own time, at accredited colleges, universities or other institutions. 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 20-29 50% 30- 39 75% 40 1001/0 4.2 Employees may be reimbursed for the following: 4.2 1 Specific, job-related courses as part of an Associate, Baccalaureate (Bachelor's), Graduate Certificate (Post-Baccalaureate), or Master's degree program. Personnel Policies & Procedures Manual Page 1 of 4 Effective OgQ6,at@ 15-18-12.5 Policy 4.3, Tuition Reimbursemerit 4,2,1.1 Requests for reimbursement of courses above the Bachelor degree level require special approval by the requestor's Department Head. Such requests will be reviewed by the Department Head to determine the value to OCSD of the proposed courses or degree program. 4.2.1 2 Employees may only be reimbursed for one (1) Associate, one(1) Baccalaureate and one (1) Master's degree. 4.2.1.21 Multiple Associate, Baccalaureate and Master's degrees are not permitted for reimbursement 4.2,2 Specific, tab-related courses through accredited colleges or universities_ 4.2.2.1 The employee's Division Manager is responsible for determining whether 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 4 4 Examples of eligible and ineligible expenses are Eligible Expenses Ineligible Expenses • Tuition - Travel • Registration fees Mileage • Laboratory fees Optional student fees • Parking fees Master's 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, etc.) syllabus not to exceed $100 40 Graduation or diploma fees per course 5.19 PROCEDURE 51 To participate in the Tuition Reimbursement Program 5,11 Employees must obtain preapproval for the course by submitting an electronic Tuition Reimbursement Application including a copy of the course description, the course cost course start end date, and number of units for each course NO EARLIER THAN 30 days prior to the course start date and NO LATER THAN three (3) business days prior to the course start date. 5,1.2 Tuition Reimbursement Applications submitted more than 30 days prior to the course start date will not be processed and should be resubmitted in accordance with the defined timeline. 5 1,3 Tuition Reimbursement Applications submitted on or after the course start date will not be approved and the employee will be notified. 5 2 Upon course completion, the employee must complete and submit the reimbursement application along with (1 i an official record of the final grade, (2) itemized receipts for eligible expenses, and (3) a copy of the course syllabus (if requesting reimbursement for required textbooks, materials and/or supplies') for each course within 60 calendar days Personnel Policies& Procedures Manual Page 2 of 4 Effective 09R6M18 18-18-126 Policy 4 3, Tuition Reimbursement following the course end date. Requests for Tuition Reimbursement submitted more than 60 days after the course end date will not be approved. 5.2.1 Upon approval of the application at all required levels, the employee will be notified, and Finance-will proceed with processing the reimbursement. 5.22 incomplete requests will be returned to the employee with explanation(s). 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 for courses that do not meet the requirements of this policy may be authorized when the employee's Department Head and Director of Human Resources (or designee) determine that there is substantial benefit to be derived by OCSD. 6.3 CCSD will reimburse for a maximum of one Associate degree, a maximum of one Baccalaureate (Bachelor's) degree, and a maximum of one Master's degree per employee. 64 OCSD does not reimburse for doctorate degrees. 7.0 PROVISIONS AND CONDITIONS Ti This policy does not apply to student interns or temporary employees. 7 2 Reimbursement requests must be received by the Financial Management Division by the second-to-last pay period of the calendar year, unless otherwise announced, in order to be applied to an employee's reimbursement limit for that calendar year. 71 Reimbursement requests received by the Financial Management Division during or after the last pay period of the calendar year, unless otherwise announced, will be applied to the employee's reimbursement limit for the following year. 74 Employees who, for any reason, terminate employment with OCSD and received reimbursement through the Tuition Reimbursement Program within 36 months of resignation, shall be subject to the following 7.4.1 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 termination. 7.4.2 Should an employee, for any reason, terminate employment with OCSD 1?-24 months after receiving reimbursement, he/she shall repay OCSD 66% of all funds received through this program within the twenty-four month period prior to the date of his/her termination 7.4.3 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 7,5 Reimbursement will be at the discretion of OCSD provided the employee meets the criteria specified in this policy Personnel Policies& Procedures Manual Page 3 of 4 Effective 09,Q0)91$1E-1R 12% Policy 4.3. Tuition Reimbursemenl 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 Form 3A Tuition Reimbursement Form Personnel Policies & Procedures Manual Page 4 of 4 Effective. 09R6)4(8 18-18-128 Policy 4,3, Tuition Reimbursement Orange County Policy Number: 4.4 �y I Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Certification Supersedes: September 23, 2015 Reimbursement Program Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this program is to encourage employees to broaden and further develop their job skills To meet this goal. the Orange County Sanitation District (OCSD) will provide qualifying employees with financial reimbursement for the fees associated with acquiring and maintaining District-approved technical and professional licenses and certifications that are job-related and either required or preferred by OCSD 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 technica}capabilities that are pertinent and beneficial to OCSD, 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all qualifying OCSD employees 3.0 DEFINITIONS 3 1 Qualifying Employee-All OCSD employees who have completed their initial probationary period of employment 32 Certification Reimbursement -A program of eligible expense reimbursement for qualifying employees who acquire and maintain District-approved technical and professional licenses and certifications on their own time 4.0 POLICY 4 1 OCSD will reimburse employees who successfully complete approved required or preferred license and/or certification requirements that are in an effort to increase professional and/or technical capabilities as approved by the Department Head 42 When an employee completes a pre-approved license or certification preparation course on their own time and successfully obtains a license or certification within the guidelines of this policy. OCSD will reimburse the employee for eligible expenses associated with the preparation course and the license or certification 421 Examples of eligible and ineligible expenses for approved preparation courses are Personnel Policies & Procedures Manual Page 1 of 5 Effective' 09/26/18 Policy 4 4. Certification Reimbursement OCSD 18-18-129 Eliuible Expenses lnelioible Expenses • Course registration 0 Optional student fees • Required textbooks and materials 9 Optional textbooks, supplies per the official course information and materials • Parking fees Mileage • Travel(other than parking) 42,2 OCSD will provide reimbursement for one approved preparation course per employee for each license or cer0ication 42,3 An approved preparation course will be eligible for reimbursement only after the employee successfully obtains the license or certification 4 2 4 Courses offered through colleges or universities that yield a letter grade may be reimbursed through the Tuition Reimbursement Program (and all associated requirements) rather than the Certification Reimbursement Program 4 3 License or certification examinations and/or preparation courses are completed on an employee's own time If a desired examination or course is scheduled during the employee's normal work schedule then the employee should seek supervisor approval to take scheduled time off to attend in accordance with their respective Memorandum of Understanding Additionally, management may consider flextime arrangements in accordance with OCSD's Policies and Procedures and Memoranda of Understanding &0 REQUIRFMENTS 5 1 Budgeted professional and/or technical organization Membership Fees are eligible for direct payment through Policy 4 5, Professional and Technical Memberships and Fees 6.0 PROCEDURE 6 1 Pre-Approval Process 6.1.1 Prior to applying for an initial License or Certification, the employee must submit a License or Certification Reimbursement Pre-Approval Application form with all required information included. 6 1.2 The employee's Dmsion Manager will review the application for approval 1t a preparation course is requested, the below requirements apply. 6,1.2.1 Employees and Division Managers should make every effort to select the preparation course based on cost and outcome to ensure fiscal responsibility in the use of OCSD funds. 6 1.2.2 in order for a preparation course to be eligible for reimbursement it must be included on the License or Certification Reimbursement Pre- Approval form and must be submitted no earlier than yU days prior to the course start date AL1l;Lno later than three (3) business days prior to the course start date. Forms that are submitted on or after the course start date may not be approved. Personnel Policies& Procedures Manuai Page 2 of 5 Effective 0912611 B Policy 4.A, Certfication Reirnbursernent QGSD 18-18-130 6 1 2.3 A specific class should be identified prior to submitting the pre- approva form. A copy of the course description which includes the course cost, course start/end dates and provider information is required 612 Upon approval of the application at all required levels, the employee will be notified 6 1 A Upon non-approval of the application, the employee will be notified with an explanation of the reason(s)for non-approval. 62 Reimbursement Process 6.2A Within 60 calendar days of obtaining the license or certification, the employee must complete and submit a Request for Certification Reimbursement form with the following documents attached- 6.2 1.1 Official transcript or photocopy of final score(for initial certification or license). 62 1.2 Proof of license or certification(i e , photocopy of certificate, card, or license) 62 13 Printout of license or certification fees paid from the issuing body. 62 1A Proof of course registration for preparation course, if applicable 6 2 1 5 Proof of payment for each reimbursable item, such as, copy of both sides of cancelled checks or copy of monthly credit card statement (redact non-applicable transactions) 62.2 The employee's Division Manager will review the form for approval 6.2 2 1 Upon approval, the electronic form will be routed to the Finance Department for processing 6.2.2.2 Upon non-approval, the employee will be notified with an explanation of the reason(s) for non-approval 7.0 EXCEPTIONS 71 For initial License or Certification through the State Water Resources Control Board, reimbursement for test cost will be made only once after the test is taken Proof of certification will be required once the qualifying experience requirements are met 7.1.1 If an employee fails to obtain certification within the allotted window, they shall be responsible for repaying the total amount reimbursed for the test cost 7.1.2 OCSD will not reimburse for any subsequent test requests due to a lapse in certification Personnel Policies & Procedures Manual Page 3 of 5 Effective: 09/26/18 Policy 4 4, Certification Reimbursement OCSD 18-18-131 71 3 Certification rermbursemerts will not be made for test cost if the employee did not receive a passing score. 72 If an employee terminates employment or gives notice of termination prior to the completion of a course, no reimbursement will be made 73 Reimbursement for certifications or licenses that do not meet the requirements of this policy may be authorized when the employee's Department Head and Director of Human Resources (or designee) determine that there is substantial benefit to be derived by OCSi 74 License or certification preparation courses are intended to be completed on the employee's own time However, OCSD may choose to provide onsite or offsite preparation courses occurring partially or fully duhnq an employee's work hours when at least one of the following conditions applies 7 4.1 OCSD is required to maintain a specific number, distribution, or level of certain licenses and certifications 7.4.2 A Department Head determines that a particular license or certification is business critical 75 OCSD Intems are not eligible to participate In this program i PROVISIONS AND CONDITIONS 8 1 Reimbursement will be at the discretion of OCSD provided the employee meets the criteria specified in this po#icy 82 Employees who, for any reason, terminate employment with OCSD and received reimbursement through the Certification Reimbursement Program for initial license or certification within 36 months of resignation, shall be subject to the following 8.2.1 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 termination. 8 2 2 Should an employee, for any reason, terminate employment with OCSD 13-24 months after receiving reimbursement he/she shall repay OCSD 66 of the funds received through this program within the twelve-month period prior to the date of his/her termination 8 2 3 Should an employee, for any reason, terminate employment with OCSD 25-36 months after receiving reimbursement, he/she shall repay OCSD 3,-1% of the funds received through this program within the twelve-month period prior to the date of his/her termination 90 RELATED DOCUMENTS 9.1 License, Registration and Certification Pre--Approval Form Personnel Policies& Procedures Manual Page 4 of 5 EHectiva_', 09126MB Policy 4 4, Certification ReirribursAment OCSO 1 B-18-132 92 License, Registration and Certification Reimbursement Form 93 Policy 4 3, Tuition Reimbursement 94 Policy 4 5, Professional and Technical Memberships and Fees Policy Personnel Policies & Procedures Manual Page 5 of 5 Effective 09/26/18 Policy 4 4, Certification Reimbursement OCSD 18-1B-133 Orange County policy Number: 4.5 ti 1, Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Professional and Technical Supersedes: April 26, 2006 Memberships and Fees Approved by: General Manager 1.0 PURPOSE This policy provides the guidelines for budgeting, approving and paying of employee memberships in professional and/or technical organizations This program encourages employees to update and maintain professional and/or technical capabilities that are pertinent and beneficial to the Orange County Sanitation District (OCSD} OCSD will pay the professional and/or technical organization membership fees associated with acquiring and maintaining OCSD approved memberships 2.0 ORGANIZATIONAL UNITS AFFECTED 2 This policy applies to all OCSD qualifying employees. 3.0 DEFINITIONS 3 1 Qualifyinq_Empioyees— Regular, full-time employees who have completed their initial probationary period. 32 Regular Full-time Employees —Employees who regularly work an 80-hour, biweekly, full benefit pay period 4.0 POLICY 4 1 OCSD shall pay for membership fees associated with acquiring and maintaining OCSD- approved professional and/or technical associations that are deemed pertinent and beneficial to the OCSD and employees. 4 2 All paid membership fees must be budgeted 43 OCSD reserves the right to limit and/or deny requests based on business need Departments may establish more restrictive procedures than those set forth in this policy 4 4 OCSD-approved city, county, state and federal technical and professional licenses, certifications and registrations are not eligible for payment through the Professional and Technical Memberships and Fees Policy These reimbursements are processed through the Certification Reimbursement Program 5.0 PROCEDURE 5 1 Budgeting Membership Fees 5 1 1 Each division shall determine it the requested membership is pertinent and beneficial to OCSD and the employee. Personnel Policies & Procedures Manual Page 1 of 2 Effective 09/26/18 Policy 4 5, Professional &Technical Memberships& Fees OCSG 18-18-134 5.1 2 Membership fees shall be approved and budgeted by each department and/or division prior to payment 52 Processing Membership Fees for Payment 5.2.1 A photocopy/ scanned copy of the membership invoice and an authorized payment request voucher are required for the Finance Department to process the payment request 53 Upon non-approval, a copy of the payment request voucher will be forwarded back to the employee with a status indicating the reason(s) for non-approval. 6.0 EXCEPTIONS 6.1 This policy does not apply to student interns, part-time employees, or temporary employees. 7.0 PROVISIONS AND CONDITIONS 7.1 Payment will be at the discretion of the OCSD provided the employee meets the criteria specified in this policy. B 0 RELATED DOCUMENTS 8,1 Policy 4 4, Certification Reimbursement Program Personnel Policies & Procedures Manual Page 2 of 2 Effective. 09/26/18 Policy 4.5, Professional &Technical Memberships& Fees OCSD 18-18.135 ��- Orange County Policy Number_ 4.6 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Domestic Partnership Supersedes: December 15, 2004 Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to recognize the status of domestic partners and to establish uniform guidelines and procedures for providing eligibility for programs (e.g benefits) and ensuring equal access to those programs. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This p6icy applies to all Orange County Sanitation District (OCSD) employees 3.0 DEFINITIONS �. Domestic Partners are two adults who have chosen to share one another's lives in an intimate and committed relationship of mutual caring and who have met the criteria set forth in California Family Code, Sections 297and 298 4,0 POLICY 4 1 It is the policy of OCSD to recognize employees who meet the dehnition of domestic partners provided for within this policy and who have registered with the California Secretary of State. 4,2 No one shall discriminate against or harass any person or couple on the grounds of domestic partner status, gender, sexual orientation, or any other protected class as outlined in OCSD's non-discrimination and harassment policies 4.3 The use of any available sick or personal leave entitlement to attend to an illness of a domestic partner is permitted as outlined in OCSD's Leave-of-Absence with Pay policy 44 Fmployees who are registered domestic partners on or after January 1, 2005 shall be extended the same rights, responsibilities, and duties as married couples and shall be afforded the same protections and benefits 5.0 PROCEDURE 5 1 Registered domestic partners must file with the Human Resources Department, a copy of all applicable documentation that establishes approved domestic partnership status, in order to receive all available benefits outlined in OCSD policies, procedures, and applicah{e Memorandums of Understanding (MOU) Personnel Policies & Procedures Manual Page 1 of 2 Effective 09/26/18 Policy 4.6, Domestic Partnership OGSD 18-18-136 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7 1 To be eligible to receive the same allocation of benefits extended to married couples, employees must register with the California Secretary of State and file approved documentation with CCSD's Human Resources Department &D RELATED DOCUMENTS 8.1 California Family Code, Sections 297and 298 82 California Domestic Partner and Responsibilities Act of 2003 83 Declaration of Domestic Partnership Registration Form 84 Policy 1.1, Harassment & Discrimination 8 5 Policy 3 3, Leave-of-Absence with Pay 8.6 Policy 3A, Leave-of-Absence without Pay 8.7 Policy 4 1, insurance 8 8 Policy 4 91 Catastrophic Leave Bank Donation Program 8.9 Policy 5 1, Rules of Conduct 810 Policy 5 2, Discipline Personnel Policies & Procedures Manual Page 2 of 2 Effective 09/26/18 Policy 4 6, Piomestic Partnership OCSD 18-18-137 Orange County Policy Number: 4.7 r Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Pro Rata Benefits for Supersedes: July 18, 2007 Part-Time Employees [Approved by: General Manager 1.0 PURPOSE 1.1- The purpose of this policy is to establish uniform guidelines for use in the administration of the benehts program provided for regular employees working in a part-time status, 2,0 ORGANIZATIONAL UNITS AFFECTED 2.1 All regular Orange County Sanitation District {OCSi employees authorized to work in a part-time status. 3-0 DEFINITIONS 3 1 Part-time employees —Employees who are authorized to regularly work less than 80 hours in a bi-weekly pay period, 32 Pro rata Insurance benefits —Part-time employees are responsible for payment of pro- rated medical, dental, and vision insurance benefit premiums- 3 3 Part-time employees shall receive the same level of life, short-term and long-term disability benefits as full-time employees. 34 Part-time employees who work 30 or more hours per week shall receive the same level of medical and dental Insurance benefits as full-time employees. Vrsion insurance benefits shall be pro-rated accordingly. 4.0 POLICY 4_1 Notwithstanding any other provision herein, the General Manager is authorized to confer the benefits set forth under OCSD's pollCies and procedures regarding leaves of absence with or without pay (excluding jury duty), vacation leave, sick leave, personal leave, bereavement leave, holidays, tuition reimbursement, and insurance benefits These benefits shall apply to regular part-time employees on a prorated basis, as follows: HDURS DF WDRK PER WEEK PERCENT BENEFITISUBSIDY 0— 19 None 20—29 50 percent 30—39 75 percent Personnel Policies & Procedures Manual Page 1 of 2 Effective 09/26/18 Policy 4 7, Pro-rats Benefits for Part Time Employees OCSD 18-18-138 42 On occasion, employees may request or be asked to transition from part-time to full-time status or vice-versa. It is the right of OCSD, at its sole discretion, to schedule working hours and assign work that may be necessary to operate OCSD in the most efficient and economical manner and in the best interest of the public it serves Due consideration will be given to an employee's input and concerns prior to implementation of a schedule change Multiple transitions to full-time or part-time, requested by the affected employee, shall be deemed as an abuse of this privilege and factored into future considerations for approval A thirty (30) day written notice for work schedule changes must be given to an affected employee prior to the change. 5.0 PROCEDURE 5.1 With respect to insurance, employees pay premiums through semi-monthly payroll deduction, according to the chart in section 4.1- 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Policy 3.1.1, Hours of Work —Non-Exempt Employees 8.2 Policy 3 1.2, Hours of Work — Exempt Employees 8 3 Policy 3.3, Leave-ef-Absence with Pay 8 4 Policy 3.4, Leave-of-Absence without Pay 8.5 Policy 4.1, Insurance 8.6 Policy 4.3, Tuition Reimbursement 87 Orange County Sanitation District Part-Time Employment Request Form Personnel Policies & Procedures Manual Page 2 of 2 Effective 09126/18 Policy 41, Pro-rata Benefits for Part Time Employees OCSD 18-18-139 Orange County Policy Number: 4.8 a Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Employee Assistance Supersedes: October 22, 1997 Program Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish urnforrn guidelines and procedures for the Employee Assistance Program (EAPi The objective of the EAP is to offer confidential professional assistance and support to employees and their families to help them solve personal issues that affect their personal lives or job performance Typical examples of such issues may include alcohol abuse, drug abuse, relationship or marital diff+cuities, nervous or emotional disorders, stress, anxiety, depression, legal problems, work-related problems, the loss of loved ones, dietary problems, coping with separation or divorce, and financial difficulties 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District(OCSD) employees regardless of their organizational unit 3.0 DEFINITIONS 4.0 POLICY 4 1 It is OCSD's policy to administer an EAP in accordance with the procedures of this policy 5,0 PROCEDURE 5 1 UCSD provides professional consultation and referral services to employees experiencing emotional or medical problems that may affect their personal lives or impair satisfactory job performance These services are available through the EAP, a confidential program provided by a professional counseling and referral service and administered by the Human Resources Department The program is available to all employees 52 Employees who are referred to the EAP as a result of unsatisfactory lob performance may be requested to secure appropriate medical, counseling, or rehabilitation services deemed necessary to resolve the problem However, if an employee who is referred to the LAP refuses such assistance, and job or attendance problems continue, corrective procedures may apply, including terrTrination Frnployeras may be gianted general leaves ul Absence for treatment ur rehabilitation If such leave is not necessary, satisfactory job performance will be expected to continue while participating in a treatment program 53 Employees are not required to notify OCSD if they choose to participate in the EAP. All participation is voluntary Personnel Policies & Procedures Manual Page 1 of 2 Effective_09126/18 Policy 4 8, Employee Assistance Program OCSD 18-18-140 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Personnel Policies & Procedures Manual Page 2 of 2 Effective: 09/26/18 Policy 4.8, Employee Assistance Program OCSD 18-18-141 Orange County Policy Number: 4.9 Sanitation District =-Y Personnel Policies Effective Date: September 26, 2018 Subject: Catastrophic Leave Bank Donation Program Supersedes: October 25, 2011 Approved by: General Manager 1.a PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures regarding the Qrange County Sanitation District (OCSD) Catastrophic Leave Bank Donation Program 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All OCSD employees who have completed their initial probationary period 3.0 DEFINITIONS 3.1 Catastrophic Illness or Iniury 3.1 1 A debilitating non-industrial illness or injury that is expected to incapacitate the employee meaning the employee is unable to work and/or perform other regular daily activities for a period of time that exceeds thirty (30) consecutive calendar days 31 2 A debilitating non-industrial illness or injury that incapacitates an Immediate family member and results in the employee being required to take time away from work for a period of time that exceeds thirty (30) consecutive calendar days to care for the family member 3.1.3 Conditions that are short-term in nature, such as a cold, flu, a minor injury or surgery, are generally not deemed catastrophic; however, surgery recovery time that meets eligibility criteria may qualify 3,2 Donor for the purposes of this policy refers to an employee who voluntarily contributes ieave hours to OCSD's Catastrophic Leave Bank Donation Program 3 3 Immediate Family Member an employee's child, stepchild, parent_ spouse, domestic partner or child of a domestic partner_ 3A Recipient for purposes of this policy refers to an employee who voluntarily accepts leave hour contributions through OCSD's Catastrophic Leave Bank Donation Program 3.5 Terminally III Employee an employee whose life expectancy Is twelve (12) months or less, as diagnosed by the employee's treating physician Personnel Policies&Procedures Manual Page 1 of 4 Effective-09126/18 Policy 4 9, Catastrophic Leave Bank Donation Program OCSr11R-18-142 4.0 POLICY 4 1 Employees may request leave donations from OCSD's Catastrophic Leave Bank Donation Program when faced with a catastrophic medical condition involving themselves or a member of their immediate family 42 Employees may donate accrued and unused sick leave, personal leave, vacation leave and compensatory time to OCSD's Catastrophic Leave Bank Donation Program Administrative leave and floating holidays may not be donated 4 3 Donations must be made In whole hour increments and are irrevocable 44 Donating employees must maintain a combined total minimum balance of eighty (80) hours for personal leave, vacation leave, and/or compensatory time off leave hours. Employees can only donate leave hours that exceed the minimum eighty (80) hour total combined balance. 4 5 Donating employees must maintain a minimum sick leave balance of one hundred (100) hours. Employees can only donate sick leave hours that exceed the minimum one hundred (100) hour sick leave balance 4 5 1 Sick leave donations will be applied at a thirty-five percent (35%) value rate. 5.0 PROCEDURE 51 Requests for donated leave time are to be submitted to Human Resources for approval using the 'Recipient Participation Form" located on the OCSD intranet site. 5 2 To receive donations, employees must provide medical documentation of their own catastrophic health condition or the catastrophic health condition involving their immediate family member OCSD may specify the medical documentation required to receive donations 5 2.1 If applicable, employees must also provide permission for the release of certain medical information as indicated on the "Recipient Participation Form " 5 3 To donate leave hours, employees must complete a "Donor Participation Form" and submit the form to Human Resources for approval. This form is located on the OCSD Intranet site 54 Employees will also be provided the option to donate leave hours during annual leave payout periods. 55 Approved donor and recipient requests shall be administered by the Financial Management Division 5.5,1 Except for sick leave, donated leave hours will be valued at the donor's hourly rate of pay that is in effect at the time the completed Donor Participation Form is received by the Financial Management Division The leave value amount will he allocated to the Catastrophic Leave Bank and the donor's leave accrual balance will be decreased with the next applicable pay period. Personnel Policies& Procedures Manual Page 2 of 4 Effective: 09/26/18 Policy 4 9, Catastrophic Leave Bank Donation Program OCSD 18-18-143 5 5 2 Donations will be applied to qualified recipients beginning with the next applicable_ pay period after the Financial Management Division receives an approved Recipient Participation Form provided there are donations available in the Catastrophic Leave Bank 5 5 3 To apply leave donations, the Financial Management Division will determine the number of hours necessary for the recipient for the pay period An amount equal to that number of hours at the recipient's current rate of pay will be deducted from the Catastrophic Leave Bank and the hours applied to the recipient's leave accrual balance That balance will be available for immediate use 6.0 EXCEPTIONS 6 1 In the even/ that an employee is unable to ccrnplete the °Recipient Participation Form,'' the employee's court appointed legal representative, guardian, or conservator may do so on the employee's behalf 7.0 PROVISIONS AND CONDITIONS 7 1 Employees are expected to maintain confidentiality regarding participation in the Catastrophic Leave Bank Donation Program to protect the privacy of the employee and/or the employee's family Employees shall not disclose recipient or donor information, or catastrophic illness/injury information, except as authorized on the Recipient Participation Form 72 To be eligible to receive donations of leave time, employees must have exhausted all of their unused and accrued vacation leave, sick leave persona; leave, administrative leave, compensatory time off, and floating hctiday hours. 73 The maximum allocation of donated leave that an employee may receive is four hundred and eighty (480) hours per individual per twelve (12) month period except in the event that the employee is diagnosed by his/her treating physician as terminally ill. If an employee is diagnosed as terminally ill there is no limit to the amount of donated leave that the employee may receive 74 The leave type {sick, vacation. personal or compensatory) that is donated will be converted to either sick leave or personal leave depending on the paid time off system of the recipient's affiliated bargaining unit or employee group 7 5 In the event that there are donations totaling $2 000 or less remaining in the Catastrophic Leave Donation Bank or it is anticipated that the Catastrophic Leave Donation Bank will be insufficient to support pending recipient requests. OCSD will notify employees to solicit additional donations OCSD will continue to allocate remaining donation amounts until depleted 75 1 For multiple recipient requests, available donations remaining in the Catastrophic Leave Donation Bank shall be allocated so that each recipient receives an equivalent percentage of leave donation hours 76 Participation in this program shall be subject to applicable state and federal taxation requirements Personnel Policies& Procedures Manual Page 3 of 4 Effective: 0912608 Policy 4 9, Catastrophic Leave Bank Donation Program OCSD 18-18-144 8.0 RELATED DOCUMENTS 8.1 Recipient Participation Form 82 Donor Participation Form 8 3 Policy 3 3, Leave of Absence with Pay Personnel Policies & Procedures Manual Page 4 of 4 Effective: 09/26/18 Policy 4 9, Catastrophic Leave Bank Donation Program OCSD 18-18-145 �,s, Orange County policy Number: 4.10 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Employee Development Supersedes: September 23, 2015 Approved by: General Manager 1.0 PURPOSE The Orange County Sanitation District (OCSD) seeks to provide all employees with access to appropriate training and development opportunities to increase job knowledge, skills, and abilities This policy provides standards and guidelines for OCSD employees requesting, needing or attending training and development activities through OCSD 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Orange County Sanitation District (OCSD), employees. 3.0 DEFINITIONS 3 1 Computer-Based Training—training delivered through the use of a computer, including self-paced coursework and/or webinars designed to develop an employee's job-related knowledge and skills. 3.2 Conference—an event that focuses on updating a participant's knowledge or current trends, practices or technologies Frequently the format allows the participant a variety of choices in the form of breakout sessions or discussion groups 32 Development—any formal or informal effort to increase an employee's job knowledge, skills, and abilities. Efforts may include a variety of approaches such as training, conference attendance, coaching and mentonrg,job shadowing, and job rotation. 34 Meeting—an event that is action-oriented and has the primary purpose to accomplish work-related outcomes. Meetings focus on such objectives as project and implementaticn planning, updates, issue resolution resource allocation, department updates, information exchanges, and problem-solving and decision- making discussions Learning is not the main focus of meetings, and thus meetings are not considered a training and development activity. 3.5 Training_-an event where an employee focuses on learning, maintaining and/or enhancing job-related knowledge, skills, and abilities (KSAs) in order to better perform job duties at OCSD. 4.0 POLICY 4.1 OCSD provides employees with training and development opportunities in accordance with this policy. Personnel Policies & Procedures Manual Page 1 of 8 Effective 09l26118 Policy 4 10, Employee Development OCSD 18-18-146 5.0 PROCEDURE 51 GENERAL TRAINING INFORMATION 5.1.1 Risk Management Compliance Training —OCSD ensures that all employees complete appropriate risk management compliance training on topics such as occupational safety and health, hazardous waste, workers' compensation, and Department of Transportation (DOT) compliance requirements. These types of training are administered by the Risk Management Division. 5.1.1.1 Divisions seeking to arrange risk management or safety-related training should work with the Risk Management Division to do so 5.1.2 Onsite Training and Development—OCSD provides onsite training and development opportunities when there is an organizational need and it makes financial sense In cases where groups of employees will participate, it is generally more cost-effective to offer these opportunities onsite at OCSD. This allows more employees to attend and reduces the cost per person. Onsite training requests are approved through the budget process for each division. 5.1.3 Offs ite Training and Development—Offsite training and development activities may be attended in the instance that the topic is not offered at OCSD and/or it is determined to be more cost-effective to send the employee(s) offsite The derision to send employees oftsite should be justified by evaluating the cost and availability in the local area. Ofilsite training requests are approved through the budget process for each division. Employees who attend offsite training and development activities may be eligible for reimbursement of travel expenses in accordance with Policy 5 6 Travel 5.1.4 Voluntary Training and Development—Voluntary training and development opportunities are offered to develop and improve employees' knowledge skills, and abilities Voluntary training and development activities are identified based on organizational and/or individual needs Requests for voluntary training and development must be approved by the employee's supervisor(or designee) prior to enrollment In deciding whether an employee should participate, the supervisor (or designee) should consider business relevance, the employee's developmental needs, and the division's ability to cover the employee's absence. Additionaily, requests should be reconciled against employees' past training history to ensure that OCSD funds are being utilized and managed appropriately. 5.1.5 Off Shift Training and Development Attendance—Employees are expected to attend training and development activities during their normai work schedule whenever possible. Any exceptions, such as overtime or attendance on scheduled holidays or days off, must be approved by division management in accordance with department policy prior to enrollment 52 SPECIAL TRAINING AND DEVELOPMENT CONSIDERA TIONS 5.2.1 Training of Night Shift Employees— Training sessions dedicated to Night Shift employees generally will be scheduled between the hours of 6:15PM--&15PM. If the vendor for a business-critical or mandatory course is unable to train between the hours stated, the requesting division may make arrangements to have the course videotaped. Such training videos and materials will be made available to the Night Shift supervisors (or designees) to use during the scheduled shift Personnel Policies& Procedures Manual Page 2 of 8 Effective' 09/26/18 Policy 4.10, Employee Development 00SD 18-18-147 5 2.2 Training of Interns— Vocational and student interns may participate in onsite and computer-based training that is required for their position such as safety and compliance courses Also, interns may participate in training of prophetary nformation that is unique to OCSD and which is required for their internship. 5 2,3 Training of Non-OCSD Employees—Non-OCSD employees are workers who are not on OCSD's payroll. Examples of non-OCSD employees include temporary workers and contractors. 5,2.3.1 Only OCSD employees may participate in training funded by OCSD The employer contracting with OCSD is responsible for ensuring non- OCSD e r-ployees receive all necessary training. However, non-OCSD employees may participate in training of proprietary information that is unique to OCSD and which is required for their lob assignment. 5 2.3.2 Human Resources and Risk Management do not maintain training records for non-OCSD employees. 5.3 TRAINING AND DEVELOPMENT FUNDING 5.11 The training and development budget is determined annually through the budget process Risk Management administers OCSD's budget for risk management and safety-related training topics, and Human Resources coordinates key organization- wide training programs. All other training and conferences are budgeted and administered by divisions. 5.3 2 Curing the budget process, divisions submit a comprehensive list of training, development, and conference needs for the next budget cycle using a Budget Training Request Form This information is evaluated by Financial Management and used in fiscal planning and the allocation of funds to each division. Management is responsible to accurately plan training and development needs during the budget process to ensure appropriate funding for requested items 5.3.2.1 Department Heads will review the sum of divisional conference attendance requests to identify overlap and ensure that budget requests are not excessive. 5.4 TRAINING AND DEVEL OPMENT REQUES TS 5,4.1 Source of Requests—Training and development requests are collected and compiled by each division in preparation for the budget process. 5.4.2 Prioritization of Training Requests—Training requests should be prioritized based on such factors as organizational need, strategic goals, and budget allocation Divisions also should review employees' past training history when evaluating training requests. 5.4.3 Performance-Related Training and Development Requests— Supervisors(or designees) should discuss specific performance-related needs with Human Resources to identify potential training and development options. 5AA Training Needs Assessments—When needed, departments and/or divisions may conduct Training Needs Assessments to identify training and development needs across the department/division. Training Needs Assessments should include an Personnel Policies& Procedures Manual Page 3 of 8 Effective 09/26118 Poiacy 4.10, Employee Development ocsD 18-18-14e analysis of training requests, training needs; goals and objectives, training plans (current and future) and funding This process also may include surveying and questionnaires to better assess and prioritize training needs 5 5 CONFERENCE ATTENDANCE REQUESTS 5 5.1 OCSD provides employees with opportunities to attend a variety of conferences to continue to build industry knowledge and maintain an awareness of the most current information and trends applicable to their function at OCSD. 5.5.2 In order to maximize the scope of information obtained through conference attendance and ensure the most efficient use of avaiiable funds, OCSD seeks to distribute attendance across multiple events and reduce overlap by limiting the number of attendees for any specific event This approach allows OCSD to be strategic in its use of training funds provides access for employees to attend a wide variety of learning events, and increases the diversity of information brought back to OCSD by conference attendees 5.5.3 Approval of Conference Attendance Requests Manager and Department Head approval is required for all conference attendance requests. In evaluating requests, management should consider factors such as cost, location of the event, expected return on investment, organizational staffing needs employee conference attendance history, and number of requesters. 5.5.3.1 If the goal is to obtain continuing education credits (CEOs) for an employee to maintain a license or certification, often there are local options that divisions could consider to maximize the use of OCSD funds 5 5.3.2 If the conference is of interest to multiple employees or groups, management should consider additional factors described below_ 5.5A Conference of Interest to Multiple Employees or Groups: The Department Head(or designee)wW decide which interested employee(s) will attend each specific conference. For conferences of interest to multiple departments, Department Heads (or designees)of each affected Department should collaborate to identify the most appropriate individuals) to attend, 5.5.4.1 Decisions should be based on considerations such as the relevance of the subject matter to the employee's job function, the employee's past attendance history, the equitable distribution of opportunities across appropriate groups and levels, and any applicable development needs or goals 5.5.4.2 When appropriate, priority may be given to employees who have been approved to participate in an active conference role on behalf of OCSD, such as speaker, poster presenter, panel member or session moderator. Employees must have Department Head approval in writing before agreeing to appear in these types of roles on behalf of OCSD. 5.6 VENDOR PAYMENT FOR OFF-SITE TRAINING, CONFERENCES, AND WEBINARS 561 Once a request for an offsite training event, conference or webinar has been approved, the requesting division coordinates payment and registration with the vendor. Registration fees for offsite training, conferences and webinars are Personnel Policies & Procedures Manual Page 4 of 8 Effective 09l2608 Policy 4,10, Employee Development OCSD 18-18-149 typically paid through a Payment Request Voucher(PRV) The completed electronic PRV form must be approved at all required levels in order to ensure payment Enrollment should be made as eariy as possible, at least six (6)weeks prior to the event, in order to allow time for the PRV to be paid 5,6,2 All training-related expenditures should be reconciled against the appropriate line Item. 5.7 PROCUREMENT OF ON-SITE TRAINING 5.7.1 After onsite training has been approved, the responsible division submits all required documentation to Inifiate procurement of the training in accordance with the Purchasing Threshold Guidelines 5.7 2 Bidding Training—When a project requires a Request for Proposal according to the Purchasing Threshold Guidelines, the following responsibilities apply 5.7,2.1 The requesting division provides objectives and discussion items for the training by preparing a Scope of Work. A potential vendor list (minimum 3) must be provided. A requisition including both documents must be submitted in order to initiate the procurement process. 5 7,2,2 Purchasing staff manages the vendor selection process with an evaluation committee including representatives from the requesting division. 5.7.3 Sole Source Training—In cases where the criteria for a Sale Source are met, a sole source justification is required from the requesting division and the following responsibilities apply_ 5 7.3.1 In initiating a sole source request, the requesting division is responsible to fullyjustify their proposal in a sole source justification memorandum and obtain all required approvals. 5.7.3.2 Following approval of the sole source request, the requesting division provides the objectives and discussion items for training by preparing a Scope of Work. A requisition including the sole source justrficahon memorandum and Scope of Work must be submitted in order to initiate the procurement process. 5.7.3.3 Purchasing staff manages the procurement process 58 TRAINING SCHEDULING 5 8 1 Risk Management is responsible for the planning and scheduling of all internally advertised risk management and safety-related training. Divissons seeking to arrange onsite risk management or safety-related training should work with Risk Management to schedule and arnwunce the tlainirry. 5.8.2 Hurnan Resources is responsible for the planning and scheduling of key organization-wide training programs, such as Human Resources-related compliance training and other organization-wide initiatives. 5 8.3 Individual divisions are responsible for the planning and scheduling of all other budgeted training Personnel Policies& Procedures Manual Page 5 of 8 Effective: 09126118 Policy 4.10, Employee Development DCSD 18-18-150 5 8 4 Classes are scheduled based on OCSD's need and the number of employees dentified to attend 5.8,5 The division responsible for each training course enters the scheduled classes into the learning management system and distributes announcements to the target audience. Announcements should be sent approximately four to six weeks in advance to allow for enrollment and divisional planning 59 TRAINING RECORDS 5.9.1 Training Documentation 5.9.1 1 Learning Management System—OCSD uses a training database to schedule, track, and maintain all training information relevant to OCSD employees 5.9.1.2 Rosters—All onsite training attendance must be documented with a training roster(sign in sheet). The division responsible for-the training provides rosters for all onsite classes In cases where a roster is not available, an appropriate generic Training Roster form from MyOCSD should be used Following the class, the division is responsible for closing out the roster in the learning management system and retaining a copy of the signed roster 5.9 2 Access to Training Transcripts 5 9.2 1 Unofficial Transcript Employees may view and/or print a copy of their training transcript within the learning management system 5.9 2.2 Official Transcript. If an official transcript is needed, employees should email a request to their supervisor or division manager(or designee) including the date range needed (fromlta). The supervisor or manager (or designee)will request that the transcript be sent to the employee The official transcript will be sent to the requester through e-mail. 5.10 RESPONSIBILITIES FOR TRAINING AND DEVELOPMENT 5.10.1 Employee Responsibilities 5.10.1.1 Enrollment Employees interested in attending any voluntary training and development activities must request supervisor(or designee) approval to attend. Enrollment of employees in mandatory training is the responsibility of the immediate supervisor(or designee). 5 10.1.2 Attendance Enrollment in training indicates a commitment to attend and is considered work direction by one's supervisor(or designee). It is the individual's responsibility to plan ahead and attend all assigned training, arrive on time, and complete the entire course. Employees must sign the training roster for each class attended so that training attendance is accurately recorded If an employee is unable to attend an assigned training class as scheduled, they are required to notify the supervisor(or designee) in advance to allow for withdrawal from enrollment and rescheduling Employees are responsible for completing all other assigned courses, such as web-based training, Personnel Policies& Procedures Manual Page 6 of 8 Effective, 09126M8 Policy 4.10, Employee Development OCSD 18-18-151 prior to the established deadlines 5.10.1 3 Failure to follow these Attendance requirements subjects the employee to disciplinary action 5.10.1.4 Conference Session Attendance In certain cases, employees approved to attend a conference may be instructed to attend one or more specific conference sessions to ensure that OCSD obtains certain knowledge 5.10 1.5 Post-Trarninq or Post-Conference Presentation. Following attendance of a training or conference employees may be requested by management to share materials or provide a presentation of key information to appropriate colleagues 5.10.2 Division Responsibilities 5.10.2.1 Training Budget Divisions are responsible to accurately plan training and development needs during the budget process, administer funds in accordance with what was approved, and reconcile and track training- related expenditures against the division's training budget. 5,10,2 2 Off site Training Webinar, and Conference Registration Divisions are respcnsible for coordinating the registration and payment process for approved offsite training, conferences, and webinars. 5,10,2 3 Procurement and Coordination of Onsite Training Divisions are responsible for the planning, procurement initiation. scheduling, announcement, and coordination of onsite training classes approved during the budget process. The scheduling division is also responsible for class entry in the learning management system and the coordination, close-out, and retention of class rosters. 5 10.2.4 Enrollment Immediate supervisors (or designees)are responsible for all employee training enrollments in the learning management system, Also, supervisors(or designees) are responsible to ensure that employees are enrolled in and compiete all mandatory trdininy 5.10 2 5 Attendance It is the immediate supervisor s (or designee s) responsibility to ensure that employees attend all assigned training as scheduled. If an employee is unable to attend a training class, the supervisor(or designee) is responsible for withdrawing the employee in advance and enrolling in another session�f needed 5.10.3 Human Resources and Risk Management Responsibilities 5.1U.1 Risk Management and Safety Training. Risk Management is responsible for maintaining an annual training plan to ensure all risk management and safety-related training is scheduled and completed according to established retraining frequencies, managing employee safety training profiles validating all related course content and providing instruction on training topics when appropriate. Also, Risk Management is fesponsibie for administering onsite and computer-based risk management and Personnel Policies & Procedures Manual Page 7 of 8 Effective 09/26/18 Policy 4,10, Employee development OCSD 18-18-152 safety-related training programs. 5.10 3.2 Non-Safety Compliance Trainin Human Resources is responsible for administering designated non-safety compliance training programs in accordance with retraining frequencies required by law 5.1 Q.3.3 Organization-Wide Training Programs Human Resources is also responsible for administering several key organization- wide training programs 5.10.3 4 Attendance Records Human Resources and Risk Management are responsible for maintaining employee training files and compliance- related training records in accordance with OCSD's Records Retention Schedule Onsite training attendance is tracked through signed training rosters and corresponding records in the learning management system. Offsite training and conference attendance is recorded from the travel and training approval and payment process. 6.0 EXCEPTIONS 6.1 Any exceptions to this policy must be approved by Human Resources and the Department Head. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Budget Training Request Form 8.-) Deiegation of Authority Resolution 8 3 Payment Request Voucher Form 8.4 Policy 4.3,Tuition Reimbursement 8.5 Policy 4 4, Certification Reimbursement 8,6 Policy 5,61 Travel 8.7 Purchasing Threshold Guidelines 8.8 Purchasing Threshold Guidelines for Sofe Sources 8 9 Sole Source Purchases 8.10 Training Roster (General, Operations) Personnel Policies & Procedures Manual Page 8 of 8 Effective 09/26/18 Policy 4.10. Employee Development OCSD 18-18-153 Orange County policy Number: 4.11 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Development Pay Supersedes: NIA Approved by: General Manager 10 PURPOSE IT The purpose of this program is to promote employee efforts that increase job knowledge, skills, and abilities that are consistent and aligned with Orange County Sanitation District (OCSD) Personnel Policies 4.3 (Tuition Reimbursement Program) and 4 4 (Certification Reimbursement Program) 2.0 ORGANIZATIONAL UNITS AFFECTED 2,1 This policy applies to all qualifying OCSD employees 3.0 DEFINITIONS 31 Educational Degree is an academic qualification awarded upon successful completion of a course of study in higher education from an accredited college or university, and is classified as an Associate's, Bachelor's, or Master's degree 3.2 Certificate is a document endorsing that one has fulfilled certain or specific requirements 33 Certification is the recognition of an individual by a governmental agency or a professional organization as having met specific standards and/or qualifications for a body of knowledge within a specific field that results in the issuance of a certificate 34 Development Pay is non-base building compensation provided to qualifying employees for obtaining and/or maintaining Educational Degrees, Certificates, and/or Licenses as set forth in this policy 3.5 Grade V is the certification level License issued by the California State Water Resources Control Board. 36 Graduate Certificate is an Educational Degree representing completion of specialized, post-Bachelors education from an accredited college or university 3 7 License is permission to engage in a certain activity, granted by an official or legal authority such as a city, county, state, or federal agency. 38 Professional-Organization is an organization or association that has a defined code of ethics, conducts research, possesses a defined body of knowledge, and has the authority to set professional standards in a field. 3,9 Qualifying Employ-All OCSD employees who have completed their initial Personnel Policies & Procedures Manual Page 1 of 3 Effective: 09/26/18 Policy 4 11 Development Pay OCSD 18-18-154 probationary period of employment 4,0 POLICY 42 Qualifying employees will receive Development Pay that will be distributed in a lump-sum amount each pay period 4 3 Qualifying Employees must have a proficient year-end performance appraisal to be eligible for Development Pay 43,1 Qualifying Employees who are placed on a Performance Improvement Plan (PIP) due to a needs improvement performance review on the year- end performance appraisal are not eligible for Development Pay until the PIP is satisfactorily completed 4 3 2 Qualifying Employees who are placed on a PIP due to a needs improvement outside the year-end appraisal will have all Development Pay suspended until the PIP is satisfactorily completed 4.13 The return of Development Pay will not be retroactive. 44 Qualifying Employees must be in an active pay status to receive Development Pay, 45 Specific cost for Educational Degrees, Certification, and Licenses vary by group and are outlined in Policy 2 2, Non-Base Building Pay The approval or granting of Development Pay vests in the sole discretion of OCSD, through the Department Head and Human ResoUrceS 5.D PROCEDURE 46 Qualifying Employees must complete a Request for Development Pay form, attach copies of the applicable educational degree, certificate, or license, and the empioyee must ensure that all other supporting documentation is included 47 All requests are routed to the employee's management representative to ensure the Development Pay request meets the stated objectives and purpose of the Development Pay Program 4.7 1 The employee's management representative must approve or deny the Development Pay request and ensure the request is consistent with objectives and purpose of the Development Pay Program, 4 8 All completed requests submitted by an employee whether approved or denied by the employee's management representative, must be submitted to the Human Resources Department for processing and retention 4 9 Employee must complete a separate Request for Development Pay form for the educational degree, and for each certificate, or license TO EXCEPTi 7 1 This policy does not apply to student and vocational interns, or temporary employees Personnel Policies& Procedures Manual Page 2 of 3 Effective:09/26/18 Policy 4 11 Development Pay OCSD 18-18-155 7 ? This policy does not apply to employees of the Executive Management Team so PROVISIONS AND CONDITIONS 51 Approved compensation for Development Pay is effective in the first pay period following the employee submittal date, as indicated by the completed Development Pay request 82 Development Pay compensation will only be subject to retroactivity when the administration process delays implementation beyond the first pay period following the employee submittal date 8 3 Development Pay requests submitted for Educational Degrees, Certificates or Licenses obtained outside of the specific guidelines herein will be evaluated on a case-by-case basis by the employee's Division Manager to determine whether the intent of the request is consistent with the objectives of the Development Pay Program 8 3.1 In such cases, the Request for Development Pay must be submitted to the appropriate Department Head for consideration and approval, and then forwarded to the Human Resources Division for final processing. 84 Mandatory training required as part of an employee's regular job duties is not eligible for Development Pay, unless +t yields a certificate and has a requirement of at least forty (40) hours of course time 85 Falsification of educational documents, certificates and/or licenses may lead to disciplinary action up to and including termination 9.0 RELATED DOCUMENTS 91 Policy 1 4 Recruitment and Selection 9.2 Policy 1 7 At-Will EMT Employment Agreements 93 Policy 2.2 Non-Base Building Pay 94 Policy 4 3 Tuition Reimbursement Program 95 Policy 4 4 Certification Reimbursement Program Personnel Polices &Procedures Manual Page 3 of 3 Effective 09/26/18 Policy 4 11 Development Pay GCSD 18-18-156 r,; �,, Orange County policy Number: 5.1 Sanitation District 7_�`' Personnel Policies Effective Date: September 26, 2018 [Subject: Rules of Conduct Supersedes: September 3, 2013 Approved by: General Manager 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines regarding rules of conduct for employees 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Orange County Sanitation District (OCSD) employees regardless of their organizational unit 3.0 POLICY 3.1 Reasonable rules of conduct are necessary for the safety and protection of all employees and to ensure the efficient and productive operation of OCSD's facilities Such rules are established with the goal of achieving mutual understanding with all employees regarding unacceptable behavior, and should be fairly and equitably administered by ail supervisors and managers 4.0 PROCEDURE 4.1 The following items are examples of expected conduct or behavior An employee whose actions are inconsistent with or violates one of the following areas may be subject to discipline, up to and including termination. 4 1A Coming to work in a timely manner and not abusing time-off privileges. 41 2 Proper completion of individual time records in accordance with established procedures 4 1.3 Proper notification of supervisors in the event of intended absence or tardiness 4A 4 Carefui and considerate use of OCSD property 4A 5 Observance of all safety and security rules and regulations. 41 6 Professional conduct toward other OCSD employees. 4.1 J Adherence to OCSD's Core Values; specifically, Honesty, Trust and Respect, and Teamwork and Problem Solving. 4A1 8 Adherence to applicable memoranda of understanding and OCSD personnel policies and procedures 41.9 Safeguarding confidential information obtained in connection with employment 4 1-10 Appropriate correction of unacceptable job performance or practices Personnel Policies & Procedures Manual Page 1 of 3 Effective: 09/26/18 Policy 5.1, Rules of Conduct OCSD 18-18-157 4.2 The following items are examples of conduct or behavior which may subject an employee to termination without regard to the employee's past performance, prior discipline, longevity and work history 4 2 1 Substantiated charges of Sexual Harassment. 4.2.2 Conduct that endanger the safety of others, including fighting or any violent or threatening act. 423 Making false, profane, abusive or malicious statements concerning any employee or officer of the OCSD 4.2.4 Accepting gifts or favors of more than token value from anyone doing or seeking to do business with the OCSD 4.2.5 Engaging in any activity which represents a violation of OCSD's conflict of interest code. 4 2.6 Falsification of any OCSD records including incorrect time charges on timesheets 4.2.7 Unauthorized removal of OCSD's or others' property. 42 8 Defacing, destroying or damaging OCSD property or the property of others 42.9 Possession of weapons or explosives on OCSD premises. 4.2 10 Violation of substance abuse policy. 4 2.11 Immoral or indecent conduct, or insubordination, which is defined as refusal or failure to follow the lawful directive of a supervisor or manager or to comply with an established policy or procedure. 5.0 EXCEPTIONS 6.0 PROVISIONS AND CONDITIONS 6.1 The examples of conduct or behavior listed in this policy should not be considered an exhaustive list. Absence of an example of conduct or behavior from this policy *11 not be the basis for avoiding discipline or termination when OCSD finds that such an action is warranted. 7.0 RELATED DOCUMENTS 7 1 OCSD Core Values 7.2 Policy 1 1, Harassment and Discrimination 7.3 Policy 1.3, Workplace Violence & Weapons 7.4 Policy 1.5, Outside Employment & Professional Associations 7.5 Policy 1.8, Business Ethics Personnel Policies& Procedures Manual Page 2 of 3 Effective 09/26/18 Policy 5 '1, Pules of Conduct OCSD 18-18-158 7.6 Policy 3 1.1, Hours of Work -- Nor-Exempt Employees 77 Policy 3.1 2, Hours of Work-- Exempt Employees 7.8 Policy 3 2, Attendance Policy 7.9 Policy 3 3, Leave of Absence with Pay 7 10 Policy 5.18, Use of District Property 7.11 Policy 5 20, Substance Abuse 7.12 OCSD Safety Policies and Procedures Personnel Policies & Procedures Manual Page 3 of 3 Effective. 09/26/18 Policy 5.1, Rules of Conduct OCSD 18-18-159 Orange County Policy Number: 5.2 s Sanitation District _- Personnel Policies Effective Date: September 26, 2018 iSubject: Discipline Supersedes: November 14, 2011 Approved by: General Manager 1.0 PURPOSE 1,1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current Orange County Sanitation District (OCSD) employees regardless of their organizational unit. 3.0 DEFINITIONS 3.1 Discipline is the occurrence of any of the following actions taken for just cause with respect to any employee verbal reprimand, written reprimand, suspension without pay, reduction in pay, demotion to a classification with a lower maximum rate of pay, or dismissal. T2 Dismissal is the separation from OGSD employment of a regular employee initiated by OCSD for just cause. 3 3 Serious Misconduct is performance or conduct connected with an employee's work that the employee knows or reasonably should have known was unsatisfactory. While not an exhaustive list, such performance or conduct may involve behaviors listed in section 5.7 of this policy 4.0 POLICY 4 1 OCSD is committed to supervisory and management practices and procedures which support effective operations in the best interest of OCSD and its employees. Such procedures include the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior, failed to maintain minimum job requirements or performance. Employment with OCSD is voluntarily entered into, and employees have the right to resign within the guidelines of an employees affiliated Memorandum of Understanding and administrative policies to pursue other interests. Similarly, OCSD has the right to conclude an employment relationship for proper cause when it is believed to be in OCSD's best interests. 4 2 The General Manager is authon2ed and directed to exercise supervision over aU employees and to impose discipline, for just cause, upon any person employed under the provisions of this Policy for unacceptable behavior or performance. 4 3 The General Manager shall establish rules and guidelines pertaining to the procedures governing such actions The General Manager shall establish Rules of Procedure and Fvidence governing post-discipline hearings Personnel Policies& Procedures Manual Page 1 of 4 Effective', 09/26/18 Policy 5 2, Discipline UCSD 18-18 160 44 The General Manager is authorized to delegate his authority herein to the Department Heads, Division Managers, Director of Human Resources and other management and supervisory employees, as the Genera{ Manager deems appropriate. 5.0 PROCEDURE 5.1 Prior to the issuance of discipline for unacceptable behavior or performance, management is encouraged to regularly meet with employees and provide counseling as a corrective measure Counseling sessions may be followed up by a counseling memo to the employee. Counseling is not considered disciplinary in nature. 52 Discipline may occur when any of the following actions are taken for just cause with respect to any employee verbal reprimand, written reprimand, suspension without pay, reduction in pay, demotion to a classification with a lower pay grade, or dismissal. 5.3 A Notice of Intent to impose disciplinary action is not required when the disciplinary action involves verbal reprimand or written reprimand, 54 Dismissal, for purposes of this policy, is the separation of a non-probationary employee initiated by OCSD for just cause 5 5 A Notice of Intent is not required when the disciplinary action involves a verbal reprimand or a written reprimand 5_6 A Notice of Intent to impose disciplinary action is required and will be given to an employee whenever the disciplinary action involves suspension without pay, reduction in pay, demotion to a classification with a lower pay grade, or dismissal. The Notice of Intent shall be given to the affected employee either by delivery in person or by Certified Mail sent to the employee's last known address The Notice of Intent shall indicate the date on which it was personally delivered or deposited in the mail, which shall be the date of issuance. 57 The Notice of Intent shall contain the following' 5.7,1 A description of the disciplinary action intended; 5.T2 The effective date of the action, 5.7.3 The reasor('s) for the proposed action, 5.7.4 A copy of the charges and materials upon which the action is based; 5.7.5 A statement of the employee's right to respond, either verbally or in writing to the person initially imposing the discipline, or to an OCSD management representative with authority to make an effective recommendation on the proposed action', 5.7.6 The person to whom any response must be directed 5.7.7 The fact that such response must be received within ten (10) business days of the date of issuance of the notice; and 5,7 8 Notice of the employee's right to representation. 5 8 Prior to the effective date of any proposed disciplinary action requiring a Notice of Intent, the employee will be given an opportunity to respond either orally or in writing to a management representative with authority to make an effective recommendation on a proposed action. After review of an employees response, CCSD will notify the employee in writing of any action to be taken Such action may not involve discipline more severe than that described in the Notice of Intent; however, OCSD may reduce discipline without further notice. 5,9 Dismissal shall be preceded by at least one (1) written reprimand, except in those situations in which the employee knows or reasonably should have known that the performance or conduct was unsatisfactory. Such performance or conduct may involve, but is not limited to dishonesty, possession, use, sale or being under the influence of drugs or alcohol', theft or Personnel Policies & Procedures Manual Page 2 of 4 Effective: 09/26/18 Policy 5.2, Discipline OCSD 18 18-161 misappropriation of OCSD's property or funds falsification of OCSD's records, fighting on the job, insubordination, acts endangering people or property, or other serious misconduct. OCSD may substitute a documented suspension without pay for written reprimands, 5.10 If a Notice of Intent is upheld and the disciplinary action is imposed, the employee may request a post-disciplinary hearing The request must be submitted to the Director of Human Resources, unless otherwise stipulated by an employee's affiliated bargaining unit Memorandum of Understanding (MOU) within ten (10) business days following the effective date of the disciplinary action (for suspensions, the effective date will be the first business day following the final day of the suspension). The Director of Human Resources will schedule a post-disciplinary hearing with the General Manager or a hearing officer selected by the General Manager The hearing officer selected by the General Manager may not be an employee of OCSD. The selected hearing officer will provide a written advisory opinion to the General Manager The General Manager may uphold the disciplinary action that has been imposed or may reduce such discipline without the issuance of further Notice of Intent The decision of the General Manager shall be final 5.11 Disciplinary actions will be recorded in employee performance reviews. Unless otherwise stipulated by an employee's affiliated bargaining unit MOU, all disciplinary action documentation shall be placed in an employee's personnel file in the Human Resources Department, 5.12 Unless otherwise stipulated in an employee's affiliated bargaining unit MOU documentation regarding verbal and written reprimands may be removed from an employee's personnel file twenty-four (24) months subsequent to the date of issuance, provided that there has been no iecuiienue of a sirnilai incident during the period. If the Director of Human Resources, or designee, agrees to remove disciplinary action documentation from an employee's personnel file, such documentation shah be retained in a separate file by the Human Resources Department for the purpose of showing that progressive discipline has been followed or in support of OCSD's proposed discipline. 5.13 Verbal reprimands and written reprimands may only be reviewed under this Agreement through the Problem Solving Procedure. 6.0 EXCEPTIONS 6 1 This policy shall not apply to the General Manager, Executive Management Team (EMT) members, new-hire probationary employees, and student interns who serve "at-will" and may be released from employment without cause or recourse to any appeal or grievance procedures 6 2 A reduction in pay or demotion to a classification with a lower pay grade that is not a result of performance deficiencies (for example, a reclassification, "bumping" associated with a layoff, a reasonable accommodation, or a voluntary employment change) shall not be considered discipline. 7.0 PROVISIONS AND CONDITIONS 7-1 OCSD may place an employee or administrative leave without prior notice in order to review or investigate allegations of conduct which, in OCSD's view, would warrant relieving the employee immediately from all work. duties If upon conclusion of the review or investigation, the employee on administrative leave receives a suspension without pay, a maximum of fifteen (15) business days of the administrative leave period may be applied to such suspension without pay. Personnel Polices &Procedures Manual Page 3 of 4 Etfectrve: 09/26/18 Policy 5 2, Discipline UCSD 18-18-162 8.0 RELATED DOCUMENTS 8 1 Policy 1.7, "At-Will' Employment EMT Employment Agreements 8.2 Policy 1.10, Employee Separation 8 3 Exhibit A - Rules of Procedure & Evidence for Post-Disciplinary Hearings Personnel Policies & Procedures Manual Page 4 of 4 Effective 09126/18 Policy 5.2, Discipline OCSD 18 18-963 ORANGE COUNTY SANITATION DISTRICT RULES OF PROCEDURE AND EVIDENCE FOR POST-DISCPLI NARY HEARINGS 1. Hearings shall be conducted by the District's General Manager or a hearing officer selected by the General Manager. 2. Any objection to the individual selected by the General Manager as the hearing officer on the grounds of bias, must be made in writing, stating the reasons, therefore, to the General Manager no later than 15 calendar days after the date of the deposit in the mail of notice that a hearing officer has been selected, including the hearing officer selected and his/her background information 3. The questions to be decided are as follows: A. Was there just cause for the discipline imposed? B. If not, what is the appropriate discipline, if any? 4 Formal rules of evidence and procedure that may be applicable in a court of law shall not apply to these hearings. Evidence, both oral and documentary, shall be admissible if it is the type of evidence that responsible persons are accustomed to rely on in the conduct of serious affairs, regardless of the existence of any judicial rule which might have made improper the admission of such evidence over objection in civil actions Hearsay eviderce may be admitted fur the purpose of Supplementing ur explaining any direct evidence but shall not be sufficient by itself to support a finding unless it would be admissible over objection in civil actions. The rules of privilege shall be applicable to the same extent that they are recognized in civil actions. 5 Each party shall have the right to call and examine witnesses, to introduce exhibits and to cross-examine opposing witnesses. If the employee does not testify on his or her own behalf, the employee may be called and examined as if under cross-examination. 6 Testimony shall be recorded by means of either an audio recording or a certified court reporter. 7. Witnesses shalt be sworn unless both parties stipulate otherwise. 6 Written declarations made under penalty of perjury shalt be admissible; provided, however, that declarants shall be made available for testimony at the request of the party against whom the declaration is offered. 9 The District shall have the burden of proof. The standard of proof is a preponderance of the evidence. The District shall present its case first. During the presentation of the District's case, the employee shall have the right to cross-examine any witness called (o testify by the District At the conclusion of the District's case, the employee may present his or her case. During the presentation of the employee's case, the District shall have the right to cross-examine any witness called by the employee to testify. '10. Buth parties shall have the right to ceunsel. Employee may be represented by the applicable employee organization representative. Personnel Policies & Procedures Manual Effective 09l26l18 EXHIBIT A — Policy 5.2, Discipline OCSD 18-18-164 11. Both parties shall have the right to present an opening statement prior to the presentation of any evidence and a closing argument after the presentation of all evidence. 12. The General Manager or a hearing officer selected by the General Manager, shall rule on procedural and substantive issues. 13. The General Manager shall use good faith efforts to issue a written decision within 30 days of (1) the conciusion of the hearing, or (2j the receipt of post-hearing briefs if such briefs are requested by the General Manager. If a hearing officer is selected by the General Manager, he or she will provide an advisory opinion to the General Manager. Upon receipt of an advisory opinion, the General Manager shall use good faith efforts to issue a final written decision within 30 days. In the event that the General Manager requests to review the entire record, the General Manager shall use good faith efforts to issue a final written decision within 30 days of receipt of the entire record. 14. The decision of the General Manager shall be final and binding The foregoing Rules of Procedure and Evidence for Post-Disciplinary Hearings are applicable to all post-disciplinary hearings unless the parties to said hearings stipulate otherwise. ORANGE COUNTY SANTITATION DISTRICT Orange County, California Date: By: James Herberg General Manager APPROVED AS TO FORM. BRADLEY R. HOGAN DISTRICT COUNSEL By: Bradley R. Hogan Personnel Policies 3 Procedures Manual Effective 09/26/18 EXHIBIT A—Policy 5.2, Discipline OCSD 18-18-165 Orange County Policy Number: 5.3 Sanitation District Personnel Policies Effective Date: September 26 2018 SuaJECT: Operator Certification, Supersedes: October 22, 1997 Maintenance, and Renewal Approved by- General Manager 1.0 PURPOSE 1 The purpose of this policy is to establish uniform guideiines and procedures to ensure that required certification is maintained and/or renewed by Operations personnel and that the Orange County Sanitation District (OCSD) operates its facilities in compliance with Title 23 of the California Water Code 2.0 ORGANIZATIONAL UNITS AFFECTED 21 All OCSD employees whose positions require certification of competence as a Wastewater Treatment Plant Uperator issued by the State of California State Water Resources Control Board 3,0 DEFINITIONS 4,0 POLICY 4 1 It is the policy of OCSD to operate its wastewater treatment plant facilities in compliance with state-mandated regulations, and to ensure that employees who are employed to operate said facilities do so in compliance with the certification requirements of said regulations 4.1.1 Operations Supervisors are to inspect the certification for each of their assigned employees on a regular basis as part of that employee's annual reviews This criterion is considered a part of the supervisor's goals and objectives 4.1.2 Maintenance of certification is expected to be an integral part of each employee's goals and objectives 4.1 3 Certification upgrade and maintenance may be considered in the Individual Development Plan (IDP) for each certified employee 4 2 An employee who is required to be certified and who fails to maintain or renew certification appropriately will be placed in a "non-certified' employee status The employee wiH be prohibited from operating OCSD's wastewater treatment plant facilities, until, at OCSD's discretion the individual's certification is re-instated by the state, and OCSD is duly notified Personnel Policies & Procedures Manual Page 1 of 2 Effective: 09/26/18 Policy 5 3, Operator Certification Maintenance OCSD 18-18-166 4 3 if an employee fails to maintain or renew his certification or if the employee's certification is suspended or revoked for any reason, the employee shall immediately notify the Chief Operator of his or her certification status 4.4.1 At no time shall an employee whose position requires certification operate OCSD's wastewater treatment plant facilities without the appropriate certification 44 An employee who violates this policy is subject to disciplinary action up to and including termination 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Title 23 of the California Water Code Personnel Policies & Procedures Manual Page 2 of 2 Effective: 09/26/18 Policy 5 3, Operator Certification Maintenance OCSD 18-18-167 Orange County Policy Number: 5.4 Sanitation District Effective Date: September 26, 2018 Personnel Policies i Subject: Employee Participation in Supersedes: June 8, 2011 Athletic and Recreational Activities on Off-Duty Time Approved by: General Manager 10 PURPOSE 11 To establish uniform guidelines and rules pertaining to employee participation in athletic and recreational activities on or off Orange County Sanitation District (OCSD) property on off-duty time. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSO employees 3.0 DEFINITIONS 4.0 POLICY 4 Y The OCSO does not and shall not endorse or support any organized or unorganized athletic or recreational activities by the OCSD's employees in which they participate during non-working hours. 5.0 PROCEDURE 5 1 Employees participating in athletic and recreational activities during non working hours, such as, but not limited to, bowling, basketball, onsite Fitness Rooms, and softball teams, etc , are deemed to do so outside of the course and scope of their employment with OCSO, except when expressly authorized in writing While the use of nicknames ie g , "Sludge Haulers") that would generically refer to the nature of employees' business are not barred by this policy, no employee or group of employees may arrange for, or participate in any organized activity bearing a team designation such as "Orange County Sanitation District's Employees Team" or similar terminology that would indicate official sanction or support by OCSD. 52 Organization of, and participation in, athletic or recreational activities are prohibited during any work periods for which employees are compensated. 53 OCSD shall not financially contribute or provide equipment and supplies to any employee, or any organization, for athletic or recreational activities, except as authorized by written policy memorandum from the General Manager for a specific activity No employee shall utilize any OCSO business equipment, including but not limited to, computers or copying machines, nor supplies in furtherance of any organized Personnei PoNcies&Procedures Manua{ Page 1 of 3 Effective: 09/26 818 Policy 5A, Participation in Recreational Activities GG50 18-18.168 recreational or athletic activity that may occur during non-work hours, whether such activities are to occur on site or off site 54 Supervisory and management personnel shall not require or coerce any employee to participate, or not participate, in any athletic or recreational activity during off-duty work hours. 55 OCSD's facilities, at the sole discretion of the General Manager, may be made available for employee athletic or recreational use during non-compensated work times These facilities may include an outdoor basketball court or an unused conference or work room for aerobic training or similar activities 5 5-1 A"Waiver for Athletic, Recreational and Fitness Room Activities" and/or "Membership Fee Payroll Deduction Authorization" form may be required, depending on the facility/activity. 56 Athletic or recreational activities organized by OCSD's employees to be undertaken during non-duty, non-compensated work periods or OCSD property must obtain approval from the General Manager, provided that all employees acknowledge that they shall be deemed to be participating solely or their own personal time and at their sole discretion. This can include non-compensated lunch periods. 57 Participation in such events shall not be considered as part of the requirements of an employee's job classification, nor shall it be considered an activity to be within the course and scope of the employee's employment Risk of injury incurred during the participation of such activity shall be solely with the employee All employees are advised that such injuries, if they should occur, are not compensated by worker's' compensation benefits when incurred outside of the course and scope of an irdividual's employment 5 8 When utilizing the Fitness Room outside the employees normal work, hours, employees must check lr and out with Security and/or Operations to advise them of their presence in the Fitness Room. 58 1 Employees should seek medical advice from a licensed health care provider before beginning a new exercise program. 5.8.2 Access to the Fitness Rooms will be available 24 hours, seven days a week 5 8 3 Only employees that have been granted access may use the Fitness Room 5 8 4 Employee must not allow any unauthorized individual access to the Fitness Room 5 8 5 Employees using the Fitness Room are required to know and abide by the rules covering proper use of the Fitness Room Personnel Policies & Procedures Manual Page 2 of 3 Effective 09/26/18 Policy 5 4, Participation in Recreational Activities OCSD 18-18-169 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 Notices advising employees that OCSD is not responsible for off-duty recreational activities will be posted throughout OCSD 72 Place in OCSD's Personnel Policies and Procedures Manual and on the Intranet 8,0 RELATED DOCUMENTS 8 1 Labor Code Section 3600(a)(9) Personnel Policies&Procedures Manual Page 3 of 3 Effective: 09/26/18 Policy 5.4, Participation in Recreational Activities Orange County Policy Number: 5.5 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Meal and Rest Periods Supersedes: November 14, 2011 Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for providing employees with time off for meals and rest periods 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current Orange County Sanitation District (OCSD) employees regardless of their organizational unit. 10 DEFINITIONS 4.0 POLICY 4 1 It is OCSD's policy to provide employees with time off for meal periods and rest periods in accordance with the procedures of this policy, 5.0 PROCEDURE 5 1 Meal Periods Unless otherwise stipulated by an employee's affiliated bargaining unit Memorandum of Understanding (MOU), OCSD shall provide employees with an uncompensated meal break for each workday of at least five (5) hours. The meal break may be either thirty (30) or sixty (60) minutes at the discretion of division/department management. 52 Rest Periods Unless otherwise stipulated by an employee's affiliated bargaining unit MOU. OCSD shalt provide employees with two (2) 1C-minute compensated rest periods for an 8-hour, 9-hour, or 10-hour workday Employees will receive three (3) 10-minute rest periods for a 12-hour workday. 6.0 EXCEPTIONS 6 1 Treatment plant operators are compensated at their regular rate of pay during their meal period. 7.0 PROVISIONS AND CONDITIONS 71 Meal and rest periods are intended to provide employees with time for relaxation from work during the workday, and may not be avoided or accrued for the purpose of obtaining additional time of or shortening the regular workday, 8.0 RELATED DOCUMENTS Personnel Policies& Procedures Manual Page 1 of 1 Effective:09/26/18 Policy 5.5, Meal & Rest Periods OCSD 18-18-171 Orange County Policy Number: 5.6 Sanitation District ��..ra' Effective Date: September 26, 2018 Personnel Policies Subject: Travel Supersedes: September 23, 2615 Approved by: General Manager 1.0 PURPOSE 1 The purpose of this policy is to establish uniform guidelines and procedures pertaining to off-site travel forjob-related meetings and training functions. 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District (OCSi employees. 3,0 POLICY 11 It is OCSi policy to reimburse employees for pre-approved travel and business expenses in accordance with the procedures of this policy 40 PROCEDURE 4 1 GENERAL INFORMATION 4.1.1 OCSD wlii 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 Lmployees are to exercise every effort to minimize meeting and training travel expenses by utilizing the least expensive method of travel. Employees should work with their division`s travel arrangers (designated clerical staff who utilize the services of OCSD'. travel agent) to compare and obtain the best pricing for travel arrangements 41 3 Travel arrangements shall be made as far in advance as possible to take advantage of discounted or reduced fares and rates 41 4 Related documents and forms are listed in section 7.0. The forms associated with this policy are accessible through the OCSD Intranet, MyOCSD 4 1.5 In determining whether a function shall be considered a meeting or a training function, determine how the majorlty of time is spent during the function If the majority of time is spent in an issue-resolution or project-focused atmosphere, the function shall be considered a meeting. If the majority of time is spent learning new skills, then the function shall be considered training Personnel Policies & Procedures Manual Page 1 of 9 Effective: 09/26/18 Policy 5,6, Travel Poiicy Cc so 19-19-172 4.1.6 Any use of QCSD training funds must be pre-authorized pnor to training. Training and related travel arrangements made without pre-approval will not be reimbursed 4 1 7 Travel Approval — Any travel involving airfare. overnight stays, or multipie day attendance must be approved by management in advance usinq the Travel Pre- Approval electronic form available on MyOCSD. For other requests, 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 tc facilitate this approval process and is accessible through MyOCSD 4.1 8 Business travel expenses incurred in excess of those described in this policy are not reimbursable For example, 4 employees choose to drive instead of fly from Los Angeles to Phoenix, the total reimbursement will not exceed the 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 9 Employees wi11 be responsible for repaying QCSD for any expenses paid on their behalf by QCSD that are subsequently determined to be excessive. 4 1.10 OCSD's reimbursement plan has been developed to be considered an °accountable p#an" 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 42 REIMBURSEMENT 4.2.1 A Travel Expense form shall be competed if any eligible out-of-pocket expenses have been incurred In addition, the employee shall attach a single document with scanned images of original receipts that are applicable such as airfare itinerary, detailed hotel receipt, rental car contract and receipt, etc Receipts are not required for authorized meals. 4,2.2 A Travel Expense form shall be completed and submitted no later than two (2) weeks after the travel has concluded 42,3 Receipts are required for all reimbursable expenses except meals regardless of the dollar amount If a receipt is missing, a losl7unavadab€e 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 package. See section 4 7 for meals. 4.2.4 The approval level required on the Travel Reimbursement form is based on total charges incurred. Employees cannot approve their own travel expenses The Travel Expense form is configured to route to the next step automatically throughout the workflow approval process 4 2 5 The designated department/division travel arranger is responsible for auditing and signing the Travel Expense form They shall also ensure that all applicable forms and receipts are prepared and attached Personnel Policies & Procedures Manual Page 2 of 9 Effective 09/25/1 B Policy 5 6, Travel Policy QCSD 18-18-173 4 3 LODGING 4.3 1 Lodging shall be in a hotel, motel or lodge Hotel/motel rooms shall be standard, single occupancy 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 or the hotel bill will be applied towards, and must not exceed, the daily reimbursement maximum. 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 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 34 Making Reservations - Employees make their own lodging reservations via phone or Internet and may compare prices with OCSD's travel agent through their division's travel arranger 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 dccurding to 0-ie hotel's policy in order to avoid charges OCSD does not reimburse for non-canceled reservations, early departure, or late cancelation charges unless approved by the Department Head via an "Exceptions-Unauthorized Expenditures"memo. 4 4 GROUND TRANSPORTATION 44 1 Employees shall select the most economical, practical means of ground transportation that is appropriate for the particular site 4.4.2 Mileage reimbursement for personal auto usage while on OCSD business will be calculated per the current Intcrnai Revenuc Service (IRS) guidelines. This rate is updated periodically. 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, Sap Bernardino Riverside, San Diego, Imperial, and Kern Counties Mileage is based upon the following. 4 4,3,1 If an employee drives round-trip from their residence to a meeting or training function on a work day, 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 reimbursabie to the employee at the current IRS approved rate 4.4 3.2 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 Personnel Po{acres & Procedures Manual Page 3 of 9 Effective 0912611 B Policy 5.6, Travel Policy OGSD 18-18-174 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, taxi, or equivalent E-hailing service 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 I 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). 4,46 Parking at the departure airport is reimbursable with receipts 4.47 bound-trip mileage expenses are reimbursable when family chauffeuring is the most economical alternative, 44 8 OCSD vehicles may be used to transport business guests 4.4,9 Travel while at the local destination may be by shuttle, bus, taxi, or equivalent E- hailing service as needed A rental car may be allowed when it is more economical, 45 AUTO RENTALS 4.5.1 Rental Car Reservations - Employees shall utilize either OCSD's designated travei 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 53 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" form 4,54 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 reimbursabie 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 jyour namej} 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 OCSO's Risk Management Division or your immediate supervisor no later than the next business day. Personnel Policies& Procedures Manual Page 4 of 9 Effective: 09/26/18 Policy 5 6, Travel Policy OCSD 18-18-175 46 AIR TRAVEL 461 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. 46 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 upgmde.s may he used as long as the original ticket still represents the lowest practical airfare. 4 6.3 Baggage Fees—OCSD will not reimburse for excess baggage fees if not related to company business. This includes sporting equipment. In cases where the airline charges for every checked bag, an employee will be reimbursed the tee paid for one checked bag 4.6A Alternative Airports -Alternative airports within close proximity (Los Angeles, Long Reach, and Ontario) shall be used if the savings exceed$154 46,5 Lost or Unused TicketslTicket 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 46,6 Flight Limitations—There shall be no more than four (4) OCSD employees total per flight 4,67 Saturday Night Stay-over— OCSD may require a Saturday night stay—over if the stay- over results in significant cost savings to OCSD lri general, it is ex fleeted tliat btjsiriess meetings that start on Tuesday or and on Thursday will not justify a reimbursemeot 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 4,69 Private Air Travel — Employees are prohibited from flying in aircraft other than commercial airline flights to conduct OCSD business due to the liability exposure 4.7 MEALSiINCIDENTALS 4.7 I On overnight stays, or travel beyond the normal work day OCSD employees are entitled to meal per diem reimbursements 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 meal per diem reimbursement Personnel Poficies& Procedures Manual Page 5 of 9 Effective- 09/26/18 Policy 5,6, Travel Policy OCSD 18-18-176 4.7.2 Meal per diem reimbursement amounts have been approved by the Board of Directors and comply with the U S. GSA (General Services Administration) Per Diem Rates found in the Code of Federal Regulations 301-11 18 Use of these rates allow OCSD's reimbursement plan to be considered an "accountable plan" by the IRS The 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, meai per diem reimbursement received by the employee shall be reported as taxable income and shall not exceed the individual maximums identified by the U S GSA Per Diem Rates for the meats that are appropriate for travel times. 4 7.3 1 Employees may exclude meal per diem reimbursement with no overnight stay from taxable income by foregoing the per diem meal reimbursement amount on the Travel Reimbursement form 4.7 3 2 Meal per diem reimbursement with overnight stay shall be considered non- taxable and is not reported on an employee's annual W-2 4.7,4 Provided Meals -Meal expenses are not reimbursable if furnished as part of the evert 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. 4 8 GROUP EXPENSE REIMBURSEMENT 4.8.1 When employees travel it a group, they shall pay their own expenses If this is not practical, one member of the group may pay The Travel 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 Iine 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. 492 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}. Personnel Policies& Procedures Manual Page 6 of 9 Effective: D9126/18 Policy 5 6, Travel Policy OUD 18-18-177 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 and personal telephone calls are reimbursable with receipt. On overnight stays, personal telephone calls will he reimbursed not to exceed $425 per day. Employees should use OCSD-provided cellular phones in lieu of other means whenever possible 4,12 INTERNET USAGE 4.12.1 Subject to manager approval and prior to travel, employees who are issued an CC SD mobile computer must reserve and check out a WiFi hotspot device for access to the internet while traveling. OCSD mobile computers should not be connected to the internet using hotel Wi-Fi networks. 4.12.2 The hotspot must be reserved electronically by using the Mobile VViFi Loaner request on the IT page on MyOCSD The request will create the reservation and send reminders to pick up the device and return it at the end of the business travel event 4.12 3 Upon reservation, all mobile computers must be configured and tested by Information Technology star. A Service Desk Request for this procedure riiust be entered by navigating to http//help or sending an email to sde(cDocsd.com. 4 12 4 Hotel internet must only be used in case of emergency and with prior approval from the employee's manager. Internet use charges that are not in case of emergency and have not been pre-approved by the employee's manager are not reimbursable 413 CASHADVANCE 413,1 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 Financial Management Division 414 NON-REIMBURSABLE EXPENSES 4.14.1 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 Personnel Policies & Procedures Manual Page 7 of 9 Effective: 0912611 a Poi icy 5 b, Travel Policy QCSD 18-18-176 • Personal side trips, personal entertainment and personal trip insurance • Fees for use of recreational, health, and gym facilities • Home maintenance, babysitting, and pet boarding expenses • Personal legal charges and traffic and parking 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 15 AGENCY/VENDOR-REIMBURSED EXPENSES 4.15,1 When any meeting or training fees are to be reimbursed by an outside agency or vendor, the agencylvendor 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 arranger 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 Financial Management Division so that the payment can be credited to the proper account. 416 REIMBURSEMENT FOR NON-OCSD EMPLOYEES 416 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, 5.0 EXCEPTIONS 5 1 Exceptions to the policy shall be indicated on the Travel Expense form Additionally an Exceptions-Unauthorized Expenditures memo shall be completed, signed by the Department Head and attached to the package. 5.2 Emergency Travel Employees authorized in advance for emergency travel will be reimbursed for reservations made on their personal credit card after they submit a detailed receipt of all charges 6.0 PROVISIONS AND CONDITIONS 6 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 Personnel Policies & Procedures Manual Page 8 of 9 Effective. 09/26/18 Policy 5.6, Travel Policy OCSD 1 B-18-179 7.0 RELATED DOCUMENTS 7.1 Airfare Payment Request Voucher form 72 U.S General Services Administration Per Diem Rates per Code of Federal Regulations (CFR 301-11 18) 7 3 IRS Ruling 75-432 74 Lost— Unavailable Receipts Memorandum 7.5 Policy 2.2, Non-Base Building Pay 7.6 Policy 5.11 Rules of Conduct 7.7 Policy 5 19, Vehicle Usage 78 Registration Payment Request Voucher Farm 7.9 Request for Travel Pre-Approval Form 710 Request for Emergency Cash Advance Form 7.11 Travel Expense Form Personnel Policies& Procedures Manual Page 9 of 9 Effective: 09/26/18 Policy S 6, Travel Policy OCSD 18-18-180 r� Orange County Policy Number: 5.7 ` J Sanitation District Effective Date: September 26, 2018 Personnel Policies Subject: Solicitation and Supersedes: June 8, 2011 Distribution Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for solicitation and distribution 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District (OCSD) employees regardless of their organizational unit. 10 DEFINITIONS 3 Solicitation is the act of an employee asking for or trying to obtain something of value from another employee. 32 Distribution is the action of an employee sharing something of value among one or many other employees 4.0 POLICY 41 It is OCSD's policy to prohibit solicitation and distribution or its premises by non- employees, and distribution by employees only as outlined it the procedures in this Poky 5.0 PROCEDURE 5 1 OCSD limits solicitation and distribution on its premises because these activities car interfere with normal operations, reduce employee efficiency, annoy customers, and pose a threat to security 5.2 Supervisors and managers are responsible for administrating this policy and enforcing its provisions Employees may be subject to disciplinary action for violating this policy 5 3 Individuals rot employed by OCSD are prohibited from soliciting funds or signatures, conducting membership drives, distributing literature or gifts, offering to sell merchandise or services (except by properly identified representatives of suppliers and vendors who have business with the District), or engaging in any other solicitation, distribution, or similar activity on District property. Personnel Policies & Procedures Manual Page 1 of 2 Effective'09126/18 Policy 5 7, Solicitation & Distribution OCSD 18-18-181 60 EXCEPTIONS 1 OCSD shall allow access to designated employee bargaining unit bulletin boards and allow employee bargaining unit representatives and employees the ability to post on said bulletin boards pursuant to applicable federal and state law. Employees posting on bargaining unit bulletin boards shall do so during non-work time 7.0 PROVISIONS AND CONDITIONS T 1 The following provisions and conditions apply when employees engage in permitted solicitation or distribution of literature for any group or organization, including charitable organizations 7.1.1 The sale of merchandise or serfices is prohibited on OCSD property except as otherwise specified in this policy. 7 1.2 Soliciting and distributing literature during the working time of either the employee making the solicitation or distribution or the targeted employee is prohibited. The term "working time" does not include an employee's authorized lunch or rest periods or any other time when the employee is not required to be working 7.1 3 Distributing literature in a way that causes litter on OCSD property Is prohibited. 7,1 4 OCSD maintains different bulletin beards to communicate information to employees and to post notices required by law The bulletin boards maintained by the Public Affairs Division are for general announcements, newsletters, meeting agendas and minutes, employee for-sale items, training calendars, and newspaper clippings. The Human Resources Department bulletin boards are for job announcements, safety notices, federal and state labor laws, and other related material 8.0 RELATED DOCUMENTS Personnel Policies& Procedures Manual Page 2 of 2 Effective. 09/26/18 Policy 5 7, SUIrLAHticiii & Disliibutlun OCSD 18-18-182 4L Orange County policy Number: 5.10 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Wireless/Electronic Supersedes: June 19, 2012 Communications (WEC) Approved by: General Manager 1.0 PURPOSE 1,1 This policy establishes acceptable and unacceptable use guidelines and procedures for Wireless/Electronic Communications, which is referred to hereinafter as "WEC' 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District (OCSD) employees who utilize OCSD WEC devices or equipment and individuals who utilize personal WEC devices or equipment to perform OCSD business. 3.0 DEFINITIONS 3 1 Antimalware-- Frequently updated software that provides protection against viruses, Trojans, worms, and similar infectious agents 3,2 Blog — a website that contains an online personal joumal with reflections, comments, and often hyperlinks provided by the writer 33 California Public Records Act (CPRA} requires inspection and/or disclosure of governmental records to the public upon request unless exempted by law Examples of items that may be exempted from the law include but are not limited to 3 3.1 Personnel, medical, and similar files pertaining to information that would constitute an unwarranted invasion of personal privacy if disclosed, 33,2 Preliminary drafts, notes, or memoranda which are not retained in the ordinary course of business, 3 3.3 Documents pertaining to pending litigation to which the organization is a party, 3,34 Testing or examination data, 3.3 5 Records exempted or prohibited from disclosure pursuant to federal or state law, 3.3.6 Employee relations information: 3.3.7 Attorney-client privileged information, and 3 3.8 Homeland Security data 34 Confidential Information is only intended for recipients with a business need-to-know because of the sensitive nature and may include but is not limited to personal content such as medical, recruitment, disciplinary, and performance information, attorney-client privileged communications, and protected information, as defined herein. Unless exempted by law, some types of confidential information may be subject to legal inspection and/or disclosure requirements 35 Computer hygiene is the safe and secure operation of computer resources that includes the deployment and use of tools such as firewalls and antimalware and the regular patching of the operating system and applications. Personnel Policies & Procedures Manual Page 1 of 12 Effective 09/26/18 Policy 5 10, Wireless/Electronic Commun;cafions{WEC} ocsD 18-18-183 36 Copyright—The exclusive legal rights to copy, reproduce, or sell a specific piece of intellectual property 37 Electronic Communications Privacy Act (ECPA) of 1986 is a Federal law that restricts electronic surveillance of employees by employers except in limited situations such as monitoring business-related phone calls, monitoring communications when there has been employee consent and retrieving and accessing stored VVEC messages. 3 8 Electronic Snoo in —The act of accessing or attempting to access, by any means, any computer file or other information for which an individual is not authorized to access 39 Encryption — The coding or scrambling, using sophisticated techniques, of information to prevent third parties from °reading" it 3 10 End User—T4e ultimate user of any particular program or service 3 11 Exempt Employees — Employees who are not subject to the minimum wage and overtime provisions of the Fair Labor Standards Act 312 Non-exempt, Employees — Employees who are subject to the minimum wage and overtime provisions of the Fair Labor Standards Act 3,13 Intellectual Property—Refers to a number of types of creations such as books, movies, songs, and software Intellectual property is protected by a body of law collectively referred to as copyright law 3.14 Malware—A generic name for malicious software such as a virus, worm, trojan or other infectious agent 3.15 Network —The collective name for equipment and devices that interchange information using a common medium. 3 16 OCSD Policies, Procedures & Standards — include the policies and procedures included in OCSD's Personnel Policies & Procedures Manual and OCSD's Core Values 3.17 OCSD Vehiclee— include, but are not limited to, all OCSD-owned cars, trucks, vans, carts, bicycles, and special motorized equipment 3.18 Personal Use Plan —A supplemental, optional, and voluntary private use plan that eligible OCSD-issued mobile/cellular phone users may add to OCSD's mobile/cellular phone plan The plan is provided at a cost based on features selected and requires preapproval 3 19 Persona)Wireless/El_ectrenlc Communications (WEC) Devices or Equipment—are privately-owned, non-OCSO WEC devices and equipment 3.20 Podcast— an audio file typically containing voice, music or other audible sounds made available in digital format for download from the Internet. 3 21 Protected information — includes but is not limited to data that could be utilized to attack, compromise incapacitate or harm a critical OCSD asset, content regarding assessments or estimates of OCSD vulnerabilities; and details, plans or drawings about past operational problems, incapacitations, solutions, repairs, and recovery Personnel Policies 3 Procedures Manual Page 2 of 12 Effective 09/26/18 Policy 5 10, Mreless+'Electroruc Communications(WEC) 003D 18-18-184 322 Remote Access —The authorized act of accessing OCSD's computer resources/network (which includes OCSD's email system) from a location external to OCSD facilities or via a portable WEC device 3.23 Social Media—various forms of discussion and information sharing including social networks, biogs, video sharing, podcasts, wikis, message boards, and online forums 324 Software—A set of related computer programs, procedures, and documentation. 325 Wi-Fi -- short for"Wireless Fidelity," Wi-Fi refers to wireless networking technology that allows computers and other electronic wireless devices to communicate over a wireless signal 3.26 Wiki—a website that allows visitors to make changes, corrections, or contributions. 3.27 Wireless Access Point — a device that allows wireiess devices to connect to a wired network. 3,28 Wireless/Electronic Communications (WEC) — pertains to the act of corresponding by way of a computer, phone, smartphone, computer tablet or any other similar device or equipment to exchange information through various means including, but not limited to; the Internet, voice messages, email messages, online chat rooms, instant messaging, texting, social networking, social media sites, document attachments, Wi-Fi or any other type of communication. 3.29 Wireless/Electronic Communications_(WEC) Devices & Ecluipment —consist of the tools individuals utilize to engage in WEC and include the foilowfng 3.29.1 Computers, including, but not limited to, desktop personal computers, laptops, tablet computers, smart devices, and any other device that may act as a computer 3,292 Phones, including, but not limited to, iandline telephones mobile phones, such as cellular phones, personal digital devices, or smart devices, and any other device that may act as a phone 3 29.3 Wireless routers, which function as wireless access points and/or network switches. commonly used to allow access to the Internet or a computer. 3 294 Compact wireless routers, including, but not limited to, USB cellular modems, data cards, and i (stands for "My Wi-Fi") that act as mobile Wi-Fi hotspots and can be connected to WEC devices and equipment for Internet access 3.30 Wireless/Electronic Communications (WEC) Messages —consist of exchanges transmitted using WEC devices and equipment, including, but not limited to', the Internet, voice, picture and video messages, email messages, online chat rooms instant messaging, texting, social networking, social media sites, document attachments, or any similar type of communication 4.0 POLICY 41 Individuals have no right to privacy when using OCSD WEC devices or equipment, which includes but is not limited to Internet sites visited, downloads, and messages produced, sent, received, or transmitted via OCSD's servers or networks Personnel Policies & Procedures Manual Page 3 of 12 Effective: 09/26/18 Policy 5.10, Wireless/Electronic Communications (WEC) OCSD 18-18-185 4 2 OCSD WEC accounts may be controlled by the use of a password, however, the existence of a password does not mean that there �s any expectation of privacy 4 3 Except for the exclusions noted in this policy (see Exceptions), all communications transmitted or stored on OCSD WEC devices or equipment is subject to monitoring at OCSD's discretion, for any reason, including but not limited to, the promotion of OCSD, its business and its policies OCSO WEC devices and equipment are subject to monitoring or recording in accordance with the ECPA (Electronic Communications Privacy Act) of 1986 44 OCSD WEC devices and equipment are provided to individuals on an "as needed" basis, as authorized by management, for the purpose of conducting OCSD business Use of these devices is subject to revocation at management's discretion. 4.5 Nora-exempt employees are only authorized to utilize OCSD WEC devices or equipment during approved work hours-, the use of OCSD WEC devices or equipment by non- exempt employees during non-approved work hours or while off duty is prohibited. 46 OCSD WEC devices and equipment are the exclusive property of OCSD 4 7 Communications created, stored, received, or distributed using OCSD WEC devices or equipment may be considered a public record that is subject to records retention and disclosure requirements as set forth in the California Public Records Act. Individuals using OCSD WEC devices or equipment must comply with applicable laws regarding public records and be aware of and adhere to OCSD's records retention poitcies and schedules, where applicable A 8 General Expectations 481 Acceptable Use 4 8.1-1 Individuals must always conduct WEC in a professional and courteous manner and in accordance with OCSD Policies, Procedures, and Standards. 4,8 1.2 Employees may access the Internet using OCSO WEC devices and equipment for non-business reasons during their scheduled meal break, rest periods, and before or following work time as authorized by management provided that such use complies with applicable state and federal laws, OCSD Policies, Procedures, and Standards and does not interfere with other staff using the Internet to conduct OCSD business use by employees during other occasions is prohibited 4.8.1,3 Employees are permitted to use OCSD WEC devices and equipment on a minimal and infrequent basis or in emergency situations for personal reasons, however, such use must not intertere with productivity, increase costs to OCSD, or violate OCSD Policies Procedures. and Standards in such cases, individuals may be required to p,ay personal use costs Use by employees during other occasions is prohibited 48,1 4 Employees are permitted to use personal WEC devices and equipment for personal reasons during work hours on a minimal and infrequent basis or in emergency situations-, however, such use must not interfere with productivity or violate OCSD Policies, Procedures and Standards. Use by employees during other occasions is prohibited. Personnel Policies & Procedures Manual Page of 12 Effective 0912611E Pchcy G 10,Wireless/Flectrornr Communications(WEC) ocso 1e-la-tie 4 8 2 Unacceptable Use 4,82 1 Individuals are strictly prohibited from using CCSD WEC devices or equipment to disclose confidential or protected information without prior management authorization, or to create, receive, store, distribute, or display defamatory, derogatory, disrespectful, obscene, offensive, racial, sexually explicit, sexually suggestive, violent, harassing or discriminatory content or any other content that may be reasonably perceived as unprofessional or inappropriate 4.8 2 1 1 Examples of prohibited content include but are not limited to sexually explicit or suggestive images, messages, or cartoons, and content, including jokes and humor, that contains ethnic slurs, racial epithets, or anything that may be construed as harassment or disparagement by others based on their race, national origin, color. sex, sexual orientation age, disability, religious or political beiiefs, and/or any other legally protected basis 48,2 2 Individuals are prohibited from the use or disclosure, through any means, of any information, photograph, video, or other recording obtained or accessible because of employment with CCSD for financial or personal gain, or any other personal use or disclosure of such materials without management authorization. 4.82 3 Unless the individual is engaging in certain concerted labor-related activities or other constitutionally protected activities. WEC devices or equipment may not be used to solicit or persuade others for commercial ventures, religious or political causes, outside organizations, outside employment, or other similar non-job-related reasons except as authorized by OCSD (e.g the online "for sale" bulletin board) 4 9 Communications 4 9.1 Only individuals authorized by OCSD management may communicate on OCSD's behalf with the public Such communications must comply with OCSD Policies, Procedures and Standards. 4.92 Individuals are prohibited from using OCSD WEC to send information "OCSD- wide" or to "all employees" without prior management authorization 4.9.3 lndividuals shall exercise care when engaging in OCSD WEC to ensure information is not inadvertently sent to the wrong recipient. In particular, distribution lists may become outdated so individuals are expected to ensure all the distribution list addressees are appropriate recipients of the information 4 9,4 Confidentiality 4 9.4.1 Only individuals authorized by OCSD management may access confidential or protected information and such access must be based on a legitimate business need. 4 9 4.2 Individuals with authorized access are required to protect the privacy of confidential or protected information and limit access to only recipients who have a legitimate business need-to-know Disclosure of confidential cr protected information for other reasons is prohibited Personnel Policies & Procedures Manual Page 5 of 12 Effective: 09/26/18 Policy 5 10, Wreless/Electronic Communir_ations (WEC) 0CSD 18-18-187 4 9 4 3 Questions about whether information is confidential or protected and who is an authorized recipient of confidential or protected information must be addressed with management 4.9 5 Media / Press Relations 4.9 5 1 All media or press inquiries whether via phone call, email, or other means, must be directed to Public Affairs- 4 95 2 Whenever an individual receives a request from the media or press, they must notify the Public Affairs Office. The individual receiving the call should ask for the contact information, subject matter, and the deadline 4.9 6 Social Media 4 9 6.1 Employees may not attribute personal statements, opinions, or beliefs to the OCSD when engaging in personal blogging or social media and must specify that all comments posted are those of the employee and not OCSD's 4 9.6.2 Employees are prohibited from posting any material that would constitute unlawful discnrnination or harassment or material that is known to be false. 4 96 3 Employees are prohibited from posting material that is disruptive to the workplace or impairs OCSD's mission and is not a matter of public concern 4.9-6 3.1 Matters of public concern are those matters of+nterest to the community as a whole, whether for social, political or other reasons 4,96 32 Employees have a statutory right to express opinions on matters of public concern to state or local officials regardless of the impact on the workplace 4.9 6.321 Examples of local issues of general or public concern include the budget.. spending priorities, any matey scheduled for a public hearing, illegal discrimination, official corruption, official impropriety, malfeasance on the part of government officials, misuse of public funds, waste of public funds, fraud, abuse or gross mismanagement, inefficiency in managing and operating government agenaes, violations of law, local election, or public safety 4.9 6 3.2.2 Examples of state or national issues of general public concern include election campaigns, elected officials, legislation, national security, budgets, foreign policy, or any topic of broad public interest or debate Personnel Policies & Procedures Manual Page 6 of 12 Effective: 09126/18 Policy 5.10,Wireless/Electronic Communications (WEC) OCS[D 18-18-188 4.10 Safety/Security 4,101 Individuals must act in a safe manner and in accordance with applicable laws and ordinances regarding the use of OCSD WEC devices or equipment 4,102 Security is everyone's responsibility. Individuals are expected to protect OCSD WEC devices and equipment from loss or damage. Lost or damaged OCSD WEC devices or equipment are to be reported immediately to management and lnformation Technology. 4 10.3 Individuals are expected to protect all OCSD-related information stored on OCSD WEC devices and equipment 4 10 4 Any suspicious activities, threats or anomalies involving OCSD WEC must be immediately reported to management and Information Technology 4.10.5 Individuals with knowledge of an illegal activity or an OCSD Policy. Procedure or Standard violation regarding OCSD WEC are required to report the matter immediately to management. 4.10.6 Individuals must notify Information Technology immediately if malware is detected while using OCSD WEC. All work on that device must be stopped until Information Technology investigates and issues a clearance. 4.10.7 OCSD reserves the right to access, disclose or delete content created, stored, received, or distributed using OCSD WEC unless prohibited by law 4,1071 Individuals are discouraged from storing personal files and data on OCSD WEC devices or equipment because the information may be deleted due to operational or security considerations. 4 10 8 If directed by management or required by law, OCSD WEC devices or equipment must be surrendered immediately for any pending or anticipated litigation or investigation or any other related reasons. 4 10,9 Individuals are prohibited from 4,10 9 1 Accessing or attempting to access any suspicious web site, forwarding questionable emails, of any similar action using OCSD WEC that may pose a security risk to OCSD 41092 Tampering with OCSD WEC devices or equipment or personally owned WEC devices used for OCSD business This includes, but is not limited to, modifying connections, changing any security/system- related settings not approved by information Technology, rooting or jailbreaking 4 10.9.3 Using any method to disguise login identity or actions performed on an OCSD WEC device or equipment 4 1094 Engaging in electronic snooping of any type 4,10 9 5 Deleting, intentionally hiding, or renaming any files or data that pertain to pending or anticipated litigation or investigation Personnel Policies 3 Procedures Manual Page 7 of 12 Effective_ 09/26/18 Policy 5.10, Wireless/Electronic Communications (INEC) OCSD 18-18-189 41096 Interfering with the antimalware software unless authorized by Information Technology In the event such directives are issued it is Information Technology's responsibility to re-enable/re-configure the antimalware and the employee's responsibility to cooperate in this effort 4 10 9.7 Installing or using software which provides encryption or wipes programs, personal firewalls, or similar products unless authorized by Information Technology management 4.10.9 8 Deliberately using OCSD WEC to circulate or introduce a virus, Trojan horse, trap-door program, or any other malware. 4.11 Accounts/Passwords 4.11.1 In accordance with business needs, individuals may be assigned OCSD WEC devices or equipment that requires an account and password Individuals are required to maintain and protect the privacy of passwords. 4.11.2 Individuals shall not share passwords unless directed by management In the case of an emergency_ In such cases, passwords are to be transmitted orally, via voicemaii or unperson only and changed immediately thereafter 411 3 Passwords, depending on their use, must meet the Information Technology Standard regarding Accounts and Passwords, which is accessible on OCSO's Information Techrology ir*anet site ExZUptlUrls May be granted by Irifolmatwn Technology if the WEC device or equipment In question cannot meet the Standard's requirements 411 4 If a user's password is compromised, the password must be changed immediately and the incident reported to Information Technology 4.11 5 Where possible, OCSD WEC devices and equipment are automatically configured to lock after a predetermined time. Applications determined by Information Technology management to be negatively Impacted by this activity will be exempt. Under no circumstances shall this automated feature be intentionally modified by an end user 411,6 Individuals are prohibited from. 4.11 6.1 Using an account that was assigned to another individual except in extenuating circumstances as approved by management for business purposes The individual's password must be changed thereafter as soon as possible. 411 1 Allowing a password to be automatically saved for an OCSD network account. OCSD WEC devices or equipment connecting to OCSD's computer resourceslnetwor+, must be configured so that the networking password must be entered immediately prior to each connection, 4 12 Intellectual Property 4.12.1 Individuals are expected to strictly comply with copyright law and are prohibited from 4.12.1.1 Downloading or distributing pirated software, data, movies, music, or Personnel Policies & Procedures Manual Page 8 of 12 Effective 09/26/18 Policy 5 10, WrPless/Electronic Communications(WEC) OCSD 18 18-19G games. 4.12 1.2 Posting material that is copyrighted by a party other than OCSD. 4 12.1 3 Copying software distribution media unless authorized by Information Technology management. 4,122 All copyrighted information used as reference material must contain a credit statement acknowledging the source. 4.12.3 Installation of copyrighted software is authorized only on the OCSD WEC devices or equipment for which it was purchased and intended. 4 12 4 Irdividuals are expected to maintain the confidentiality of all OCSD and contractor-authored software unless otherwise directed by management. 4 12 5 Only OCSO-purchased copyrighted material may be stored on OCSC7's network 4.13 Use of Personal Devices 4.13.1 Individuals are prohibited from connecting personal WEC devices and equipment or hardware to OCSD's computer resources/network without management and Information Technology approval Hardware includes, but is not limited to, thumb drives, memory cards, disk drives, wireless access points, portable music devices, digital audio and/or video cameras; and any other similar device. 4 132 Employees are prohibited from using personal WEC devices or equipment to conduct personal business during work hours except during authorized breaks and meal periods, on a minimal or infrequent basis, or in emergency situations Such use shall not interfere with productivity or violate OCSD Policies, Procedures, and Standards 4 13.3 The use of a personal WEC device or equipment for OCSD business communications is strictly voluntary because OCSD-provrded devices and equipment are available for conducting OCSD business communications if OCSD business Is conducted using a personal WEC device, records created may be subject to the Public Records Act_ 4.13.3.1 Nonexempt employees are prohibited from using any type of WEC device or equipment to conduct OCSD business communications while off duty because such use inhibits OCSD's ability to manage work hours. There are no limited hours for exempt employee use 4.14 Cameras/Recorders 4.141 The use of cameras or recorders, including those on personal WEC devices or equipment, to take photographs or videos for OCSD business purposes requires prior management approval unless extenuating circumstances prevent advance authorization In such instances, management notification must be provided as soon as possible. The taking of photographs or videos for other purposes is prohibited unless advance management authorization has beer obtained 4 15 Small Unmanned Aircraft Systems (sUAS) 4,15 1 Use of drones to conduct OCSD business must comply with all federal, state, and local laws Personnel Policies &Procedures Manual Page 9 of 12 Effective, 09/26/18 Policy 5 10, WirelesslElectronic CorI1rr LiricationS(WEC1 DCSD 18-18.191 4,152 The use of sUAS (drones) for any business use requires the pilot to possess an FAA certificate or waiver 4.15,3 OCSD is within 5 miles of Orange County Airport as well as heliports for several police departments and hospitals sUASs operators are required to notify any airports within 5 miles OCSD also recommends contacting operators of local helipads 4 15.4 Use of sUASs on OCSD property requires prior approval by Risk Management 416 Remote Access 4 16.1 Remote access may only be utilized by authorized individuals for the purpose of conducting OCSD business', other purposes are prohibited Remote access may be disabled at any time by management 4,162 Nonexerrpt employees are generally prohibited from using any type of remote access because such use inhibits OCSD's ability to manage work hours The exceptions would be the use of remote access while attending overnight training functions or with specific management approval using devices approved by Information Technology Such use is limited to assigned work hours and requires advance management and Information Technoiogy approval; use while off duty is prohibited 4 163 When using remote access, individuals are required to practice good computer hygiene and to physically secure the device or equipment when not in use. 4 16 4 Exempt employees can remotely access their assigned OCSD email account using an OCSD-approved Internet appi�cation (currently Outlook Web App) Instructions for use car be obtained from the Information Technology Division 4165 Exempt employees may request that their personal WEC device or equipment be configured to access their OCSD assigned email (currently through Exchange ActiveSync) or OCSD s computer resources/network Such requests are strictly voluntary because OCSD does not require employees to use personal WEC devices or equipment to conduct OGSD business 4 16 51 Such requests require the completion of an OCSD Personally Owned Wireless/Network Equipment COnlmUniCatlOnS form This form explains the voluntary nature of personal WEC device or equipment use and explains that such devices or equipment may be subject to remote wiping when security configurations are applied, must comply with OCSD Information Technology security requirements, and OCSD will not be responsible for any loss, problems or costs incurred as a result of such use 4 16 52 Each request requires management and Information Technology approval and will be reviewed on a case-by-case basis to determine the most suitable means of access for the circumstance to maintain OCSD safety/security. 4.16 6 Due to cyber security concerns, the use of non-OCSD Wi-Fi or a wireless access point must be coordinated through Information Technology Personnel Policies$ Procedures Manual Page 10 of 12 Effective 09/26/18 Policy 5,10, Wireles5lEieutrunic Cunimunications (WE(,) CCSD 18-18-192 4.17 Other Devices 4 17 1 This policy also applies to pagers, two-way radios, public announcement systems, and any other system or device that allows individuals to communicate with each other 4.18 Personal Use Plan 4 18 1 With management and Information Technology approval, exempt employees who are Issued OCSD WEC devices or equipment may add a Personal Use Plan as applicable, to supplement OCSD's usage plan In such cases, individuals will be responsible for paying all personal use costs, unless pre-authorized by management and Information Technology 5.0 PROCEDURES 5 1 Management must authorize the access and use of Internet email and browsing through the Internet Email and Browsing Request form. 52 In order to use personal WEC devices or equipment to remotely access OCSD's computer resources/network and/or mail service, eligible employees must obtain management approval and complete a OCSD Personally Owned Wireless/Network Equipment Communications form. 5 3 In order to use an OCSD-issued mobile phone, eligible employees must complete a Request for Mobile Phone form and obtain necessary approvals. Using that form, exempt employees may also add a Personal Use Plan to the OCSD mobile phone plan 54 When an individual is separated from OCSD employment, it is the responsibility of OCSD management to ensure that OCSD WEC devices and equipment are returned, access is terminated, and all files are retained 5 5 individuals shall return all tangible forms of confidential or protected information to OCSD upon termination of employment or upon OCSD's request 6.0 EXCEPTIONS 6 1 Any exceptions to this policy must be authorized by the General Manager or designee and/or Information Technology management 62 Personal information that is transmitted or stored as part of a Personal Use Plan on an OCSO WEC device or equipment may be considered private and may not be subject to monitoring_ 7.0 PROVISIONS & CONDITIONS 7.1 Employees may be subject tc discipline, up to and including termination, for failing to adhere to this policy or any other OCSD Policies, Procedures, or Standards 8.0 RELATED DOCUMENTS 8 1 Federal & State Copyright Laws 82 California Public Records Act (Cal Gov't Code § 6252(e)) 8,3 California Vehicle Code Personnel Policies & Procedures Manual Page 11 of 12 Effective: 09/26/18 Pol cy 5 10, Wireless/Flectronic Communications(WEC) CCSD 18-18-193 84 Computer Security Act of 1987 (Public Law 100-235) 85 Electronic Communications Privacy Act of 1986 8.6 Internet Email/drowsing Request and Agreement to Abide by OCSD Policy 8.7 Network/Email Sync Connection Request and Agreement to Abide by OCSD Policy 8.8 OCSD's records retention policies and schedules 8.9 Information Technology Standard Accounts and Passwords 8.10 Policy 5 1, Rules of Conduct 8 11 Policy 57, Solicitation & Distribution 8 12 Policy 5.19, VeNcfe Usage 8 13 Request for Mobile Phone and Agreement to Abide by OCSD Policy 8 14 Unified Communications, Social and Logo Items, GM-POL-001 Personnel Policies & Procedures Manual Page 12 of 12 Effective 09/26/18 Policy 5 10,Wireless/Electronic Corp murncations (WEC) OCSID 18-18-194 ebb Orange County Policy Number: 5.18 �J Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Use of District Property Supersedes: February 26, 2003 Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for the administration, use and disposition of the Orange County Sanitation District's (OCSD) property. 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all employees regardless of their organizational unit. 3.0 DEFINITIONS 3 1 OCSD Property, for purposes of this policy, includes, but is not limited to keys, credit cards, scientific equipment, calculators, records, books, cellular phones, District-owned vehicles, office telephones, pagers, radios, journals, office equipment and supplies, computers, printers, copy machines, tools, uniforms, employee orientation materials, recyclables, and all other real property which is awned, possessed, or controlled by OCSD, 4.0 POLICY 41 It is OCSD policy to maintain the inventory, control and disposition of all OCSD Property as defined herein. 4.2 It is OCSD policy that no employee shall use or permit the use of OCSD Property for personal convenience or profit. 43 It is OCSD policy that no employee shall use or direct another employee to use OCSD paid work time for matters of convenience or profit, 44 It is OCSD policy that no employee shall remove OCSD Property from the premises unless the property is necessary to conduct OCSD-related business and prior supervisor approval is obtained 5.0 PROCEDURE 6.0 EXCEPTIONS 6.1 OCSD Property may be removed from the premises if the property is necessary to conduct District-related business by employees while off site The employee must obtain supervisor approval prior to removing OCSD Properly (except for OCSD-issued cellular phones, pagers and/or radios) from the premises. Personnel Policies & Procedures Manuai Page 1 of 2 Effective; 09I26118 Policy 5.18, Use of District Property OCSD 18-18-195 7.0 PROVISIONS AND CONDITIONS 7.1 When an employee separates, all items of OCSD Property issued to that employee must be returned or properly accounted for 8_0 RELATED DOCUMENTS 8.1 Policy 5.19, Vehicle Usage Personnel Policies& Procedures Manual Page 2 of 2 Effective:09126/1 S Policy 5.18, Use cf District Property OCSD 18-18-196 Orange County policy Number: 5.19 mil) Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Vehicle Usage Supersedes: June 19, 2012 Approved by: General Manager 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 individuals who utilize, operate or drive OCSD Vehicles, as defined in this policy 3.0 DEFINITIONS 3 1 Authorized Drivers are employees approved by management to utilize, operate or drive OCSD Vehicles in compliance with this policy 32 Authorized Passengers are individuals who are approved to accompany authorized drivers to conduct OCSD business by a designated OCSD employee responsible for granting such approval 3 4 Carn rpoof involves two or more employees traveling together in a personal vehicle 3 5 Vanpool involves four or more employees traveling together in a vehicle designated as "vanpool" The maximum number of employees traveling together in a vanpool shall be determined by the vanpool participants. 3 5 Department of Motor Vehicles (DMV) Employer Pull Notice-(EPN) Program was established to provide employers and regulatory agencies with a means of promoting driver safety through the ongoing review of driver records 3 a Guaranteed Ride Home (GRH] Program provides employees who participate in ridesharing, which includes walkirg, carpooling, vanpooiing, biking, or using public transit; transportation in emergency situations 3.8 GRH Emergency includes: personal tllnesslemergency; unexpected thnesslemergency of an immediate family member, and emergency or unexpected overtime 3.8.1 A GHR emergency does not include: personal errands, non-emergency appointments/meetingsldoctor visits, voluntary overtime, public transit disruptions or delays for any reason, term i ratio nllay-offs, a ride to work, business travel, inclement weather; any trip where alternate transportation could be arranged in advance; on-the-job injury-, mechanical breakdown, in piace of a loaner or replacement vanpool vehicle; if vehicle is towed, impounded, or cannot be accessed because of police activity, and being sent home from work early for any reason other than a valid GRH emergency. Personnel Policies & Procedures Manual Page 1 of 11 Effective 09126/18 Policy 5.19, Vehicle Usage OCSD 18-18-197 3.8.2 Each vanpool must designate an alternate driver for when the primary driver is unavailable 3 9 OCSD Vehicles are any vehicles owned or leased by OCSD and include, but are not limited to, all OCSD-owned cars, trucks, vans, carts 3,10 OCSD Motorized or Mobile Equipment include but are not limited to, all OCSD owned carts, bicycles, and specialized motorized equipment J.e man lift, scissor lift). All equipment in this definition will be referred to as Mobile Equipment as it relates to the policy 3.11 Prrvate Vehicle includes any vehicle that is not owned, rented or leased by OCSD 3.12 Pool Vehicles include OCSD Vehicles that are available for authorized driver use to conduct OCSD business 3,13 Pool Motorized or Mobile Equipment include, but are not limited to, OCSD owned carts, bicycles, and specialized motorized equipment (i e man lift, scissor lift) that are available for authorized drivers use to conduct OCSD business 3.14 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 115 Wireless/Electronic Communications pertain to the act of corresponding by way of a computer, phone. or any other similar device or equipment to exchange information through various means including, but not limited to, the internet, voice messages, email messages. online chat rooms, instant messaging, texting, social networking, social media sites, document attachments, or any other type of communication 3.16 Wireless/Flectronlc Communications Devices & Equipment consist of the tools individuals utilize to engage in wireless/electronic communications and include the following 3.16.1 Cow, including, but not iimited to, desktop personal computers, laptops, tablet computers, smart devices, and any other device that may act as a computer 3 16 2 Phones, including, but not limited to, landline telephones; mobile phones, such as cellular phones, personal digital devices, or smart devices, and any other device that may act as a phone 4.0 POLICYIPROCEDURES 4 1 All employees operating OCSD Vehicles shall be required to participate in the DMV EPN Program. 4.1.1 Lmployees shall complete a DMV authorization form to participate in the DMV EPN Prngrnm Those employees who do not complete the DMV authorization form will not be authorized to operate OCSD Vehicles 4 1.2 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 DMV may be used to determine an authorized driver's ability to operate a vehicle 4.1.3 Employees with a crass A or B license are automatically added to the LPN Personnel Policies & Procedures Manual Page 2 of 11 Effective- 09/26118 Policy� 19, Vehicle Usage �CSD 1R-18-198 Program Records of class A and 8 licenses shall be presented to the California Highway Patrol upon request. 42 License While operating an OCSD Vehicle or driving a private vehicle on official OCSO business, the driver must possess a valid California DMV Driver's License and shall comply with the requirements of the California Vehicle Code and local regulations and ordinances 4.2 1 The consequences for failing to comply with any law, regulation or ordinance shall be the responsibility of the driver. 4.2 2 Drivers required to operate a commercial vehicle must possess a valid California DMV Commercial Driver's License with the proper endorsements 42 3 Status Changes Affecting Driver's License 4 2 3 1 Drivers of OCSD Vehicles are required to notify their supervisor, in writing, immediately upon the following 42,3 1.1 If their driver's license is revoked, suspended, restricted, or expired 423,11 If they are cited for a major moving violation, to include but not limited to, the following: • Driving under the influence of alcohol, drugs or a combination of both, • Hit and run, • Reckless driving, • Leaving the scene of an accident, • Eluding or fleeing a police officer, or • Speed contests or drag racing 43 All authorized drivers shall be properly trained in the operation and safety features of the vehicle or mobile equipment that will be used to conduct OCSD authorized business prior to the actual use of OCSD vehicles or mobile equipment. 4 3.1 Certification is required to operate some, but not all OCSD mobile equipment (i e forklifts man lifts) All authorized drivers shall possess a valid mobile equipment operating certificate prior to operating mobile equipment where certification is required 44 Vehicle Assignments 4.4.1 OCSD Vehicles and equipment are assigned to departments depending on business needs Division management shall designate specific assignments for conducting OCSD business. 44.2 Pool vehicles are assigned to and managed by Fleet Services for the purpose of providing temporary assigned vehicles for OCSD business 44 3 OCSD Vehicles and equipment shall not be loaned to contractors other agencies, cities, or other organizations or companies, unless authorized by the General Marager 444 Only individuals who participate in the DMV LPN Program may drive OCSD Vehicles Personnel Policies &Procedures Maruai Page 3 of 11 Effective: 09/M18 Policy 5,19, Vehicle Usage OCSr} 18-18-199 44 5 OCSD management may revoke any vehicle assignment at any time 4.5 Equipment Assignments 4.5 1 OCSD Mobile Equipment may be assigned to departments depending or business needs Division management shall designate specific assignments for conducting OCSD business. 452 Pool Mobile Equipment are assigned to and managed by Fleet Services for the purpose of providing temporary assigned Mobile Equipment to conduct OCSD business. 4 5.3 OCSD management may revoke any Mobile Equipment assignment at any time 46 Use of Pool Vehicles 4 6 1 Pool Vehicles are maintained by Fleet Services for 4.6 1.1 Use by any authorized driver requiring transportation to conduct OCSD business on a trip-by-trip or as-needed basis 4 6 1 2 Use by any authorized driver while a regularly assigned OCSD Vehicle or mobile equipment is undergoing service or repairs. 46 2 Fool vehicles should not be used for extended out-of-town business unless all other options have been considered and eliminated and Pool Vehicle use is the least costly to OCSD 46 3 Pool Vehicles may be reserved in advance on a first come first serve basis by submitting an electronic motor pool request to Fleet Services. 4.6 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 private vehicle instead) and shall choose the option that is the least costly to OCSD An authorized driver whose OCSD business requires an early morning departure. will be allowed to check-out the vehicle the night prior to the travel day 4 6 5 Drivers should avoid parking Poor Vehicles overnight in a public parking facility such as an airport Costs for airport shuttles, public transportation, or private vehicle use shall be reimbursed in accordance with OCSD's Travel Policy 4 6.6 Returned Pool Vehicles shall be refueled when less than one-half(112) tank of fuel remains All trash and personal items must be removed from the Pool Vehicle 46.7 Any mechanical problems shall be reported immediately to Fleet Services 4 6 8 _Guaranteed Ride Home (GRH) Program. There are two programs one through OCSD and one through Orange County Transportation Authority ('OCTA) Rideshare participants who encounter a GRH Emergency should use OCSD's program first unless the emergency occurs after business hours and Pool Vehicles are not available' in this case, the OCTA program should be utilized 4.6 8,1 OCSD GRH Program. Rideshare participants may use a Pool Vehicle Personnel Policies & Procedures Manual Page 4 of 11 Effective 0912608 Policy 5 19. Vehicle Usage OCSD 1H-18-200 for transportation when a GRH emergency occurs. 46,8 2 OCTA GRH Program. Rideshare participants may use paid transportation (e g., taxi, Uber, Lyft) for transportation when a GRH emergency occurs after hours when Pool Vehicles are unavailable and can be reimbursed up to two (2) times per year for the transportation costs See Related Documents for details 4 7 Use of Pool Mobile Equipment 4.7 8 Pool Mobile Equipment are maintained by Fleet Services for 4.7.8.1 Use by any authorized driver who has completed Mobile Equipment training and possesses a valid operating certificate if required to conduct OCSD business 4 7 9 Pool Mobile Equipment may be reserved on a first come first serve basis by submitting an electronic motor peol request to Fleet Services. 4.7 10 Returned Poo# Mobile Equipment shall be returned clean and ready for immediate use. 4.7.11 Any mechanical problems shall be reported immediately to Fleet Services. 4.8 Use of Private Vehicles for OCSD Business 4.8.1 Employees must obtain management approval before using a private vehicle for CCSD business 48 2 Employees who use a private vehicle to conduct OCSD business must participate in the DMV EPN Program; employees who do not participate in the DMV LPN Program may not drive a private vehicle for OCSD business. 4.8.3 Prior to using a private vehicle for OCSD business, the employee's private vehicle shah have automobile insurance coverage that meets or exceeds the minimum requirements of the DMV for public liability and property damage Employees are responsible for ensuring that their private vehicle insurance is valid for business use. 4 8 4 The authorized use of private vehicles to conduct OCSD business shall be reimbursed in accordance with OCSD's Travel Policy not to exceed the prevailing rate allowed by the Internal Revenue Service, 4 8 5 The employee's private vehicle insurance is the primary insurance on the vehicle. 48 6 OCSO shall not be responsible for the replacement or repair of any vehicle used to conduct OCSD business that is not owned, rented, or leased by OCSD 4 9 Driver Responsibility 4 9 1 Safety 4.9.1.1 OCSD Vehicles shall be operated in compliance with applicable iawslordinances The driver shall be responsible for the consequences of failing to comply with any law, reguiation, or ordinance, including Personnel Policies & Procedures Manual Page 5 of 11 Fffective 09/26/18 Policy 5 19, Vehicle Usage OCSD 18-16-201 citations or fines for the following reasons • Speeding, • Failure to stop, • Failure to obey posted traffic signs, • Using a wireless/electronic communications devices without a hands free option while driving, • Texting or emailing while driving, • Tall road tines, • Failure to wear seat belt, or • Any other citation or fine that results from the vehicle operator failing to follow proper driving requirements 4.9.1 2 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 4.9.1 3 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. 4.9.1 4 Na 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 shall a driver maintain a speed which exceeds posted speed limits or endangers the safety of persons or property. 4A 1 5 Each driver having custody of an OCSD Vehicle shall exercise due caution and prudence in the operation of such vehicie and minimize the risk of damage to such vehicle. Drivers are responsible for the proper operations and use of the vehicle and/or equipment attached to the vehicle Drivers are responsible for avoiding unnecessary wear and tear on the vehicle such as but not limited to excessive idling. 4 9 1 6 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. In no event shall an authorized driver operate a vehicle under the influence as defined by State Law or applicable motor vehicle codes. 49,1 7 No person shall operate OCSD Mobile Equipment 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 Mobile Equipment are prohibited In no event shall an authorized driver operate Mobile Equipment under the influence as defined by State law or applicable motor vehicle codes 4.9 1 8 In inclement weather, rain, fog, etc drivers are required to turn on vehicle headlights 4,91 9 Drivers are required to ensure that vehicles are not overloaded. 4.9 1.10 drivers are responsible for the secure placement and proportionate Personnel Polices& Procedures Manual Page 6 of 11 Effective 09126/18 Policy S_19, Vehicle Usage OCSD 18-18-202 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 4.9 1.11 Whenever it is necessary to hook up a trailer to a truck, caution should be exercised and, if needed, the assistance shall be obtained through OCSD 49.2 Accidents 4.9,2 1 OCSD requires individuals 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 tc be reported within forty-eight (48) hours, no matter how slight. 492,2 Drivers are required to notify their supervisor and complete a Vehicle Accident Report form, located on OCSD's intranet, in the event of a vehicle accident, vehicle damage, vehicle theft, vehicle vandalism, property damage, and other vehicle related incidents. Reports and investigations shad be completed in accordance with the applicable safety policy 49 2.3 An employee involved in a vehicle accident may be prohibited by management from operating an OCSD Vehicle until operation is reauthorized by management. 4924 All OCSD Vehicles have a disposable camera in the glove box Photographs are required for all vehicle accidents involving OCSD Vehicles. Follow the printed instructions on the camera package and forward the camera to Fleet Services after use. 4.9.25 Applicable drug testing requirements for drivers involved in accidents shall apply in accordance with OCSD's Substance Abuse Policy 4.93 Personal Use of OCSD Vehicles 4,9 3 1 OCSD Vehicles shall be used only for purposes of OCSD business and not for personal business or pleasure by any person 4.9.3.2 Stopping for a meal break or running a personal errand is only allowed if such activity is during the course of official OCSD business 4.9 3 2.1 Time used for a meal break or personal errand is limited to the allocated meal break and rest periods Such stops shall be in route to the driver's destination or work location 4.9.3.2.2 OCSD Vehicles cannot be used for the sole purpose of personal business. 4.9 3.3 The transportation of personal property within an OCSD Vehicle is prohibited with the exception of a driver's lunch or property ordinarily used white conducting OCSD business. 4.9 3 4 With the permission of the empioyee's manager, employees who are assigned to standby may use assigned OCSD Vehicles in lieu of private Personnel Policies & Procedures Manual Page 7 of 11 Effective 09/26/16 Policy 5 19, Vehicle Usage OCSD 18-18-203 vehicles for transportation to places/everts 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 4 94 Care of Vehicles 49,4 1 Each individual 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. 4.9 4 2 Only OCSD related stickers are authorized on OCSD Vehicles Placement of any stickers on OCSD Vehicles must be approved by Fleet Services 494 3 Drivers are responsible for the proper operation and use of the vehicle or equipment 4 9 4 4 Drivers are responsible for ensuring that vehicles and equipment are made available to Fleet Services for scheduled service, preventative maintenance or repairs 4.9.4 5 Employees must submit an electronic motor pool request to Fleet Services for unscheduled service, maintenance or repairs 4.946 Drivers are responsible for ensuring that the interior and exterior of assigned vehicles are clean. The exterior should be washed routinely and the interior should be free of trash, dirt, and unnecessary materials. 4.9.4 7 Drivers shall ensure the interior of their assigned vehicle is clean prior to having Fleet Services perform services or repairs_ 4 9_5 OCSD Vehicle Parking 4 9,51 OCSD Vehicles shah be parked and locked in assigned parking spaces or designated areas. 4.9,5 2 OCSD Vehicle keys are to remain in a secure area 4 9 5 3 OCSD Vehicles shall be parked in open OCSD parking areas only excluding assigned, visitor, car/vanpoci, handicapped, and red or green zone parking spaces, 4.9.5.3.1 Authorized drivers with a Disabled Persons Parking Permit issued by the DMV shall be authorized to use handicapped parking spaces for their assigned OCSD Vehicle 4 9 5 4 Employees assigned to standby or other authorized drivers who are approved to utilize OGSD Vehicles overnight shall park OCSD Vehicles in a garage, carport, or driveway, whenever possible, and not on a private or public street 4 9 6 Private Vehicle Parking 4 9.6 1 Private vehicles shall be parked in open OCSD parking areas only excluding assigned visitor, carlvanpocl, handicapped, and red or green Personnel Policies & Procedures Manual Page 8 of 11 Effective, 09/26/18 Policy n 19, Vehicle Usage OCSD 18-18-204 zone parking spaces unless otherwise authorized- 4 9.6.2 OCSD parking permits shall be visibly displayed in private vehicles. 4 9 6.3 Private vehicles may not be parked overnight on CCSD premises or at CCSD pump stations unless authorized in advance by Risk Management 4.9.7 Smoking 4.9.7 1 Smoking is prohibited in OCSD owned vehicles_ 4 9 8 Wireless/Electronic Devices & Equipment 4 9 8 1 Individuals must act in a safe manner and in accordance with applicable laws and ordinances regarding the use of wireless/electronic communications devices and equipment. 4 9.8 2 Employees are prohibited from using wireless/communications devices when operating an OCSD Vehicle unless a hands-free device is utilized 4 9.8 3 A hands-free device can be provided to employees who are issued an CCSD wireless/electronic communications device 4.9 84 Employees are prohibited from texting while operating CCSD Vehicles 4.9.8.5 lndividuals who utilize their private vehicles andtor personal wireless/communications devices to conduct CCSD business must do so in accordance with OCSD Policies, Procedures and Standards and adhere to applicable laws and ordinances regarding the use of such devices while driving The consequences for failing to comply with any law, regulation, or ordinance, shall be the responsibility of the driver. 4 9 9 Vehicles not in Use 49,9 1 OCSD Vehicles are for use during working hours oniy. CCSD Vehicles shall otherwise be parked and locked at assigned OCSD facilities CCSD Vehicle keys shall remain in a secured area Keys for vehicles assigned to employees may be kept overnight or during the weekend by the employee OCSD Vehicles shall be made available to an assigned department if the employee who is assigned the OCSD Vehicle will be gone for any extended period of time. 4 9 10 Passengers 4,9 1&1 No one except authorized drivers and authorized passengers may be transported in an OCSD Vehicle Unauthorized passengers, including but not limited to friends, strangers, and family members, are prohibited in CCSD Vehicles 4.9 11 Toll Roads 4 9 11.1 Drivers are responsible for ensuring the payment of any toll road expense while operating an OCSD or private vehicle If a notice of violation is received, the employee will be required to pay the fine. Personnel Policies & Procedures Manua[ Page 9 of 11 Effecfive 09/26/18 Policy 5 19, Vehicle Usage OCSD 18-18-205 4.9,11 2 Toil road expenses are reimbursable if the costs were incurred while performing official OCSD business and the use of a toll road was the most cost efficient option available to reach the destination Requests for toll road reimbursement must be submitted in accordance with CCSD's Travel Policy- 4.9.12 Roadside Assistance 4.9 12 1 In the event of a breakdown or interruption to OCSD assigned vehicle performance/operation due to, but not limited to, flat tires, lack of fuel, or car accidents, the driver shall follow the procedures outlined below (written procedures are located in the glove box of every OCSD Vehicle): 4.9 12 1 1 The assigned driver must call OCSD's Control Center to provide notification of the condition and location of the vehicle 4.9 12 1.2 The Control Center will contact the OCSD towing agency and provide the agency with the driver's contact information. 4 9 12.1.3 The towing agency will meet the driver at the specified location to repair the vehicle to drivable condition, where applicable (e g replace tire, provide fuel). 4 9 12 1.4 In the event the vehicle is inoperable, the Cortrol Center will instruct the towing agency to arrive at Fleet Services at Plant No 1. Operations will provide the driver of the towing agency with the keys to an emergency back-up vehicle. 4 9.12.1.5 The vehicle will be delivered to the location of the inoperable vehicle and the inoperable vehicle will be transported to Fleet Services at Plant No 1 by the towing agency 4,9 13 Contract Worker Use of OCSD Vehicles and Mobile Equipment 4.9 13-1 Contrast workers are prohibited from operating CC SD Vehicles at any time, unless authorized by the General Manager. A vehicle is identified as any car, truck, or Mobile Equipment where the operator must possess a state issued drivers license 4,9132 Contract workers are prohibited from operating CCSD Mobile Equipment on public roadways, unless authorized by the General Manager Mobile or Motorized Equipment operation is allowed on non-public roadways 5.0 EXCEPTIONS 5 1 Provisions and Conditions 5 2 Employees are responsible for compliance with all applicable provisions of this policy when using QCSD or private vehicles to conduct OCSD business. For purposes of this policy the actual driver shall be the responsible party. 5 3 As applicable, the same provisions that apply to drivers shall also apply to equipment, Personnel Policies& Procedures Manual Page 10 of 11 Effective 09/26/18 Policy 5 19. Vehicle Usage OCSD 1 B-1 B-206 bicycle and cart operators. 54 Urivers 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. 5.5 It is the responsibility of supervisory personnel to ensure this policy is understood by employees under their immediate supervision or authority Automatic Vehicle Location (A VL) System 55,1 OCSD Vehicles may be equipped with an AVL monitoring device to assure proper maintenance and use The system enables OCSD to generate various reports and notifications regarding the use, location and servicing requirements of vehicles. Individuals are prohibited from tampering with the AVL system or devices. 6.0 RELATED DOCUMENTS 6.1 DMV Authorization Form 6.2 Di Employer Pull Notice Program 6.3 California Vehicle Code 6A OCTA GRH Program Overview (accessible on MyOCSD Rideshare Perks page) 65 OCTA GRH Reimbursement Claim Form (accessible on MyOCSD Rideshare Perks page) 66 Policy 5.1, Rules of Conduct 6.7 Policy 5 6, Travel Policy 68 Policy 5 10, Wireless/Electronic Communications 6 9 Policy 5.18, Use of District Property 6 10 Policy 5.20, Substance Abuse 611 SAFETY-POL-202, Accident Investigations 6,12 SAFETY-POL-208, Workplace Security Policy 6.13 Vehicle Accident Report Form Personnel Policies & Procedures Manual Page 11 of 11 Effective 09/26/18 Policy 5 19, Vehicle Usage OCSD 18-18-207 Orange County Policy Number: 5.20 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Substance Abuse Supersedes: September 3, 2013 Approved by: General Manager 1.0 PURPOSE 1 1 To establish and maintain a drug and alcohol-free workplace 1 2 To reduce the incidence of accidental injury to person or property. 1 3 To reduce absenteeism, tardiness, and indifferent job performance 14 To provide assistance towards rehabilitation for any employee who seeks Orange County Sanitation District (OCSD) help in overcoming addiction to dependence on or problems with alcohol or drugs 1 5 To maintain a work environment free of alcohol and drug related perfomiance problems, accidents, and injuries 2.0 ORGANIZATIONAL UNITS AFFECTED 1 This policy applies to all OCSD employees, regardless of their organizational unit. Additionally, all persons who perform any services for OCSD regardless of their employment status, are subject to the provisions of this policy while on OCSD property or while performing OCSD business 3.0 DEFINITIONS 3.1 Criminal Drug Statute -Any state or federal criminal law involving the manufacture, distribution, dispensation, use, cr possession of a controlled substance 3.2 Illegal Drugs -Any drug (a) that is not legally obtainable or (b) that is legally obtainable but has not been legally obtained The term includes, but is not limited to cocaine, crystal methamphetamine, heroin, and PCP It includes prescribed drugs not legally obtained and prescribed drugs not being used for prescribed purposes It includes controlled substances as defined in the federal Controlled Substance Act It also includes any substance, which a person holds out to another as an illegal drug, whether or not the substance itself is illegal 33 Legal Drugs - Legal drugs include prescribed drugs and over-the-counter drugs, which have been legally obtained and are being used for the purpose for which they were prescribed and manufactured. 34 Need to Know - A term applied to persons who may reasonably be expected to base administrative managerial, or supervisory activity on a given piece of information to which they would not be otherwise entitled. 36 Paraphernalia - Drug paraphernalia may include pipes, hypodermic needles, bongs, rolling papers, and other items used in the ingestion, consumption, or the preparation for Personnel Policies & Procedures Manual Page 1 of 8 Effective 09/26/18 Policy 5 20. Substance Abuse OCSD 18 18-208 consumption of illegal drugs 36 Reasonable Suspicion - Is a belief. based on objective facts or specific personal observations sufficient to lead a reasonably prudent person to suspect that an employee is under the influence of drugs or alcohol 3 7 Under the Influence - Having the presence of any detectable level of drugs in the body or an alcohol concentration level of 02% or greater. 38 Controlled Substance—a drug or chemical whose manufacture, possession, or use is regulated under state and/or federal law 4.0 POLICY 4 1 it is the policy of OCSD to maintain a safe workplace, which is free of alcohol, marijuana and illegal possession and/or use of drugs. OCSD is firmly committed to achieving a drug free workplace and will continue making a good faith effort to achieve an alcohol and drug free workplace by consistently enforcing every element of this policy 5.0 PROCEDURE —1 ILLEGAL DRUGS 5.1.1 The sale purchase offer to self or purchase, use, manufacture, distribution, dispensation, or possession of, or being under the influence of, Illegal Drugs during OCSD time or while engaged in OCSD business, or on, or in, OCSD premises, or property, is prohibited 5.1.2 No employee shall bring drug paraphernalia onto OCSD premises or property or into OCSD vehicles. 52 OTHER DRUGS 52.1 If an employee has any question or concern as to his or her ability to safely perform the duties of his or her job while taking a legal prescription drug, the employee has an affirmative obligation to report the use of that drug to his/her supervisor, division management, Risk Management or Human Resources staff 52 2 Upon receiving such notification, the employee may be ternporahly assigned to alternative work duties and/or asked to provide a release to OCSD from the employee's physician for a determination of the employee's ability to work while using that drug. 5 2.3 An employee may continue to perform his or her regularly assigned job duties, while taking a legal prescription drug, if OCSD has determined, on a case-by- case basis, after consulting with the employee's physician, that the employee does not pose a threat to the employee's own safety or to the safety of co- workers, and that the employee's job performance is not adversely affected by the legal prescription drug. Otherwise, the employee may be required tc take a leave of absence or comply with other appropriate action determined by management, such as adhering to an employer initiated Fitness for duty testing 5 3 ALCOHOL AND MARIJUANA 5 3.1 No alcoholic beverages or recreational marijuana may be brought onto or Personnel Policies & Procedures Manual Page 2 of 8 Effective 09/26/18 Policy 5 20, Substance Abuse OCSD 18-18-209 consumed on OCSD time or property or while wearing an OCSD identwftable uniform. 5.4 PROHIBITION AGAINST EMPLOYEES HAVING ILLEGAL DRUGS, MARIJUANA OR ALCOHOL IN THEIR BODIES DURING WORKING TIME 54,1 All employees of OCSD are expected to report for work with no residue or metabolite of Illegal Drugs or marijuana in the body or alcohol concentration level of 02% or greater Employees must not have any residue or metabolite of Illegal Drugs or marijuana in the body or alcohol concentration level of 02% or greater at any time while on the job Compliance with these rules is considered an essential job qualification for all employees 5.4.1.1 Employees still under the influence of a medication legally prescribed to them that cause a loss of motor skill, reaction time, or decision making must report the use to their supervisor 5.42 When an alcohol screen test indicates an alcohol concentration level of.02% or greater, the employee will be prohibited from performing the duties of his or her lob for twenty-four (24) hours Employees may also face disciplinary action for being under the influence of alcohol if they test positive for alcohol concentration of 02 or greater, subject to the exceptions set forth in Section 14.0- 5.4.3 When a marijuana screen test indicates a marijuana concentration of any amount, the employee will be prohibited from performing the duties of his or her job for twenty-four (24) hours Employees may also face disciplinary action for being under the influence of marijuana if they test positive for marijuana 5,4,4 Employees may be subject to discipline up to and including termination for any marijuana test indicating any amount of marijuana or alcohol screen test that indicates an alcohol concentration level of.02% or greater Refer to Section 14.3 for further information on alcohol screen tests. 5 5 ENFORCEMENT OF RULE PROHIBITING EMPLOYEES FROM HAVING ILLEGAL DRUGS OR ALCOHOL IN THEIR BODIES DURING WORK TIME 5 5 1 POST-EMPLOYMENT OFFER ALCOHOLIDRUG SCREENING 55 1.1 After OCSD extends a conditionai employment offer to a candidate selected through a recruitment process it will require the prospective employee to pass an alcohol/drug screen test, for specific job classifications, administered by a medical facility designated by OCSD 5.5.1.2 Any prospective employee refusing to submit to such examination shall not be hired by OCSD. 5.5.1.3 Any prospective employee failing the alcohol/drug screen test shall be rejected from further consideration from employment with OCSD for at least six (6) months. 5.5 REASONABLE SUSPICION ALCOHOLIDRUG SCREENING 5.5 1 Reasonable suspicion shall be determined by a supervisor or manager and corroborated by a trained Human Resources representative or other trained management representative Personnel Policies & Procedures Manual Page 3 of 8 Fffective- 09t26118 Policy 5,20, Substance Abuse OCSD 18-18-2In 5,5 2 Specific personal observations must be based on a supervisor, manager, or Human Resources representative's direct observations and not hearsay 5 5.3 Objective facts and specific personal observations may be based upon, but are not limited to, the following: 5 5 3.1 Direct observations of substance abuse or symptoms of being under the influence such as: an employee's manner, disposition, muscular movement, appearance, behavior, speech, or breath odor 5 5 3.2 An employee's possession or use of Illegal Drugs, recreational marijuana, alcohei, or Paraphernalia while on duty, in the workplace or on OCSD property, including evidence that an employee has used, possessed, sold, solicited, or transferred drugs while on duty or while on OCSD property or while operating an OCSD vehicle, machinery, or equipment that is the property of or leased/rented by OCSD. 5.5.4 The objective facts and specific personal observations upon which reasonable suspicion is based must be documented. 5 5.5 When OCSD has a reasonable suspicion that an employee is under the influence of drugs or alcohol, the employee shall be required to undergo an alcohol/drug screen test as soon as reasonably achievable Prior to being transported to the alcoholldrug screen test facility, employees will be given a copy of this policy and informed of their rights to contact an employee representative. 55,51 An employee's refusal to submit to an alcohol/drug screen test may constitute insubordination and the employee may be subject to discipline up to and including termination. 5 5 5.2 Any employee failing such a test, or who tampers with the test specimen, may be subject to discipline up to and including termination. 5.5.5 3 The Human Resources Department shall arrange for the employee to be transported to the testing facility and then driven home. The employee shall not be permitted to drive while subject to reasonable suspicion testing 5.5.6 Reasonable Suspicion Training 5 5 6 1 OCSD shall ensure that managers, supervisors, Human Resources and Risk Management representatives and/or other designated staff receive training on reasonable suspicion. The training shall include, but will not be limited to, the physical behavioral, speech, and performance indicators of probable alcohol misuse and use of controlled substances 5.6 POST ACCIDENT TESTING 561 An employee who directly contributes to a job-related accident or an accident involving OCSD property shall be subject to a drug/alcohol screen test as soon as practicable when the accident results in 5.6.1.1 A fatality, Personnel Policies& Procedures Manual Page 4 of 8 Effective, 09/26/18 Policy 5 20, Substance Abuse OCSD 18-18-211 5 6 1 2 The issuance of a citation under State or local law for a moving traffic violation and bodily injury that requires immediate medical treatment away from the scene; or 5 6 1 3 The issuance of a citation under State or local law for a moving traffic violation and d�sablirg damage to any vehicle that requires tow away. 5 7 EMPLOYEE ASSISTANCE PROGRAM 57 1 OCSD policy is to help employees with substance abuse problems who voluntarily seek assistance Accordingly, OCSD provides a method by which employees may come to management without fear of reprisal and seek assistance 5.7 2 Any employee who feels that he or she has developed an addiction to, dependence upon or problem with the use of alcohol or drugs, is encouraged to seek assistance. Assistance may be sought by writing in confidence to, or asking for a personal appointment with the Director of Human Resources. 5.7.2.1 Each request for assistance shall be treated as confidential Only those persons with a need to know shall be made aware of such requests 5.7 3 Human Resources shall maintain contacts with local hospitals and/or employee assistance organizations offering alcohol or drug treatment programs. Human Resources shall refer employees seeking assistance to an appropriate treatment organization 5 74 Rehabilitation is the responsibility of the employee, but any employee seeking medical attention for alcoholism or drug addiction shall be entitled to benefits available under OCSD's group medical insurance plans with the restrictions and limits stated in the applicable plan summary Fmployees on rehabilitation leave shall be subject to the extended Medical Leave and General Leave of Absence provisions in OCSD's Personnel Policies and Procedures 5 7.5 To be eligible for continued employment afler rehabilitation, the employee must provide certification that he/she was continuously enrolled in a treatment program and actively participated in that program. 5.7 5.1 Any employee suffering from air alcohol or drug problem who rejects treatment or who leaves a treatment program prior to being properly discharged therefrom shall be dismissed from employment with OCSD 5 7 6 Any employee returning to active employment from rehabilitation shall be required to sign a Return to Work Agreement providing 5.7 6.1 Unannounced testing for a minimum of twelve (12) months to ensure that the employee is free from the alcohol or drug problem 576,2 Notice that failure of, or refusal to take, such a test during this period shall constitute just cause for immediate dismissal of the employee. 5.7.6 3 Notice that the employee shall maintain an acceptable attendance and performance record and comply with all other OCSD policies upon his/her return to work. Failure to maintain an acceptable attendance and performance record shall constitute just cause for immediate dismissal Personnei Policies & Procedures Manual Page 5 of 8 Effective:09/26/18 Policy 5 20, Substance Abuse OCSD 18-18.212 5.7.7 No disciplinary action shall be taken against any employee who, for the first occurrence, comes forward to OCSD with his/her problem prior to 1) OCSD becoming aware of a violation of the drug and alcohol policy, or 2) a request by OCSD to undergo drug testing. However, once OCSD learns of a violation of the drug and alcohol policy or the employee tests positive in a drug test, or if there is a reoccurring problem, OCSD is not obligated to grant the employee General Leave for rehabilitation. All testing procedures shall be in conformance with National Institute on Drug Abuse standards, and shall be conducted at a reasonable time at OCSD's expense. 6 0 INSPECTIONS 6 1 In order to ensure the safety of the workplace and the workforce, and to protect and preserve OCSD's property, OCSD may from time to time inspect OCSD's vehicles, tool boxes, lockers, desks, file cabinets and other OCSD property 61,1 These inspections may not be announced and employees should have no expectation of privacy with respect to items brought onto OCSD property and/or stored in such OCSO facilities 61 2 It is a condition of employment for employees to cooperate with these inspections. Refusal to consent to such an inspection amounts to insubordination and may constitute cause for termination 6 1.3 A representative from Human Resources must be present during any inspection of OCSD property due to a reasonable suspicion that the Substance Abuse policy has been violated. 7.0 DRUG CONVICTIONS 7 1 All OCSD employees or persons performing services for OCSD who are convicted under a criminal drug statute for a violation occurring in the workplace are required to notify the Human Resources Department in writing within five (5) calendar days after such conviction 72 Pursuant to the Drug Free Workplace Act, the Human Resources Department shall notify the appropriate contracting authority within ten (10) calendar days after learning of an individual's drug conviction from either the individual or any other source. Within thirty (30) calendar days of learning of an individual's drug conviction, OCSD shall take appropriate corrective action. 8.0 DEPARTMENT OF TRANSPORTATION (DOT) REGULATIONS 8 i Every driver who operates a commercial motor vehicle in interstate or intrastate commerce, and is subject to the commercial driver's license requirements of the Department of Transportation f;DOT}, Federal Highway Administration CFR Part 382 is subject to OCSi Anti-Drug and Alcohol Program OCSD will ensure that all alcohol or controlled substances testing conducted under the Substance Abuse and Alcohol Misuse Plan complies with the procedures set forth in CFR Part 40. 9.0 DRUG FREE AWARENESS PROGRAM 9 1 OCSD shall require all employees to attend biannual Prevention of Workplace Violence Personnel Policies & Procedures Manual Page 6 of 8 Effective.09/26/18 Policy 5 20, Substance Abuse OCSD 18-18-213 Training which shall include a module on Drug Free Awareness informing employees about the dangers of drug abuse in the workplace, OCSD's Substance Abuse Policy, available counseling, rehabilitation, and employee assistance programs available through OCSD, and the penalties for violating OCSD's Substance Abuse Policy 12.0 POLICY DISTRIBUTION 12.1 Copies of this policy shall be disseminated to current employees in biannual Prevention of Workplace Violence training and later hired employees in New Employee Orientation Acknowledgement forms shall be included with the policy copy to be signed by employees and filed in personnel files Temporarylcontract workers shall receive a copy of this policy and an acknowledgment form through their employers Signed temporary/contract worker acknowledgement forms shall be filed in the Human Resources Department. 13.0 DISCIPLINARY ACTION 13 1 Except as otherwise provided in Section 7.4, violation of the Substance Abuse Policy may result in disciplinary action, up to and including termination, even for a first offense 14.0 EXCEPTIONS 14.1 If any portion of this policy is found to be at variance with the provisions of an approved Memorandum of Understanding {MOU), the MOU provisions shall prevail with respect to employees in the affected bargaining unit 142 It will not be considered a violation of this policy for employees to store sealed alcoholic beverages in their personal vehicle as long as such storage is out of public view and does net remain in the vehicle for more than the period of one (1) consecutive work day Further, sealed alcoholic beverages must remain in the employee's vehicle out of public view at all times while on OCSD property 14.3 If an alcohol screen test indicates an alcohol concentration level of 02% or greater but less than 04%, the employee will not be subject to discipline if the following conditions apply 14.3 1 The employee holds a position that is not subject to DOT regulations', and 14.3 2 It is the first time the employee has received an alcohol screen test indicating an alcohol concentration level of 02% or greater. 15.0 PROVISIONS AND CONDITIONS 15,1 No employee shall be eligible for rehabilitation under the employee assistance program more than one time The reoccurrence of an alcohol or drug problem shall be cause for dismissal 15,2 Under no circumstances shall the testing process be delayed due to the unavailability of an employee representative. 16.0 RELATED DOCUMENTS 16.1 OCSD's Substance Abuse and Alcohol Misuse Plan Personnel Policies $ Procedures Manual Page 7 of 8 Effect'nre:09126/18 Policy 5.20, Substance Abuse OCSD 18-18-214 162 Drug Free Workplace Act 16 3 Substance Abuse Policy Acknowledgement Forms 164 Policy 1.4, Recruitment & Selection 16.5 Policy 4 8, Employee Assistance Program 16.6 Policy 5 1, Rules of Conduct 167 Policy 5.2, Discipline 168 Policy 5.191 Vehicle Usage 16 9 Safety Policy 202 — (Accident Investigation and Reporting) 16 10 The Americans with Disabilities Act Amendments Act of 2008 Personnel Policies& Procedures Manual Page B of 8 Effective 09/26/18 Policy 5 20, Substance Abuse OCSD 18-18-215 Orange County Policy Number: 5.21 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Smoking Supersedes: June 8, 2011 Approved by: General Manager 1.0 PURPOSE 1 1 This policy has been developed to protect employees and the general public from the dangers of second-hand smoke and the potential hazards associated with ignition sources near plant process areas or pump stations. 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District (OCSD) employees, contractors, and the general public who are on OCSD property 3,0 DEFINITIONS 3 1 Plant Process Areas —An area, structure or pipe within OCSD facilities where wastewater, biosolids, digester gas, or grit are collected, treated, stored, transported or discharge to include all OCSD pump stations 32 OCSD Vehicles —Al OCSD owned or leased cars, trucks, carts, bicycles, and special motorized equipment 3.3 Designated Smoking Area —Locations where smoking is permitted. 34 Smeking— The inhaling, exhaling burning, or carrying of any lighted or heated cigar, cigarette, Dr pipe, or any other lighted or heated tobacco or plant product intended for inhalation, whether natural or synthetic, in any manner or in any form This includes the use of an electronic smoking device that creates an aerosol or vapor, in any manner or in any form, or the use of any oral smoking device for the purpose of circumventing the prohibition of smoking 4 D POLICY 4.2 GENERAL INFORMATION 4.2.1 OCSD provides designated smoking areas that meet regulatory requirements and the operational needs of the organization This policy defines employee, contractor, and general public conduct as it relates to smoking in or on all OCSD property 4 3 EMPLOYEE, CONTRACTOR AND PUBLIC CONDUCT 4 3 1 Smoking on or in all OCSD property is only permitted in designated smoking areas 4.3 2 OCSD employee, contractor, or member of the general public shall not smoke in an OCSD building or vehicle Personnel Policies & Procedures Manual Page 1 of 2 Effective 09126/18 Policy 5 21, Smoking OCSD I8-16-216 4 3 3 Failure to comply with this policy may result in to the following: 4.13 1 Progressive disciplinary action for OCSD employees, which may result in termination for repeated violations 4.3 32 Prohibition of offending contractor personnel from working in an OCSD public building, facility or vehicle and/or termination of the contract. 4.3.33 Prohibition of an offending member of the general public from remaining in the affected OCSD public building of vehicle, 4 3.34 Prohibition from coming on to OCSD sites 44 LOCATING DESIGNATED SMOKING AREAS 4 4.1 All designated smoking areas shall be clearly marked. 44.2 All designated smoking areas shall be located outdoors and at least 2C feet from any building entrance, exit, and/or operable window of an OCSD building and within 20 feet of a building ventilation system intake. 4 4 3 Cigarette butt receptacles will be provided by and maintained by OCSD. 50 PROCEDURE 5.2 Maps of designated smoking areas shall be maintained by the Risk Management Division and the information shall be posted on OCSD's intranet 53 Employees are required to contact their immediate supervisor or manager if there are any concerns regarding this policy 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8 2 California Health and Safety Code § 118385 8 3 California Code of Regulations § 5184 84 California Labor Code, Sections 6400-6413 5 8 5 Policy 5.2, Discipline 86 Policy 5.19, Vehicle Usage Personnel Poiicies & Procedures Manual Page 2 of 2 Effective 09/26/18 Policy 5 21, Smoking OCSD 18-18-217 Orange County Policy Number: 6.1 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Appraisal of Performance Supersedes: November 14, 2011 Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for the appraisal of employee performance The performance appraisal provides a communication tool for discussing, planning, and evaluating the performance of each regular employee. 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District (OCSD) employees regardless of their organizational unit. 10 DEFINITIONS 4.0 POLICY 4 t it is OCSD's policy and management's philosophy to establish an effective level of communication that offers consistent and continuing feedback on performance expectations and achievements that will provide an environment in which our employees can perform to the best of their ablKies A performance appraisal program has been developed to provide a structure that will support the accomplishment of that goal Important principles of the program include. 41,1 OCSD s overall mission is enhanced by establishing a connection between that mission and individual employees' responsibilities and objectives. 4.1.2 Recognizing employee strengths and identifying areas that may represent opportunities for improvement will affect current performance as well as enhance career potential 4.1.3 Every indivic i has primary responsibility for their own performance and development 41.4 The key role of the supervisor is to support an employee's efforts to maximize their own contribution and potential 4.1.5 Employees are required to perform the essential job functions required for the class specification they possess 5.0 PROCEDURE 51 Employees shall receive performance appraisals while on probation and (n six (6) and twelve (12) month increments according to their performance appraisal cycle Personnel Policies& Procedures Manual Page 1 of 2 Effective' 09/26/18 Policy 6 1, Appraisal of Performance OCSD 18-18-218 52 New employees will receive a performance appraisal at the close of their initial probationary period to determine their suitability for continued employment with OCSD An evaluation should also occur midway through the probationary period, unless otherwise stipulated by an employee's affiliated bargaining unit Memorandum of Understanding, to ensure that performance expectations have been properly communicated and established This will also offer an opportunity for both the employee and the supervisor to more effectively evaluate the desirability of continuing the employment relationship 53 Employees who are transferred, reassigned, or promoted similarly receive a performance appraisal midway through, and at the conclusion of their probationary period 5.4 Employees who fail to perform the essential job functions and maintain satisfactory performance may be subject to a Performance Improvement Plan (PIP). 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 71 Supervisors and managers will be notified by the Human Resources Department of all evaluations that must be completed 8.0 RELATED DOCUMENTS 8 1 Performance Management Program Guidelines Personnel Policies & Procedures Manual Page 2 of 2 Effective 09/26/18 Policy 6 1, Appraisal of Performance OCSD 18-18-219 VYA,y Orange County Policy Number: 6.2 I - Sanitation District Personnel Policies Effective Date: September 26 2018 `-- ' Subject: Open Communications Supersedes: October 22, 1997 Approved by: General Manager 1.0 PURPOSE The purpose of this policy Is to establish uniform guidelines and procedures for maintaining open communications. 2.0 ORGANIZATIONAL UNITS AFFECTED 2-1 This policy applies to all current employees regardless of their organizational unit 3.0 DEFINITIONS 4 0 POLICY 4 1 Our organization cannot successfully achieve our individual and collective missions without effective communications Orange County Sanitation District`s (OCSD) management will continually strive to provide a work environment throughout the organization that accomplishes this goal by encouraging open dialogue Consequently, it is OCSO's goal to maintain open communications in accordance with the procedures of this policy 5.0 PROCEDURE 5 1 The most important working relationship occurs between an employee and his or her supervisor For this relationship to remain effective, supervisors and managers must be aware of employee concerns. It is therefore very important for employees to openly discuss their ideas, concerns and suggestions with management It is equally important that managers and supervisors actively lister to employees' ideas and suggestions, and particularly their concerns. 52 OCSD believes that employees stlould be informed about OCSD activities and issues that affect them, and should be provided with the information that they need to best perform their jobs It is OCSD's goal to foster an environment that encourages the flow of information and ideas among individuals at all levels. 53 To encourage open communications, OCSD has established various communication outlets such as the intranet, email blasts and various other publications These communications vehicles are also being used to answer questions relative to policies or management decisions Constructive criticisms are also encouraged, and should suggest a remedy if appropriate 5 a OCSD encourages an "open door" policy and management is dedicated to keeping employees informed of plans and processes The General Manager regularly schedules Personnel Policies & Procedures Manual Page 1 of 2 Effective: 09126/18 Policy 6 2, Open Communications OCSD 18-18-220 meetings with both exempt and non-exempt employees to create a forum where ideas and suggestions are exchanged 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Personnel Policies & Procedures Manual Page 2 of 2 Effective: 09/26/18 Policy 6.2, Open Communications OCSD 18-18-221 f Orange County Policy Number. 6.3 � Sanitation District w� Effective Date: September 26, 2018 Personnel Policies Subject: Privacy Information & Supersedes: June 8, 2011 Human Resources Records Approved by. General Manager 7.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for receiving and retaining employee information so that the Orange County Sanitation District (OCSD) can make appropriate management decisions, administer programs, and satisfy compliance requirements 1 2 Establish rules of conduct for any person involved in the design, development, operation, or maintenance of any system of records 1 3 Establish uniform guidelines and procedures for accessing Human Resources records 1 4 Establish uniform guidelines and procedures for maintaining the privacy of personal information within established regulations 10 ORGANIZATIONAL_ UNITS AFFECTED 1 This policy applies to al! current Orange County Sanitation District (OCSD) employees regardless of the organizational unit. 3 0 DEFINITIONS 3,1 Record— Recorded information, regardless of format 32 Confidential Information — Information that requires a business "need-to-know", restricted use, or is sensitive in nature is considered confidential information Generally, OCSD technical data, proprietary, customer, and personnel related information is confidential Personnel related information Includes, but is not limited to, medical, recruitment, disciplinary, and performance related information Once information becomes generally ava0able to the public, it is no longer considered confidential Contact the Human Resources Department if there are questions 33 Human Resources Records (Personnel, Medical and Similar Files) — OCSD's permanent record of employee personal data and employment history Personnel Policies & Procedures Manual Page 1 of 5 Effective. 09/26/18 Policy 6.3. Privacy$HR Records acsD 18-18-222 4.0 POLICY 4 1 An employee's personnel, medical, or similar file is OCSD's permanent record of that individuaf's personal data and employment history, and as such is to be accurately maintained and treated confidentially, to the extent allowed by law 42 OCSD treats personal information about employees as confidential and respects the need for protecting each employee's privacy by enforcing secure information handling procedures on the part of all personnel whose job duties involve gathering, retaining, using, or releasing personal information about OCSD employees 43 OCSD collects and retains only such personal information as it needs to make appropriate management decisions, administer programs, and satisfy compliance requirements OCSD takes ali possible steps to make sure that all personal and job- related information about employees is accurate. complete, and relevant for the intended purpose 4 4 Employee information is considered confidential and will not be disclosed to internal. or external pasties without a business need-to-know. Internal use shall be limited to those officers and employees of the organization that maintain confidential records or who have a need for the information in the performance of their duties. If there is a question of whether certain information is considered confidential, the employee should first check with the Human Resources Department. 4 5 Employees have the right to informational privacy and the guarantee of certain privacy rights, such as the right to be free from defamatory statements OCSD prohibits the unauthorized gathering, dissemination, or misuse of sensitive and confidential information. This provision includes the unwarranted disclosure of the individuai's private life outside the realm of legitimate business or public interest, which would be construed as offensive and objectionable to a reasonable person of ordinary sensibilities 4 6 Employees have a personal responsibility to limit the disclosure of their own sensitive and confidential information outside the context of"business necessity," such as non-job related medical information It there is a question of whether certain Information is deemed a business necessity, the employee should contact the Human Resources Department 4 7 Pursuant to the Confidentiality of Medical Information Act (CMIA) and the Health Insurance Portability and Accountability Act (HIPAA), OCSD will adhere to strict confidentiality requirements in accordance with OCSD's HIPAA procedures manual with respect to any medical information that has been obtained about an employee Medical information is any individually identifiable health information that is transmitted or maintained in any form or medium, including electronically, on paper, or orally 5.0 PROCEDURE 5 1 Security and Storage of Records 5.1.1 Employees who are required to gather, retain, use, or release personal record information about other employees shall treat that information as confidential Secure handling procedures shall be used with personal employee information at all times to ensure the highest integrity of such information Personnel Poiic;es & Procedures Manual Page 2 of 5 Effective 09/26/18 Policy 6 3, Privacy & HR Records OCSD 1 e-r a-2zs 5 1 2 All paper based documents relating to OCSD's personnel record system are kept in secure locked files in the Human Resources Department These files are accessible only to authorized Human Resources Department staff and executives, managers and supervisors who have a valid, demonstrable need to obtain specific information from an employee's personnel record Employees are also granted access to their personnel files and records in accordance with access procedures outlined Memorandums of Understanding (MOUs) and section 5 3 of this policy All personnel files must remain in the Human Resources Department at all times. 5.1 3 All employee medical information Is kept separately from personnel files in secure, locked medical record files in the Risk Management Division All managers and supervisors are required to forward original medical documentation pertinent to an OCSD employee, to the Risk Management Divisiur. Access to Medical Records is tightly controlled Unless there is a business necessity, medical information about an employee is supplied only to the employee's designated physician in accordance with the employee's specific written request. 52 Accuracy of Basic Employee Information 5.2 1 Maintenance of an employee's payroll status, insurance coverage, and other benefit entitlements is dependent upon accurate information 5 2 2 Employees are responsible for immediately notifying the Human Resources Department of any changes in their personal status, including, but not limited to the following categories: • Name • Telephone Number • Home Address ■ Emergency Contact Information 5 3 Access to Personnel Records 5.3.1 Infernal Disclosures and Uses of Personnel File Information 5.3 1.1 Managers/Supervisors Managers and supervisors may only have access to personal employee information and personnel files on a business need-to-know basis A manager or supervisor considering the hire of a former employee or transfer/promotion of a current employee may be granted access to the appropriate personnel file. 5.3 1.2 Current and Former Employees Employees can review and obtain copies of the information contained in their own personnel file OCSD reserves the right to remove certain sensitive documents, including pre-employment background reperts� letters of reference and management planning documents such as succession or promotion plans Current and former employees interested in reviewing and/or obtaining copies of items contained in their personnel file should contact the Human Resources Department and provide at least a three-day notice requesting to schedule a mutually convenient time for air appointment Personnel files may rat be Personnel Policies& Procedures Manual Page 3 of 5 Effective OW26118 Policy 6.3, Privacy & HR Records OCSD 1 B-18-224 taken outside of the Human Resources Department. A Human Resources Department representative shall always be present while an employee is examining his/her personnel file 5 3 1.3 Accuracy of Information If an employee has concerns about the accuracy, completeness or fairness of materials contained m personnel files, the employee may submit a written request to the Director of Human Resources for review of the information in question The Director of Human Resources will judge the merits of the request and will respond to the employee 5 3 2 External Disclosures and Uses of Personnel File Information 5.3.2 1 Emplcyment Verifications. OCSD wil{ verify, to non-governmenta agencies the employment status to g dates of employment and positions held) of former or current employees. No other information will be provided unless OCSD has received a written request to do so from the employee involved 5 3.2.2 Pre-employment Verifications. OCSD will ensure that all inquires into an applicant's privacy are narrowly tailored to ascertain the applicant's ability to perform the essential duties of the position and intrude as minimally as possible into their private affairs In no situation will an applicant be disqualified from entering or pursuing a profession, vocation, or employment because of sex, sexual orientation, race, creed, color, national origin, or any other legally protected classification Hiring decisions are made on a case-by- case basis, which include the totality of an applicant's background within the guidelines of the law All information received will follow the guidelines set forth in Security and Storage of Records section. 5 32,3 Bargaining Units OCSD will provide to the union representing an employee information related to the employee's seniority date, job classification, wage rate, hours of employment, benefit information and such other data as OCSD deems necessary and appropriate in support of the collective bargaining process OCSD will also provide such other personal and confidential information as the employee shall direct OCSD to disclose 5 3 2 4 Governmental Agencies On occasion, OCSD must provide information and data from its personnel records and files to federal, state and local government agencies in accordance with recordkeeping and reporting requirements imposed by such agencies. In instances where representatives of government or law enforcement agencies request information beyond that which is normally required, the decision to provide the information will be made at the discretion of the Human Resources Department 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7 1 E-mail, Internet, and other records maintained on OCSD computers are not generally considered confidential employee records Personnel Policies & Procedures Manual Page 4 of 5 Effective, 09/26/18 Policy 6 3, Privacy& HR Records OCSD 16-18-225 $ o RELATED DOCUMENTS 8.1 California Constitution 82 California Public Records Act, Government Code Section 6250-6270 83 Confidentiality of Medical Information Act, Civil Code 56 8.4 Health insurance Portability and Accountability Act 42 1 C 1301 8.5 Policy 5 10, Wireless/Electronic Communications (WEC) 8.6 Policy 5 20, Substance Abuse 8.7 Safety-SOP-101 4: Access to Employee Medical Records Personnel Policies & Procedures Manual Page 5 of 5 Effective: 09/26/18 Policy 6 3, Privacy & HR Records QCSD 18-18-226 m�a Orange County Policy Number: 6.4 7 .y Sanitation District Effective Date: September 26, 201$ =�F Personnel Policies Subject: Probiem Solving Supersedes: November 11, 2011 Procedure Approved by: General Manager 1.0 PURPOSE 1 1 The purpose of this policy is to establish uniform guidelines and procedures for application of Orange County Sanitation District's (OCSD's) Problem Solving Procedure 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD employees in all organizational units and departments, unless otherwise specified. 3.0 DEFINITIONS 4.0 POLICY 4 1 It is OCSD's policy to encourage and facilitate the resolution of employee concerns in a responsive, timely and fair manner 5.0 PROCEDURE 5.1 Employees may bring problems to the attention of management through the Problem- Solving Procedure. This procedure may be used to attempt to resolve issues that are not subject to the Grievance Procedure 5 2 The problem solving procedure consists of the following steps, unless otherwise stipulated by an employee's affiliated bargaining unit Memorandum of Understanding (MOU) 5 3 Step 1. Employees must submit concerns in writing to their supervisor, or designee, within ten (10) days of the occurrence of the event giving rise to the complaint or within ten (10) days from the time that the employee became aware of such event The supervisor, or designee, will review the situation or decision, and provide a written response within five (5) business days from the date they were notified of the problem 54 Step 2. If the problem is not resolved to the employee's satisfaction a written statement concerning the problem may be filed with the Director of Human Resources or designee, within ten (10) business days of receipt of the supervisor's decision Upon request by either party, a meeting may be held to define issues and establish the remedies sought The employee will be provided with a written response within ten (10) business days after his/her statement is received Time limits may be extended for cause upon mutual consent of the parties The decision of the Director of Human Resources, or designee, is final Personnel Policies & Procedures Manual Page 1 of 2 Efieetive: 09�26l18 Policy 6 4, Problem Saving OCSD 18-18-227 6.0 EXCEPTIONS 6 1 This procedure is not applicable to issues subject to the Grievance Procedure. 62 This procedure is not applicable to discipline imposed under Policy 5.2, Discipline 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Policy 6 51 Grievance Procedure Personnel Pokies&Procedures Manual Page 2 of 2 Effective OW26118 Policy 6 4, Problem Saving OCSo 18-18-228 * ter Orange County Policy Number: 6.5 Sanitation District Personnel Policies Effective Date: September 26, 2018 Subject: Grievance Procedure Supersedes: November 14, 2011 Approved by: General Manager 1.0 PURPOSE 1-1 The purpose of this policy is to establish uniform guidelines and procedures for use in administration of Orange County Sanitation District's (OCSD's) Grievance Procedure, 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all OCSD employees in all organizational units and departments unless otherwise specified 3,0 DEFINITIONS 3.1 Grievance is a complaint that management has violated a specific written provision of a Memorandum of Understanding (MOU). 4.0 POLICY 4.1 It is the policy of OCSD to allow a Grievance to be brought to the attention of OCSD by an individual employee or by a recognized employee organization. 5.0 PROCEDURE 5 1 Employees are encouraged, prior to bringing forward a formal Grievance, to discuss the issue with the Director of Human Resources, or designee, in an effort to bring about an informal resolution, 52 Grievances brought by two (2) or more employees, and concerning the same incident, issue, or course of conduct, or multiple Grievances brought by the same employee may, upon mutual agreement between OCSD and the employees or recognized employee organization, be consolidated for the purposes of this procedure. An employee shall have the right to be represented at all steps of the Grievance Procedure by another employee within the same employee group or by a representative of the recognized employee organization. 5.3 Any reference to days in this article implies business days, 5 4 A copy of each written communtcation on a Grievance will be filed with the Director of Human Resources or designee, unless otherwise specified by an employee's affiliated bargaining unit MOU. 5 5 The Grievance procedure shall consist of the following steps, unless otherwise stipulated by an employee`s affiliated bargaining unit MOU 5.5.1 Step 1" An employee who has a complaint shall attempt to resolve it with his/her ,immediate supervisor, or designee, within five (5) days of the occurrence of the event giving rise to the complaint. The supervisor, or designee, shall attempt to Personnel Policies & Procedures Manual Page 1 of 3 Effective 09/26/18 Policy 6 5, Grievance Procedure OCSP 18-18-229 resolve the issues surrounding the complaint, and respond to the employee within five (5) days, 5,5.2 Step 2. It the Grievance is not settled intormally at Step 1, it may be presented in writing to the employee's Division Manager or designee. This request for formal review must be presented on a form provided by OCSD within five (5) days of the conclusion of Step 1 The written Grievance must 5.5.2,1 Identify the specific management act to be reviewed 5.5.2 2 Specify how the employee was adversely affected, 5.5.2.3 List the specific provisions of the MOU that were allegedly violated, and state how they were violated', 5.5.2.4 Specify the remedy requested. 5.5.2.5 Provide the date of attempts at informal resolution and the name of the supervisor or individual involved. 5.5.3 The Division Manager, or designee, shall respond in writing to the employee within ten (10) days after the date the Grievance is received. 5.5.4 Step 3• If a Grievance is not settled under Step 1 or 2, it may be presented to the employee's Department Director, or designee, for review and written response. The request for formal review must be presented on a form provided by OCSD within five (5) Mays of the conclusion of Step 1 or 2, and must contain the information specified in Step 2. The employee's Department Director, or designee shall respond in writing to the employee within ten (10) days after the date the Grievance is received, 5.5,5 Step 4. If the Grievance cannot be resolved under Step 3, it may be presented to the Assistant General Manager, or designee, within five (5) days from the date the Step 3 finding was issued The Assistant General Manager, or designee, shall respond in writing to the employee within ten (10) days after the date the Grievance is received. 5 5.6 Step 5. Appeal to the General Manager, or designee, is the final step in the Grievance Procedure If the Grievance cannot be resolved under Step 4, it may be presented to the General Manager, or designee, on a form provided by OCSD within five (5) days from the date the Step 4 finding was issued The General Manager, or designee, shall respond in writing to the employee within ten (10) days after the date the Grievance is received The decision of the General Manager, or designee, is final. 5 5 Failure of a management representative to respond within the prescribed time limit shall provide a basis for the employee to appeal to the next step. If a Grievance is not presented or appealed to the next level within the specified time limits, it shall be considered settled on the basis of the preceding response, The Director of Human Resources may be petitioned in writing to waive the step or time requirements provided sufficient cause exists, Time limits may also be extended at any step by the applicable OCSD representative responding to the Grievance. 6,0 EXCEPTIONS 61 A Grievance may not be brought by OCSD through this procedure. Personnel Policies & Procedures Manual Page 2 of 3 Effective. 09/26/18 Policy 5.5, Grievance Procedure rCSO 18-18-230 7.0 PROVISIONS AND CONDITIONS 7 1 Genera! Provisions. An employee shall be given reasonable time off, with advance approval of his or her supervisor or designee, to investigate and process a Grievance When an employee is represented by a recognized employee organization, that organization may designate one (1) employee to investigate and process the Grievance The employee representative shall be given reasonable time off, with the advance approval of his or her supervisor ar designee, to perform this duty Time off for investigating and processing a Grievance shall be without loss of pay Absence from work will be approved only if it does not disrupt OCSD's operations. If the time requested cannot be provided, another time will be arranged 72 Discipline imposed under Policy 5 2, Discipline is not reviewable as a Grievance under this p roced a re 8.0 RELATED DOCUMENTS 8.1 Policy 6.4, Problem Solving Personnel Policies &Procedures Manual Page 3 of 3 Effective 0912E118 Policy 6.5, Grievance Procedure OCSD 18-18-231 Orange County Policy Number: 7.1 +,son Sanitation District Effective Date: September 26, 2018 Personnel Policies Subject: Miscellaneous Provisions Supersedes: June 8, 2011 Approved by: General Manager 1.0 PURPOSE 1.1. The purpose of this policy is to establish the uniform guidelines and procedures for use in the development and administration of Orange County Sanitation District's (OCSD) Personnel Policies and Procedures Manual 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Orange County Sanitation District employees 3.o DEFINITIONS 4.0 POLICY a 1 The General Manager. or his or her designee, is authorized to develop, administer, modify and amend written OCSD personnel policies and procedures in order to augment. clarify or otherwise provide for the proper implementation of the provisions of OCSD's personrei policies and procedures, resolutions, rules and regulations adopted by the Board of Directors 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 80 RELATED DOCUMENTS Personnel Policies & Procedures Manual Page 1 of 1 Effective 09126/18 Policy 7 1, Miscellaneous Provisions OCSD 18-18-232 ~' Orange County Policy Number: 7.2 . �; Sanitation District Effective Date: September 26, 2018 Personnel Policies Subject: IDEA Program Supersedes: June 8, 2011 Approved by: General Manager 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for the Incentives (for) District's Employees Achievements (IDEA) Program 2.0 ORGANIZATIONAL UNITS AFFECTED 2 1 This policy applies to all Orange County Sanitation District(OCSD) employees up to and including first-line supervisors regardless of organizational unit 3.0 DEFINITIONS 40 POLICY 4 1 It is the policy of OCSD to recognize and reward employees' suggestions and ideas for enhancing or improving OCSD procedures on working conditions, work methods (practices), or OSHA compliance 5.0 PROCEDURE 5 1 Each IDEA proposal should be submitted on a separate IDEA form through the Program's Intranet site 52 All pertinent attachments should be included with each submission. 5 3 All completed IDEA forms should include specific information describing how the proposal could be accomplished in sufficient detail to permit an adequate evaluation of the proposal 54 All completed forms shall be submitted to the IDEA Screening Committee through the Program's Intranet site. 55 Once the IDEA Screening Committee receives a completed IDEA form, a tracking number will be assigned and this number will become visible on the Program's Intranet site 56 The tracking number should be referenced whenever following up on the IDEA proposal 57 If additional information about the submission is requested by the IDEA Screening Committee, the employee has sixty (60) days from the date of request to comply with this Personnel Policies & Procedures Manual Page 1 of.3 Effective. 09/26/18 Policy 7 2, IDEA Program OCSD 18-18-233 information or the IDEA proposal will be considered vold If this additional information requires an extended period of time to accumulate, the employee can request an extension through IDEA Screening Committee. 5 7.1 All safety-related IDEA proposals will be directed to the Risk Management Division 5 7 2 A safety-related IDEA proposal may receive a Safety Award or it may be directed to the IDEA Screening Committee for compliance evaluation 5.7.3 If an employee identifies a hazard that could lead to injury, it is the employee's responsibility to report the unsafe practice or condition to their immediate supervisor 60 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS IDEA Screening Committee Functions. 7.1.1 The IDEA Screening Committee will include at least one (11 representative from each department including a representative from the Risk Management Division. 7 1 2 The IDEA Screening Committee will evaluate projects approve or deny IDEA proposals, interact with the other divisions, and establish award amounts for successful IDEA proposals. All IDEA proposals approved by the IDEA Screening Committee will need final approval by the General Manager or designee. 7.1 3 The IDEA Screening Committee will meet monthiy to evaluate IDEA proposals submitted the previous month 7.1 4 The emplcyee(s) submitting the IDEA proposal will be notified by the IDEA Screening Committee if their IDEA proposal is approved, denied, or considered Ineligible. 7 1.5 An IDEA proposal is valid only if submitted within sixty (64) days of implementation 7.2 Approval)Deny Criteria 7.2.1 The following criteria shall be used for approving or denying an IDEA proposal: 7 2,11 Utility 7.2.1 2 Economic viability 7,2.1 3 Reductions in materials, supplies, equipment or work hours 7.2.1.4 Effect on plant reiiabihty 7.2A,5 Effect on individual departments 72 16 Effect on processes Personnel Policies & Procedures Manual Page 2 of 3 Effective 09I26/18 Policy 7.2, IDEA Program UCSD 18-18-214 7 2.1.7 Impact on budgets and implementation cost 7.21 8 intangible benefits such as improved adherence to safety compliance, better method, higher employee morale, improved service, improved public relations 7.2.1.9 The IDEA proposal is beyond the scope of the employee's normal duties and responsibilities 7 3 Awards and Recognition 7.3.1 Successful IDEA proposals that are determined by the IDEA Screening Committee to offer cost savings will be entitled to an award equivalent of 10 percent of the initiak first year's projected savings—up to a maximum cf $4,000 7.3 2 Approved IDEA proposals with intangible benefits may be awarded in sum amounts up to $2,000 as deemed appropriate by the IDEA Screening Committee. Approved team-project proposal awards will be shared equally by the ewpfoyees whose signatures appear on the submitted IDEA proposal form In some cases, non-monetary compensation will also be considered, 8,0 RELATED DOCUMENTS 83 Procedures and Forms — IDEA 8.4 Safety-POL-101, Injury & Illness Prevention Program. Personnel Poiicies& Procedures Manuai Page 3 of 3 Effective: 09/26/18 Policy 7.2, IDEA Program OC S0 18-18-235 i 40 . . . Ipplo i 4 / �. db IMP do MA a 1 iF pJk 1 IT•� Ave-Ir • ��41 f Lit I - I I _ ! �lip DC6SAN OMW13E COUNTY SM RATION ABOUT US The Orange County Sanitation District (OC San) is the third largest regional wastewater agency west of the Mississippi River. We provide wastewater collection, treatment, and recycling services for 2.6 million people in central and northern Orange County, California. OC San is a publicly owned wastewater treatment agency that is funded by sewer user fees and charges. We are i ~ governed by a 25-member Board of Directors appointed from 20 cities, two 3 � sanitary districts, two water districts and one representative from the l ■ � �►� �►���., ' Orange County Board of Supervisors. ` Sv � �r' i / � � i• ■ IV SIN` 1 H LV!_1V=Ia-fa` M � � 10 a �� . OUR MISSION "To protect public health and the environment by providing effective wastewater collection, treatment, and recycling." \, NX , � �� � r y A} ,+• r C. Ali .� ,r. io tit LO 1z r � r � � - --- L���. !r •'�..r -� Jl ' ':r.4 'f 't-f', _ is Before the water comes to us OC San's Source Control Program was practices that include installing pretreatment established in 1970. The program regulates systems or using alternative chemicals. This and monitors industries to keep toxic pollutants relationship has helped our permittees reduce out of the sewage system. the amount of toxic pollutants discharged into the sewer system by more than 80 percent OC San works proactively with businesses and over the past 30 years. Source control is a industries advising them on best management critical component in treating the wastewater. How the water gets here OC San currently maintains and operates County, California. - other 20 percent comes Residential,two facilities located in Fountain Valley and from commercial and industry facilities. Huntington Beach that treat an average daily wastewater flow of 189 million gallons per day pipes connect to city sewer pipes. City pipes from residential, commercial, and industrial • • • •- •• pipes that are from 10-inches to 9-feet wide in Approximately80 percent of our diameter. 00 San owns and maintains 388 miles comes •m residential customers1 cities, of • •- • be - and 15 pump stations two sanitary districts, two water districts and a throughout our sevice area. portion of the unincorporated area in Orange Providing an essential service OC San's Urban Runoff Program was The urban runoff is treated before being established to protect and improve the released into the ocean, or sent to the Orange quality of Orange County's coastal receiving County Water District for reclamation. waters. As the water flows across the urban landscapes and through the storm drain Rerouting urban runoff before it reaches system, it becomes contaminated with receiving waters, allows OC San to provide nutrients, pesticides, heavy metals, toxic essential public health and water quality chemicals, bacteria, and viruses. To remediate protection. This program is instrumental these various public health and environmental in protecting areas of special biological concerns, OC San accepts the diversion of significance and the recreational waters along urban runoff to the sewer when it is not raining. Orange County's coastline. Orange County Sanitation District 1 5 - i �►F yea COLLECTIONS SECONDARY When you flush the toilet, take a shower, The partially treated wastewater is then or wash your dishes, the wastewater goes sent to aeration basins or trickling filters down your drain and pipes to your city's for further treatment. Microorganisms feed sewer system. OC San's regional sewer on the remaining organic materials in the pipe network collects local system flow and wastewater. After the microorganisms transports the water to our treatment plants. (secondary sludge) are removed, the treated water is then sent to the Groundwater PRELIMINARY Replenishment System for recycling or is released into the Pacific Ocean. Screening and grit chambers remove larger objects and materials that clog-up downstream treatment processes; anything ADVANCED TREATMENT from rags and dental floss to coffee The treated water flows to the Groundwater grounds. At this point, the water still includes Replenishment System, where it undergoes biodegradable solids and dissolved organics. a state-of-the-art purification process consisting of microfiltration, reverse osmosis, and ultraviolet light with hydrogen peroxide PRIMARY for disinfection. The wastewater flows into large settling tanks where the remaining solids sink to the bottom of the tank, removing 80 percent of solids in the water. The resulting sludge and scum are sent to the digesters to undergo anaerobic digestion, which converts sludge to energy and fertilizer. 6 Orange County Sanitation District • R S �'� . N • W III •I ��;�� —i GROUNDWATER REPLENISHMENT SYSTEM The Groundwater Replenishment System (GWRS) is a water recycling project jointly sponsored by OC San and the Orange County Water District (OCWD)that lid supplements existing water supplies by providing a ' if - new, reliable, high-quality source of water to recharge the Orange County Groundwater Basin and to protect it from seawater intrusion. ■ Operational since January 2008, GWRS is the world's - J - largest advanced water purification system for potable �• reuse and currently produces 100 million gallons per ` day (MGD) of purified recycled water that meets or exceeds drinking water standards. This is enough water to meet the needs of 850,000 Orange County residents. OC San and OCWD are working to meet the future needs of this project through the GWRS Final ODOR Expansion. This expansion will require 179 MGD of ONTROL treated wastewater flow from OC San to produce 130 MGD of purified recycled water. The other 49 MGD of saltwater is returned to OC San for treatment and safe In addition . the odors n• release into the Pacific Ocean. When completed, the associated GWRS will produce the equivalent of one year's water hydrogen sul •- is formed in sewer supply for over one million people. pipes while being transported to the treatment plants. OC San combatsGWRS takes the treated wastewater that otherwise - possible - - of would be sent to the Pacific Ocean and purifies it odors with c• • using a three-step advanced process consisting as covering - • of microfiltration, reverse osmosis, and ultraviolet sealing manhole covers, as well as disinfection/advanced oxidation. biological, activated carbon, and chemical air scrubbers • eliminate Once purified, the water is either pumped underground - odors that are produced. near the coast to replenish the seawater intrusion barrier or it is sent to basins in north Orange County where the newly purified water filters into the ground and blends with natural rain infiltration, Santa Ana River water recharge and imported water recharge. Orange County Sanitation District 1 7 � r h _ 4_ LABORATORY & OCEAN MONITORING After going through secondary treatment our wastewater from our facilities flow through a 10- foot ocean outfall pipeline in Huntington Beach that safely releases water almost five miles out, and 200 feet deep into the ocean. To ensure the protection of marine life and public health, as part of our National Pollutant Discharge Elimination System permit, OC San has maintained an extensive ocean monitoring program for over four decades. As part of this effort, we perform three types of monitoring: compliance monitoring, regional monitoring, and special studies. Our staff collects water samples from the surf zone along 21 miles of coastal Orange County stretching from Seal Beach to Crystal Cove. We then take these samples—along with other water, fish ocean sediments, biosolids, and air samples—and conduct over 100,000 tests annually at our nationally certified laboratory facility in Fountain Valley. On board Nerissa, our 60-foot ocean research vessel, we sample 38 square miles of ocean, testing and _�JJ monitoring sea life and sediments from the ocean floor to make sure no pollutants cause harm to marine life. Our compliance program includes measurements, - ' data interpretation, sample collection and analyses to evaluate potential impacts of treated wastewater on coastal water quality, and the community health of the fish and small animals living in the sediments near our outfall. 8 1 Orange County Sanitation District ;� _ ..4 .` �;�: .,-�i _ �.�r- ram• � _ �s � r �• ,C ' , � y��j4'w.��'L�.i .� v71�_��3 rar�'p,, ..•..� '.1. .,�' _ �` .� •`�:C ! `�`1 i' f�`� °• • 'Le •�' � �'1- -. 1. .C� � �1 R 1 � •� 4r� i- �.�try, • .. • � a .� �• �. _ ��r� .{�� - ' fir;:- .; _ . '/:ice •i -aa �5� '`} Via► : . tip . :air � '. s' •�`fo/�' •�ti An so ����� • Ali , x i �F �i. '�1► r� •.+`i� ��1�� y'! , � .w •$ ` .Jl► . � '�' � �`' VL ��.i� •► •.ate r• �,C.?` .-�. A IV it I VOW or Inside our digesters, the solids are heated to grow non-food crops. This is commonly to about body temperature-98 •e• e• to . . • application." • for two to three weeks to allow the amendment is black with a consistency like anaerobic bacteria—good bugs—to kill the "cake-batter", and it contains more beneficial pathogens—bad bugs. Biog.Biogas produced ••' • plants than compostdoes. by this decomposition process is captured • used to generate power forover •/ Biosolids . • biosolid compost centrifugespercent of our facilities. The treated solids been used safely for decades. Research are now called "biosolids." has demonstrated that the nutrients and beneficial microbes in biosolids create and During the clewatering process, giant maintain healthy soils and improve crop pull water out of biosolids yields. Biosolids are also a valuablesource carbonso they can be hauled to recycling of carbon. Amending soils with biosolids locations. helps mitigate climate changes by storing •il, which is a form of •• OrangeOne way OC San's biosolids are recycled sequestration. In this way, we keep the is by applying them directly on farm fields biosolids' carbon out of the atmosphere. County Sanitation9 4� r IL t � 1 - OC San has been a leader in energy efficiency plants in Huntington Beach and Fountain for many years. As a standard practice, we Valley and which saves approximately $7.2 design energy efficiency into everyone of million for 2019-2020 in reduced electric costs. our projects. The Central Power Generation The Central Power Generation System was System helps us achieve our productivity designed to minimize emissions and is fueled and energy conservation goals. The Central by natural gas and digester gas. Digester gas Power Generation System has eight clean is produced during the wastewater treatment burning, internal combustion engines that process and is approximately 65 percent power the generators used to produce 65 methane and 35 percent carbon dioxide, and is percent of the power required to run our two an excellent fuel source. 10 1 Orange County Sanitation District .r. : 10 ei f A The Capital Improvement Program (CIP) supports of our assets, or how best to replace them with OC San's commitment to provide a reliable service improved technology and innovative solutions. to our '•. •. • resource recovery, and Our Facilities and Biosolids Master Plans have laid repair and replace aging infrastructure. We plan, the roadmap for the next 20 years encompassing design, and prepare for the future making sure that dozens of projects that must be executed. we meet our • of protecting public health and the environment. The ten-year CIP budget for We work each and every day to ensure our Fiscal Year 2019-20 through 2029 is currently valued commitment to our • at$2.7 Billion. protecting public health . • the environment most economical and innovative way possible. Additionally, through our Asset Management Plan, we evaluate and determine how to prolong the life HOW WE MANAGE OUR FINANCES We are financially stable, keeping our rates government agencies are faced with growing affordable for our ratepayers, while always long-term liabilities, particularly in the area meeting our mission to protect public health of employee pensions. OC San is a member and the environment. OC San is AAA rated. of the Orange County Retirement System The AAA rating represents the highest possible (OCERS). rating and is based on our management practices and financial strength, which means By fully funding its pension liability, OC San that we have access to low-interest financing saves tens of millions of dollars in premium on infrastructure improvements resulting in a payments and is able to provide its public cost savings for OC San's customers. health and environmental services at a low cost for generations to come. Providing a reliable service also includes prudent financial management. Many Orange County Sanitation District 1 11 Reclamation Plant No. 1 and Administrative Offices 10844 Ellis Avenue, Fountain Valley, CA 92708 Treatment Plant No.2 22212 Brookhurst Street, Huntington Beach, CA 92646 714.962.2411 forinformation@ocsd.com www.00San.gov Stay Connected! Follow us @OC SanDistrict OC6SAN In D re-3) ®a ORANGE COUNTY SANITATION DISTRICT PA-01/2021 NO �I.0 R T ✓1 _ lion " ,Ohl t • • / ' O ra.," e, O -L,vwf-y S awvf-a -�o- , Y� r 149 Click Here to Access - Document �+ ��, � it �p � � �._-� �,.`+'�'�� I� y a• rN•� •� . Lk 1 � A •i r • I,Ir ' � - ' 1 Y tr 1 - - 1 COOOOD so 1 1d," c M OF&A i O IMIR o I! IIi V ���_� •wry ■ ■ Click Here to Access Document PUBLIC AFFAIRS RATEGIC PLAN Fiscal Years 2020-21 and 2021 -2022 2021 New Board Member Orgien F ,� 1 IF- •S�4,: SAN 'Y OCt ORANGE COUNTY SANITATION DISTRICT - � y February 4, 2021 �� Presenter: Jim Herber General Manager ww \ IS Who We Are . . . s Our ission "To protect public health and the environment by providing effective wastewater collection, treatment, and recycling.jqi ' f Raw r s� Page 4 OCSD T • OC -7* C 6 SAN o -A 0 �o� �� ORANGE COUNTY SANITATION DISTRICT FCT�N THE ENv\�Q) Page 5 Resource Recovery Video t 2 s _ ell fj Our Fad lities k-1 n lip .._It_.. {f 1 '_ [cl±7t � F .-IiI tIl•" _ ,I il� 1 Reclamation Plant No. 1 Treatment Plant No. 2 Fountain Valley Huntington Beach Page 7 How much Oil wastewater comes fraa� 2 . 6 million people Enough water to fill Angel Stadium 2h times! each day .,? 189 million gallons per day Wastewater ® Private 0 Lateral city -�••••• •••••� Manhole G W R S GROUNDWATER REPLENISHMENT SYSTEM ♦� City To Orange County Manhole Water District ---------- ------_ Local Sewer -- Ocean OC San Treatment OC San Regional Trunkline Page 9 Jim Herberg Questions General Manager (714) 593-7110 Jherberg@ocsd . com EM Page 10 Presenter: David Shawver Board Chairman ' � s _ LN Our Serv*ice Area LA OC San HABRA BREA Service Area (area enlarged) 1 YORBA Orange FULLERTON ■ LINDA g IPLACENTIA County BUENA :• LA PARK ALMA ANAHEIM 388 miles of sewers CYPRESS VILLA LOS STANTON PARK 480 square miles A MITOS ORANG GARDEN� GROVE 189 million gallons per day � a" SEAL 0, �� ® 2.6 million population BEACH WESTMINSTER �. � ■ �y SANTA m - 20 cities, 4 special districts FOUNTAIN ANA TUSTIN d VALLEY' 15 El pump stations ■ HUNTINGTON ■ ■ IRVINE 2 treatment plants BEACH COSTA ■ - MESA NEWPORT BEACH David Shawver Questions Board Chairman (714) 931-8863 dshawverl@att. net EM Page 13 Board O e ev rvi w mm",ppr APnai" lib Iry • I� .1. 'Ask Ah 4 f 1 l � A m V Page 14 BOARD SERVICES MANAGEMENT GENERAL MANAGER'S OFFICE Jim Herberg General Manager Jennifer Cabral Administration Manager Page 15 Board Seryices Tea f Kelly Lore Clerk of the Board Tina Knapp � Assistant Clerk of the Board r � Yolanda Herrera Data Management Technician I Page 16 AlBoard Servoices Team Garcia Program Assistant Jackie Castro Program Assistant Gerry Matthews Office Assistant Page 17 Board Services Overview Home Board Agendas Jobs Report a Problem Sewer Fees Contact Us ❑ O C SA N W E B S I T E OC6SAN s.ch m ©©00( ORANGE COUNTY SANITATION DISTRICT Board of Directors RESIDENTSSERVICES BUSINESSES • •N ABOUT US I WANT TO... „ h ttps:/1www.ocsd.com1ab A� Board of Directors out-us/board-of directors ©K--Inf, Font Si—Q 0 0 Share&Bookmark Feedback +RmA _ The Orange County Sanitation District is a special district established by the California State legislature.The County Sanitary District Act specifies that the Orange County Sanitation District's Board of Directors consists of:One member of the City Council of each city located wholly or partially within the Sanitation District's boundaries;One member of the County Board of Supervisors;One member of the governing body of a public agency empowered to and engaged in the collection,transportation,treatment,or disposal of ❑ Board o f Directors sewage and which was a member agency of a sanitation district consolidated into a consolidated sanitation district.The governing body of each local government appoints a member to represent them on the Orange County Sanitation District Board.Please contact Kelly Lore,Clerk of the Board at(714)593-7433Q for Roster , Committee a n d further information. 0Board of Directors Board of Directors Meetings Board Meeting i i j'�i Board Members 0Board Meetin¢s Agendas, Minutes, nPublic Notices Ordinances oPublic Notices00% Current Ordinances Ordinances, Public Notices, etc. UPCOMING MEETINGS: https://ocsd.le_gistar•com/Calendar,aspx Page 18 LITIM.rd Services Overviewd ❑ GRANICUS LEGISTAR Agenda Management Software Upcoming Meetings eComment District Transparency Certificate of Excellence SI)ECIAL DISTRICT ❑ CAPLI N KED — Secure, LEADERSHIP FOUNDATIO confidential website for viewing Closed Session documents ❑ GOVQA — Online Portal for submission of: • Public Records Requests • Electronic Claims, Complaints and Subpoenas (coming soon) Page 19 a Ed Board Services Overview DIRECTORS GUIDELINES & PROCEDURES r ❑ Resolution OC SAN 21-01 : 1 Rules of Procedure _ - z ❑ Resolution OCSD 18-20 Board Expense Reimbursement and Meeting attendance ❑ Ordinance OCSD-34 Prepared by Board Services f Board Compensation Page 20 Board Services Overview DIRECTORS GUIDELINES & PROCEDURES r Directors'ard of ❑ Resolution OCSD 18-18 & DELIWMWkz Resolution OCSD 20-01 - Board of Directors HR Policies and Procedures 21 ❑ Ordinance OCSD-52 IN Purchasing Ordinance Prepared by Board Services f Page 21 Board Services Overview DIRECTORS COMPENSATION ORANGE COUNTY SANITATION DISTRICT BOARD OF DIRECTORS COMPENSATION&MILEAGE SAMPLE ONLY zo Director's Name: Address EMP_# Address ❑ Ordinance OCSD-34 °°MP — — — — — °RE°roa= ear R STEERING OPERATIONS AONIINISTRATION Ragular NloollPgs aro aby IreE aQy llst Nln[M1ls sage Bale NIILE9 ❑ $212.50 per OTHER DATE COIdP —EAGE eILEAGE 1. meeting/day 2. 3. 4. ❑ 6 meetings per month 5. S. i S,g-tmre. 7. Dale: maximum ❑ Compensate once a X=Exceeds one mtg/day monthY=Exceeds six mtgs./month Page 22 Board Services Overview V I BOARD OF DIRECTORS 2021 PAYROLL CALENDAR DIRECTORS COMPENSATION BOARD MEETING DATE LATEST DATE TO SUBMIT PAYROLL DATE TO PAYROLL January27,2021 2/16/2021 2/24/2021 February 24.2021 3/16/2021 3/24/2021 ❑ Board Payroll Calendar March 24.2021 4/13/2021 4/21/2021 April 28.2021 5/11/2021 5/19/2021 May 26,2021 6/8/2021 6/16/2021 June 23.2021 7/6/2021 7/14/2021 July 28.2021 8/17/2021 8/25/2021 August 25.2021 9/14/2021 9/22/2021 September 22.2021 10/12/2021 10/20/2021 October 27,2021 11/9/2021 IIA712021 'November 17.2021 12/7/2021 12/15/2 021 'December 15.2021 1/4/2022 1/12/2022 •Meeting date in November and December is earlier due to holiday Page 23 Board Services Overview ORANGE COUNTY SANITATION DISTRICT 11-flact-1717071 BOARD OF DIRECTORS Complete Roster ALTERNATE AGENCYICITIES ACTIVE DIRECTOR DIRECTOR DIRECTOR AGENCY Anaheim Stephen Fuessel Jose Uiuz Brea Glenn Parker Steven Vargas Buona Park Art Brown Connor Treat INFORMATION Cypress Stacy Berry Anne Hertz Fountain Volley Patrick Harper Glenn Grandis Fullerton Jesus J.Silva Nick Dunlap Gulden Grove Steve Junes Jet,,,O'Neill l lunungton Beach Kim Can FarrK ❑ Boa rd of D i rectors Roster Irvma Anthony Kuo Farrah N K Khhan Lu Habra Ruse tsmnuzu Jose Medianu I a Patina Mark A (;urrdman Ron B l alai ❑ h tt p s•//w w w o c s d c o m/a b I os Alamtlos Mark A Chrco Ron Batas Newport Beach Brad Avery Joy Brenner Oranqo Mark Murphy Kim Nichols out-us/board-of- Placentia Chad Wanke Ward Smith Seals Ana JohnaSandra Kl Ryan Hernandez Nekda Mendoza d i rectors/boa rd-m e m b e rs Seal Beath Sandro Mosso-Levitt Sthelly SuStarsic Stanton David ShawvAf Carol Warren Tustin Ryan Gallagher AuMin I nmbard Villa Park Chad Zimmerman Robert Collacott SaniterylWat•r Districts Cusla Mesa Sunnary Urshicl Bub Outer, Art Peuy Midway Gty Suniluiy Uistnct Andrew Nguyen 5eigiu Cuntierus Irving Ranch Water District John Withers Douglas Reinhart Yorba Linda Water District Brooke Jones Phil Hawkins County Areas Board of Supervisors Doug Chaffoo Donald P Wagner Page 24 Board Services Overview orn.d:mrw ORANGE COUNTY SANITATION DISTRICT CURRENT COMMITTEES FnnParker, OMMITTEE (7) LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE itfill(7) r,Board Chair DIRECTOR AGENCY Board Vice-Chair Jesus Silva,Chair hair,Operations Committee Marshall Goodman Vice-Chair hair.La PA Committee Kim Carr,Member-At-Large Chair,Administration Committee Anthony Kuo.Member-At-Large emb Member•At•Lerge Andrew Nguyen.Member-At-LargeINFORMATION Membe(-At-Large David Shawver,Board Chair John Withers,Board Vice-Chair ADMINISTRATION COMMITTEE 113) GWRS STEERING COMMITTEE Chad Wanke,Chair(Placentia) David Sha:,ver Glenn Parker.Vice-Chair(Brea) Bob Ooten B Avery INev:port Beach) Ryan Gallagher Br ovm(Buena Park) Kim Carr(Huntington Beach) (A1)—Jesus Silva Committee Assignment Mark Chirco.(Loa Alamitos) (Az)—Brooke Jones Ll Rose Espinoza(La Habra) (A3)—John Withers Marshall Goodman(La Palma Patrick Harper(Fountain Valle,, AUDIT AD HOC COMMITTEE(4) List Anthony Kuo(Irvine) Andrew Nguyen(MCSD) Glenn Parker.Chair(Brea) David Sha•.vver.Board Char(Stanton) Anthony Kuo.Vice-Chair(Irvine) John Withers.Board Vice-Char QRWD) Marshall Goodman(La Palma) Petrick Harper(Fountainl COMPLEX O ❑ Current Committee List OPERATIONS COMMITTEE(14) HEADQUARTERS COMPLEXFLEX Stacy Berry,Chair(Cypress) AD HOC COMMITTEE(7) Vice-ChairBrooks s Sandra Massa-Lavitt,Chair(Seal Beach) D,ug Chaffee(Board of Supervisors) Mark Murphy,Vice-Chair(Orange) Stepti- - - - Art Brown(Buena Park Ryan Gallagher(Tustin) Stacy Berry(Cypress) Johnathan Ryan Hernandez(Santa Anti) Patrick Harper(Fountain Valley) Grove)Steve Jones(Garden David Shawver(Stanton) Sandra Mas�-Lavitt(Seal Reach) e John Withers(IRWD) Mark Mur Bob e.,•hy e SAWPA JOINT POLICY COMMITTEE(3) Jesus J.Silva(Fullerton) d Zimmerman(Villa Park) David Shavver(Stanton) David- _ oardtanton) John Withers(IRWD) John Withers,Board Vice-Chair s Patrick Harper(Fountain Valley)Ahernate Board Delegate to Santa Arta Rive_cEl24d Protection Agency[SARFPA)-Johnathan Ryan Hernandez(Santa Ana) Board Delegate to Orange County Council of Governments(OCCOG —David Shavrver (Delegate)Brad Avery(Alternate) Board Delegate to National Water Research Institute INWRI)—Kim Car(Huntington Beach) Board Delegate to Independent Special Districts of Orange County-(ISDOCI—Stephen Faessel(Anaheim) Page 25 oar Services Overview . . ©00©e0©©©0©e0©©00©e0© � • . • ■■ ■■ ©■■©m ee■■e® .©. ©o©.eooeoo.■®meo®mom® • � • eeeeeeeeeeeeeeeeeeeee ■ - - : • , . ownBMW eeeeeeeeeeeeeeeeeeeee , - . , ..................... eeeeeeeeeeeeeeeeeeeee BMW ■ ■ Board ervices Overview ik, • COMMUNICATIONS FROM OC SAN • Special meeting notices, events or announcements • Late communication for meetings • Board talking points (day after Board meeting) • Weekly COVI D-19 Update from GM • Memos from Board Chairman • Vital news from Public Affairs Page 27 Kelly Lore Clerk of the Board (714) 593-7433 Question (714) 587-8197 (cell ) k1ore ocsd . com Tina Knapp Assistant Clerk of the Board (714) 593-7190 (949) 575-7123 (cell ) � tknapp@ocsd .com Transparency and Ethics � Presenter: Brad Hogin � Legal CounsePage 29 I m 0 6 90" • Board Rules of Procedure • Ethics Laws • Campaign Contributions • Sexual Harassment Laws • Technology, the Brown Act, and Public Records Page 30 Types of Motions TABLE 1 BOARD PROCEDURES AND ORGANIZATION SUMMARY OF MOTIONS A. PRIVILEGED MOTIONS Kind of Second vote Kind of Second I vote MOHon Required Debatable Amendable Required Purpose Motion Required Deballsi Amendable Required Purpose Adjourn Yes No No Majority To end the meeting To Table Yes No No Majority To discontinue consideration until brought back by To Take a yes No No Majority To Interrupt a vote of the Board Retest meeting for a stwn time or to provide an intermission Take a Yes No No Majority To bring before Motion the group a Raise a No No No None To obtain act in from the motion previously Question of immediately in an Table tabled Privilege emergency Limit or Yes No Yes Majority To limit or extend B. MAIN MOTION AND RELATED Extend limits of debate SUBSIDIARY MOTIONS Limits of Kind of Second Vo(e Debate Motion Required Debatable Amendable Required Purpose Refer to a Yes Yes Yes Majority To place business Main Yes Yes Yes Majority To irdroduoe new Committee In hands of a Motion business Committee Amend Yes Yes Yes Majority To modify or after Withdraw a No No No None To withdraw a Main a motion Mtion motion before it is Motto voted on Substitute Yes yes Yes Majority To replace the Motion main motion Reconsider Yes Yes No Majority To secure a new entirety must be by a vote on a motion Director who previously voted Previous Yes No No Majority To close debate voted for the upon Question I on the main or prevailing amended motion side on the Immediately original Continue to Yes Yes Yes Majority To defer action motion a Certain - Time 13 Page 31 Ethics Rul JL-- IN • Conflicts of Interest • Receipt of Gifts • Misuse of Agency Resources • Bribes • Etc. Page 32 Levine Act J �-Mm • $250 Limit on Campaign Contributions From Parties Seeking Contracts • Contributions 12 Months Prior to the Board Decision • Disclosure & Disqualification • Contributions Within 3 Months After the Board Decision Page 33 FPPC Enforce ant nf the Levine Act • Fines from $1,000-$3,000 per Count • Example: • San Bernardino County Supervisor • Appointed to the Inland Valley Development Agency • Voted for IVDA Contracts Awarded to Campaign Contributors • Fined $12,500 for 10 Counts r Sexual Harassment Laws Apply to Elected Officials Mandatory Training Technology & the Brown Act • Email Exchanges May Constitute "Serial Meetings" • Examples: • Broadcast Emails • "Hub & Spoke" — One Member Exchanges Emails with a Majority • "Daisy Chain" — Emails are Forwarded Among a Majority Page 36 Technology & th ublic Records Act • " Public Records" Include : • Documents on Personal Devices • Documents in Personal Accounts • Social Media Platform May be a "Public Forum" Page 37 !' 00 ooe f f�f J �� /T ! Arj� � � art �• �a. � ✓�, �: 'r r%jp IFIS s let � see ►. LM • .. L. • ' • • • • • • • • • ( • • • • • • tuo , • LM • • • ' • ' Brad Hogin Legal Counsel Question (714) 415- 1006 bhogin@wss-law.com Pre ent r: Rob Tho pson � .. i Assi tant General Manager IF • oc San s Planning Environment Strategic Plan Budget: Revenue Risks Operating Expenses � Opportunities Capital Expenses Performance Goals e Project Asset Reliability Clearinghouse � Management � Centered Plan Maintenance Page 42 Strategic Planning " • The Board of Directors determine the mission of OC San • Past initiatives MEN • 100% beneficial reuse of biosolids MEN • Energy Production from waste (2/3 of electrical needs self generated) � ■■ • Dry weather urban run-off/beach ORANGrC ffATION DISTRICT ■ water quality Strategic Man • GWRS: the worlds largest indirect potable water reuse project 31Now November 2019 6 Page 43 Risks and Opportunities MW- • OC San identifies, quantifies, and prioritizes risks and opportunities • The risk register identifies risks • Identified risks are studied • Capacity (Master Plan) • Seismic • Climate , Contaminants of Climate Change Tsunami and Emerging Seismic Biosolids Floodin Concern • Biosolids 0 0 • Opportunities p p Security Electricity • New technology Pandemic Physical and Energy&Power C yber • New operating technics • Automation Page 44 Asset Management Plan (Current Condition) • OC San understands what we own • Collection system • Plants • OC San knows the condition of our assets • Refurbishment: • Drainage areas every 30 to 70 years • Unit process areas every 20 to 25 years Page 45 Based on : • The mission the Board of Directors lays out for staff (Strategic Plan) • The risks and technological The opportunities identified (Studies) • The condition and capacities of the Budget facilities (Asset Management Plan) Two-Year Plan � 4 Page 46 Reliability Centered Maintenance • OC San continues to learn and adapt its operations and maintenance • Asset Management Plan : 4 • Reliability and Resilient Operations Y` • Reduced Costs , Page 47 Project Clearinghouse • Unanticipated events occur (Stuff happens) • Things break • Corrosion is discovered • Parts can become unavailable • Biweekly Management and Supervision Meeting • Change operation • Repair • Replace • Upgrade • Propose a new project Page 48 • If you know what you want the facilities to do for the next twenty years • And you know the condition and expected life of what you currently Optimal own • And you know the needed capacity of Decision your stem Y Y Making • And you understand the risks and opportunities you face • You can transform your facilities over time, with less waste and more system availability. Page 49 Rob Thompson Assistant General Manager Questions (714) 593-7310 rthompson@ocsd .com Page 50 • C San Financials h,�R Presenter: Lorenzo TynePage 51 '"� Assistant General Mana er g General Information Ar • Fiscal Year July 1 — June 30 • $40OM—$500M in annual revenues & expenditures • AAA Debt Rating • Approved Staffing of 639 Full-Time Equivalents ( FTEs) Page 52 Protecting our Community's Assets Financial Planning: • Pension Contributions - • Unfunded Liability . • Two-year Budget r1 • Rates Page 53 Budget Summary I Revenues FY 20-21 FY 21 -22 Fees and Charges $ 350 M (72%) $ 359 M (73%) Property Taxes $ 100 M (21 %) $ 102 M (21 %) nterest/Other $ 34 M ( 7%) $ 32 M ( 6%) Total Revenues $ 484 M $ 493 M Outlays FY 20-21 FY 21 -22 Net CIP $ 148 M (37%) $ 241 M (41 %) Operating $ 176 M (44%) $ 177 M (30%) Debt Service $ 73 M (18%) $ 168 M (28%) Other $ 3 M ( 1 %) $ 4 M ( 1 %) Total Outlays $ 400 M $ 590 M Page 54 Major Revenue Component -Fees and Charges Property Taxes $102 21% Interest/Othe Fees and Charges $34 M $350 M Fees and Charges 70/ 72% $359 Interest/Other 73% $32 6% Property Taxes $100 M 21% j� I Proposed Revenues Proposed Revenues FY 20-21 = $484 Million FY 21-22 = $493 Million Page 55 Top Ten Industrial Users Company Fee % of Total House Foods America $ 1 ,423,273 0.45% Ameripec Inc. 7521128 0.24% Stremicks Heritage Foods 747,890 0.24% Pulmuone Wildwood , Inc. 6811048 0.21 % Kimberly-Clark Worldwide, Inc. 6511129 0.20% Jazz Semiconductor 578, 150 0. 18% Nor-Cal Beverage 505,790 0. 16% Dae Shin USA Inc. 471 ,401 0. 15% MCP Foods, Inc. 414,959 0. 13% Broncs Inc. dba Westcoast Text. 355,395 0. 11 % Top Ten Total Fees & Charges $6,581 , 163 2.07% Page 56 Rate Increases Have Dropped Significantly Percent Increase History 12% 10% 8% 6% 4% 2% 0% 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 Page 57 Comparison of Single-Family Rates(July 2020) Annual Single Family Residential Rates (July 2020) San Francisco I $1.076 Vallejo $656 Contra Costa $598 LA City $597 San Diego $573 Dublin $447 Sacramento $444 East Bay MUD $423 Union $421 Hayward $412 OC San $339 IRWD $313 Fresno $309 Oro Loma $275 LA County $196 $ $200 $400 $600 $800 $1,000 $1,200 Page 58 fcutlay Categories FY 20-21 FY 21 -22 Net Capital Improvement $ 148 M $ 241 M Operating Expense $ 176 M $ 177 M Debt Service $ 73 M $ 168 M Other $ 3 M $ 4 M Total Outlays $ 400 M $ 590 M Page 59 Expense Summary Operating Description FY 20-21 FY 21 -22 Salaries and Wages $ 102 M $ 107 M Contractual Services 19 M 19 M Repairs and Maintenance 28 M 24 M Operating Mat'Is & Supplies 22 M 21 M Utilities 8 M 8 M Professional Services 6 M 6 M Other 10 M 12 M Cost Allocation (21 M) (22 M) Subtotal Net Operating Requirements 174 M 175 M Self-Insurance 2 M 2 M Total Net Operating Requirements $ 176 M $ 177 M Page 60 CIP Program 10 - Year Net CIP (in millions) $400 $347 $350 $309 $294 $300 1 $323 $301 $296 $250 $200 $241 �9 $148 $150 $100 $50 $0 FY 20-21 FY 21-22 FY 22-23 FY 23-24 FY 24-25 FY 25-26 FY 26-27 FY 27-28 FY 28-29 FY 29-30 * 10 — Year total for CIP - $2.7 Billion Page 61 Future Debt Service Outstanding Debt 1,000 900 800 700 — 600 — 0 500 — 400 — 300 — 200 100 0 2020 2025 2030 2035 2040 2045 Page 62 Lorenzo Tyner Assistant General Manager Questions (714) 593-7550 ltyner@ocsd .com Page 63 00 - Presenters Lan Wiborg Dire Environm � 4 v _ r-r fD � Department Administration Resource • _ • Division • m �p Laboratory and Ocean Monitoring Division � O n a� cD as � w p cn w n � N O rD Serving the OC Community aao LA sad area HABRA BREA iasuai YORBA or,ir,Recorb. FU ER N LINDA Californ,r PLACE lA LA B ARK �J P RE ANAHEIM VILLA PA LOS NTO A MITOS ARD ORANGE -� ROV RO SEAL MINS ER P -B�C" 1 SAN •• sANT G W R $ ANA USTIN U N ORANGE COUNTY SANITATION DISTRICT GROUNDWATER REPLENISHMENT SYSTEM LL ALLE1 HUNTI GT IRV/NE COSTA � MESA NEWPORT arsno,o PlPdinc BEACH mews mn, N ,woor aa memr Service area bounoary &Mow, v M�. Page 66 Environmental Regulations • Federal, state, regional, local Protecting Public Compliance Areas • the • Ocean discharge • Biosolids Environment • Water reuse • Air quality • Industrial and commercial waste • On-site runoff Contaminants of Emerging Concern • P FAS • Microplastics - - • Harmful algal bloom Page 67 Su ort Resource Recover pp Y i 1 OC6 SAN Lai ORANGE//Av Arl n . . GWRS Coordination • Protect source water quality and potable reuse Partnership Wastewater-Based Epidemiology Highlights • Collaboration with CDPH, CDC, SWRCB, OCHCA • COVID-19 monitoring via wastewater • Develop community-based tool Dry Weather Urban Runoff Diversions • Prevent beach closures from bacterial contamination Regional Collaborations • Southern CA Bight Regional Monitoring • Santa Ana Watershed Project Authority Page 69 Department Staffing Managers 3 Supervisors/Professionals 65 Administrative/Clerical 8 Technical 17 Tota 1 93 Fa 0 0 0 �O� �O0 0 0o n n Page 70 1J What We Do . . . • � � / �• ll �MAB� � s' Page 71 _r Page 72 Lan Wiborg Questions Director of Environmental Services (714) -7450 lwiborg@ocsd .com Human Resources � I Presenter: Celia Chandle-.Mae Director of Human Resources Page 74 Human Resources The Human Resources Department is comprised of three main interrelated areas: Employee & Labor HR Operations Relations Safety / Risk Management Human Resources Operations Employee& HR Operations Highlight: Labor • Benefits Relations • Recruitment and Selection Safety/Risk • Training and Development Management • Class and Compensation Page 76 EmployeeLa or Relations Employee& Laor HR Operations Relations H igh I fight• • Employee Relations Safety/Risk • Conflict Resolution / Management • Performance Mgmt Unrepresented • Labor Relations • Negotiations 6% OCEA 16% • Meet and Confer • M O U SPMG 45% Local 501 33% Page 77 Safety & Risk Management Highlight: • Operational and Construction Safety • Voluntary Protection Program (VPP) • COVID-19 Response and Recovery Employee& Safety/Risk Labor Management Relations • Emergency Response and Preparedness • Security HR Operations Page 78 1&-Meral Manager's kPlan Work Safety and Security • Emergency Preparedness • COVID-19 Pandemic Response & Employee HR Recovery & Labor Operations • Relations Industrial Hygiene/Job Safety Analysis Programs Safety / Risk Succession Planning Management • Leadership Development and Training • OC San University Classification and Compensation Study Page 79 Celia Chandler Questions Director of Human Resources (714) 593-7202 cchandler@ocsd.com Page 80 Presenter: Kathy Millea Director of Engineering s• I k-Al i • a-J U •� i bn N O U � .4A L UO o s E �MO CL c Mo L w p E O � a� aA Mo o � c L Mo ro r m W Engineering Org Chart Engineering Department Planning Project Design Construction Management Management Engineering Org Chart Engineering Asset Management Page 84 Department Planning Project Design Construction Management Management CIP FY 2020- 21 147.6M NET CIP OUTLA o� 132 OTALPRO�ECTS 10=Year CIP Outlay 400 ■ Actual ■ FY 2020-22 Proposed Net CIP Outlay $2 , 7B 1 0-Year CIP 350 300 250 200 0 5 150 100 50 0 Ref: FY 2020-21 Budget, Section 4 Page 86 J- 117B Outfall Low Flow Station 7-1 Page 87 2-72B Newhope-Placentia Trunk Replacement Vft `r f ' � • I I n -, tj $61M 1 fit* ,� Kathy Millea Questions Director of Engineering (714) 593-7365 kmillea@ocsd.com Page 89 Presenter: John Withers Boar ice Chairman ORANGE COUNTY-SANITAITODISTRICT ra e ic an a� The Process STRATEGIC PLANNING PROCESS 2020 � 2021 2022 �� 2023 2024 mmmmmmmmmmmmmmmmmmmmmmmm Strategic Plan � Budget General Manager Development Development Work Plan Budget General Manager Update Work Plan Strategic Plan B'll'r�get General Manager Development Developmen Work Plan R e Prop Study 21 s Budget General Manager Update Work Plan Strategic Plan gudget Development Development Schedule WORKSHOPWORKSHOP #1 WORKSHOP #2 AL • Budget Controls & Asset Management Environmental Water Fiscal Discipline Energy Independence Quality • Cybersecurity Climate & Catastrophic • Food Waste Treatment • Property Management Event Resiliency • Biosolids • Resilient Staffing • Water Reuse • Constituents of • Safety & Physical • Chemical Sustainability I Emerging Concern Security I • January/February May/June • July/August o Employee Involvement o Recap w/Board & Follow Up o Strategic Plan Development • Policy Paper Development • EMT Retreat • September November o Draft Strategic Plan Presented o Final Strategic Plan Presented to Board to Board for Adoption Page 92 V*Irtu -TToU7'- February : from 3 p . m . to 4 p . m . Virtual TM Page `�: _ ORANGE COUNTY SANITATION DISTRICT 93 John Withers Questions Board Vice Chairman (949) 861-1250 jwithers@calstrat.com Page 94 For more Oin rm ion f&I it 0 Visit us at: OCSan.gov Follow us: @OCSanDistrict r] 13 Also on... � Q Page 95 ORANGE COUNTY SANITATION DISTRICT COMMON ACRONYMS ACWA Association of California LOS Level Of Service RFP Request For Proposal Water Agencies APWA American Public Works MGD Million Gallons Per Day RWQCB Regional Water Quality Association Control Board AQMD Air Quality Management MOU Memorandum of SARFPA Santa Ana River Flood District Understanding Protection Agency ASCE American Society of Civil NACWA National Association of Clean SARI Santa Ana River Engineers Water Agencies Interceptor BOD Biochemical Oxygen Demand NEPA National Environmental Policy SARWQCB Santa Ana Regional Water Act Quality Control Board California Air Resources Non-Governmental Santa Ana Watershed CARB Board NGOs Organizations SAWPA Project Authority CASA California Association of NPDES National Pollutant Discharge SCADA Supervisory Control And Sanitation Agencies Elimination System Data Acquisition National Water Research Southern California CCTV Closed Circuit Television NWRI Institute SCAP Alliance of Publicly Owned Treatment Works CEQA California Environmental O& M Operations&Maintenance SCAQMD South Coast Air Quality Quality Act Management District Capital Improvement Orange County Council of SOCWA South Orange County CIP Program OCCOG Governments Wastewater Authority CRWQCB California Regional Water OCHCA Orange County Health Care SRF Clean Water State Quality Control Board Agency Revolving Fund CWA Clean Water Act OCSD Orange County Sanitation SSMP Sewer System District Management Plan CWEA California Water Environment OCWD Orange County Water District SSO Sanitary Sewer Overflow Association EIR Environmental Impact Report OOBS Ocean Outfall Booster Station SWRCB State Water Resources Control Board EMT Executive Management Team OSHA Occupational Safety and TDS Total Dissolved Solids Health Administration US Environmental Protection Professional EPA Agency PCSA Consultant/Construction TMDL Total Maximum Daily Load Services Agreement FOG Fats, Oils, and Grease PDSA Professional Design Services TSS Total Suspended Solids Agreement Per-and Polyfluoroalkyl Waste Discharge gpd gallons per day PFAS Substances WDR Requirements GWRS Groundwater Replenishment PFOA Perfluorooctanoic Acid WEF Water Environment System Federation Water Environment& ICS Incident Command System PFOS Perfluorooctanesulfonic Acid WERF Reuse Foundation IERP Integrated Emergency POTW Publicly Owned Treatment WIFIA Water Infrastructure Response Plan Works Finance and Innovation Act Water Infrastructure JPA Joint Powers Authority ppm parts per million WIIN Improvements for the Nation Act Local Agency Formation PSA Professional Services WRDA Water Resources LAFCO Commission I Agreement I Development Act ORANGE COUNTY SANITATION DISTRICT GLOSSARY OF TERMS ACTIVATED SLUDGE PROCESS—A secondary biological wastewater treatment process where bacteria reproduce at a high rate with the introduction of excess air or oxygen and consume dissolved nutrients in the wastewater. BENTHOS —The community of organisms, such as sea stars, worms, and shrimp, which live on, in, or near the seabed, also known as the benthic zone. BIOCHEMICAL OXYGEN DEMAND (BOD) — The amount of oxygen used when organic matter undergoes decomposition by microorganisms.Testing for BOD is done to assess the amount of organic matter in water. BIOGAS—A gas that is produced by the action of anaerobic bacteria on organic waste matter in a digester tank that can be used as a fuel. BIOSOLIDS—Biosolids are nutrient rich organic and highly treated solid materials produced by the wastewater treatment process. This high-quality product can be recycled as a soil amendment on farmland or further processed as an earth-like product for commercial and home gardens to improve and maintain fertile soil and stimulate plant growth. CAPITAL IMPROVEMENT PROGRAM (CIP) — Projects for repair, rehabilitation, and replacement of assets. Also includes treatment improvements, additional capacity, and projects for the support facilities. COLIFORM BACTERIA—A group of bacteria found in the intestines of humans and other animals, but also occasionally found elsewhere, used as indicators of sewage pollution. E. coli are the most common bacteria in wastewater. COLLECTIONS SYSTEM — In wastewater, it is the system of typically underground pipes that receive and convey sanitary wastewater or storm water. CERTIFICATE OF PARTICIPATION (COP)—A type of financing where an investor purchases a share of the lease revenues of a program rather than the bond being secured by those revenues. CONTAMINANTS OF POTENTIAL CONCERN (CPC) — Pharmaceuticals, hormones, and other organic wastewater contaminants. DILUTION TO THRESHOLD (D/T) —The dilution at which the majority of people detect the odor becomes the D/T for that air sample. GREENHOUSE GASES (GHG) — In the order of relative abundance water vapor, carbon dioxide, methane, nitrous oxide, and ozone gases that are considered the cause of global warming ("greenhouse effect"). GROUNDWATER REPLENISHMENT SYSTEM(GWRS)—Ajoint water reclamation project that proactively responds to Southern California's current and future water needs. This joint project between the Orange County Water District and OCSD provides 70 million gallons per day of drinking quality water to replenish the local groundwater supply. LEVEL OF SERVICE (LOS)—Goals to support environmental and public expectations for performance. N-NITROSODIMETHYLAMINE (NDMA) — A N-nitrosamine suspected cancer-causing agent. It has been found in the GWRS process and is eliminated using hydrogen peroxide with extra ultra-violet treatment. NATIONAL BIOSOLIDS PARTNERSHIP(NBP)—An alliance of the NACWA and WEF,with advisory support from the EPA. NBP is committed to developing and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance and promote public participation to enhance the credibility of local agency biosolids programs and improved communications that lead to public acceptance. PER-AND POLYFLUOROALKYL SUBSTANCES (PFAS) — A large group (over 6,000) of human-made compounds that are resistant to heat,water,and oil and used for a variety of applications including firefighting foam,stain and water-resistant clothing, cosmetics, and food packaging. Two PFAS compounds, perfluorooctanesulfonic acid (PFOS)and perfluorooctanoic acid (PFOA) have been the focus of increasing regulatory scrutiny in drinking water and may result in adverse health effects including developmental effects to fetuses during pregnancy, cancer, liver damage, immunosuppression,thyroid effects, and other effects. PERFLUOROOCTANOIC ACID (PFOA) — An ingredient for several industrial applications including carpeting, upholstery, apparel, floor wax, textiles, sealants,food packaging, and cookware(Teflon). PERFLUOROOCTANESULFONIC ACID (PFOS)—A key ingredient in Scotchgard, a fabric protector made by 3M, and used in numerous stain repellents. PLUME—A visible or measurable concentration of discharge from a stationary source or fixed facility. PUBLICLY OWNED TREATMENT WORKS (POTW)—A municipal wastewater treatment plant. SANTA ANA RIVER INTERCEPTOR (SARI) LINE—A regional brine line designed to convey 30 million gallons per day of non- reclaimable wastewater from the upper Santa Ana River basin to the ocean for disposal,after treatment. SANITARY SEWER—Separate sewer systems specifically for the carrying of domestic and industrial wastewater. SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT (SCAQMD) — Regional regulatory agency that develops plans and regulations designed to achieve public health standards by reducing emissions from business and industry. SECONDARY TREATMENT — Biological wastewater treatment, particularly the activated sludge process, where bacteria and other microorganisms consume dissolved nutrients in wastewater. SLUDGE—Untreated solid material created by the treatment of wastewater. TOTAL SUSPENDED SOLIDS(TSS)—The amount of solids floating and in suspension in wastewater. ORANGE COUNTY SANITATION DISTRICT GLOSSARY OF TERMS TRICKLING FILTER—A biological secondary treatment process in which bacteria and other microorganisms, growing as slime on the surface of rocks or plastic media, consume nutrients in wastewater as it trickles over them. URBAN RUNOFF—Water from city streets and domestic properties that carry pollutants into the storm drains, rivers, lakes, and oceans. WASTEWATER—Any water that enters the sanitary sewer. WATERSHED—A land area from which water drains to a particular water body. OCSD's service area is in the Santa Ana River Watershed.