The URL can be used to link to this page

Home My WebLink About2000-10-11Draft MINUTES OE FINANCE. ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING Orange County Sanitation District Wednesday, October 11, 2000, 5:00 p.m. A meeting of the Finance, Administration and Human Resources Committee of the Orange County Sanitation District was held on October 11, 2000 at 5:00 p.m., in the District's Administrative Office. (1) The roll was called and a quorum declared present, as follows: FAHR COMMITTEE MEMBERS: Directors Present: Thomas R. Saltarelli, Chair Mark Leyes, Vice Chair John M. Gullixson Shirley McCracken Joy L. Neugebauer Peer swan Norm Eckenrode, Board Chair Peter· Green, Board Vice Chair Jan Debay, Past Board Chair OTHERS PRESENT: Tom Nixon, General Counsel Dan Cassidy Barbara Nye Jon Thomsic Jim Colston Bill Lloyd Bob Geggie Ryal Wheeler (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS Directors Absent: Shawn Boyd James W. Silva STAFF PRESENT: Blake Anderson, General Manager Gary Streed, Director of Finance Lisa Tomko, Director of Human Resources Patrick Miles, Director of Information Technology Lisa Lawson, Communications Manager Mike White, Controller Greg Mathews, Asst. to the General Manager Jeff Reed, Human Resources Supervisor Jan Collins, Human Resources Analyst Marc Dubois, Purchasing/Contracts Manager Penny Kyle, Committee Secretary Jon Thomsic and Jim Colston, members of the SPMT negotiating team, spoke to the Directors regarding negotiations with the District for the SPMT bargaining unit. They encouraged the Directors to approve the agreement the SPMT unit approved unanimously in July. FILEO IN THc OFF!i'" OF nii; S<. iiTN y . ORANGE cou: ~ · '='ii 11:1-r.rri• 11Di3TitiC 1 OCT 2 5 2000 f-~ Minutes of the Finance, Administration and Human Resources Committee Meeting Page2 October 11, 2000 (4) RECEIVE. FJLE AND APPROVE MINUTES OF PREVIOUS MEETING It was moved, seconded and duly carried to approve the minutes of the September 13, 2000 and September 21, 2000 Finance, Administration and Human Resources Committee meetings. (5) REPORT OF THE COMMITTEE CHAIR The Committee Chair had no report (6) REPORT OF THE GENERAL MANAGER General Manager Blake Anderson reported on the due diligence effort that staff is conducting on an unsolicited offer for Liberty Ranch and San Joaquin composting sites in Kings and Kem Counties, respectively. Staff believes the property is worth less than the asking price of $72 million, but is interested in the composting sites and possibly half of the 22,000 acres owned in Kings County. It has been difficult to come up with reasonable comparisons on the composting sites. It is likely that staff will resort to an analysis of the revenue stream of the sites rather than the comparisons of prices paid for similar sites. (7) REPORT OF DIRECTOR OF FINANCE Director of Finance Gary Streed referred the Directors to the Treasurer's Report distributed to them that evening. He called their attention to an $885,000 investment in United Kingdom commercial paper in the short-term portfolio. The District is not allowed to purchase this type of commercial paper and PIMCO has remedied that situation at no loss to the District. Mr. Streed also reported he had received a request from the treasurer of Palm Desert for a letter of support for his request to make a change in the government code regarding how much commercial paper special districts, counties and cities can own. Currently the government code and the District's investment policy are the same, and allow the District to put up to 15% of its portfolio into commercial paper. PIMCO and our third party investment advisor like investments in commercial paper. In both long-tenn and short-term portfolios the District has in excess of 14- *% invested in commercial paper. Mr. Streed intends to send a letter of support for this. The Directors were then referred to the Certificates of Participation agenda report. They were reminded that this is the first report since the District's refinancing in August so a few changes had to be made to show that the District has one variable rate issue outstanding instead of two. (8) REPORT OF DIRECTOR OF HUMAN RESOURCES The Director of Human Resources introduced Jan Collins, Human Resources Analyst, to the Directors, who was attending her first meeting to observe. (9) REPORT OF DIRECTOR OF INFORMATION TECHNOLOGY Director of Information Technology Patrick Miles spoke to the Directors regarding a request from last month's committee meeting to look into the possibility of providing laptop computers for all Directors and electronic agenda reports. Minutes of the Finance, Administration and Human Resources Committee Meeting Page3 October 11, 2000 Mr. Miles reported that the cost for hardware per device would be a.pproximately $4,000, in addition to training time per user and recurring support costs. Currently, staff does not have the ability to provide all of the information contained in the agenda packages electronically. Staff has been working on a software application entitled Committee Board Agenda Software (CBAS). This software was to allow staff to provide that information to the public electronically, as well as help facilitate the development of the agenda reports within the agency. Unfortunately, that project is going through some technical difficulties and staff is reassessing that project. Following discussion among Directors they requested staff provide the following: • Provide direction on how to access Committee and Board agendas and minutes on the District's website • Provide Directors with e-mail addresses and phone list of current Board Members • Provide direction on how to subscribe to Brown and Caldwell's daily newsletter on water and wastewater issues • Provide remote access to prior agenda reports or provide information on disc • Advise Directors of long-term strategy regarding e-based systems the District currently has • Provide a "walk-through" to the Directors on what is available on the website and how to access that information • List District's website address on all agendas • List District's website address on District stationery (10) REPORT OF GENERAL COUNSEL General Counsel Tom Nixon had no report. (11) CONSENT CALENDAR ITEMS a. FAHR00-75: Receive and file Treasurer's Report for the month of September 2000. b. FAHR00-76: Receive and file Certificate of Participation (COP) Monthly Report. c. FAHR00-77: Receive and file Employment Status Report as of October 2, 2000. d. FAHR00-78: Recommend to Board of Directors to adopt Resolution No. OCSD 00-_, Amending Resolution No. OCSD 98-33, Amending Human Resources and Policies Procedures Manual. END OF CONSENT CALENDAR Motion: It was moved, seconded and duly carried to approve the recommended actions for items specified as 11 (a) through (d) under Consent Calendar. Minutes of the Finance, Administration and Human Resources Committee Meeting Page4 October 11, 2000 (12) ACTION ITEMS a. F AHR00-79: Recommend to Board of Directors to adopt Resolution No. OCSD 00-_, Motion: Approving District's Records Retention Schedule and Adopting Policies and Procedures, and Repealing Resolution No. OCSD 98-16 It was moved, seconded and duly carried to recommend approval to the Board of Directors. b. FAHR00-80: Recommend to Board of Directors to adopt Resolution No. OCSD 00-_, Motion: Adopting Policy re Sewer Service Fee Refunds Allowing Current Parcel Owners to Receive Sanitary Sewer Service Fee Refunds for Parcels Not Connected to the Sewer System, and Repealing Resolution No. OCSD 99- 25; and, direct staff to process refunds in-house. It was moved, seconded and duly carried to recommend approval to the Board of Directors. (13) INFORMATIONAL PRESENTATIONS There were none. (14) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY There were none. (15) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT Director Gullixson requested that upon completion of the current employee negotiations that an evaluation be done of the negotiation process and how the process can be improved. Director Swan reminded staff that he wanted to make a report on the Groundwater Replenishment System at the November meeting. (16) CONSIDERATION OF UPCOMING MEETINGS The next FAHR Committee meeting is scheduled for November 8, 2000 at 5 p.m. (17) CLOSED SESSION The Committee convened in Closed Session at 6: 11 p.m. pursuant to Government Code Sections 54957.6 to discuss and consider Agenda Item No. 16(a)(1). Confidential Minutes of the Closed Session held by the Finance, Administration and Human Resources Committee have been prepared in accordance with California Government Code Section 54957.2, and are maintained by the Board Secretary in the Official Book of Confidential Minutes of Board and Committee Closed Meetings. No reportable actions were taken re Agenda Item No. 16(a)(1). At 8:05 p.m., the Committee reconvened in regular session. Minutes of the Finance, Administration and Human Resources Committee Meeting Page 5 October11,2000 (18) ADJOURNMENT The Chair declared the meeting adjourned at approximately 8:06 p.m. Submitted by: l'ndon\dola11wp.dtol&gendoV:.AHRIFAHR2<J()(ll20()() Minulea\ 101100 FAHR MIN.doc STATE OF CALIFORNIA) ) SS. COUNTY OF ORANGE ) Pursuant to California Government Code Section 54954.2, I hereby certify that the Notice and the Agenda for the Finance, Administration, and Human Resources Committee meeting to be held on tJ~ // , 200.Q, was duly posted for public inspection in the main lobby of the District's offices on J ef~ L/ 200£2. 1/-~ IN WITNESS WHEREOF, I have hereunto set my hand this ____.._Z-__ day of {)~ ,200Q_. Penny M. K~~. Secretarv// Board of Directors . r I Orange County Sanitation District \\RADON\DATA 1 \WP.DTA\ADMIN\BS\FORMS\AGENDA CERTIFICATION-FAHR COMMITIEE.DOC October 4, 2000 DISTRIBUTION FAHR COMMITTEE MEETING PACKAGE Full Agenda Package Committee & Mailing List Blake P. Anderson• Dan Dillon Marc Dubois Penny Kyle David Ludwin Greg Mathews Patrick Miles• Bob Ooten Lisa Tomko* Gary Streed Lisa Lawson* Robert Ghirelli Mike White* Brad Cagle Julie Matsumoto BobGeggie Jeff Esber Patricia Jonk Lenora Crane Extras Notices and Agenda Only 45 19 1 1 1 2 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 5 (for meeting hand-out, if necessary) 9 Posting 1 Jean Tappan 1 Gail Cain 1 Rose Marsella 1 Frankie Woodside 1 Patricia Magnante 1 Janet Gray 1 Security 1 Plant 1 Control Center 1 Ron Zenk, Dist. 14 Treasurer's Report Only c \\RADON\DATA 1 \WP .OTA\ADMIN\BS\FAHR\DISTRIBUTIONLISTFAHR.OOC phone: (7141 962-2411 mailing address: P.O. Box 8127 Fountain Valley. CA 92728-8127 street address: 10844 Ellis Avenue Fount ain Valley. CA 92708-7018 Member Agencies Cities Anaheim Bree Buena Perk Cypress Fountaln Valley Fuller con Garden Grove Huntington Beach Irvine La Habra La Palme Los Alamitos Newport Beach Orange Placentia Santa Ana Seal Beach Stanton Tustin Villa Park Yorba Linda County of Orange Sanitary Districts Costa Mesa Midway City Water Districts Irvine Ranch ORANGE CO UNTY SANITATI ON DISTRICT October 4, 2000 NOTICE OF MEETING FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE ORANGE COUNTY SANITATION DISTRICT WEDNESDAY, OCTOBER 11 , 2000 -5:00 P.M. DISTRICT'S ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CALIFORNIA 92708 A regular meeting of the Finance, Administration and Human Resources Committee of the Board of Directors of the Orange County Sanitation District, will be held at the above location, date and time. "To Protect the Public Health and the Environment through Excellence in Wastewater Systems· FINANCE. ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING DATES FAHR Committee Meeting Date November 8, 2000 December 13, 2000 No Meeting Scheduled February 14, 2001 March 14, 2001 April 11, 2001 May 9, 2001 June 13, 2001 July 11, 2001 No Meeting Scheduled September 12, 2001 October 10, 2001 Board Meeting Dates November 15, 2000 December 20, 2000 January 24, 2001 February 28, 2001 March 28, 2001 April 25, 2001 May 23, 2001 June 27, 2001 July 18, 2001 August 22, 2001 September 26, 2001 October 24, 2001 ROLL CALL FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE Meeting Date: October 11. 2000 Time: 5 :00 p.m. Adjourn: __ _ COMMITTEE MEMBERS Thomas R. Saltarelli (Chair) Mark Leyes (Vice Chair) Shawn Boyd John M. Gullixson Shirley McCracken Joy L. Neugebauer James W. Silva Peer Swan Norman Z. Eckenrode {Board Chair) Peter Green (Board Vice Chair} Jan Debay {Past Board Chair) OTHERS Tom Woodruff, General Counsel Toby Weissert, Carollo Engineers STAFF Blake Anderson, General Manaaer David Ludwin, Director of Engineerina Bob Ooten, Director of 0 & M Lisa Tomko, Director of Human Resources Gary Streed, Director of Finance Patrick Miles, Director of Information Technoloay Robert Ghirelli, Director of Technical Services Lisa Lawson, Communications Manager Financial Manager Mike White, Controller Greg Mathews, Assistant to General Manaaer Marc Dubois, Contracts/Purchasing Manager Penny Kyle, Committee Secretary c: Lenora Crane October 4, 2000 November Asset Management Presentation Information November LEAD Program Information November Consider Alternative GWRS Strategy Action November Consider Equity Salary Adjustments Action November 1999-2000 Comprehensive Annual Financial Report Action November 2000-01 1st Quarter Financial & Operational Report Action December Consider Annexation Fee Policy Action December Review General Manager approved purchases Action exceeding $50,000 December Consideration of 2001-02 Budget Assumptions Action December Compensation & Classification Study Information AGENDA REGULAR MEETING OF THE FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITIEE ORANGE COUNTY SANITATION DISTRICT WEDNESDAY, OCTOBER 11, 2000, AT 5:00 P.M. ADMINISTRATIVE OFFICE 10844 Ellis Avenue Fountain Valley, California 92708 In accordance with the requirements of California Government Code Section 54954. 2, this agenda has been posted in the main lobby of the District's Administrative Offices not Jess than 72 hours prior to the meeting date and time above. All written materials relating to each agenda item are available for public inspection in the Offlce of the Board Secretary. In the event any matter not listed on this agenda is proposed to be submitted to the Committee for discussion and/or action, it will be done in compliance with Section 54954.2(b) as an emergency item or that there is a need to take immediate action which need came to the attention of the Committee subsequent to the posting of the agenda, or as set forth on a supplemental agenda posted in the manner as above, not less than 72 hours prior to the meeting date. (1) ROLL CALL (2) APPOINTMENT OF CHAIR PRO TEM. IF NE8 ESSARY (3) PUBLIC COMMENTS All persons wishing to address the Finance, Administration and Human Resources Committee on specific agenda items or matters of general interest should do so at this time. As determined by the Chair, speakers may be deferred until the specific item is taken for discussion and remarks may be limited to five minutes. Matters of interest addressed by a member of the public and not listed on this agenda cannot have action taken by the Committee except as authorized by Section 54954.2(b). October 11, 2000 (4) APPROVE MINUTES OF PREVIOUS MEETING Approve minutes of the September 13 and 21, 2000, Finance, Administration and Human Resources Committee meetings. (5) REPORT OF COMMITTEE CHAIR (6) REPORT OF GENERAL MANAGER (7) REPORT OF DIRECTOR OF FINANCE (8) REPORT OF DIRECTOR OF HUMAN RESOURCES (9) REPORT OF DIRECTOR OF INFORMATION TECHNOLOGY (10) REPORT OF GENERAL COUNSEL (11) CONSENT CALENDAR ITEMS Consideration of motion to approve all agenda items appearing on the Consent Calendar not specifically removed from same, as follows: !All matters placed on the consent calendar are considered as not requiring discussion or further explanation and !unless any particular item is requested to be removed from the consent calendar by a Director, staff member or member of the public in attendance, there will be no separate discussion of these items. All items on the consent calendar will be enacted by one action approving all motions, and casting a unanimous ballot for resolutions included on the consent calendar. All items removed from the consent calendar shall be considered in the regular order of business. I Members of the public who wish to remove an item from the consent calendar shall, upon recognition by the chair, jstate their name, address and designate by number the item to be removed from the consent calendar. Jrhe Chair will determine if any items are to be deleted from the consent calendar. ~~-·~~~~~~~~~~~--~~~~~~~~~~~~~~~~~~~~~-' a. FAHR00-75: Receive and file Treasurer's Report for the month of September 2000. The Treasurer's Report will be distributed at the FAHR Committee meeting in accordance with the Board-approved Investment Policy, and in conformance to the Government Code requirement to have monthly reports reviewed within 30 days of month end. 2 b. FAHR00-76: c. FAHR00-77: d. FAHR00-78: October 11, 2000 Receive and file Certificate of Participation (COP) Monthly Report. Receive and file Employment Status Report as of October 2, 2000. Recommend to the Board of Directors to adopt Resolution No. OCSD 00-_, Amending Resolution No. OCSD 98-33, Amending Human Resources and Policies Procedures Manual. END OF CONSENT CALENDAR Consideration of items deleted from Consent Calendar, if any. (12) ACTION ITEMS a. FAHR00-79: b. FAHR00-80: Recommend to the Board of Directors to adopt Resolution No. OCSD 00-_, Approving District's Records Retention Schedule and Adopting Policies and Procedures, and Repealing Resolution No. OCSD 98-16 (Penny Kyle-5 minutes) Recommend to the Board of Directors to adopt Resolution No. OCSD 00-_, Adopting Policy re Sewer Service Fee Refunds Allowing Current Parcel Owners to Receive Sanitary Sewer Service Fee Refunds for Parcels Not Connected to the Sewer System, and Repealing Resolution No. OCSD 99-25; and, direct staff to process refunds in-house. (Mike White-10 minutes) (13) INFORMATIONAL PRESENTATIONS (14) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTALAGENDA ITEMS. IF ANY (15) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT (16) FUTURE MEETING DATES The next Finance, Administration and Human Resources Committee Meeting is scheduled for November 8, 2000, at 5 p.m. 3 October 11, 2000 (17) CLOSED SESSION i During the course of conducting the business set forth on this agenda as a regular meetihg of the Committee, ~, Chair may convene the Committee in closed session to consider matters of pending real estate negotiations, pending or potential litigation, or personnel matters, pursuant to Government Code Sections 54956.8, 54956.9, 54957 or 54957.6, as noted. Reports relating to (a) purchase and sale of real property; (b) matters of pending or potential litigation; (c) employee actions or negotiations with employee representatives; or which are exempt from public disclosure under the California Public Records Act, may be reviewed by the Committee during a permitted closed session and are 1not available for public inspection. N. such time as final actions are taken by the Committee on any of these jsubjects, the minutes will reflect all required disclosures of information. A. Convene in closed session. 1. Confer with District's Labor Negotiators (Human Resources Representative and General Manager) re salaries, benefits, terms and conditions of employment for employees represented by SPMT Unit (Government Code Section 54957.6). B. Reconvene in regular session. C. Consideration of action, if any, on matters considered in closed session. (18) ADJOURNMENT I Notice To Committee Members: !For any questions on the agenda or to place any items on the agenda, Committee members should contact the Committee !Chair or Secretary ten days in advance of the Committee meeting. ! !c ommittee Chair: !committee Secretary: Thomas Saltarelli Penny Kyle (949) 833--9200 (714) 593-7~.1_30 ___ _ 4 MINUTES OF FINANCE. ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING Orange County Sanitation District Wednesday, September 13, 2000, 5:00 p.m. A meeting of the Finance, Administration and Human Resources Committee of the Orange County Sanitation District was held on September 13, 2000 at 5:00 p.m., in the District's Administrative Office. (1) The roll was called and a quorum declared present, as follows: FAHR COMMITTEE MEMBERS: Directors Present: Thomas R. Saltarelli, Chair Mark Leyes, Vice Chair Shawn Boyd John M. Gullixson Shirtey McCracken Joy L. Neugebauer Peer Swan Peter Green, Board Vice Chair Jan Debay, Past Board Chair OTHERS PRESENT: Tom Woodruff, General Counsel Jeff Bower (2) APPOINTMENT OF CHAIR PRO TEM Directors Absent: Norm Eckenrode, Board Chair Mark A. Murphy James W . Silva STAFF PRESENT: Blake Anderson, General Manager Gary Streed, Director of Finance Lisa Tomko, Director of Human Resources Bob Ooten, Director of Operations & Maintenance Steve Kozak, Financial Manager Mike White, Controller Greg Mathews, Asst. to the General Manager Marc Dubois, Purchasing/Contracts Manager Penny Kyle, Committee Secretary Director Peter Green was appointed Chair Pro Tern until Director Saltarelli arrived. (3) PUBLIC COMMENTS There were no public comments. (4) RECEIVE, FILE AND APPROVE MINUTES OF PREVIOUS MEETING It was moved, seconded and duly carried to approve the minutes of the July 12, 2000 Finance, Administration and Human Resources Committee meeting. Director Neugebauer abstained. Minutes of the Finance, Administration and Human Resources Committee Meeting Page2 September 13, 2000 (5) REPORT OF THE COMMITTEE CHAIR Chair pro tem Peter Green indicated a need to add an additional item to the Closed Session, needing immediate action that arose subsequent to the publication of the Agenda. He reported that an additional item could be added pursuant to California Government Code Section 54954.2(b) upon a two-thirds' vote of the Committee. No other item would be discussed or acted upon. MOVED, SECONDED AND DULY CARRIED: To add Agenda Item No. 16(a)(2), pursuant to authority of Government Code Section 54954.2, to authorize discussion and consideration of the following item which arose subsequent to the posting of the Agenda and which requires action at this time, to with: Crow Winthrop Development Limited Partnership v. Orange County Sanitation District, et al., Orange County Superior Court Case No. 000002012 (Government Code Section 54956.9). Director Swan abstained. (6) REPORT OF THE GENERAL MANAGER General Manager Blake Anderson reported that the District is conducting a meeting on September 20111 at the Garden Grove Community Center regarding new federal regulations for city sewer systems that establish construction, maintenance, operations and management (CMOM) requirements. It was also announced that the District would be holding a Spill Prevention and Response Workshop on September 26, at the Fountain Valley Community Center. (7) REPORT OF DIRECTOR OF FINANCE Director of Finance Gary Streed referred the Directors to several handouts they were provided that evening, which included an Executive Summary of the current budget, Report on Excess Workers Compensation Insurance, the Treasurer's Report and a report on the Certificates of Participation package. Mr. Streed then announced that Steve Kozak, Financial Manager, had submitted his resignation to the District to become a Deputy Treasurer of the Los Angeles International Airport Commission. (8) REPORT OF DIRECTOR OF HUMAN RESOURCES The Director of Human Resources referred the Directors to a handout provided that evening that was not included with the agenda report regarding FAHR00-72. (9) REPORT OF GENERAL COUNSEL General Counsel Tom Woodruff had no report. (10) CONSENT CALENDAR ITEMS a. FAHR00-64: Receive and file Treasurer's Report for the month of August 2000. b. FAHR00-65: Receive and file Certificate of Participation (COP) Monthly Report. Minutes of the Finance, Administration and Human Resources Committee Meeting Page 3 September 13, 2000 c. FAHR00-66: Receive and file Employment Status Report as of August 21, 2000. d. FAHR00-67: Recommend to Board of Directors to receive and file Quarterly Investment Management Program Report for the period April 1, 2000 through June 30, 2000. e. FAHR00-68: Receive and file FY 1999-00 End of Year Operational Report. f. F AHR00-69: Receive and file report of General Manager approved purchases in amounts exceeding $50,000 in accordance with Board purchasing policies. END OF CONSENT CALENDAR Motion: It was moved, seconded and duly carried to approve the recommended actions for items specified as 10{a) through (f) under Consent Calendar. (11) ACTION ITEMS a. FAHR00-70: Recommend to Board of Directors to authorize the Contracts/Purchasing Motion: Manager to transition from the pilot phase to a permanent, full-scale procurement card program. It was moved, seconded and duly carried to recommend approval to the Board of Directors, and to provide the FAHR Committee with a report of usage after the first year. b. F AHR00-71 : Recommend to Board of Directors to authorize the General Manager to Motion: solicit proposals and award a Consultant Services Agreement for a District-wide compensation and classification study (Specification No. P-192) in an amount not to exceed $120,000. It was moved, seconded and duly carried to recommend approval to the Board of Directors, and to further provide that the selected consultant will review with the FAHR Committee his approach to the study, and to provide periodic reports to said Committee. c. FAHR00-72: Recommend to Board of Directors to Adopt Resolution No. OCSD 00-_, Motion: Amending Resolution No. OCSD 98-33, Amending Human Resources and Policies Procedures Manual, providing for: (1) Create Communications Services Manager classification at pay range E13 ($67,128 -$94,932); and (2) Create HRIS Analyst classification at pay range E5 ($45,396 - $64,212). It was moved, seconded and duly carried to recommend approval to the Board of Directors. Minutes of the Finance, Administration and Human Resources Committee Meeting Page4 September 13, 2000 d. FAHR00-73: Recommend to Board of Directors to Adopt Resolution No. OCSD 00-_, Motion: Directing the County Tax Collector to Include Sanitary Sewer Service Charges on the 2000-01 Property Tax Bills, and Repealing Resolution No. OCSD 99-11 . It was moved, seconded and duly carried to recommend approval to the Board of Directors. (12) INFORMATIONAL PRESENTATIONS a. FAHR00-74: Changes at the District Since 1985-86 Gary Streed, Director of Finance, gave a brief report on the changes at the District since 1985/86 to present. This report was given because the FAHR Committee, during the budget process, noted that the budgeted cost to treat and dispose of one million gallons had increased from $305/mg in 1985-86 to $514/mg in 2000-01 . These years were compared because the average daily flow was approximately the same. (13) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY Director Gullixson requested staff to consider providing laptop computers for all Directors, and to provide agenda material electronically. (14) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT Director Swan requested that he be allowed to bring an alternative to the Groundwater Replenishment System before the Committee for their consideration. (15) CONSIDERATION OF UPCOMING MEETINGS The next FAHR Committee meeting is scheduled for October 11, 2000 at 5 p.m. (16) CLOSED SESSION The Committee convened in Closed Session at 6:55 p.m. pursuant to Government Code Sections 54957.6 and 54956.9 to discuss and consider Agenda Item Nos. 16(a)(1) and (2). Confidential Minutes of the Closed Session held by the Finance, Administration and Human Resources Committee have been prepared in accordance with California Government Code Section 54957.2, and are maintained by the Board Secretary in the Official Book of Confidential Minutes of Board and Committee Closed Meetings. No reportable actions were taken re Agenda Item Nos. 16{a)(1) and (2). At 9:00 p.m., the Committee reconvened in regular session. Minutes of the Finance, Administration and Human Resources Committee Meeting Page 5 September 13, 2000 (17) ADJOURNMENT The Chair declared the meeting adjourned at approximately 9:00 p.m. Submitted by: Penny FAHR l~ldele1\wp.dteWIQende\FAHRIFAHR2000\2000 Minules\001300 FA>IR MIN.doc MINUTES OF FINANCE. ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING Orange County Sanitation District Thursday, September 21, 2000, 5:00 p.m. A special meeting of the Finance, Administration and Human Resources Committee of the Orange County Sanitation District was held on September 21 , 2000 at 5:00 p.m., in the District's Administrative Office. (1) The roll was called and a quorum declared present, as follows: FAHR COMMITTEE MEMBERS: Directors Present: Thomas R. Saltarelli, Chair Mark Leyes, Vice Chair Shawn Boyd John M. Gullixson Shirley McCracken Joy L. Neugebauer Peer Swan Norm Eckenrode, Board Chair Peter Green, Vice Board Chair Jan Debay, Past Board Chair OTHERS PRESENT: Tom Woodruff, General Counsel Brian Walter, Special Labor Counsel (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary (3) PUBLIC COMMENTS There were no public comments. (4) REPORT OF THE COMMITTEE CHAIR The Committee Chair had no report Directors Absent: James W. Silva STAFF PRESENT: Blake Anderson, General Manager Gary Streed, Director of Finance Lisa Tomko, Director of Human Resources Marc Dubois, Contracts/Purchasing Manager Lisa Lawson, Communications Manager Greg Mathews, Asst. to the General Manager Jeff Reed, Human Resources Supervisor Penny Kyle, Committee Secretary (5) REPORT OF THE GENERAL MANAGER The General Manager had no report. (6) REPORT OF DIRECTOR OF FINANCE The Director of Finance had no report Minutes of the Finance, Administration and Human Resources Committee Meeting Page2 September 21 , 2000 (7) REPORT OF DIRECTOR OF HUMAN RESOURCES The Director of Human Resources had no report. (8) REPORT OF GENERAL COUNSEL General Counsel Tom Woodruff had no report. (9) CLOSED SESSION It was announced that the Committee would meet in Closed Session with the District's Labor Negotiators (Special Labor Counsel, Director of Human Resources, and General Manager), as authorized by Government Code Section 54957.6, to discuss and consider labor negotiations with the SPMT Unit. The Committee convened in closed session at 5:01 p.m. Confidential Minutes of the Closed Session held by the Finance, Administration and Human Resources Committee have been prepared in accordance with California Government Code Section 54957.2, and are maintained by the Board Secretary in the Official Book of Confidential Minutes of Board and Committee Closed Meetings. No reportable actions were taken re Agenda Item No. 9(a)(1). At 7:40 p.m., the Committee reconvened in regular session. (15) CONSIDERATION OF UPCOMING MEETINGS The next FAHR Committee meeting is scheduled for October 11 , 2000 at 5 p.m. (17) ADJOURNMENT The Chair declared the meeting adjourned at approximately 7:40 p.m. Submitted by: PennyM. le FAHR Committee Secret~ FAHR COMMITTEE Meeting Date 10/11/2000 AGENDA REPORT It.em Number FAHR00-76 Orange County Sanitation District FROM: Gary Streed, Director of Finance SUBJECT: CERTIFICATES OF PARTICIPATION (COP) MONTHLY REPORT- SEPTEMBER 2000 GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. It.em Number Receive and file Certificates of Participation (COP) Monthly Report for the month of September 2000. SUMMARY The District began issuing Certificates of Participation (COPs) on a variable interest rate basis in 1990. These variable rate COPs were a part of our long-term financing plan which also included some more traditional fixed rate borrowing. In 1992 and 1993, some of the fixed rate COPs were refunded and replaced with synthetic-fixed rate COPs. These are variable interest rate COPs that are also subject to a long-term fixed-rate interest exchange agreement (SWAP). The SWAP provides the maximum interest rate to be paid by the District, and is less costly than traditional fixed rate borrowing. In August 2000, the entire financing program was restructured and modernized to incorporate and take advantage of the consolidation of District books of account and revenue structure. This process has reduced the number of COP issues from five to three; 1992 Refunding COPs, 1993 Refunding COPs and 2000 Refunding COPs. The 2000 COPs can be divided into Series A and Series 8, if additional remarketing agents are desired. Variable interest rate COPs can be put back on the market by the buyer each day. When this happens, they must be remarketed or sold to another buyer. This process, called remarketing, is generally provided by a municipal bond underwriter. The remarketing agent sets the interest rate they believe is required to sell the COPs. Some issuers believe that having more than one remarketing agent promotes competition and results in lower interest costs. Staff has monitored variable interest rate issues of other agencies since the inception of our program. The attached charts are described in the "Additional Information" section of this agenda report. They are provided monthly to compare our actual interest rates to a composite index, and to other selected issuers of similar credit quality, and with COP issues of similar amounts. Many variables affect interest rates, but staff expects our rates to be among the lowest. H:\wp.dtala(lenda\FAHRIFAHR~ Agenda Repor1slFAHR00.78.doc R8'iiAd: 812<W6 Page 1 PROJECT/CONTRACT COST SUMMARY N/A BUDGET IMPACT 0 This item has been budgeted. (Line item: ) 0 This item has been budgeted, but there are insufficient funds. 0 This item has not been budgeted. (81 Not applicable (information item) ADDITIONAL INFORMATION The first graph entitled, "OCSD COP Rate History Report," shows the actual variable interest rates paid on each of the daily rate COPs since the last report, and the effective fixed rate for the two refunding issues which are covered by an interest rate exchange agreement commonly called a "swap". The second bar chart entitled, "Comparative Daily COP Rate History Report," shows the performance of the District's Daily Rate COPs as compared to a composite index rate, which represents the average rate of six similar variable rate daily reset borrowings. The third bar chart entitled, "COP Rate History, Comparison of Highest & Lowest Rates," compares the performance (monthly average interest rate) of the District's Daily Rate COPs with the highest and lowest monthly average rates from among six similar variable rate daily reset COPs. The table entitled, "COP Rate History, Comparison of Monthly Averages," shows the monthly variable interest rate performance of the District's Daily Rate COPs as compared to the composite index. Estimated annual interest payments calculated for a standard $100 million par amount, are also shown. Variable rates historically rise at the end of each calendar quarter, and especially at year-end, because of business taxes and liquidity requirements. The rates tend to decline to prior levels immediately in the following month. Staff maintains continuous rate monitoring and ongoing dialog with the remarketing agents to keep the Committee fully informed about developments in the program as they may occur. ALTERNATIVES N/A CEQA FINDINGS N/A H:\Wp.dtalaQenda\FAHR\FAHR21:JOru!OOO Agenda Repo!lllFAHR00.78.doc R9"isec:I: 8l2W98 Page2 ATTACHMENTS 1. Graph -OCSD COP Daily Rate History Report 2. Graph -Comparative Daily COP Rate History Report 3. Graph -COP Rate History, Comparison of Highest & Lowest Rates 4. Tabular -COP Rate History, Comparison of Monthly Averages GGS:lc H:\wp.cb..-~AHRIFAHR2000l2000 Agenda Repofta\FAHR00-78.doe Rellloled: 8'20/98 Page3 oo-das-oz oo-das-90 oo-6n'1-CZ oo-Bnv-so t-oo-1nr-9z et:: 0 oo-1nr-z~ a. w oo-unr-ez et:: ~ 0 0 0 I-0 tnN - tV oo-unM~ 3'; 0(/) 0 c:: oo-Aew-~c OQ> NC!) ~g oo-Aew-L~ 0..(J) ++ oo-Aew-co ::c: r:Z WW OO·JdV-6~ ('I) t-al ~~ > t- ...I a. -w ~ fl) c oo-JdV-SO a> .... Q) .c .c oo-Jew-zz Q) CV ~ 3'; Q)(/) oo-Jew-eo .!:(!) tV-a..< oo-qa:1-cz t+ a. 00-qa.:1-so 0 0 oo-uer-gz c oo-uer-z~ fl) 0 66-:>aQ-6Z 0 66-oao-s~ ..... a> ~ ll. ~ -§ ~ § .... Gi g Ill c: u: co >-.D ~ !. ! ll. i-: 66-09()-~0 (/) :I: w I-66-AON-J. ~ < ~ 0 c: 66-AON-CO ftl c: ~ Ci 6G-i=>o-oz ~ g ss-i=>o·so ~ c: -0 s; ftl w 'I:! I-~ <( c , c; (%)3!W Prepared by Finance, 10/02/2000, 1 :28 PM COMPARATIVE DAILY COP RATE HISTORY REPORT SEPTEMBER, 2000 4.00 +------------------------iA!!l 2.00 1.00 0.00 DATE O> O> O> 0 0 0 0 0 0 0 0 O> O> O> 0 0 0 0 c 0 0 0 tf > <i c ..c .... -..: >: c :; ci 0 Q) IV Q) IV ~ IV :l c¥ 0 z c ..., u. :E :E ..., ..., •ocso C COMPOSITE INDEX G:\excel.dte\fin\2220\geggi\Finence\deilycopintrate.xls 0 0 ti Q) en COP RA TE HISTORY COMPARISON OF HIGHEST & LOWEST RA TES 4.90 ........................................ --..... -----... ----------· --------....................... __ .,. ____ . -----........................................... -..................................................... --------------·------.... --.. -......... -----·---·------------·--· ._. ............ . 4.65 ................................................... . 4.40 .......................................... . 4.15 --·····-·····------·-···················· 3.90 .................................... _. ______ .,. ........ . ;t' 3.65 0 -w I-~ 3.40 .... 3.15 .... 2.90 2.65 2.40 .... 2.15 .... HIGH LOW G:\excel.dta\fin\2220~eggl\Flnance\RATEHIST _HILO _bargraph 0 OCSD/PW 2000 8/31/00 • OCSD/PaineWebber &::I Lowest rate Prepared by Finance, 10/02/2000, 1 :39 PM Prepared by Finance, 10/02/2000, 2:39 PM - DAILY COP RA TE HISTORY COMPARISON OF MONTHLY AVERAGES OCTOBER, 1999 -SEPTEMBER, 2000 OCSD $218.6M $100M $98.5M $46M Series 2000 Series"A" Series"C" Series 93 Ref PaineWebber Paine Webber J.P. Morgan Paine Webber Oct-99 2 .99 3.01 2.99 Nov-99 3.36 3.30 3.36 Oec-99 2.93 3.01 2.93 Jan-00 2.51 2.53 2.51 Feb-00 1.95 1.97 1.95 Mar-00 3.20 3.18 3.20 Apr-00 3.46 3.44 3.46 May-00 4.76 4.80 4.76 Jun-00 4.10 4.10 4.10 Jul-00 3.73 3.71 3.73 Aug-00 3.34 3.33 3.34 Sep-00 3.65 3.65 AVERAGE 3.65% I 3.30% I 3.31% I 3.33% ESTIMATED ANNUAL INTEREST PAYMENTS PER $100M PAR AMOUNT $ 3.650,000 I s 3,300.000 I s 3,310,000 $ 3,330,000 "FOOTNOTE Composite index consists of the following COP transactions: • IRWD, Series 86-COP, 88, 95, $106.1M, Solomon Smith Barney • IRWD, Series C-Ref93-B, 85-8, $62.1M, Lehman Brothers • IRWD, Series 91, 93, 85, $93.0M, PaineWebber • IRWD, Series 89, C-Ref 93-A, C-Ref 95, $70.9M, Merrill Lynch $ • Western Riverside Co. Reg. Wastewater Auth., Series 96, $25.4M, PaineWebber • Orange Co., Irvine Coast Asst. Dist. 88-1 , $94.5M, J.P. Morgan • SCE, $192M, Lehman G:\excel.dta\fin\2220\geggi\Finance\COPdaily$rate comparison Composite Index• 3.03 3.38 2.97 2.50 1.99 3.22 3.49 4.73 4.11 3.74 3.33 3.65 3.35% 3,350,000 FAHR COMMITTEE Meeting Date To Bel. of Dir. 10/11/00 10/25/00 AGENDA REPORT Item Number Item Number FAHR00-7.7 Orange County Sanitation District FROM: Lisa Tomko, Director of Human Resources & Employee Development Originator: John Weingarden, Human Resources Analyst SUBJECT: EMPLOYMENT STATUS REPORT AS OF OCTOBER 2, 2000. GENERAL MANAGER'S RECOMMENDATION Receive and file the Employment Status Report. SUMMARY Total FTE headcount at the District as of OCTOBER 2, 2000 is 499.00. PROJECT/CONTRACT COST SUMMARY Not applicable. BUDGET IMPACT D This item has been budgeted. {Line item: ) D This item has been budgeted, but there are insufficient funds. 0 This item has not been budgeted. [8J Not applicable (information item) ADDITIONAL INFORMATION The District had a full-time equivalent (FTE) headcount of 499.00 as of October 2, 2000. The actual number of employees was 511. There were two promotions during the month of September: • Kent Nelson, Pump Power Operator to Lead Pump Power Operator (Cogeneration) • Tracey Murphy, Plant Operator to Pump Power Operator (Cogeneration) There was one new employee hired during the month of September: • Senior Human Resources Analyst (Human Resources) llradon\dala1'eNp.cllalagendalFAHRIFAHR20CXl'l2000 Agenda Repo<ts\FAHR00.77.dot Reviud: 8l2Ml8 Page 1 ALTERNATIVES Not applicable. CEQA FINDINGS Not applicable. ATTACHMENTS October 2, 2000 Employment Status Report. Performance compared to 00-01 Budget FTE's. \ll..ion\deta1W<p.cllll\aglnclll\FAHRIFAHR2000\2000 Agenda Reporta\FAHROO.n.dot R...tMd: 8l20IGe Page2 10/0212000--2:35 PM Employment Status Report A B c D E F G H K ' Regular Regular Actual Budget Currcmt Recruitments "Vacant" Regular Part-time Part· rime FTE FT.E. Positions Full-lime 20 hours 30 hours Contract Intern LOA Count 00-01 DCJcriptibn Number FYO~I l:(A: F) Shaded 19CrUtlnrtnts (H·G-J) below have been offered 11 O -General Management Admin 3.00 0.00 o.oo 0.00 0.00 0.00 3.00 3.00 o.oo General Management Totals 3.00 0.00 0.00 0.00 0.00 0.00 3.00 3.00 0.00 210 -Finance Administration 400 0 00 0.00 0 00 0.00 0.00 4.00 4.00 0.00 220 -Accounting 14.00 0.00 000 0.00 0.00 0.00 1•.00 15.00 Sr. Acct. Cler1c 1.00 0.00 230 -Purchasing & Warehousing 14.00 1.50 0.00 0.00 0.00 o.oo 15.50 17.50 Contract Admin. 1.00 1.00 Finance Totals 32.00 1.50 0.00 0.00 0.00 0.00 33.50 36.50 2.00 1.00 31 o -Communications 8,00 0.00 0,00 0.00 0.00 1.00 9.00 9.00 Public Info Officer 1.00 -1.00 Communications Totals 8.00 0.00 0.00 0.00 0.00 1.00 9.00 9.00 1.00 ·1.00 S10-HR & Employee Development 900 0.00 0,75 0.00 0.00 0.00 9.75 10.25 0,50 Human Resources Totals 9.00 0.00 0.75 0.00 0.00 o.oo 9.75 10.25 o.50 610 -Technical Services Admin 2.00 0.00 0,00 0.2S 0.00 0.00 2.25 2.00 ~.25 620 -Environmental Compt & Monll 1800 000 000 0.00 1.00 0.00 19.00 19.00 0.00 630 • Environmental Laboratory 27 00 200 0.00 0.00 0.50 0.50 30.00 32.00 Sr & Lab Analyst 2.00 0.00 640 -Source Control 33.00 0,00 0,7S 0.00 0.00 0,00 33.75 34.00 0.25 6SO • Safely & Emergency Response 800 000 0.00 0.00 o.so 0.00 8.50 7.50 -1.00 Technical Services Totals 88.00 2.00 0.75 0.25 2.00 0.50 93.50 94.50 2.00 ·1.00 710. Engineering Administration 300 000 0.00 o.oo o.oo 0.00 3.00 3.00 0.00 720 -Planning & Design Engineering 3000 000 075 0.00 050 o.oo 31.25 34.25 OMS Tech & lnten 1.50 1.50 730 -Construction Management 35 00 000 0,00 0,00 0.00 1.00 36,00 36.00 Const or Sr. tnsp 1 00 -1.00 Engineering Totals 68.00 0.00 0.1~ 0.00 0.50 1.00 70.25 73.25 2.50 0.50 420 -Collectlon Facilrties Mtce FSO 0,00 0.00 0,00 QOO 0,00 17.50 18.50 Coll facWrkr 1 00 0.00 430 • Plant Maintenance 30.50 0.00 0.00 0.00 0.00 0.00 30.50 29.SO ·1.00 810-O & M Administration 200 000 0.00 0.00 0.00 o.oo 2.00 200 0.00 820 -0 & M Process Support 900 000 000 0.50 0.50 0.00 10.00 9.50 .0.50 830 ·Plant 1 Operations 31 00 0.50 000 0,00 o.oo 0.00 31.50 33.00 OIT or Operator 1 00 0.50 840 -Plant 2 Operations 3900 0,00 0.00 000 0,00 0.00 39.00 36.50 ~.so 850 • Mechanical Mice 44 00 000 000 000 000 0.00 44.00 44.50 Lead Mech 1.00 ~.so 860 -Electrical & Instrumentation Mtce 5500 000 0.00 000 o.oo 0.00 SS.00 SS.SO a.so 8 70 -Cogeneration 900 0.00 0.00 0.00 000 0.00 9.00 9.00 PPO 1.00 -t.00 - 880 -Air Quality & Special Projects 900 0.00 000 0,00 0.50 0.00 9.50 10.50 1.00 Operations & Maintenance Totals 246.00 0.50 0.00 0.50 1.00 p.oo 248.00 250.50 4.00 ·1.50 910 ·IT Admin 200 0.00 000 0.00 0.00 0.00 2.00 2.00 0.00 930 • Customer & Network Support t2.00 0.00 0.00 0.00 0.00 0.00 12.00 12.00 0.00 940 • Programming & Database Sys 9.00 0.00 0,00 0.00 000 o.oo 9.00 10.00 1.00 950 -Process Controls Integration 9.00 0.00 0,00 0.00 0.00 0.00 9.00 9,00 0.00 Information Technology Totals 32.00 0.00 0.00 0.00 0.00 0.00 32100 33.00 1.00 Staftlng Totals 486.ool 4.001 2~1 o.751 3.sol 2.50 489.00 510.00 11.60 -0.50 Recruitments pending, but not offered: 9.50 . Offers Outstanding: 2~00 .. A.::tual FTE'a wit!\ CWftnt recrul!mtnts flUed: 510.50 • Detail on "Recrujtments peodlog. but 001 offered" shown under Current Recruttments I Description. • • Detail on "Offers Outstanding" shown bold/shaded under Cunent Recruttments I Number. g:lexcel.dta\hr\510\weingarden\Employment Status Repon Performance to Staffing Plan -- 520 •---·--515 ---·-. - 510 ---·-. -. -. ---·-. -·-. -·-. ---- 505 500 495 .. ~ ,/~ ,,,.. ~ ..... ... .....--... -. • 490 485 • FTE Headcount -·• · -Staffing Plan 480 I I I I I I I I I I I I I I I I I ' I I I I I I I J A s 0 N D J F M A M J J A s 0 N D J F M A M J J I FY 99-00 I I FY 00-01 I -------------------------------- FAHR COMMITIEE Meeting Date 10/11/00 AGENDA REPORT Item Numbg--111/J~cti -? Orange County Sanitation District FROM: Lisa Tomko, Director of Human Resources Originator: Denise Martinez, Human Resources Assistant SUBJECT: CHANGES AND ADDITIONS TO HUMAN RESOURCES POLICIES AND PROCEDURES AS AUTHORIZED BY RESOLUTION 98-33. GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 00-XX, amending Resolution No. OCSD 98-33, Amending Human Resources and Policies Procedures Manual. SUMMARY The attached policies are routine updates or additions to maintain consistent language with the Memorandums of Understanding (MOU) and/or new legislation or to explain procedures more clearly. Copies of all policies affected are attached. Additional language is highlighted in gray; deleted language is lined through. PROJECT/CONTRACT COST SUMMARY None BUDGET IMPACT D This item has been budgeted. (Line item: ) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. ~ Not applicable (information item) ADDITIONAL INFORMATION Policy Number From To And Subject Reason For Change To Bd. of Dir. 10/25/00 Item Number A10.00 -Definition ofTerms Current Language. Add Intern and Temporary Updates to clarify policy. C10.00 -Exhibit "A" Current Language. H:\wp.dta\hr\open\tomkollAR·P& P Updale Ocl 00-Final.doc Created on 09129100 9:13 AM Worker definition. Clarify Limited Term and Regular employee definition. Update Exhibit "A'', Local 501 Per the negotiated MOU. pay ranges and job titles. C120.00-Part-Time Employee Status Current Language. & Benefits 010.00'-Leave of Absence wi1h Pay Current Language. 030.00-Holidays Current Language. 070.00-Relirement Current Language. E80.00 -Cellular Telephone Current Language. ALTERNATIVES N/A CEQA FINDINGS N/A ATTACHMENTS 1. A10.00 2. C10.00 Definition of Terms Exhibit "A" Clarify purpose and organizational units affected. Title change. Delete obsolete language. Clarify 40 hours of personal leave usage not required for Confidential Group. Clarification that part-time employees do not receive overtime pay for holidays worked. Delete obsolete information. Current Language. 3. C120.00 4. 010.00 Part-Time Employee Status & Benefits Leave of Absence with Pay 5. 030.00 Holidays 6 . 070.00 Retirement 7. E80.00 Cellular Telephone G:lntglobal\Agenda Draft Reports\FAHRIAR • P& P Update Oct OO·Final.doc Created on 09/28/00 4:41 PM Updates to clarify policy. Confidential Group moved to Personal Leave Program. Clarifies application of overtime pay on holidays. Update policy. New Policy. ~ Orange County Policy Number: A10.00 Sanitation District Effective Date: CeGe~bar a, 1 gga -~ Ootobe..J&51~2~q Subject: DEFINITIONS OF TERMS Supersedes: Q~g9er .a~, ~ QQ+ D'i,Cw.Qt;ier:; 9 ~ 'l ~'98 Approved by: 1.0 PURPOSE 1.1. The purpose of this policy is to establish uniform definitions of terms used in the District's policies and procedures. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1. This policy applies to all District employees. 3.0 DEFINITIONS At Will E_m,J~loy~es include the General Manager woo ~erves at the pleasure o'f;the Board of®1i'.ecto~ and any Executive Management employee who has signed an agreeme«nt to serve at the pleasure of the Jgir:it agargr; QF tl:~e General Manager. An "at- will" employee may be dismissed without notice or cause. "At-will" employees do not serve an initial probationary period. They are· Regular employ.ees. Call-Back Pay is paid to an employee by the District when an employee is called back to work by management without prior notice, and the employee has completed his or her normal work shift and left the plant, or when prior notice is given but the work begins on the same day at least three hours after completion of the regular shift, the employee shall receive a minimum of three hours of call-back pay. Classifications are groups of positions, regardless of location, which are alike enough in duties and responsibilities to be called by the same descriptive title, to be given the same pay scale under similar conditions, and to require substantially the same qualifications. Core Hours are the hours between 8:00 a.m. and 4:00 p.m. Day Shift is an assigned work shift of at least seven consecutive hours between 6:00 a.m. and 6:00 p.m. Discipline is the occurrence of any of the following act ions taken for just cause with respect to any employee: oral reprimand, counseling memo, written warning, suspension with or without pay, deferral or denial of a merit increase, reduction in pay, demotion to a classification with a lower top step of pay, or dismissal. Page 1 of6 Dismissal is a separation from District employment of a non-probationary employee initiated by the District for proper cause. District means the Orange County Sanitation District. Executive Management employees include the General Manager, Assistant General Managers, the Director of Finance, the Director of Engineering, the Director of Technical Services, the Director of Communications, the Director of Operations and Maintenance, the Director of General Services Administration, the Director of Information Technology, the Director of Ht.Jman Resources, the Communicati0ns Manag'ef, artd t:fre Assfstam tO !'he General'Manager. · Exempt Employees are employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees are considered exempt by virtue of their duties in conformance with the Act's definition of Executive, Administrative and Professional responsibilities. Flextime is the ability of employees to choose their starting and finishing times so long as employees are present between the core hours of 8:00 a.m. and 4:00 p.m. Grievance is any complaint that management has violated a specific written policy or provision of a Memorandum of Understanding (MOU). Harassment for purposes of this policy, includes conduct that is so severe and pervasive that it creates a hostile and abusive working environment, and interferes with an employee's ability to do his or her job. Immediate Family is defined as an employee's father, father-in-law, mother, mother-in- law, brother. sister, husband, wife, child, grandparent, legal guardian, or any family member with whom the employee resides. Interns are part-time employees whe i:egularty worK:less than 80 hours in a bl~weekl-y pay period. They must concurrently oe attel'lding an ~ccredlted coJlege or CJnlversttY on ~ fuU-time basis and be purs.uJag a.degree In a nelO related to the DiS,_lrict1s btisif)ess, atlas determined by the District They are not Regularemployees and are not entitled to participate in, or receive, '3ny Dis~rict benefits. including but not limited to vacatlen and sick leave accrual, insurance and retirement. Joint Administrative Organiµttion (JAO) is the organization that governs and sets policy for the Orange County Sanitation District owing its legal existence to a joint powers provision in the County Sanitation District Act. In Orange County, this is implemented by the July 1, 1985 Joint Ownership, Operation and Construction Agreement amGRQ the U161ivi61blal aaRitatieR Oi&tfists. Layoff is the involuntary release of an employee due to lack of work or lack of funds. Page 2 of6 L.il:~ited Te~ CeRtra~ EiFRpleyees aFe U:iose ir:ieli';ielblaJ& who weFk fur tl:le Oistrist f'lblFSblaRt to a writteR ernploy1+1eRt agreer::i:ier:it apprg',ieel 9y the GeRei:al MaRagei:. The ei=Rple~11+1eRt a9reei=ReRt st:iall set fei:tt:i lhe spesi~s term of er::i:ipleyr::i:ieRt, Ieng~ gf tl:le elblratioR, aml 1+1a;· ee reReweel at tl:le elissretieR ef tl:le GeReral MaRa9er. ~letwithstaneliRg aR;1 etl:ler previsieR ser:itair:ieel iR this 1+1aRblal, li1+1iteel ter1+1 ;eRti:aEit emph;}yees are eRtitleEI GRIV te tf::le Fights aRel eeRelits E>eRtaiReel iR the erRpley1+1eAt agrQerRQRt, whiE>f:! iR FIG eveRt sl.:iall ee greater tt:laR tt:le rlgl.:its aRel eer:ielits appr:gvQel fer regbllar er;ii;ileyees. Overtime is the number of hours werkeel in paid status in excess of 40 during a workweek. Night Shift is an assigned work shift of at least seven consecutive hours between 6:00 p.m. and 6:00 a.m. Nonexempt Employees are employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees, because of the type of work that they perform and their earnings level, are subject to receiving overtime pay in addition to any entitlement otherwise provided for in applicable Memoranda of Understanding or other policies. Payday is the Wednesday before the end of the pay period. Pay Periods are biweekly beginning at 12:01 a.m. on the Friday following payday and continuing for a 14-day period ending at midnight on the Thursday following the next payday. Probationary Period -Initial includes the first six months of employment with the District. This period is regarded as an extension of the hiring process, and provides an opportunity for both the employee and the District's management to assess, over a substantial period of time, whether or not the hiring decision was appropriate. Probationary employees become Regular, fblll ti1+1e employees upon successful Page 3 of6 completion of their probationary period and the appropriate approval form, as provided by the Director of Human Resources. At.Will emp@Yees ~ not Sf'.Veia~f[l'Obationa!Y'f>~dod. Probationary Period -Promotional includes either the first six months or a 90-day period, depending on applicable MOU provisions, immediately following the date of a promotion. This period is regarded as an extension of the selection process, and provides an opportunity for both the employee and the District's management to assess, over a substantial period of time, whether or not the decision was appropriate. "At-will" employees do not serve a promotional probationary period. Regular employees are ·those employees ~o regularty work on. aty~ar~roun~:Qasi's, for an indefinite period of ume. · R.egular employees are ~ntftlect,:to be~efltS as set forth ln ttie variou$ bargaining unlt Memorand~ of Underslandlngs (MOU~ and ~l~ewhere in the Distr.lct1s policies and pr0<;edures, Although not .guaranteed, regular erppltfyees ,are appointed with tile al'ltfctpatl6n that thelr positiOn wlll continue on. a career Oasis and funding Is available and,appropriated. Regular employees may be fuit-time or'P-an-time. • • ParM~!!l! employees ate these employees. who regularly work less tha~ 80.bours in a biWeeldy pay period. Regular part-time employees, who formefly held a regtilar full-1ime p0sition, areernitled to proratedbenefitsset forth 1n a Pait·titne E01r;>loymem Agreement. Employees original~hired..as part~time emplQyees, whettier on a Limited Term or RegUlat llasfs, are not entitled tn participafe in, or re'Ceiv~, any District benefits, including_ but not limited to vacation and sick leave accrual, insurance and retirement. FulMim& employees are these employees who are regut~rly scheduled to work an 80-hour biweekly pay peried. Regwlar ~1:111 time ei::Rpleyee& ai:e tl:lo&e ei::Rpleyee& uJl:le t:eQ1:1larl;• "'erk aR ijQ l:le1:1i:, biweekly pay fJElFie9 IQr aR iR9etert:RiRate periee ef tii::Re, Re91:1lar fl.Ill tii::Re er+1pleyees ai:e entitleg to 9enetits a& set fQFtl:l in tl:le vario1:1s bar:gaiRing l:IRit Mer+1eran9a ef UR9erstaR9iRg (~40U) aR9 elsewhere iR t~e Oi&trist's ~olisie& ane fJFosee1:1re&. Regular Part time e1+113leyees are these ei::Rpleyee& wl:le re91:1larly werk le&& tl:lan ijQ l:le1:1rs in a eii>Jeekly 13ay perie9 fer an ineeterFRinate pei:ied of tii::Re. R991:1tar part tir+19 &FRple~<Qe& are 9ntitle9 te f;)FQratee 9ene .. ts_ Relative is any person related by one of the following familial relationships to any employee at the agency: spouse, mother, father, brother, sister, child, grandmother, grandfather, grandchild, cousin, aunt, uncle, mother-in-law, father-in-law, brother-in-law, sister-in-law, $on4~1.~~~[~aughtefi!l:!aw. Release is a separation from employment in which the employee is not qualified for the type of work assigned and no other more suitable assignment is available. Release usually results from no fault of the employee. Employees serving an initial probationary period may be released without cause. Resignation is a voluntary separation from employment with the District, including: resignation with or without notice; an unauthorized absence of three or more consecutive Page4 of6 working days; failure to return from leave of absence as arranged; failure to return from layoff upon recall. Salary Range is the complete set of standard salary incre1J1ents adjusted Qver time, as published in the District's salary guide for any given position or job classification. Salary Ranges are the range of pay rates, from minimum to maximum, set for a pay grade or class, Sexual Harassment includes, but is not limited to any of the following: • Sexual favors. Unwanted sexual advances that condition an employment benefit upon exchange of sexual favors. • Hostile work environment. Sexually based verbal, physical or visual conduct of such a nature and Intensity that it creates an intimidating, hostile or offensive working environment. Conduct that may result in a tiostile work environment includes, but is not limited to, the following: • Sexual epithets, jokes, derogatory comments or slurs; + Assautt, impeding or blocking movement, or any physical interference with normal work or movement when directed at an individual on the basis of sex; • For the purposes of this policy, sexual harassment includes, but is not limited to an11 gf the fQUgwinQi sexual cartoons, drawings. photographs .or derogatory posters. Sick Leave is defined as the absence from duty of an employee because of a bona fide illness, injury, or pregnancy, medical or dental appointment, or to attend to the illness or injury of a family member, as Rerelnafter defined frofjq!J~¥.iiftbei'!ti~~eav~~f Absence with Pay."' 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 ~n.d Jie~dyifor immediate return to work. A Step is an increment on the salary guide. Where not provided on the salary guide, a step shall be 5-5% of the employee's current salary, calculated to the nearest cent. Page 5 of6 retiremenf-P~rsens d!!sionated by the~D s.trict aS:·:re~arary wor ers snatt fflm~m . il'.leligjple to; participate in Dt~tnct benefitJmfg~ms even if a court later qeter'niin~ that the District jncorrectly designated tliemas Temporary workers. or ~\Jbsequen\ly failed to desi9n~tetflf;[fl ~s ReQuJBr efT!Ployees. · Te~p9rar:y EA1plgyees are tRe&e ei:Rple~'e9& wRe are assiQne9 te \Verk SO he1o1rs gr less in a ehtJeekly pay per;ie9 f9r an il+9Qt.1lar er in9eteri:Rinate perie9 sf tii:Re. ~letwitRstaneinQ any eUler pre"isiens set fei:tl:l Rerein, tei:Rperary ei:Rpleyees are net eRtitleg te 9eneflts ane ser10 at tt:ie pleas1o1re ef tl:le Oisti:ict. Termination Date is considered to be the last day actually worked by the employee irrespective of any additional pay they may receive. I Witness Leave is leave granted to an employee who has been compelled by law to be present at a legal proceeding for the purposes of providing testimony or other evidence. Workweek means a seven-day period starting at 12:01 a.m. Friday and ending at midnight on the following Thursday. If a work shift begins on Thursday before midnight but ends any time after midnight on Friday, all hours worked on that shift are considered to be worked on Friday. 4.0 POLICY 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 . See 'table of C~ntents:, for related Policies. 8.2. Fair Labor Standards Act, as amended. Page 6 of6 AllAOO O!iliG/00 Orange County Sanitation District Classifications By Employee Group Operations and Maintenance (501) P11y Range Minimum Maximum Classifications FLSA Status 2015 48,704 60,650 Lead Electrical Technician Non-Exempt 2015 48,704 60,650 Lead Instrumentation Techniclan Non-Exempt 2015 48,704 60,650 Lead Pump Power Operator Non· Exempt 2014 46,121 57,421 ElectricalTechnician II Non-Exempt 2014 46, 121 57,421 Instrumentation TeohnTclan II Non-Exempt 2013 44,556 55,484 Lead Mechanic Non-Exempt 2013 44,556 55,484 Pump Power Operator Non-Exempt 2013 44,556 55,484 Lead Plant Operator Non-EXempt 2012 43,066 53,621 Lead Collection Facilities Worker Non-Exempt 2012 43,066 53,621 Lead Worker Non-Exempt 2012 43,066 53,621 Machinist Non-Exempt 2011 40,483 50,418 Senior Mechanic Non-Exempt 2011 40,483 50,418 Welder Non-Exempt 2010 40,210 50,070 Equipment Operator Non-Exempt 2009 39,117 48,704 Builder Non-Exempt 2009 39,117 48,704 Electrical Technician I Non-Exempt 2009 39,117 48,704 Instrumentation Technician I Non-Exempt 2008 38,869 48,381 Plant Operator Non-Exempt 2007 35,541 44,258 Eleclrfoal Maintenance Worker Non-Exempt 2007 35,541 44,258 Instrumentation Maintenance Worker Non-Exempt 2007 35,541 44,258 Painter Non-Exempt 2007 35,541 44,258 Senior Maintenance Worker Non-Exempt 2007 35,541 44,258 Senior Collection Facilities Worker Non-Exempt 2006 34,597 43,066 Mechanic Non-Exempt 2005 32,287 40,210 Collection Facilities Worker II Non-Exempt 2005 32,287 40,210 Maintenance Worker Non-Exempt 2004 31,867 39,665 Operator In Training Non-Exempt 2003 30,772 38,322 Groundskeeper Non-Exempt 2002 30,375 37,801 Control Center Clerk Non-Exempt 2001 24,911 30,996 Collection Facilities Worker I Non-Exempt 2000 23,570 29,356 Helper Non-Exempt AIW>O -Orange County S1111itation District Clauiflc.atlons By Employee Group Administrative and Clerical Exhibit A Pay Range Minimum Maximum Classifications FLSA Status NE7 42,301 55,195 Financial Technician Non-Exempt NE7 42,301 55,195 Graphics Coordinator Non-Exempt NE6 38,501 50,155 Senior Storeskeeper Non-Exempt NE6 38,501 50,155 Administrative Assistant Non-Exempt NE6 38,501 50,155 Graphics Assistant Non-Exempt NE4 33,800 44,027 Secretary Non-Exempt NE3 31,651 41,001 Senior Accounting Clerk Non-Exempt NE3 31,651 41 ,001 Senior Office Aide Non-Exempt NE3 31 ,651 41,001 Storeskeeper Non-Exempt NE2 29,800 38,750 Accounting Clerk Non-Exempt NE2 29,800 38,750 Office Aide Non-Exempt NE2 29,800 38,750 Office Specialist Non-Exempt NE1 23,250 30,164 Assistant Storeskeeper Non-Exempt AllAOO 5124/0IJ Orange County Sanitation District Classifications By Employee Group Confidential Pay Range Minimum Maximum Classifications FLSAStatus NE7 42,301 55,195 Executive Assistant II Non-Exempt NE6 38,501 50,155 Admlnistrative Assistant Non-Exempt NE6 38,501 50,155 Human Resources Assistant Non-Exempt NE6 38,501 50,155 Princfpal Accounting Clerk Non-Exempt NE2 29,800 38,750 Office Specialist Non-Exempt "11.\00 ar.Jl/2000 Orange County Sanitation District Classfflcatlons By Employee Group Executive Management Pay Range Minimum Maximum Classifications FLSA Status E27 $158,000 $158,000 General Manager Exempt E20 $95,676 $148,836 Assistant General Manager Exempt E19 $87,180 $139,980 Director of Engineering Exempt E19 $87,180 $139,980 Director of Operations & Maintenance Exempt E19 $87,180 $139,980 Director of General Services Administration Exempt E19 $87,180 $139.980 Director of T echnlcal Services Exempt E18 $85,992 $139,464 Director of Finance Exempt E18 $85,992 $139,464 Director of Information Technology Exempt E17 $75,876 $119,784 Director of Human Resources Exempt ~ ~ ~ Ci1e1;lQ1 i;ii CeJ;lsiu.iRli;alleRG ~ E13 $$7.128 $94.932 Ccmmunlcat1ans SeMces Manager Exempt AICAOO Oft2tllOO Orange County Sanitation District Classifications By Employee Group Engineering Pl!}' Range Minimum Maximum Classifications FLSAStatus NE9 49,001 63,611 Senior Construction Inspector Non-Exempt NE9 49,001 63,611 Engineering Associate Non-Exempt NE8 44,809 58,182 Construction Inspector Non-Exempt NE7 42,301 55,195 Engineering Aide Ill Non-Exempt NE5 36,200 47,066 Engineering Aide 11 Non-Exempt NE4 33,800 44,027 Engineering Aide I Non-Exempt AllAOO 512AIOO Orange County Sanitation District Classffi~ations By Employee Group Management Pay Range Minimum Maximum Classifications FLSA Status E16 $77,688 $109,812 Construction Manager Exempt E16 $77,688 $109,812 Engineering Manager Exempt E16 $77,688 $109,812 Environmental Compliance & Monitoring Manager Exempt E16 $77,688 $109,812 Laboratory Manager Exempt E16 $77,688 $109,812 Source Control Manager Exempt E15 $73,956 $104,616 Controller Exempt E15 $73,956 $104,616 financial Manager Exempt E15 $73,956 $104,616 Plant Automation Manager Exempt E15 $73,956 $104,616 Contracts & Purchasing Manager Exempt E13 $67,128 $94,932 Accounting Manager Exempt E13 $67,128 $94,932 Safety/Emergency Response Manager Exempt E13 $67,128 $94,932 Maintenance Manager Exempt E13 $67,128 $94,932 Human Resources Manager Exempt E13 $67,128 $94,932 Operations Manager Exempt E13 $67,128 $94,932 Information Technology Manager Exempt AllAOO oao112000 Orange County Sanitation District Classifications By Employee Group Professional Pay Range Minimum Maximum Classffications FLSA Status E14 $70,380 $99,600 Chief Scientist Exempt E13 $67,128 $94,932 Assistant to the General Manager Exempt E13 $67,12S $94,932 SenTor Engineer Exempt E12 $63,94S $90,468 Senior Scientist Exempt E12 $63,948 $90,46S Senior Regulatory Specialist Exempt E11 $60,82S $86,064 Engineer Exempt E11 $60,S28 $86,064 IT Strategic Implementation Leader Exempt E10 $57,S52 $81,948 Secretary to the Board of Directors Exempt E9 $55,212 $7S,156 Principal Administrative Analyst Exempt E9 $55,212 $7S,1 56 Principal Engineering Associate Exempt E9 $55,212 $7S,156 Project Specialist Exempt E9 $55,212 $7S,156 Regulatory Specialist Exempt E9 $55,212 $78,156 Scientist Exempt E9 $55,212 $7S,156 Principal Accountant Exempt E9 $55,212 $7S,156 Principal Financial Analyst Exempt E9 $55,212 $7S,156 Senior Human Resources Analyst Exempt ES $52,500 $74,292 Associate Engineer Ill Exempt ES $52,500 $74,292 PrincipaI Environmental Spec.lalist Exempt ES $52,500 $74,292 Safety & Emergency Response Specialist Exempt E7 $50,064 $70,848 Programmer Analyst Exempt E7 $50,064 $70,S4S Computer Hardware Specialist Exempt E7 $50,064 $70,848 Telecommunications Specialist Exempt E7 $50,064 $70,848 Maintenance Planner Exempt E7 $50,064 $70,848 Contracts Admiriistrator Exempt E6 $47,640 $67,392 Principal Laboratory 8, Research Analyst E)cempt E6 $47,640 $67,392 Senior Administrative Analyst Exempt E5 $45,396 $64,212 Associate Engineer II Ex.empt E5 $45,396 $64,212 Senior Accountant Ex.empt E5 $45,396 $64,212 Senior Financial Analyst Exempt ES $45,396 $64,212 Human Resources Analyst Exempt ES $45,396 $64,212 Senior Envlronmental Specialist Exempt E5'. f45:'396 . "$()4 '),12 . ~ HRIS.Analyel . Eictimp\ E4 $43,248 $61,236 Safety Representative Exempt E4 $43,248 $61,236 Programmer Exempt E4 $43,248 $61,236 Senior Buyer Exempt E3 $41,136 $58,460 Associate Engineer I Exempt E2 $39,252 $55,488 Contracts Specialist Exempt E1 $37,284 $52,908 Accountant Exempt E1 $37,284 $52,908 Buyer Exempt E1 $37,284 $52,908 financial Analyst Exempt E1 $37,284 $52,908 Management Analyst Exempt AllAOO 512A/OO Orange County Sanitation District Classifications By Employee Group Supervisory Pay Range Minimum Maximum Classifications FLSA Status E14 $70,380 $99,600 Engineering Supervisor Exempt E13 $67,128 $94,932 Environmental Management Supervisor Exempt E12 $63,948 $90,468 Laboratory Supervisor Exempt E11 $60,828 $86,064 Senior Operations Supervisor Exempt E11 $60,828 $86,064 Senior Maintenance Supervisor Exempt E11 $60,828 $86,064 Information Technology Supervisor Exempt E11 $60,828 $86,064 Contracts & Purchasing Supervisor Exempt E11 $60,828 $86,064 Accounting Supervisor Exempt E11 $60,828 $86,064 Human Resources Supervisor Exempt E9 $55,212 $78,156 Maintenance Supervisor Exempt E9 $55,212 $78,156 Operations Supervisor Exempt E9 $55,212 $78,156 Source Control Supervisor Exempt E9 $55,212 $78,156 Supervising Construction Inspector Exempt E9 $55,212 $78,156 Warehouse Supervisor Exempt AMAOO ~&'00 Orange County Sanitation District Classifications By Employee Group Tochnical Services Pay Range Minimum Maximum Classifications FLSAStatus NE8 44,B09 5B,182 Environmental Specialist II Non-Exempt NEB 44,B09 58,1B2 Information Services Technician Ill Non-Exempt NEB 44,809 5B,1B2 Source Control Inspector II Non-Exempt NEB 44,809 58,182 Senior Laboratory Analyst Non-Exempt NE6 38,501 50,155 Environmental Specialist I Non-Exempt NE6 38,501 50, 155 Information Services Technician If Non-Exempt NE6 38,501 50,155 Laboratory Analyst Non-Exempt NE6 38,501 50,155 Source Control Inspector I Non-Exempt NE4 33,800 44,027 Information Services Technician I Non-Exempt NE4 33,800 44,027 Source Control Technician Non-Exempt NE1 23,250 30,164 Technical Services Assistant Non-Exempt Pay Orange County Sanitation District Classifications By Employee Group "Non-Regular" Part Time Range Minimum Maximum Classifications NEO 9.000 16.000 Intern 903 904 905 1001 1002 1003 1004 1005 1006 1007 1008 1009 1010 1011 1012 1013 1015 1017 1018 1019 1020 1023 1024 1025 1027 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 FLSA Status Non-Exempt N~ N~ N~ N~ N~ N~ NE6 N~ N~ N~ @ Orange County Policy Number: C120.00 - ' Sanitation District Effective Date: May 15, 1'198 241J:n>~r·~~ iJop Subject: FORMER FULL-TIME P0 5U-Supersedes: 0G&9~er 2:2, 1Q87 +WE EMPLOYEE May 15, 1998 S+A+US O.~ID BENEFITS Approved by: 1.0 PURPOSE 1.1. The purpose of this policy is to establish uniform guidelines fo r use in the administration of the program that provides benefits for employees whO formerty held reQular full..fime posTtiOn~ but.-are now working in a part-time status. and tl=le assgeiated t;Jenem& f)FQQf:ar=R, 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 . ~ District employees who formerly held regular full·time Positions but are now working in a part-time status. 3.0 DEFINITIONS 4.0 POLICY 4.1 Part-time employees regularly work less than 80 hours in a biweekly pay period fQr an inseiinite J;)erigs gf Ur+1e. Notwithstanding any other provision herein, the General Manager is authorized to confer the benefits set forth under the District's policies and procedures regarding leave of absence with or without pay, vacations, sick leave, personal leave, holidays, tuition reimbursement, insurance, severance pay, FMLA and CFRA on a prorateCI basis as follows: bea>Jes gf Absenee with er \¥itt:'le~t Pay ("aGatiei:is, siek leave, pei:ee1=1al leave, hglisays, FMlA zm9 CFAA) iRswr;ar::1ee ai:i9 seve~aRQ9 ~ay, 9FI a pi:gi:ates 9asis as fellgws: HOURS OF W ORK PER WEEK PERCENT BENEFIT/SUBSIDY o -under 19 None 20 -under 29 50 percent 30 -39 75 percent 4.2. The benefits shall be set forth in a written agreement between the employee and the General Manager on a case-by-case basis. Pagel of2 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS Page 2 of2 ~ Orange County Policy Number: 010.00 -Sanitation District Effective Date: A.pril li, lQQO October gst 2000 Subject: LEAVE-OF-ABSENCE WITH PAY Supersedes: April 22, 1ggs April 26,_2000 Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is lo establish uniform guidelines and procedures for use in the administration of the District's leave-of-absence with pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All District's employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 Vacation Leave. Except as otherwise provided, regular full-time employees accrue vacation leave, in accordance with the following schedule: Years of Service Hours-Biweekly Hours-Annually In years 0 through 1 3.08 80 In years 2 through 4 3.08 80 In years 5 through 10 4.62 120 In year 11 4.93 128 lnyear12 5.24 136 In year 13 5.54 144 In year 14 5.85 152 In year 15 and over 6.16 160 4.1.1 Vacation leave begins to accrue after a new employee has completed six months of continuous service. After the first six months of service, the employee's account will be credited with 40 hours. After that time, the employee will accrue vacation hours consistent with the above chart. Vacation leave may only be utilized in increments of one-half hour or more. Vacation leave is accrued for all paid hours, including hours actually worked and hours in a paid-leave payroll status. A full-time, regular employee will be granted pro rata vacation leave credit during any pay period in which he/she is absent without pay for one (1) full working day. A part-time, regular Page I of8 employee will not be granted vacation leave credit during any period he/she is absent without pay on his/her regular working day. Employees may have a maximum accumulation of 200 hours as of the fast day of the final pay period in December of each year. In the event an employee accrues vacation leave in excess of 200 hours, it must be used prior to said December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 4.2 Sick Leave. Sick leave is an insurance or protection provided by the District to be granted to employees in circumstances of adversity to promote the health and welfare of the individual employee. ft is not an eamed right to take time off from work. Sick leave is defined as the absence from duty of an employee because of a bona fide illness, injury, or pregnancy, or to attend to the illness or injury of a family member as hereinafter defined. Temporary employees are not entitled to sick leave benefits. 4.2.1 Sick-Leave Accrual. Full-time employees hired prior to November 27, 1981, accrue paid sick leave at the rate of three and one-half (3.5) hours for each biweekly pay period of continuous service {ninety-one (91) hours per year). Full-time employees hired on or after November 27. 1981, accrue paid sick leave at the rate of three (3.0) hours for each biweekly pay period of continuous service (seventy-eight [78] hours per year), beginning with the first day of employment. 4.2.2 Sick-Leave Credit. A full-time, regular employee shall be granted pro rata sick-leave credit during any pay period in which he/she is absent without pay. A part-time, regular employee shall not be granted sick-leave credit during any period he/she is absent without pay on his/her regular working day. In the event an employee is required to work part-time by direction of his/her physician, sick-leave 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. 4.2.3 Annual Payoff. Employees may elect annually to be paid for any unused sick leave hours accrued through the end of October at their current hourly rate according to the following payoff schedule or as specified in a Memoranda of Understanding. Accrued Sick Leave Hours Rate of Payoff 0-100 0% 101 -240 25% 241-560 35% Over 560 (mandatory) 50% 4.2.4 Sick Leave Incentive Plan. The Sick Leave Incentive Plan applies to Executive Management, Management, Supervisory and Professional ar:iEI tR9 C9RRd9r:iij9I Groups. The Plan will be administered on an individual Group basis. If the average sick leave usage of employees in a Group is under 40 hours per year, calculated on annualized actual time off during the period from January 1 to December 31 exclusive of catastrophic illness or injury requiring absence in excess of 200 hours or industrial injury leave in excess of 80 hours, the annual payoff for unused sick leave will be as follows: Page 2 of8 Accrued Sick Leave Hours Rate of Payoff 0-100 10% 101-240 40% 241-560 50% Over 560 (mandatory) 60% 4.2.5 Employees who separate for any reason other than retirement or death shall be compensated for any accrued and unused sick leave according to the above schedule. Employees who retire or decease shall be paid at the fifty percent (50%) rate for all accrued and unused sick leave. 4.2.6 Permissible Uses. Sick leave may be applied only when: a. The employee is physically or mentally unable to perform his or her normal functions due to illness. injury, or a medical condition. b. The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition of the employee or the absence ls due to medical and dental office appointments of an employee when approved by the employee's supervisor. c. The absence is for other medical reasons of the employee, such as pregnancy or obtaining a physical examination. d. The absence is for the care of the employee's parent. father-in-law, mother-in- law, brother, sister, spouse, child, step-child, grandchild, grandparent, legal guardian, or any family member with whom the employee resides. e. The absence is due to a job-related injury. f. ln accordance with Labor Code Section 233, the absence is because the employee's presence is needed to attend to an illness of a parerrt (biological, foster or adoptive}, step parent, legal guardian, spouse, child (biological, foster or adopted), step child, legal ward or a child of a person standing in loco parentis, provided that no more than the amount of sick leave that would accrue to the employee during six (6) months at the employee's then current rate of accrual shall be applicable to this type of sick leave in each calendar year. 4.2.7 General Provisions. To qualify for sick-leave pay, the employee must notify the District at or in advance of the time the employee is scheduled to report for duty. Minimum charge to the employee's sick-leave account shall be one-half (.5) hour and thereafter in one-half (.5) hour increments. 4.2.8 Human Resources shall be responsible for control of abuse of the sick-leave privilege. If notified in advance by a manager or supeNisor, 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. on prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources. For absences of one or more working days in an unpaid status, a request for leave and a medical statement, on prescribed forms, stating expected Page 3 of 8 date of return must be submitted to Human Resources. 4.2.9 If the need for leave is due to the employee's serious health condition, as defined in the Family and Medical Leave Act ("FMLA") or the California Family Rights Act ("CFRA"), the certification requirement shall comply with provisions of these Acts. 4.3 Personal Leave. Personal leave is provided to allow employees time off with pay for vacation, personal business and non-job-related illness or injury. Personal leave is accrued by full-time employees for all paid hours, including hours actually worked and hours in a paid-leave payroll status, on a biweekly basis as follows: Personal Leave Hours Biweekly Annual Years of Service 0 through 1 2.31 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 and over 8.46 220 *Only 60 hours may be taken in the first year; the 20 additional hours shall be credited to the accrual balance following successful completion of one year's service. 4.3.1 Scheduled Time Off. Management shall make a reasonable effort, considering the operational needs of the District, to accommodate all employee requests for time off. Scheduled time off should normally be requested at least two weeks in advance to increase the likelihood of those dates being approved. However, in the event unforeseen circumstances prevent such advance notification, employees may request scheduled time off with as little as one day's notice. Employees with at least one year's service must request at least 40 hours off each year. Preference among employees who request time off at least six months in advance shall be based on seniority. Requests received less than six months in advance shall be scheduled in the order received. Personal leave may only be reported in one-half-hour or one- hour increments. 4.3.2 Unscheduled Time Off. Personal leave that is classified as unscheduled time off provides income protection to an employee who Is unable to work due the following: a. The employee is physically or mentally unable to perform his or her normal functions due to illness, injury, or a medical condition. b. 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. c. The absence is for other medical reasons of the employee, such as pregnancy or obtaining a physical examination. d. The absence is for the care of the employee's parent, father-in-law. mother-in- Page4 of8 law, brother, sister, spouse, child, step-child, grandchild, grandparent, legal guardian, or any family member with whom the employee resides. e. The absence is due to a job-related injury. f. In accordance with Labor Code Section 233, the absence is because the employee's presence is needed to attend to an illness of a parent (biological, foster or adoptive), step parent, legal guardian, spouse, child (biological, foster or adopted), step child, legal ward or a child of a person standing in loco parentis, provided that no more than the amount of sick leave that would accrue to the employee during six (6) months at the employee's then current rate of accrual shall be applicable to this type of sick leave in each calendar year. Unscheduled time off must be accounted for by completion of an Unscheduled Time Off Report upon the employee's return to work. Employees may be required to submit medical documentation for their injury or illness. It is the responsibility of District's management to control the po1ential abuse of unscheduled time off privileges. Tardiness less than 15 minutes shall not be deducted from the employee's pay, but numerous occurrences will be addressed through the progressive discipline procedures. Tardiness of one hour or more shall be considered an unscheduled occurrence. 4.3.3 An employee's attendance record shall be reviewed with an employee after five separate occurrences of unscheduled time off to provide an opportunity to assess problems that could potentially lead to disciplinary action. The accumulation of the sixth and seventh occurrence within a calendar year shall result in a verbal warning. The eighth occurrence shall result in a written warning. Employees who are charged with ten occurrences of absence within a twelve-month period shall be subject to termination. Absences of multiple consecutive days involving the same injury or illness shall be considered a single occurrence. The District also has the right to discipline employees on the basis of total absences away from work. Employees must notify their supervisor prior to the start time of their shift when they are unable to report for work. Employees returning from an extended leave should notify their supervisor as soon as possible to facilitate personnel scheduling. 4.3.4 Human Resources shall be responsible for control of abuse of the unscheduled leave privilege. The employee may be required, at any time, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness; however, for unscheduled absences 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 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 . .S Personal Leave and Workers' Compensation Leave. Employees who are injured in the course of their employment are placed on Workers' Compensation Leave, and receive wage loss benefits to which they are entitled under the Workers' Compensation Act. Employees may request to receive prorated Personal Leave pay to supplement their Workers' Compensation payments in an amount such that the sum of both is equal to the employee's regular base pay. 4.3.6 Personal Leave Payoff. Employees (or thetr estate) who separate, retire or die shall be paid in full at their current rate of pay for all Personal Leave hours accrued. 4.3.7 Maximum Accrual. Employees may only accrue up to 400 hours of Personal Leave as of the last day of the final pay period in December of each year. Employees may Page 5 of8 request to be paid in full for up to 40 such hours in excess of the 400 limit; any remaining time shall be scheduled off by the District. 4.3.8 Sick leave Bank. Employees who elect to bank sick leave accrued prior to the implementation of Personal Leave provisions may elect to use such time off for absence due to illness or injury once 40 continuous hours of Personal Leave have been used. (The 40 hour stlpulation,9oes not extend t~»emp~oyees in the CO'n!id~~~!al Group). Employees who retire or die shall be pald at the 50 percent rate for all Banked Sick Leave hours; an employee who separates shall be compensated for Banked Sick Leave as follows. Banked Sick Leave Hours Rate of Payoff 0 -100 O percent 101 -240 25 percent 241 -560 35 percent Over 560 50 percent 4.3.9 If the need for leave ls due to the employee's serious health condition. as defined in the Family and Medical Leave Act ("FMLA") or the California Family Rights Act ("CFRA"), the certification requirement shall comply with the provisions of these Acts. 4.4 Jury Duty Leave. Any full-time, Including probationary, employee who is called for jury duty shall. upon request on prescribed forms approved by Human Resources, be entitled to his/her regular pay for those hours of absence due to performance of the jury duty for a period up to twenty-two (22) working days, provided that hisfher fees for such service, exclusive of mileage, are submitted to the District for deposit in the General Fund of the District. 4.4.1 Prior to jury duty service, each employee must complete the District's Leave-of- Absence Form and turn it in to Human Resources with a copy of the summons. To be entitled to receive regular pay for such jury leave, 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 (1'2) of their regular shift remaining . Employees are not compensated for jury duty occurring on scheduled days off. 4.4.2 An employee serving jury duty must obtain an attendance slip from the court to be submitted to Payroll with his/her time sheet in order to be eligible for regular pay for those hours of absence due to jury duty. 4.5 Witness Leave. Any full-time, including probationary, employee, who is required to be absent from work by a subpoena properly issued by a court, agency or commission legally empowered to subpoena witnesses, which subpoena compels his/her presence as a witness, except in a matter wherein he/she is named as a defendant or plaintiff or as an expert witness, shall, upon request on Leave-of-Absence Forms approved by Human Resources, be entitled to the time necessary to comply with such subpoena, provided any fees received for such service, exclusjve of mileage, are submitted to the District for deposit in the General Fund of the District. 4.5.1 An employee so subpoenaed must submit a copy of the subpoena with his/her time sheet in order to be eligible for pay for such absence. To be entitled to receive regular pay for such witness leave, the employee must report for work at the District for time not actually retained on witness service of one (1 ) hour or more prior to Page 6 of8 and/or upon completion of each day,s service, exclusive of travel time. 4.6 Military Leave. A request for military leave shall be made upon Leave-of-Absence Forms approved by Human Resource and shall state the date when it is desired to begin the leave-of-absence and the date of anticipated return . A copy of the orders requiring such military service shall be submitted with the request. 4.6.1 Provisions of the Military and Veterans Code of the State of California, Sections 395- 395.5 shall govern military leave. In general. current law provides that an employee having one year or more service with a public entity is entitled to military leave with pay not exceeding thirty (30) days per year if the employee is engaged in military duty ordered for purposes of active military training or encampment. An employee who is required to attend scheduled service drill periods or perform other inactive duty reserve obligations is entitled to military leave without pay, not exceeding seventeen (17) calendar days per year, although the employee may, at his or her option, elect to use vacation or personal leave time to attend the scheduled reserve drill periods or to perform other inactive drill period obligations. Employees who participate in weekend military drill duty are not eligible for leave with pay for such activity, but may have their regular work schedule changed to accommodate the required time off. 4.7 Bereavement Leave. Using the prescribed forms, approved by Human Resources. any full-time employee, whether probationary or regular, shall receive a maximum of three (3) days off with pay for the death or funeral of an immediate famlly member. Immediate family member is defined as the employee's father, father-in-law, mother, mother-in-law, brother, sister, husband, wife, child, step-child, step parent, grandchild, grandparent, legal guardian. or any family member with whom the employee resides or who is identified in the employee's memorandum of understanding (MOU). if applicable. 5.0 PROCEDURE 6.0 EXCEPTIONS Section 4.1 , Vacation, including Subsections 4.11 and 4.12, of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance (iRsl1,j(;lln9 GsRei:al Sswises Agmin1sti:atiGR QR=tf}lgysgs) Memorandum of Understanding and employ~~-LnX~~ Confldenti~I Group·. Section 4 .2, Sick Leave. includlng Subsections 4.21 through 4.28, of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance (lm;lijgin9 Gensral SeP'fsss Ml=Rinistratlgn 8R=if}IGyees) Memorandum of Understanding and employees in th& Confidential Group. Section 4.3, Personal Leave, including Subsections 4.31 through 4.39, of this policy applies only to those employees covered under the provisions of Personal Leave in the Operations and Maintenance (jnch.1ging Gei:ieral ~ervises A9mii:iist<atleR em~lgyees) Memorandum of Understanding and employees"'i~·lhe ConfiaentfarG~oiip. Vacation leave is not accrued for overtime hours worked. 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. Page 7 of8 7.0 PROVISIONS AND CONDITIONS 7 .1 Employees may have a maximum accumulation of 200 hours of vacation as of the last day of the final pay period in December of each year. 7.2 In the event an employee accrues vacation leave in excess of 200 hours, it must be used prior to the December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 7 .3 Employees are not eligible to schedule vacation leave until the completion of six months continuous service. 7 A Employees may not maintain a negative balance on vacation, sick, compensatory, or personal leave accruals. 8.0 RELATED DOCUMENTS 8.1 Operations and Maintenance MOU 8.2 Administrative and Clerical MOU 8.3 Engineering MOU 8.4 Technical Services MOU 8.5 Supervisory and Professional MOU 8.6 Personal Leave Unscheduled Time Off Report Form Page 8 of8 ~ Orange County Policy Number: 030.00 Sanitation District Effective Date: April 2&, 2QOO GJiOJf!~25,~0(fO Subject: HOLIDAYS Supersedes: May 131 1QQB April '26~~oqo Approved by: 1.0 PURPOSE 1. 1 The purpose of this policy is to establish uniform guidelines and procedures for holidays. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the District's policy to grant employees 12 paid holidays per year in accordance with this policy. 5.0 PROCEDURE 5.1 Full-time employees shall receive holiday pay if their entire scheduled work shift immediately preceding and following the holiday is in a paid payroll status. When an employee's work schedule requires that they work on an obseived holiday, the employee shall be paid at the employee's regular rate of pay for the holiday or receive an equivalent amount of holiday compensatory time off, and shall also receive overtime pay at the rate of one-and-one-half times their regular hourly rate for all hours actually worked. 5.2 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 OFWORK PERCENT BENEFIT/SUBSIDY PER WEEK O-under 19 None 20 -under 29 50% -{4.5) hours 30-39 75% -(6.75) hours Page 1 of3 5.3 When a holiday occurs on an employee's regularly scheduled day off, the employee will accrue compensatory time off for those hours. In no case may an employee accumulate more than 50 hours holiday compensatory time off. 5.4 The days listed below are observed by the District as holidays for 2000, 2001 and 2002. SCHEDULE A HOLIDAY 2000 2001 2002 New Year's Day Friday, December 31 Monday, January 1 Tuesday, January 1 Lincoln's Birthday Friday, February 11 Monday, February 12 Tuosday, February 12 President's Day Monday, February 21 Monday, February 19 Monday, February 18 Memorial Day Monday, May 29 Monday, May 28 Monday, May 27 Independence Day Tuesday, July 4 Wednesday, July 4 Thursday, July 4 Labor Day Monday, September 4 Monday, Septomber 3 Monday, September 2 Veteran's Day Friday, November 10 Monday, November 12 Monday, November 11 Thanksgiving Day Thursday, November 23 Thursday, November 29 Thursday, November 28 Day after Thanksgiving Friday, November 24 Friday, November 30 Friday, November 29 Day before Christmas Monday, December 25 Monday, December 24 Tuesday, December 24 Christmas Day Tuesday, December 26 Tuesday, December 25 Wednesday , December 25 Floating Holiday ** -** SCHEDULE B HOLIDAY 2000 2001 2002 New Year's Day Saturday, January 1 Monday, January 1 Tuesday, January 1 Lincoln's Birthday Saturday, February 12 Monday, February 12 Tuesday, February 12 President's Day Monday, February 21 Monday, February 19 Monday, February 1~ Memorial Day Monday, May 29 Monday, May 28 Monday, May 27 Independence Day Tuesday, July4 Wednesday, July 4 Thursday, July 4 Labor Day Monday, September 4 Monday, September 3 Mondey, September 2 Veteran's Day Saturday, November 11 Sunday, November 11 Monday, November 11 Thanksgiving Day Thursday, November 23 Thursday, November 29 Thursday, November 28 Day after Thanksgiving Fridey, November 24 Friday, November 30 Friday, November 29 Day before Christmas Sunday, December 24 Monday, December 24 Tuesday, December 24 Christmas Day Monday, December 25 Tuesday, December 25 Wednesday , December 25 Floating Holiday ** ** ** Page2 of3 6.0 Employees may elect one day during each year as a "Floating Holiday". The "Floating Holiday" must be used within the year it is accrued. Every effort shall be made to grant an employee's request for a "Floating Holiday" off providing an employee gives sufficient notice to their supervisor. EXCEPTIONS 6.1 When an employee is on medical or pregnancy leave, holidays will be paid only during disability waiting period if employee is in a continuous paid status. All other holidays that occur outside the waiting period will not be paid, regardless if employee is in paid status or not. 6.2 ParMlrne emv>loyees who work on a hallday are not eliQible to receive overth;pe pay 1.0 PROVISIONS AND CONDITIONS 7.1 If a regularly scheduled holiday occurs on a Saturday, the previous Friday shall be taken off as the "holiday" for pay purposes. If a regularly scheduled holiday occurs on a Sunday, then the following Monday shall be taken off as the "holiday" for pay purposes. 8.0 RELATED DOCUMENTS Page 3 of3 @ Orange County Policy Number: 070.00 Sanitation District Effective Date: OG&ebea: ~:i, ~ a~:i October 25, 2000 Subject: RETIREMENT Supersedes: October 22, 1997 Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for retirement. This policy does not provide a complete description of all benefrts available to District employees upon retirement, but rather provides top-level policy issues. Details about retirement options, benefits and other administrative information are available in the Summary Plan Description (SPD) booklet, "A Guide to Your Retirement Plan Benefits," by the Orange County Employees Retirement System (OCERS), which is available to all employees from the Human Resources Department, and is considered a part of this policy. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS Tier means the benefits group to which you belong depending on your date of membership into OCERS. You are a member of Tier I if your date of membership is before September 21, 1979, and you are a member of Tier II if your date of membership is on or after September 21, 1979. The tier to which an employee belongs affects such things as the multiplier used to determine one's service retirement allowance, sick leave accrual, and other benefits. Service Credit means your hours worked as a member of OCERS, converted to months for which you make contributions and receive credit in the retirement system. One hour is equal to .00576923 months of service credit. Summary Plan Description is a booklet published by OCERS that provides detailed information about how the retirement plan works. Page 1 of3 4.0 POLICY 4.1 It is the District's policy to continue participation in the Orange County Employees Retirement System (OCERS) and to abide by all of the conditions of the SPD and the County Employees Retirement Act of 1937. 5.0 PROCEDURE 5.1 The District participates in OCERS, wherein all regular aRd ll1+1ited terFR, full-time employees and former full-time emplayees Who are now woi'king rn a part:time status of 20 hours or more per week are considered members from their date of hire. In addltlQR , p~rt tii::i:ie QR=tplg~£QQG wl;ig wgrk go t:lg1o1rs gr l+IQfQ per 'J'Q9k are alsg bgnsiger9'l 1+1~9ers gf OCeRS. The retirement program is in effect pursuant to the contract between OCERS and the District as of December 2, 1977, and will continue unless amendments to contracts or termination of membership is effected by the District subsequent to meeting and conferring with employee bargaining units concerning such proposed amendments or termination. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7 .1 Eligibility Criteria. Employees are eligible for retirement when they are no longer working in a position requiring them to be a member of OCERS and they meet any of the following criteria: • Age 50 or over with 1 O or more years of service credit • Any age with 30 or more years of service credit • Age 70 or over. regardless of years of service credit • /\ ~ai:t tiR=ie e1+1plg~ee age §§ QF glger w1U:l ~ gr i;i:iQre year& gf &ePJiG& Gregil aRd al least 10 years et agtive eR=i~leyR=l&Rt 7.2 District's Contribution. The District shall pay an amount equal to 4.5% of an eligible employee's base salary towards the employee's required contribution to OCERS. All monies actually paid Into the retirement system as an employee's contr1bution are deducted from gross salary for taxation purposes in accordance with Internal Revenue Code provisions. 7.3 Early Retirement Incentive. When, in the determination of the District, a change in the manner of performing service, savings of money or other economic benefit would result from employees being able to receive additional service credit and retire early, the District's Boards may adopt an ordinance implementing the provisions of Government Code Section 31641 .04, Receipt of Additional Service Credit. Subject to certain specified conditions, this Section generally provides that an employee who is at least age 50 with 10 years of service, and who is otherwise eligible to retire. may receive up to two years additional service credit, if the employee retires within a period of time designated by the Boards in accordance with this provision. Page 2 of3 8.0 RELATED DOCUMENTS 8.1 "A Guide to Your Retirement Plan Benefits," Orange County Employees Retirement System Summary Plan Description. 8.2 County Employees Retirement Law of 1937, Sections 31450 through 31899.10 of the California Government Code. 8.3 Government Code Section 31641.04, Receipt of Additional Service Credit. Page3 of3 (il Orange County Policy Number: ES0.00 Sanitation District Effective Date: October 25, 2000 Subject: Cellular Telephone Supersedes ~ Approved by: 1.0 PURPOSE 1.1. To establish uniform gutdelines for the purchase and use of cellular telephones. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1. All District employees. 3.0 DEFINITIONS Cellular telephone means portable telephone equipment, which connects via switched cell-to-cell or wireless communication. Cellular transmissions mean the communications link, established via radio frequency that connects cellular telephone calls. Cellular transmissions are not secure. Cellular Security means provisions that assure safety, protection, or defense. 4.0 POLICY 4.1 The District's business needs should determine which employees are required to possess cellular telephones to enhance normal and emergency operations. The District reserves the right to monitor the usage of all cellular telephones. Employees shall be familiar with the required protocol and skill set for effective use of a cellular telephone. 4.2 Employees shall use discretion in relaying confidential information, especially over cellular telephones. Care should be exercised to prevent equipment theft or vandalism. 5.0 PROCEDURE 5.1 The Department Head, or designee, shall approve the purchase and/or installation of cellular telephones. It shall be the responsibility of the Department Head, or designee, to ensure that sufficient funds are budgeted for the purchase and monthly operational costs associated with such equipment prior to its use. 5.2 The Department Head, or designee, shall determine if cellular telephone service is required based on reviewing the following guidelines: • Safety/Emergency Response -The employee's duties involve monitoring, responding, or performing other activities that are essential to the safe operation of the District's facilities, such that making mobile communication with a cellular telephone is necessary. Page 1 • On-Call -The employee's job assignment involves being on-call, either on a formal assignment basis or as an inherent level of responsibility based on the responsibilities of the position. • Fieldwork -The employee's normal work duties involve the need to communicate from the field with non-District personnel and District employees. Typically this will involve working in locations where no public telephone is reasonably available or practical. The Information Technology Department representative shall advise the Department Head, or designee, of the options available for basic service, order/supply the cellular telephone and arrange delivery to the employee. Should the service provider offer additional upgraded service plans that the employee would like to take advantage of, the employee may have the option to upgrade their service plan upon District approval and shall be responsible for reimbursing the District for the difference in monthly service fees. 5.3 Individual cellular telephone accounts will be established for each participant. A cellular telephone invoice statement will be sent, from the service provider to each individual user. The employee w ill be responsible for reviewing the invoice statement and determining which calls are business and which are personal. Any personal calls in excess of the pre-determined rate will be the responsibility of the individual user. The employee shall submit the appropriate funds necessary to reimburse the District for such personal calls. 5.4 The Information Technology Department representative will be responsible for administering the contract with a cellular service vendor to ensure the employee receives the best available rate and service. The Information Technology Department representative will coordinate all repairs and service requests. Departments are not authorized to contact the service provider directly to negotiate this service. 5.5 Upon separation from District service, an employee is required to return the cellular telephone to the Information Technology Department representative so the cellular telephone can be deactivated. 6.0 EXCEPTIONS 6.1 The District recognizes that work-related situations, such as the necessity to work unanticipated overtime or family emergencies, may require the use of a cellular telephone by an employee for personal business. Cellular telephones shall not be used when a less costly alternative is safe, convenient and readily available. Employees should keep personal calls brief and use a landline (standard telephone service) when available. 7.0 PROVISIONS AND CONDITIONS 7.1 Cellular telephones that are District property shall not be misused. Employees using or having access to cellular telephone equipment shall be held accountable for their misuse of this equipment and shall be subject to appropriate disciplinary action for misuse. Examples of cellular telephone misuse may include, but are not limited to, use for personal profit or to transmit an inappropriate message to another party. 7 .2 Cellular telephone charges for all calls, whether personal or business related, are included in the monthly statement from the District's cellular service provider. Page2 The Supervisor will select the usage plan for each individual's range of options. Employees are required to reimburse the District for the cost of personal calls in excess of the employee's predetermined rate. Records shall be maintained to mohitor the usage of the cellular telephones and shall be reviewed by the Department Head, or dP..signee, 7 .3 Prior approval shall be established for the use of employee-owned cellular telephones for business use. Employees shall be reimbursed for costs incurred for approved use of personal cellular telephones on District business. 8.0 RELATED DOCUMENTS 8.1 Policy F10.00 Rules of Conduct 8.2 Policy F40.00 Use of District Property Page 3 BOARD OF DIRECTORS Meeting Date 10/12/00 AGENDA REPORT Item Number FAHR00-79 Orange County Sanitation District FROM: Penny Kyle, Board Secretary SUBJECT: APPROVING DISTRICT'S RECORDS RETENTION SCHEDULE AND ADOPTING POLICIES AND PROCEDURES GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 00-_, Approving District's Records Retention Schedule and Adopting Policies and Procedures, and Repealing Resolution No. OCSD 98-16 SUMMARY At the January 26, 2000 Board meeting the Board of Directors approved an agreement with Ictus Consulting to develop a District-wide records management program, as well as a vital records protection and disaster recover plan. At present, the District does not have a formal records management program that stipulates all the processes and procedures required to comply with all mandated regulations. The program provides the following benefits: • Comprehensive procedures to maintain District-wide uniform records management for the control, retention, storage, retrieval and disposal of records that complies with all statutory, regulatory, and administrative requirements governing the District • After initial inventory and purge, the estimated reduction of paper and electronic records will be approximately 30% • Increased productivity by maintaining only those records required to get the job done, eliminating the need to look through extra paper records or electronic records, and eliminating tasks necessary to index and store extraneous information • Vital and historical records will be identified for preservation • Comprehensive formal retention schedule will assist in the compliance of records destruction that will hold up under scrutiny in a court of law To Bel. of Dir. 10/25/00 Item Number \\radonldata1Wp.dla\agenclalFAHRIFAHR20000000 Agenda Repoo15\FAHR00.79.doc RtMMcl: 8f20l98 Page 1 A comprehensive Records Retention Schedule has been developed after an extensive inventory was conducted. This schedule identifies records series, office of record and retention time. A Needs Assessment has been conducted by Ictus identifying those changes required to improve the existing Records Management Program. Records management software programs will be evaluated, with selection of the program to be finalized before the end of the year. Ictus will be conducting an orientation/training program for the division- level Records Coordinators for implementation and maintenance procedures of the Records Management Program. PROJECT/CONTRACT COST SUMMARY N/A BUDGET IMPACT x This item has been budgeted. (Line item: Special Project, Section 8, Pg. 187) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. 0 Not applicable (information item) ADDITIONAL INFORMATION All divisions and departments within the District maintain their own individual records in a variety of ways, including paper and electronic medium. Often this results in a duplication of records between several divisions and confusion about which group is responsible for those records. Productivity can be increased by maintaining only those records needed to get the job done. Eliminating the need to look through extra paper records or electronic records can save many hours of staff time. Furthermore, staff time can be saved by eliminating the tasks necessary to index and store extraneous information. These savings will be on- going after the one-time investment to implement the records management program. This program will also provide for implementation of best business practices in order to develop a state-of-the-art program. The implementation of a formal records retention and destruction program will also assist in the routine purging of the files. Files will be organized and indexed consistently throughout the District, which will also make finding records more efficient. This program will inventory and classify all records within the District in all media format. Vital and historical records will be identified for preservation, and the comprehensive formal retention schedule will assist in the compliance of records destruction that will hold up under scrutiny in a court of law. \\nMlon\data1"'1p.dla'\ilgendalFAHRIFAHR2000'l2000 Agend• Re,,orts\FAHR00.79.doc Revised: 8l20l98 Page2 After the initial inventory and purge, it is estimated the reduction of paper and electronic records will be approximately 30%; some file cabinets can then be replaced with workspace. Another 30%-40% of the files can be moved to inactive storage, and the remaining records would be active records that would remain in the division. This will give the District more filing space to accommodate future needs. The retention schedule has been reviewed and approved by General Counsel. The policies and procedures will be approved by General Counsel prior to the Board of Directors meeting on October 25, 2000. ALTERNATIVES Consider modifications to the Records Retention Schedule and Policies and Procedures. CEQA FINDINGS NIA ATTACHMENTS Proposed Records Retention Schedule \\tadon\dmt\wp.dlalagenda\FllHRIFllHR2000\2000 Agenda R8""""1FAHRQ0..79.clm ReviMd: 8/20/98 Page3 Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft - RECORD SERIES RETENTION PERIODS Code Media Include: Paper, Videotape, Microfilm, Office of Record Oper Legal Dup Official Magnetic Optical. etc. ABANDONMENTS SECRET ARY TO BOARD OF 30 u 2 u DIRECTORS ACCIDENT RECORDS SAFETY AND EMERGENCY 6 CL 6 RESPONSE ACCOUNTING REPORTS ACCOUNTING 1 1 2 ACCOUNTS PAYABLE FILES ACCOUNTING 4 1 4 ACCOUNTS RECEIVABLE FILES ACCOUNTING 6 1 6 ADMINISTRATIVE RECORDS ORIGINATING DIVISION 3 l 3 AGENDA REPORTS SECRETARY TO BOARD OF u 1 u DIRECTORS AIR QUALITY FILES AIR QUALITY AND SPECIAL 5 1 5 PROJECTS ANNEXATION FILES SECRETARY TO BOARD OF u 1 u DIRECTORS ANNUAL REPORTS, FINANOAL FINANCE ADMINISTRATION u u ANNUAL REPORTS, OPERATIONAL ORIGINATING DIVISION 20 20 1 20 ASSOCIATION FILES ORIGINATING DIVISION SU SU SU Monday, September 25, 2000 Page lof 13 Citation VHC CAGC60203 ~DO DOD ODO ODO ~O D o ~o ~~D ODD ~~o o ~o CAGC60203 0 fill 0 ODO RETENTION PERIOD EVENT Code AU retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Characteristics V-Vltal AR -Annual Review AU -After Audit CL • Closed, Completed EX -Expired RE -Revised U -Life (of corp., plant, equip, etc.) SA -Sale, Disposition ST • Settlement SU • Superseded TE -Termination (rptRP.S(All)) H -Historical C -Confidential Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft Code RECORD SERIES Media Include: Paper, Videotape, Mlaofilm, Office of Record Maqnetic Ootlcal etc. AUDIT RECORDS, ENVIRONMENTAL ENVIRONMENTAL COMPUANCE AND MONITORING AUDIT RECORDS, FINANCIAL FINANCE ADMINISTRATION AUDIT RECORDS, INTERNAL ORIGINATING DIVISION BANKING RECORDS ACCOUNTING BIDS, AWARDED PURCHASING AND WAREHOUSE BIDS, BOARD REVIEW REQUIRED, SECRETARY TO BOARD OF AWARDED DIRECTORS BIDS, BOARD REVIEW REQUIRED, PURCHASING AND UNAWARDED WAREHOUSE BIDS, UNAWARDED PURCHASING AND WAREHOUSE BIOSOUDS MANAGEMENT RECORDS ENVIRONMENTAL COMPLIANCE AND MONITORING BOARD ADMINISTRATIVE FILES BONDS, REVENUE SECRETARY TO BOARD OF DIRECTORS FINANCE ADMINISTRATION RETENTION PERIODS Oper Legal Dup Official 10 5 u CL+6 CL CL+6 3 1 3 6 1 6 CL+6 1 CL+6 CL+6 1 CL+6 CL+6 2 1 CL+6 CL+6 2 1 Cl+6 5 5 1 5 2 1 2 EX EX EX+2 Monday, September 25, 2000 Page 2of 13 Citation VHC ODD D ~D DOD ODO DOD ODO CA GC 60202 ODO CA GC 60202 DOD 40 CFR 503.17 DOD OD D RETENTION PERIOD EVENT Code All retention periods are listed 1n years (unless otherwise specified) end are In •ddition to the current year. Cher•cteri1tics V-Vltal AR -Annual Review AU -After Audit CL -Closed, Completed EX -Expired RE -Revised U -Life (of corp., plant, equip, etc.) SA-Sale, Disposition ST -Settlement SU -Superseded TE -Termination [rptRRS(All)J H -Historical C -Confidential Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media lndude: Paper, Videotape, Miaofllm, Office of Record Oper Legal Dup Official Maonetic, Optical, etc. BUDGET FILES, APPROVED FINANCE ADMINISTRATION 6 1 6 BUDGET FILES, PRELIMINARY FINANCE ADMINISTRATION 1 1 1 CASH RECEIPTS ACCOUNTING 4 1 4 CERTIFICATE OF INSURANCE PURCHASING AND EX+2 1 EX+2 WAREHOUSE CERTIACATE OF INSURANCE, SECRETARY TO BOARD OF EX+2 1 EX+2 BOARD APPROVED CONTRACTS DIRECTORS . CHAIN OF CUSTODY RECORDS, ENVIRONMENTAL SCIENCES 10 1 10 LABORATORY LAB CHAIN OF CUSTODY RECORDS, SOURCE CONTROL CL+3 CL CL+3 SOURCE CONTROL CHECK REGISTERS ACCOUNTING 3 1 3 CHECK REQUESTS ACCOUNTING 4 1 4 CHECKS, CANCELLED ACCOUNTING 3 1 3 CHECKS, COPIES ACCOUNTING 3 1 3 CHEMICAL INVENTORY RECORDS ORIGINATING DIVISION 2 1 2 CLAIM FILES RISK MANAGEMENT CL+6 1 CL+6 Monday, September 25, 2000 Page 3of13 Citation VHC ODO DOD ODO ~DO ~D O ODO ODO ODO ODO ODD ODO ODO ~Dbll RETENTION PERIOD EVENT Code All retention periods are listed in years (unless otherwise specified) and are in addition to the cunent year. Characteristics v -Vital AR • Annual Review AU • After Audit Cl -Closed, Completed EX -Expired RE -Revised U • Ut'e (of corp., plant, equip, etc.) SA -Sale, Disposition ST • Settlement SU • Superseded TE -Termination [rptRRS(All)} H -Historical C -Confidential Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media Indude: Paper, Videotape, Mlqofilm, Office of Record Oper Legal Dup Official Maonetic Optical, etc. COMPLAINT FILES AIR QUALnY AND SPECIAL 2 1 2 PROJECTS COMPLIANCE RECORDS ENVIRONMENTAL 5 1 5 COMPLIANCE AND MONITORING COMPUTER MAINTENANCE FILES INFORMATION TECHNOLOGY 2 1 2 ADMINISTRATION CONFINED SPACE RECORDS SAFElY AND EMERGENCY 3 1 1 3 RESPONSE CONFLICT OF INTEREST FILINGS SECRETARY TO BOARD OF 4 4 4 4 DIRECTORS CONTRACTS/AGREEMENTS PURCHASING AND EX+6 EX EX+6 WAREHOUSE CONTRACTS I AGREEMENTS, SECRETARY TO BOARD OF EX+6 EX+6 BOARD APPROVAL REQUIRED DIRECTORS CRANE INSPECTION RECORDS ORIGINATING DIVISION SU SU 1 SU DEFERRED COMPENSATION ACCOUNTING 5 1 5 RECORDS DELIVERY RECEIPTS PURCHASING AND 4 1 4 WAREHOUSE Monday, September 25, 2000 Page4of 13 Citation VHC ODO ODD ODO 8 CCR 5156-5159 ODO CA EC 17000, CA GC ODO 81009(e) ~OD ~~LJ 8 CCR 5022(d), 8 CCR 5031 ODO ~DO ODD RETENTION PERIOD EVENT Code All retention periods •re listed in years (unless otherwise specified} •nd .re in addition to the cun-ent yqr. Ch•r•cteristics V-Vltal AR -Annual Review AU -After Audit CL -Closed, Completed EX -Expired RE -~vised U -Life (of corp., plant, equlp, etc.) SA -Sale, Disposition ST -Settlement SU -Superseded TE -Termination (rptAAS(fJl)J H -Historical C -Confldentlal Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media Indude: Paper, Videotape, Miaofilm, Office of Record Oper Legal Dup Official Maonetic, Optical, etc. DRAWINGS, AS BUILT ENGINEERING SU SU SU ADMINISTRATION DRAWINGS, BASELINE ENGINEERING SU SU SU ADMINISTRATION DRAWINGS, RECORD ENGINEERING LI RE LI ADMINISTRATION DRAWINGS, SHOP ENGINEERING LI CL LI ADMINISTRATION EASEMENTS SECRETARY TO BOARD OF LI 1 LI DIRECTORS EMPLOYEE BENEffi PLANS AND HUMAN RESOURCES & 6 1 6 PROGRAMS FILES EMPLOYEE DEVELOPMENT ENVIRONMENTAL IMPACT REPORT ENGINEERING 10 1 10 ADMINISTRATION EOC ACTIVATION RECORDS SAFETY AND EMERGENCY CL+2 CL CL+2 RESPONSE EQUIPMENT MAINTENANCE ORIGINATING DIVISION LI 1 LI RECORDS EQUIPMENT OWNERSHIP MECHANICAL MAINTENANCE LI LI EXPENSE REPORTS ACCOUNTING 6 1 6 Monday, September 25, 2000 PageSof 13 Citation VHC ~DO ~DD ~DD ~op ODD ~DO ~DD ODD ODD ODO RETENTION PERIOD EVENT Code All retention periods are listed In years (unless otherwise specified) and •re in addition ta the c~rrent year. Ch•r•cteristic:a v -Vital AR -Annual Review AU -After Audit CL -Closed, Completed EX-Expired RE -Revised U -Life (of corp., plant, equip, etc.) SA-Sale, Disposition ST -Settlement SU -Superseded TE -Termination [ rplAAS(All)] H -Historical C -C.Onfidential I' Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media Include: Paper, Videotape, Microfilm, Office of Record Oper Legal Dup Official Maonetlc. Optical. etc. FINANCIAL PLANNING RECORDS FINANCE ADMINISTRATION 2 1 2 FINANCIAL STATEMENTS FINANCE ADMINISTRATION 10 1 10 FIXED ASSET RECORDS FINANCE ADMINISTRATION 10 1 10 FLOW RECORDS ORIGINATING DIVISION LI 2 LI FORMATION FILES SECRETARY TO BOARD OF LI LI 1 LI DIRECTORS GENERAL LEDGER ACCOUNTING SU 1 LI GRANT RECORDS, UNSUCCESSFUL FINANCE ADMINISTRATION 2 1 2 GRIEVANCES I COMPLAINTS HUMAN RESOURCES & CL+2 CL CL+2 RECORDS EMPLOYEE DEVELOPMENT HAZARDOUS WASTE RECORDS SAFETY AND EMERGENCY 5 10 1 10 RESPONSE HISTORICAL SUBJECT FILES COMMUNICATIONS u 1 u ADMINISTRATION I-9 FORMS HUMAN RESOURCES & TE+3 TE+3 T TE+3 EMPLOYEE DEVELOPMENT INCIDENT RECORDS ORIGINATING DIVISION CL+7 CL+7 CL CL+7 Monday, September 25, 2000 Page6of 13 Citation VHC DOD DOD ~D D ODO CA GC 4700 ET SEQ ~~o ~DD ODO DD ~ 40 CFR 122.21 ODO o ~o 8USC1234A ODO 29CFR1904.2, 29 CFR DOD 1904.6 RETENTION PERIOD EVENT Code All retention periods are listed in years (unless ottierwise specified) and are in addition to ttie current year. CharacteristiCll v-Vital AR -Annual Review AU -After Audit CL • Closed, Completed EX • Expired RE • Revised U -Life (of corp., plant; equip, etc.) SA· Sale, Disposition ST • Settlement SU -Superseded TE • Termination [ rptAAS(All)J H -Historical C • Confidential Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media Indude: Paper, Videotape, Mlaofilm, Office of Record Oper Legal Dup Official Maonetic, Optical etc. INDUSTRIAL HYGIENE FILES SAFETY AND EMERGENCY TE+30 3 TE+30 RESPONSE INSPECTION RECORDS, CONSTRUCTION CL+3 1 CL+3 CONSTRUCTION DAILY PROGRESS MANAGEMENT INSPECTION RECORDS, CONSTRUCTION u 1 LI CONSTRUCTION SPECIAL TY MANAGEMENT INSPECTION REPORTS, MANHOLE COLLECTION FACILITIES 10 1 10 MAINTENANCE INSURANCE POLICIES RISK MANAGEMENT u EX u INVESTMENT RECORDS ANANCE ADMINISTRATION SA+6 SA SA+6 JOB DESCRIPTIONS HUMAN RESOURCES &. CL+lO CL CL+10 EMPLOYEE DEVELOPMEITT JOURNAL ENTRIES ACCOUNTING 6 1 6 LABORATORY RECORDS ENVIRONMENTAL SCIENCES 10 3 2 10 LAB LEGISLATION FlLES ENVIRONMENTAL 3 1 3 COMPLIANCE AND MONITORING LITlGATION FILES RISK MANAGEMENT Cl..+6 CL CL+6 Monday, September 25, 2000 Page 7of 13 Citation VHC DOD ODD DOD DOD ~DD ~DO ODD DOD 22 CCR 64815(d) DOD o ~o ~o ~ RETENTION PERIOD EVENT Code All retention periods are listed in yurs (unless otherwise specified) and are in addition b» the current ytMtr. Characteri1tics v. Vital AR -Annual Review AU • Alter Audit CL • Closed, Completed EX -Expired RE • Revised U • Ufe (of corp., plant, equip, etc.} SA· Sale, Disposition Sf· Settlement SU -Superseded TE • Termination [rptRRS(All)J H -Historical C • Confidential Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media Include: Paper, Videotape, Microfilm, Office of Record Oper Legal Dup Official Maqnetic, Optical, etc. LOGS ORIGINATING DIVISION CL+2 CL+2 CL+2 MASTER PLANS/ STRATEGIC PLANS SECRETARY TO BOARD OF SU+lO 10 1 SU+lO DIRECTORS MATERIAL SAFETY DATA SHEETS SAFETY AND EMERGENCY TE+30 1 TE+30 RESPONSE MEDICAL FILES SAFETY AND EMERGENCY TE+30 TE+30 1 TE+30 RESPONSE MEETING MINUTES, ORIGINATING DIVISION 2 1 2 ADMINISTRATIVE MEETING MINUTES, BOARD SECRETARY TO BOARD OF LI 1 LI DIRECTORS MEETING MINUTES, BOARD SECRETARY TO BOARD OF LI 1 LI COMMITTEES DIRECTORS MONTHLY REPORTS ORIGINATING DIVISION 2 1 2 OPERATING JOURNALS ORIGINATING DIVISION 2 1 2 OPERATING RECORDS ORIGINATING DIVISION 5 1 5 OPINIONS SECRETARY TO BOARD OF LI 1 LI DIRECTORS Monday, September 25, 2000 Page8of 13 Citation VHC DO D OCSD RES 98-16 o~o ~DO 29CFR1910.1001, 8 CCR OD ~ 3204 D ~O ~~D ~~D ODO DOD DOD D D ~ RETENTION PERIOD EVENT Code All retention periods are lislied in years (unless otherwise specified) and are in addition to the current year. Characteristics V-Vltal AR -Annual Review AU -After Audit CL -Ctosed, Completed EX -Expired RE -Revised U -Life (of corp., plant, equip, etc.) SA -Sale, Disposition sr -Settlement SU -Superseded TE -Termination (rptRRS(All)] H • Historical C -Confidential Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media lndude: Paper, Videotape, Microfilm, Office of Record Oper Legal Dup Official Magnetic, Ootlcal, etc. ORDINANCES SECRETARY TO BOARD OF u u SU u DIRECTORS OSHA COMPLIANCE RECORDS SAFETY AND EMERGENCY SU SU SU RESPONSE PAYROLL RECORDS ACCOUNTING 4 4 1 4 PERMITS ORIGINATING DIVISION EX+l 1 EX+l PERMITS, AQMD AIR QUALTIY AND SPECIAL EX EX PROJECTS PERMITS, BUILDING AND SECRETARY TO BOARD OF u u CL u CONSTRUcnON DIRECTORS PERMITS, NPDES SECRET ARY TO BOARD OF 10 5 SU 10 DIRECTORS PERMITTEES FILES SOURCE CONTROL CL+3 1 CL+3 PERSONNEL FILES HUMAN RESOURCES & TE TE+30 TE TE+30 EMPLOYEE DEVELOPMENT PETTY CASH RECORDS ACCOUNTING 4 1 4 POLICIES I PROCEDURES, SECRETARY TO BOARD OF SU SU SU+10 ADMINISTRATIVE DIRECTORS Monday, September 25, 2000 Page9of13 Citation VHC CA H&S 6491.3 ~~o ~OD 29 CFR 516.2, 29 CFR 516.6 ~D O DOD ~DO CA H&S 19850, H&S 4003, ODO H&S 4004 40 CFR 125.301(h) ~OD ODO 29 CFR 1627.3 OD ~ ODO o ~o RETENTION PERIOD EVENT Code All retention periods are listed in fears (unless otherwise specified) end are in addition ta the current 1ear. Ch11recterlstic:s V-Vltal AR -Annual Review AU -After Audit CL -Closed, Completed EX -Expired RE -Revised U -Ufe (of corp., plant, eqUip, etc.) SA -Sale, Disposition sr • Settlerrrent SU -Superseded TE -Termination [rptRRS(Ali)] H -Historical c -Confidential - Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media Include: Paper, Videotape, Microfilm, Office of Record Oper Legal Dup Official Maanetic, Ootical etc. POLICIES / PROCEDURES, MECHANICAL MAINTENANCE SU SU SU+lO OPERATIONS AND MAINTENANCE PROJECT FILES ORIGINATING DIVISION CL+6 CL CL+6 PROOF OF PUBLICATION, SECRETARY TO BOARD OF LI 1 u ORDINANCES DIRECTORS PUBLIC RELATIONS RECORDS COMMUNICATIONS SU 1 SU ADMINISTRATION PUBLICATIONS COMMUNICATIONS SU 1 SU ADMINISTRATION PURCHASE ORDER FILES PURCHASING AND CL+6 CL CL+6 WAREHOUSE PURCHASE REQUISITION FILES PURCHASING AND CL+6 CL CL+6 WAREHOUSE RATE ADVISORY COMMITTEE FINANCE ADMINISTRATION 3 1 3 RECORDS REAL ESTATE RECORDS FINANCE ADMINISTRATION SU 1 SU RECORDED DOCUMENTS SECRETARY TO BOARD OF u u DIRECTORS RECORDS DESTRUCTION u 1 u CERTIFICATES Monday, September 25, 2000 Page 10of13 Citation VHC O !il!O 0 !ill 0 ODD DOD 0 !ill 0 ODO ODO DOD o~o DOD RETENnoN PERIOD EVENT Code All retention periods are listed In years (unless otherwise specified) and are In addition to the cunent year. Characteristics V-Vital AR -Annual Review AU -After Audit CL -Qosed, Completed EX -Expired RE -Revised LI -Life (of corp., plant, equip, etc.) SA -Sale, Disposition sr -Set:Hement SU -Super.;eded TE -Termination [rptRRS(All)) H -Historical C -Confidential Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media Include: Paper, Videotape, Mlaofllm, Office of Record Oper Legal Dup Official Maanetic, Optlcal, etc. RECORDS RETENTION SCHEDULES SU+10 1 SU+lO RECRUITMENT RECORDS HUMAN RESOURCES & CL 3 CL CL+3 EMPLOYEE DEVELOPMENT REFERENCE FILES ORIGINATING DIVISION SU SU SU REPORTS, FINANOAL FINANCE ADMINISTRATION 4 1 4 REPORTS, GENERAL ORIGINATING DIVISION 3 1 3 REPORTS, TECHNICAL ORIGINATING DIVISION SU 1 SU RESOLUTIONS, BOARD SECRETARY TO BOARD OF LI SU LI DIRECTORS RISK MANAGEMENT REPORTS FINANCE ADMINISTRATION CL+S 1 Cl+S SALARY RECORDS HUMAN RESOURCES & TE+3 1 TE+3 EMPLOYEE DEVELOPMENT SEWER LINE RECORDS ENGINEERING SU SU SU ADMINISTRATION SOFTWARE APPLICATION FILES INFORMATION TECHNOLOGY u 1 u ADMINISTRATION SPECIFICATIONS ENGINEERING LI 1 u ADMINISTRATION Monday, September 25, 2000 Page 11of13 Citation VHC o ~o 29 CFR 1627 .3 ODD ODO DOD DOD ODO ~~o ODO D 0 !ill ~DD ODO OD O ~\:««i«ccccccc:cc::oo•~~«««c:·::occ~·:ccci:o:::c:~:oteo:e~b».'~'°Ol~'o1oeoo::~ ~~""'~~····wo:>···"···.:-:.:.»····································~·~··········;·~=·~;~1:::: •t ·o··o·~·:;::c~::·;,~,·~;·;x:.-····;~·W;iw-~;.x.;'*~·,,.60111e1·;:0~001oecomic:oc:ooe«c;o:c:o:co;:cco::<ocmccccacoa:o:ooccco~· RETENTION PERIOD EVENT Code All retention periods are listed in years (unless otherwise specified} and ere In addition to the current yNr. AR -Annual Review AU -After Audit CL -Closed, Completed EX -Expired RE -Revised U -Ufe (of corp., plant, equip, etc.) SA -Sale, Disposition sr -Settlement SU -Superseded TE -Termination [llrtRRS(All)J Charadleri1tlca V ·Vital H -Historical C -Confidentlal Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft Code RECORD SERIES Media Include: Paper, Videotape, Mlaofilm, MaQnetic, Optical, etc. SPEECHES I PRESENTATIONS SUBJECT FILES SUBMITTALS, DESIGN TAX RECORDS TAX RECORDS, 1099'S TRAINING RECORDS TRAINING RECORDS, SAFETY TRAVEL RECORDS TRIAL BALANCE RECORDS UNDERGROUND STORAGE TANK FILES WAREHOUSE RECORDS WASTEHAULER FILES Office of Record ORIGINATING DIVISION ORIGINATING DIVISION ENGINEERING ADMINISTRATION ACCOUNTING ACCOUNTING HUMAN RESOURCES & EMPLOYEE DEVELOPMENT SAFETY AND EMERGENCY RESPONSE ORIGINATING DIVISION ACCOUNTING ENVIRONMENTAL COMPLIANCE AND MONITORING PURCHASING AND WAREHOUSE SOURCE CONTROL RETENTION PERIODS Oper Legal Dup Official 3 1 3 AR AR AR SU SU SU CL+4 CL+4 1 CL+4 6 1 6 3 CL 3 SU 1 SU SU CL+2 1 CL+2 3 1 3 u 3 1 LI CL+2 1 CL+2 3 1 3 Monday, September 25, 2000 Page 12of 13 Citation VHC D &lJD DOD ODD 26 CFR 31.6001.1-4, 29 CFR ~D D 516.6 8 CCR3203 23 CCR 2772 DOD DOD ODO DOD DOD DOD DOD DOD RETENTION PERIOD EVENT Code All retention periods are listed in years (unless otherwise specified) and are in addition to the cumint year. Chanicteristlca v-Vital AR • Annual Review AU • Aft.er Audit CL -Closed, Completed EX -Expired RE -Revised U -Life (of corp., plant, equip, etc.) SA-Sale, Disposition ST -Settlement SU -Superseded TE -Termination H -Historical C -Confidential (flltAAS(Atl)J Orange County Sanitation District Records Retention Schedule FAHR Committee Review Draft RECORD SERIES RETENTION PERIODS Code Media Indude: Paper, Videotape, Miaofllm, Office of Record Oper Legal Dup Official MaQnetic, Optical, etc. WORK ORDERS ORIGINATING DIVISION CL+1 CL CL+1 Monday, September 25, 2000 Page 13of 13 . Citation VHC DOD RETENTION PERIOD EVENT Code All retention periods are listed In years (unless otherwise specified) and are In addition to the current year. CharKteristk:I V-Vltal AR -Annual Flevlew AU • After Audit CL -Oosed, Completed EX -Expired RE -Revised U -Ufe (of corp., plant, equip, etc.) SA -Sale, Disposition sr -Setttement SU • Superseded TE -Termination [ rp!AAS(AU)) H • Historical C • Confldentlal FAHR COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: Gary Streed, Director of Finance Originator: Michael White, Controller Meeting Date 10/11/2000 It.em Number FAHR00-80 SUBJECT: SEWER SERVICE FEE REFUNDS FOR SEPTIC TANK USERS GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. 10/25/2.000 It.em Number 1) Adopt Resolution No. OCSD 00.._, Adopting Policy re Sewer Service Fee Refunds Allowing Current Parcel Owners to Receive Sanitary Sewer Service Fee Refunds for Parcels Not Connected to the Sewer System for all years erroneously paid, and Repealing Resolution No. OCSD 99-25; 2) Direct staff to process refunds in-house. SUMMARY The current Board policy governing refunds to septic tank users has caused administrative problems at the County and has resulted in disgruntled property owners. In December 1999, the Board of Directors adopted Resolution No. OCSD 99-25 establishing a policy for refunding sanitary sewer service charges paid by property owners for parcels not connected to the District's system. This resolution addressed the refunding of sewer service fees to parcel owners, in some cases for a period of ten years, utilizing privately owned septic tanks instead of the local sewer system. The resolution included a specific condition that refunds shall be made solely to the owners of record for whom payments were made for each year of request. The County of Orange (County} collects the sewer service fee on behalf of the District through their property tax billing system. The County also provides refunds of sewer service fees on behalf of the District to those customers whose actual sewer service use based on water consumption is less than was billed by the established user fee rates. This process is also currently being used for refunding septic tank owners for service sewer fees erroneously collected. On normal refund requests, it takes approximately six weeks for the County to process a check. This timeline has been extended because of the volume of septic tank refund requests we have been submitting to the County. During September 2000, the County Auditor-Controller's office notified the District that the processing of all septic tank refunds was on-hold. The County's understanding was that all septic tank related refunds processed were to be specifically requested by the party who had paid the property tax bill and that we would provide a current address. This is not the case with the 833 City of Yorba Linda septic tank parcels due refunds because staff is working from a list of septic tank parcels provided by the Yorba Linda Water District that contains only the current water customer. The County is being overwhelmed with the return of refund checks issued to property owners who have H:\wp.dla~\FAHRIFAHR200Q2000 Agenda Repoits\FAHRIXJ..80.doc RtwiMd: at2CW& Page 1 since moved. Also, some of the previous payments were made by mortgage companies providing property tax impound services. Refund checks are being made payable to these companies on properties that have already been paid off, refinanced, or sold. The County also issues separate checks for each year to be refunded, and in many instances has issued two refund checks to the same payee covering the first and second property tax installments made in the same year. Therefore, a homeowner who has lived in the same house for the last ten years may end up receiving 1 O to 20 refund checks. We have received many calls from homeowners wondering why they have received only two checks for two separate installments covering two different years. Most of these callers are not happy. In order to correct these problems, staff is recommending that: • Refunds of prior sewer service fees paid be made to the current homeowner. There is an argument that the current homeowner is entitled to any past refunds having paid fair market value of the home and owning all property rights. This position is also consistent with the Board's willingness to provide the current homeowner with a credit against the sewer connection fee equal to all prior sewer service fees paid on this property. • Sewer service fee refunds will be paid to any prior owner who requests a refund and produces proof of payment. Staff believes duplicate refunds covering the same parcel will be few. • Authorize staff to process all refunds in-house. In this manner, refund checks can be expedited and processed in one check for sewer service fees paid for all years. PROJECT/CONTRACT COST SUMMARY Exact costs cannot be determined at this point. The Board had previously directed staff to return all of the improperly collected fees and interest. The additional cost from the proposal would be due to payments that might be made to both current and past property owners. If 25 percent of the remaining 1,000 parcels result in double refunds, the cost could be as much as $187,000. This amount could be more than offset by the savings of $15.00 not paid to the County for processing a refund for each parcel for each property tax payment for up to 20 years. BUDGET IMPACT 0 This item has been budgeted. (Line item: ) 0 This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. [81 Not applicable (information item) H:\wp.dla\agenda\FAHRIFAHR200()20()() Agenda Repofls\FAHROO.SO.cloc ReYised: 8l20l96 Page2 ADDITIONAL INFORMATION ALTERNATIVES CEQA FINDINGS ATTACHMENTS H:\wp.dlll'aoendalFAHR\F~ Agenda Repoito\FAHRCJO.«l.dcc R9'11Md: 8l2Cl98 Page3