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Orange County Sanitation District Regular Meeting of the Administration Committee

Wednesday, September 9, 2015 5:30 P.M. Administration Building Board Room 10844 Ellis Avenue Fountain Valley, CA (714) 593-7433 AGENDA

PLEDGE OF ALLEGIANCE:

DECLARATION OF QUORUM:

PUBLIC COMMENTS: If you wish to address the Board of Directors on any item, please complete a Speaker’s Form(located at the table outside of the Board Room) and submit it to the Clerk of the Board or notify the Clerk of the Board the item number on which you want to speak. Speakers will be recognized by the Chairman and are requested to limit comments to three minutes.

REPORTS: The Committee Chair and the General Manager may present verbal reports on miscellaneous matters of general interest to the Committee Members. These reports are for information only and require no action by the Committee.

REPORT OF DIRECTOR OF FINANCE AND ADMINISTRATIVE SERVICES:

CONSENT CALENDAR: The Consent Calendar Items are considered to be routine and will be enacted, by the Committee, after one motion, without discussion. Any items withdrawn from the Consent Calendar for separate discussion will be conserved in the regular order of business.

APPROVAL OF MINUTES (Clerk of the Board) RECOMMENDATION: Committee Meeting.

09/09/15

Approve Minutes of the July 8, 2015, Administration

Administration Committee Agenda

Page 1 of 3

REIMBURsem*nTS TO BOARD MEMBERS AND STAFF (Lorenzo Tyner) RECOMMENDATION: Recommend to the Board of Directors to: Receive and file report of reimbursem*nts to Board Members and Staff per Government Code 53065.5 for the period July 1, 2014 through June 30, 2015.

GENERAL MANAGER APPROVED PURCHASES (Lorenzo Tyner) RECOMMENDATION: Recommend to the Board of Directors to: Receive and file District purchases made under the General Manager’s authority for the period of April 1, 2015 – June 30, 2015.

NON-CONSENT CALENDAR: 4.

UPDATE TO OCSD PERSONNEL POLICIES AND PROCEDURES MANUAL (Bob Ghirelli) RECOMMENDATION: Recommend to the Board of Directors to: Adopt Resolution No. OCSD 15-XX entitled, “A Resolution of the Board of Directors of Orange County Sanitation District approving a Board of Directors Personnel Policies and Procedures Manual providing for classification, compensation, and other terms, conditions, policies, and procedures governing employment of District employees; and repealing Resolution No. OCSD 98-33 and all associated amendments.”

INFORMATION ITEMS: 5.

GROUND WATER REPLENISHMENT SYSTEM (Rob Thompson)

CLOSED SESSION: None.

OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY:

09/09/15

Administration Committee Agenda

Page 2 of 3

ADJOURNMENT: The next Administration Committee October 14, 2015 at 5:30 p.m.

meeting

scheduled

for

Wednesday,

Accommodations for the Disabled: Meeting Rooms are wheelchair accessible. If you require any special disability related accommodations, please contact the Orange County Sanitation District Clerk of the Board’s office at (714) 593-7433 at least 72 hours prior to the scheduled meeting. Requests must specify the nature of the disability and the type of accommodation requested. Agenda Posting: In accordance with the requirements of California Government Code Section 54954.2, this agenda has been posted outside the main gate of the Sanitation District’s Administration Building located at 10844 Ellis Avenue, Fountain Valley, California, not less than 72 hours prior to the meeting date and time above. All public records relating to each agenda item, including any public records distributed less than 72 hours prior to the meeting to all, or a majority of the Board of Directors, are available for public inspection in the office of the Clerk of the Board. Agenda Description: The agenda provides a brief general description of each item of business to be considered or discussed. The recommended action does not indicate what action will be taken. The Board of Directors may take any action which is deemed appropriate. NOTICE TO DIRECTORS: To place items on the agenda for the Committee Meeting, items must be submitted to the Clerk of the Board 14 days before the meeting. Kelly A. Lore Clerk of the Board (714) 593-7433 [emailprotected] For any questions on the agenda, Committee members may contact staff at: General Manager Assistant General Manager Director of Finance and Administrative Services

09/09/15

James Herberg Bob Ghirelli Lorenzo Tyner

(714) 593-7300 (714) 593-7400 (714) 593-7550

Administration Committee Agenda

[emailprotected] [emailprotected] [emailprotected]

Page 3 of 3

ITEM NO. 1

MINUTES OF THE ADMINISTRATION COMMITTEE Orange County Sanitation District Wednesday, July 8, 2015, at 5:30 P.M.

A regular meeting of the Administration Committee of the Orange County Sanitation District was called to order by Committee Chair Curry on July 8, 2015, at 5:30 p.m., in the Administration Building of the Orange County Sanitation District. Director Katapodis led the Flag Salute. A quorum was declared present, as follows: COMMITTEE MEMBERS PRESENT: Keith Curry, Chair Lucille Kring, Vice-Chair James Ferryman Jim Katapodis Peter Kim Greg Mills Glenn Parker Teresa Smith Sal Tinajero John Nielsen, Board Chair COMMITTEE MEMBERS ABSENT: Steven Choi Tyler Diep Greg Sebourn, Board Vice-Chair

STAFF PRESENT: Jim Herberg, General Manager Bob Ghirelli, Assistant General Manager Lorenzo Tyner, Director of Finance Rob Thompson, Director of Engineering Ed Torres, Director of Operations & Maintenance Kelly Lore, Clerk of the Board Jennifer Cabral Al Garcia Norbert Gaia Javitta Malone Richard Spencer Mike White

OTHERS PRESENT: Brad Hogin, General Counsel

PUBLIC COMMENTS: None.

REPORT OF COMMITTEE CHAIR: Committee Chair Curry did not provide a report.

07/08/2015

Administration Committee Minutes

Page 1 of 4

REPORT OF GENERAL MANAGER: General Manager, Jim Herberg provided information to the Committee of the upcoming tours on OCSD Ocean Monitoring Vessel Nerissa. REPORT OF DIRECTOR OF FINANCE AND ADMINISTRATIVE SERVICES: Director of Finance and Administrative Services, Lorenzo Tyner did not provide a report but informed the Committee of his intention to pull Item 2 from consideration due to the further need for clarification of materials used meeting certain standards. Committee Chair Curry stated that a few minor clerical changes were made to the attachment for Item 3, and which were provided in writing to the committee in a memo from the Clerk of the Board. These changes do not change the recommendation or the resolution. CONSENT CALENDAR: 1.

MOVED, SECONDED and DULY CARRIED TO: Approve Minutes of the 10, 2015, Administration Committee Meeting. AYES:

Curry, Ferryman, Katapodis, Kim, Nielsen and Parker

NOES:

None

June

ABSTENTIONS: Kring ABSENT:

Choi, Diep, Mills, Sebourn, T. Smith and Tinajero

Item Pulled from Consideration 2. A. Award Purchase Order Contract to Prudential Overall Supply for Uniform and Janitorial Articles Rental Service, Specification No. S-2015-675BD, for one 3-year period (11/1/2015 – 10/31/18) for an amount not to exceed $180,273.60 with one 3-year renewal option; and B.

Approve a contingency of $18,027 (10%).

MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Adopt Resolution No. OCSD 15-XX, entitled; “A Resolution of the Orange County Sanitation District Board of Directors Adopting the Records Management Program Policy and Procedures, Updated Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 10-12.” AYES:

07/08/2015

Curry, Ferryman, Katapodis, Kim, Kring, Nielsen and Parker Administration Committee Minutes

Page 2 of 4

NOES:

None

ABSTENTIONS: None ABSENT:

Choi, Diep, Mills, Sebourn, T. Smith and Tinajero

Director Mills arrived at 5:35 p.m. Director Tinajero arrived at 5:37 p.m. Director T. Smith arrived at 5:43 p.m. NON-CONSENT CALENDAR: Controller Mike White briefly explained the contracted audit functions and the procedures for the collection and remittance of capital facilities capacity charges by member cities. He introduced Nitin Patel, White Nelson Diehl Evans LLP who explained the procedures and objectives of the audit, and summarized the findings for the Committee. Questions were answered regarding; process of remittance of fees to the district; steps for habitual late remitters; interest due; clear understanding of the formula; providing materials and training in alternate years; undercharged fees not being pursued for remittance; and prior agreement for deferement of fees. 4.

MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Receive and file the Independent Accountants’ Report on Applying Agreed-Upon Procedures from White Nelson Diehl Evans, LLP. AYES:

Curry, Ferryman, Katapodis, Kim, Kring, Mills, Nielsen and Parker, T. Smith and Tinajero

NOES:

None

ABSTENTIONS: None ABSENT:

Choi, Diep, and Sebourn

CLOSED SESSION: None.

OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None.

07/08/2015

Administration Committee Minutes

Page 3 of 4

ADJOURNMENT: Committee Chair Curry declared the meeting adjourned at 5:47 p.m., to the next regularly scheduled meeting of September 9, 2015 at 5:30 p.m.

Submitted by:

_____________________ Kelly A. Lore Clerk of the Board

07/08/2015

Administration Committee Minutes

Page 4 of 4

ADMINISTRATION COMMITTEE

Meeting Date 09/09/15

To Bd. of Dir. 09/23/15

AGENDA REPORT

Item Number 2

Item Number

Orange County Sanitation District

FROM:

James D. Herberg, General Manager Originator: Lorenzo Tyner, Director of Finance and Administrative Services

SUBJECT: REIMBURsem*nTS TO BOARD MEMBERS AND STAFF GENERAL MANAGER'S RECOMMENDATION Receive and file report of reimbursem*nts to Board Members and Staff per Government Code 53065.5 for the period July 1, 2014 through June 30, 2015. SUMMARY Government Code Section 53065.5 requires all Special Districts to disclose any reimbursem*nts paid by the Orange County Sanitation District (OCSD) within the immediately preceding fiscal year of at least one hundred dollars ($100) or more for each individual charge for services or product received. The individual charge includes, but is not limited to, tuition reimbursem*nt, certificate or license reimbursem*nt, or meals, lodging, and transportation, or registration fee reimbursed to any employee or member of the governing body of OCSD. The disclosure requirement shall be fulfilled by including the reimbursem*nt information in a document published or printed at least annually by a date determined by that district and shall be made available for public inspection. Attached is the report of these reimbursem*nts for the fiscal year ended June 30, 2015. PRIOR COMMITTEE/BOARD ACTIONS N/A

ATTACHMENTS The following attachment(s) are included in hard copy and may also be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package:

•

Report of reimbursem*nts per Government Code 53065.5 for the period July 1, 2014 through June 30, 2015.

Page 1 of 1

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Employee Name

Title

Abushaban, Randa

Associate Engineer

Adams, Matt

Senior Plant Operator

Aguilar, Janine M.

Principal Human Resources Analyst

Alter, Marian M.

Principal Accountant

Alter, Marian M.

Principal Accountant

Ambriz, Jose Juan

Environmental Technician

Ambriz, Jose Juan

Amount

Description

RETURN TO AGENDA

Site Location

Duration

378.49 CWEA CAREER FAIR

San Diego, CA

4/30 to 5/1/15

239.00 CPA TRAINING

Santa Ana, CA

7/31/2014

1,444.06 CSMFO CONFERENCE

Monterey, CA

2/17 to 2/20/15

290.95 CWEA CONFERENCE

San Diego, CA

4/28 to 4/30/15

Environmental Technician

877.13 TRI-STATE CONFERENCE

Las Vegas, NV

9/22 to 9/26/14

Amin, Anantkumar R.

Electrical Technician II

215.58 P1 SPLITTER EMERG REPAIR-MILEAGE/MEAL PER DIEM

Andrews, David R.

Plant Operator

Arhontes, Nicholas J.

Director of Facilities Support Services

Toronto, Canada

8/15 to 8/24/14

Arhontes, Nicholas J.

Director of Facilities Support Services

Arhontes, Nicholas J.

Director of Facilities Support Services

441.32 CWEA CONFERENCE

San Diego, CA

4/29 to 5/1/15

Arhontes, Nicholas J.

Director of Facilities Support Services

834.04 CWEA SUMMER MEETING

Cambria, CA

7/18 to 7/20/14

Arhontes, Nicholas J.

Director of Facilities Support Services

519.54 SWRCB MTG & FUEL CELL SYMPOSIUM

Sacramento, CA

5/6 to 5/7/15

Ariston, Emilio

Lead Mechanic

190.00 CERTIFICATE REIMBURsem*nT

Ariston, Emilio

Lead Mechanic

680.54 TUITION REIMBURsem*nT

Armstrong, Natalie Bui

Administrative Assistant

Avalos-Portillo, Jessica

Safety & Health Representative

104.44 ICS300 TRAINING

Los Angeles, CA

3/2 to 3/4/15

Baker, Charles Eddie

Operations Supervisor

340.00 CERTIFICATE REIMBURsem*nT San Diego, CA

4/28 to 5/1/15

Fullerton, CA

6/25/15

1,155.00 CERTIFICATE REIMBURsem*nT 300.00 CERTIFICATE REIMBURsem*nT

300.00 CERTIFICATE REIMBURsem*nT 1,876.86 APWA EXPO 115.00 CERTIFICATE REIMBURsem*nT

2,760.00 TUITION REIMBURsem*nT

Barela, Gilbert G.

Senior Mechanic

Barela, Gilbert G.

Senior Mechanic

126.00 CWEA CONFERENCE

Barwick, Kelvin L.

Principal Environmental Specialist

230.00 WESTERN SOCIETY OF MALACOLOGIST MEETING

Basrai, Shabbir S.

Senior Engineer

120.00 AWWA WEBINAR

Basrai, Shabbir S.

Senior Engineer

116.00 CERTIFICATE REIMBURsem*nT

Bauer II, Wesley G.

Safety & Health Supervisor

120.00 CERTIFICATE REIMBURsem*nT

1,996.77 TUITION REIMBURsem*nT

Bauer II, Wesley G.

Safety & Health Supervisor

140.00 CERTIFICATE REIMBURsem*nT

Bauer II, Wesley G.

Safety & Health Supervisor

150.00 CERTIFICATE REIMBURsem*nT

Bauer II, Wesley G.

Safety & Health Supervisor

140.00 CERTIFICATE REIMBURsem*nT

Bauer II, Wesley G.

Safety & Health Supervisor

Beamish, Thomas R.

Board of Directors Member

1,135.30 CASA CONFERENCE

Beamish, Thomas R.

Board of Directors Member

895.43 DC LOBBY DAYS

Bell, Robert M.

Maintenance Supervisor

Bewley, Benjamin W.

Lead Electrical Technician

Biedermann, Jason C.

Mobile Crane Operator

175.00 CERTIFICATE REIMBURsem*nT

Bingman, Brian

Senior Engineer

115.00 CERTIFICATE REIMBURsem*nT

Bingman, Deirdre E.

Principal Environmental Specialist

115.99 BIOSOLIDS REVIEW LUNCH MEETING

Birdsell, Richard S.

Senior Engineer

116.00 CERTIFICATE REIMBURsem*nT

Birdsell, Richard S.

Senior Engineer

205.00 MEMBERSHIP RENEWAL

2/11/2015

180.00 MEMBERSHIP RENEWAL Monterey, CA

8/20 to 8/22/14

Washington, D.C.

3/17 to 3/19/15

114.45 LIGHTING PARTS REIMBURsem*nT 8,767.32 TUITION REIMBURsem*nT

Page 1 of 12

4/27/2015

Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Amount

Description

RETURN TO AGENDA

Employee Name

Title

Site Location

Duration

Blair, Bryan E.

Mechanic

206.08 EMPLOYEE APPRECIATION EVENT SUPPLIES

Bolster, Michael

Lead Mechanic

178.00 CERTIFICATE REIMBURsem*nT

Brandt, Angela

Accounting Supervisor

420.00 EMPLOYEE APPRECIATION EVENT SUPPLIES

Brooks, Rebecca A.

Engineer

115.00 CERTIFICATE REIMBURsem*nT

Brown, Jeffrey

Senior Engineer

116.00 CERTIFICATE REIMBURsem*nT

Brown, Jeffrey

Senior Engineer

195.00 CERTIFICATE REIMBURsem*nT

Burke, Pinky E.

Staff Analyst

Canen, Darrin L.

Environmental Technician

192.30 EPA TREATMENT TRAINING

Napa Valley, CA

2/2 to 2/3/15

Carrillo, Dindo A.

Senior Environmental Specialist

505.00 CWEA CONFERENCE

San Diego, CA

4/29 to 5/1/15

San Diego, CA

4/29 to 5/1/15

Santa Rosa, CA

5/15 to 5/19/15

4,378.46 TUITION REIMBURsem*nT

Carrillo, Dindo A.

Senior Environmental Specialist

195.00 CWEA CONFERENCE

Carrillo, Dindo A.

Senior Environmental Specialist

156.00 MEMBERSHIP RENEWAL

Castillon, Richard A.

Information Technology Systems & Operations Manager

187.98 CYBERSECURITY WORKSHOP

Castillon, Richard A.

Information Technology Systems & Operations Manager

Castillon, Richard A.

Information Technology Systems & Operations Manager

351.42 GARTNER CIO FORUM

Cecil, Jim D.

Plant Operator

Ceo, Peter W.

Safety & Health Representative

Ceo, Peter W.

Safety & Health Representative

Ceo, Peter W.

Safety & Health Representative

299.87 INDUSTRIAL HYGINE CONFERENCE

Ceo, Peter W.

Safety & Health Representative

510.00 MEMBERSHIP RENEWAL

Ceo, Peter W.

Safety & Health Representative

187.00 MEMBERSHIP RENEWAL

Ceo, Peter W.

Safety & Health Representative

128.14 NATL SAFETY CONFERENCE

Chang, Anthony

Plant Operator

235.00 CERTIFICATE REIMBURsem*nT

Chang, Esther H.

Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Chang, Esther H.

Plant Operator

594.14 TUITION REIMBURsem*nT

Chang, Frankie

Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Chavez, Frank

Operations Supervisor

340.00 CERTIFICATE REIMBURsem*nT

Cheffs, Peter

Lead Mechanic

173.00 CERTIFICATE REIMBURsem*nT

1,073.94 WATER/WASTEWATER CIO FORUM

Phoenix, AZ

2/28 to 3/3/15

Cincinnati, OH

4/27 to 4/30/15

230.00 CERTIFICATE REIMBURsem*nT 813.47 CSP EXAM WORKSHOP 1,212.92 EMERGENCY MGMT-EARTHQUAKE TRAINING

Choi, Samuel

Principal Laboratory Analyst

Choi, Samuel

Principal Laboratory Analyst

5,209.78 TUITION REIMBURsem*nT

714.34 AWWA SYMPOSIUM

Christensen, Kimberly C.

Senior Scientist

1,669.23 PITTCON

Cleveland, Donald R.

Lead Mechanic

173.00 CERTIFICATE REIMBURsem*nT

Coghill, Adam D.

Engineer

116.00 CERTIFICATE REIMBURsem*nT

Cole, Christopher H.

Plant Operator

849.47 TRI-STATE CONFERENCE

Collins, Rodney L.

Safety & Health Specialist

125.00 CERTIFICATE REIMBURsem*nT

Collins, Rodney L.

Safety & Health Specialist

150.00 CERTIFICATE REIMBURsem*nT

Colston, James E.

Environmental Compliance Manager

299.36 CASA CONFERENCE

Colston, James E.

Environmental Compliance Manager

284.00 DIVISION MEETING

Colston, James E.

Environmental Compliance Manager

480.00 MEMBERSHIP RENEWAL Page 2 of 12

San Diego, CA San Luis Obispo, CA

3/25 to 3/28/15 11/16 to 11/21/14

San Diego, CA

12/2 to 12/5/14

San Diego, CA

9/17/2014

Savannah, GA

4/12 to 4/14/15

New Orleans, LA

3/7 to 3/12/15

Las Vegas, NV

9/22 to 9/26/14

Palm Springs, CA

1/21 to 1/23/15

Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Amount

Description

RETURN TO AGENDA

Employee Name

Title

Site Location

Colston, James E.

Environmental Compliance Manager

138.42 STATE WATER BOARD MEETING

Conklin, Gary P.

Senior Engineer

115.00 CERTIFICATE REIMBURsem*nT

Conklin, Gary P.

Senior Engineer

342.75 CWEA CONFERENCE

Connor, Matthew J.

Senior Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Coronel, Robbie A.

Senior Plant Operator

440.00 CERTIFICATE REIMBURsem*nT

Coronel, Robbie A.

Senior Plant Operator

340.00 CERTIFICATE REIMBURsem*nT

Corral, Cesar

Senior Mechanic

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

1,325.91 AWWA WATER CONFERENCE

New Orleans, LA

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

1,262.41 AWWA/WEF CONFERENCE

Austin, TX

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

175.00 CERTIFICATE REIMBURsem*nT

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

175.00 CERTIFICATE REIMBURsem*nT

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

140.00 CERTIFICATE REIMBURsem*nT

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

422.98 EMPLOYEE APPRECIATION EVENT SUPPLIES

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

244.00 MEMBERSHIP RENEWAL

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

379.00 MEMBERSHIP RENEWAL

Coss, Ronald J.

Environmental Lab & Operations & Maintenance Manager

2,133.10 TUITION REIMBURsem*nT

Covarrubias, Daisy G.

Senior Staff Analyst

Covarrubias, Daisy G.

Senior Staff Analyst

Crafton, Ann

Principal Financial Analyst

Crafton, Ann

Principal Financial Analyst

Crider, Suzanne A.

Senior Staff Analyst

Cuellar, Raul

CIP Project Manager

345.51 NASTT NO-DIG SHOW

Denver, CO

3/15 to 3/18/15

Cuellar, Raul

CIP Project Manager

801.43 PMP CERTIFICATION TRAINING

Encinitas, CA

7/21 to 7/24/14

Dalgoff, Jacob

Engineer

115.00 CERTIFICATE REIMBURsem*nT San Diego, CA

4/29 to 5/1/15 2/2 to 2/3/15

Sacramento, CA San Diego, CA

Duration 8/19/2014 4/29 to 4/30/15

150.00 CERTIFICATE REIMBURsem*nT

119.45 CFCC FUNDING FAIR

11/15 to 11/19/14 2/16 to 2/21/15

San Diego, CA

4/2/2015

816.54 IRWA CONFERENCE

San Diego, CA

6/14 to 6/17/15

262.52 NASSCO TRAIN

Simi Valley, CA

8/7 to 8/8/14

1,170.00 TUITION REIMBURsem*nT

1,135.00 TUITION REIMBURsem*nT

Dalgoff, Jacob

Engineer

613.50 CWEA CONFERENCE

DaSilva, Andy

Engineer

272.00 MEMBERSHIP RENEWAL

Davidson, James R.

Source Control Inspector II

192.30 EPA TREATMENT TRAINING

Napa Valley, CA

Davis, Heather A.

Safety & Health Representative

372.15 ASP EXAM PREP WORKSHOP

San Francisco, CA

Davis, Heather A.

Safety & Health Representative

154.25 OSHA-2250 TRAINING

Anaheim, CA

10/13 to 10/16/14

Davis, Heather A.

Safety & Health Representative

399.66 OSHA-511 TRAINING

San Diego, CA

7/27 to 7/31/14

de Guzman, Rhea M.

Accounting Assistant II

595.00 TUITION REIMBURsem*nT

Deas, Dion

Lead Instrumentation Technician

190.00 CERTIFICATE REIMBURsem*nT

Desai, Rohit

Senior Information Technology Analyst

115.00 CERTIFICATE REIMBURsem*nT

Desai, Rohit

Senior Information Technology Analyst

972.45 CERTIFICATE REIMBURsem*nT

Deterding, Gregg J.

Graphics Coordinator

282.99 EVENT SUPPLIES

Deterding, Gregg J.

Graphics Coordinator

105.69 EVENT SUPPLIES

Dhodia, Hemal

Engineer

192.00 CERTIFICATE REIMBURsem*nT

Dhodia, Hemal

Engineer

110.00 MEMBERSHIP RENEWAL Page 3 of 12

8/14 to 8/20/14

Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Employee Name

Title

Amount

Description

Diaz, Arturo

Principal Laboratory Analyst

Dillon, Carla D.

Engineering Supervisor

Dillon, Carla D.

Engineering Supervisor

Dix, Martin A.

Engineering Supervisor

115.00 CERTIFICATE REIMBURsem*nT

Dix, Martin A.

Engineering Supervisor

129.00 MEMBERSHIP RENEWAL

Dorman, Michael T.

Engineering Supervisor

115.00 CERTIFICATE REIMBURsem*nT

Downer, Sid M.

Plant Operator

350.00 CERTIFICATE REIMBURsem*nT

Downer, Sid M.

Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Dragan, Bryce

Source Control Inspector I

192.30 EPA TREATMENT TRAINING

Dumlao, Allan P.

Plant Operator

230.00 CERTIFICATE REIMBURsem*nT

Durieux, Shelley J.

Human Resources Analyst

311.10 CORNERSTONE TRAINING

Durieux, Shelley J.

Human Resources Analyst

4,480.00 TUITION REIMBURsem*nT

Dysart, Doug M.

Plant Operator

Escobar, Santiago A.

Associate Engineer

Esquer, Mark A.

Engineering Manager

178.00 CERTIFICATE REIMBURsem*nT

Esquer, Mark A.

Engineering Manager

170.00 EMPLOYEE APPRECIATION EVENT SUPPLIES

Esquer, Mark A.

Engineering Manager

170.47 EMPLOYEE APPRECIATION EVENT SUPPLIES

Esquer, Mark A.

Engineering Manager

202.33 EMPLOYEE APPRECIATION EVENT SUPPLIES

Esquer, Mark A.

Engineering Manager

300.00 EMPLOYEE APPRECIATION EVENT SUPPLIES

Esquer, Mark A.

Engineering Manager

249.00 MEMBERSHIP RENEWAL

Esquer, Mark A.

Engineering Manager

272.00 MEMBERSHIP RENEWAL

Esquer, Mark A.

Engineering Manager

Ferraro, Benjamin J.

Laboratory Analyst

Ferry, Cynthia L.

Administrative Assistant

266.69 SAFETY RECOGINITION AWARD MEAL

Fisher, Dean M.

Engineering Manager

116.00 CERTIFICATE REIMBURsem*nT

Fladrich, John C.

Plant Operator

170.00 CERTIFICATE REIMBURsem*nT

Fladrich, John C.

Plant Operator

350.00 CERTIFICATE REIMBURsem*nT

Forman, Chuck M.

Facilities Manager

516.84 FASTER ASSET SOLUTIONS TRAINING

Frabizio, Damein E.

Mechanic

180.00 CERTIFICATE REIMBURsem*nT

Frabizio, Damein E.

Mechanic

135.00 CERTIFICATE REIMBURsem*nT

RETURN TO AGENDA

Site Location

Duration

148.00 MEMBERSHIP RENEWAL 100.00 MEMBERSHIP RENEWAL 1,815.70 WEFTEC CONFERENCE

New Orleans, LA

9/26 to 10/1/14

Napa Valley, CA

2/2 to 2/3/15

Los Angeles, CA

5/11 to 5/13/15

Houston, TX

5/11 to 5/16/15

230.00 CERTIFICATE REIMBURsem*nT 1,326.49 ADV. VIBRATION ANALYSIS TRAINING

280.00 MEMBERSHIP RENEWAL 2,427.00 TUITION REIMBURsem*nT

Portsmouth, VA

10/19 to 10/22/14

Napa Valley, CA

2/2 to 2/3/15

Francis, David P.

Source Control Inspector II

192.30 EPA TREATMENT TRAINING

Gabriel, Lawrence C

Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Gamber, Robert M.

Senior Environmental Specialist

1,463.49 SETAC MEETING

Vancouver, Canada

1,361.56 LABWARE CONFERENCE

Atlanta, GA

Garchow, Matthew N.

Senior Information Technology Analyst

Gasca, Luis

Electrical Technician II

100.00 CERTIFICATE REIMBURsem*nT

Gasca, Luis

Electrical Technician II

183.51 P1 SPLITTER EMERG REPAIR-MILEAGE/MEAL PER DIEM

Gentz II, Robert A.

Senior Mechanic

129.59 SAFETY BOOTS

Gerber, Harold T.

Engineer

116.00 CERTIFICATE REIMBURsem*nT Page 4 of 12

11/9 to 11/13/14 4/26 to 5/1/15

Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Employee Name

Title

Amount

Description

Gerber, Harold T.

Engineer

149.00 CERTIFICATE REIMBURsem*nT

Gerber, Harold T.

Engineer

715.55 IPACS USER GROUP CONFERENCE

Gerber, Harold T.

Engineer

156.00 MEMBERSHIP RENEWAL

Gerber, Harold T.

Engineer

212.80 TRI-STATE CONFERENCE

Gerber, Harold T.

Engineer

315.00 TUITION REIMBURsem*nT

Ghirelli, Robert P.

Assistant General Manager

Gomez, Ruben

Senior Construction Inspector

120.00 CERTIFICATE REIMBURsem*nT

Gomez, Ruben

Senior Construction Inspector

190.00 MEMBERSHIP RENEWAL

Gomez, Ruben

Senior Construction Inspector

170.00 SAFETY BOOTS

Gonzales, Casey

Plant Operator

170.00 CERTIFICATE REIMBURsem*nT

Gonzalez, John G.

Maintenance Supervisor

Gonzalez, John G.

Maintenance Supervisor

Good, Stephanie Y.

Human Resources Analyst

Gray, Janet L.

Human Resources Analyst

Hale, Angela A.

Accountant

Halverson, David D.

Engineering Manager

Hamilton, Bradley A.

Senior Information Technology Analyst

Hamilton, Bradley A.

Senior Information Technology Analyst

Haney, Lisa

Senior Environmental Specialist

372.19 ENDANGERED SPECIES ACT TRAINING

Harvey, Elvia

Administrative Assistant

215.94 MICROSFT BOOKS

Haworth, Michael T.

Operations Supervisor

340.00 CERTIFICATE REIMBURsem*nT

RETURN TO AGENDA

Site Location

Duration

N. Brunswick, NJ

9/30 to 10/6/14

Las Vegas, NV

9/23 to 9/24to14

Monterey, CA

8/20 to 8/22/14

1,186.66 WWETT CONFERENCE

Indianapolis, IN

2/22 to 2/27/15

1,891.95 CAL/PELRA CONFERENCE

Monterey, CA

11/17 to 11/21/14

Pasadena, CA

7/29 to 8/1/14

San Diego, CA

3/26 to 3/27/15

1,061.83 CASA CONFERENCE

153.21 EMPLOYEE APPRECIATION EVENT SUPPLIES

150.00 CERTIFICATE REIMBURsem*nT 5,250.00 TUITION REIMBURsem*nT 116.00 CERTIFICATE REIMBURsem*nT 613.26 ENCASE SOFTWARE TRAINING 4,956.79 TUITION REIMBURsem*nT

Hellebrand, Ingrid G.

Senior Staff Analyst

Hellebrand, Ingrid G.

Senior Staff Analyst

164.85 CWEA CONFERENCE

San Diego, CA

4/30 to 5/1/15

Denver, CO

6/7 to 6/11/15

Herberg, James D.

General Manager

121.00 BREAKFAST MEETING WITH BOARD MEMBERS

Herberg, James D.

General Manager

Herberg, James D.

General Manager

595.26 CASA CONFERENCE

Palm Springs, CA

1/21 to 1/23/15

253.44 CWEA CONFERENCE

San Diego, CA

Herberg, James D.

General Manager

4/28 to 4/29/15

914.10 DC LOBBY DAYS

Washington, D.C.

3/17 to 3/19/15

Encinitas, CA

7/21 to 7/24/14

Denver, CO

12/1 to 12/4/14

1,012.59 GOVT FLEET EXPO

Herberg, James D.

General Manager

Herrera, Yolanda

Data Management Tech I

109.88 LUNCH MEETING WITH BOARD MEMBERS

Herrigstad, Carl A.

Lead Instrumentation Technician

137.65 EMPLOYEE APPRECIATION EVENT SUPPLIES

Herrigstad, Carl A.

Lead Instrumentation Technician

406.03 EMPLOYEE APPRECIATION EVENT SUPPLIES

Howard, Steven E.

Maintenance Supervisor

602.19 EMPLOYEE APPRECIATION EVENT SUPPLIES

Hsiao, Lina

Accounting Supervisor

130.10 CERTIFICATE REIMBURsem*nT

Hsieh, Eric S.

Principal Information Technology Analyst

405.00 CERTIFICATE REIMBURsem*nT

Hsieh, Eric S.

Principal Information Technology Analyst

693.57 PMP CERTIFICATION TRAINING

Hsieh, Eric S.

Principal Information Technology Analyst

1,028.73 QUEST JDE USER CONFERENCE

Huls, Michael R

Plant Operator

327.28 TUITION REIMBURsem*nT

Jenkins, Stuart A.

Plant Operator

350.00 CERTIFICATE REIMBURsem*nT

6,750.00 TUITION REIMBURsem*nT

Page 5 of 12

Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Employee Name

Title

Amount

Description

Jenkins, Stuart A.

Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Kavoklis, John

Chief Plant Operator

340.00 CERTIFICATE REIMBURsem*nT

Kawamoto, Mark H.

Engineer

264.00 MEMBERSHIP RENEWAL

Kawamoto, Mark H.

Engineer

486.00 MEMBERSHIP RENEWAL

Kawamoto, Mark H.

Engineer

249.00 MEMBERSHIP RENEWAL

Kenerson, Roger A.

Senior Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Khublall, Hardat S.

CIP Project Manager

164.00 MEMBERSHIP RENEWAL

Khublall, Hardat S.

CIP Project Manager

9,072.00 TUITION REIMBURsem*nT

Kim, Jin H.

Engineer

115.00 CERTIFICATE REIMBURsem*nT

Kim, Jin H.

Engineer

195.00 CERTIFICATE REIMBURsem*nT

Kim, Jin H.

Engineer

115.00 CERTIFICATE REIMBURsem*nT

Kim, Michelle A.

Laboratory Analyst

156.00 MEMBERSHIP RENEWAL

Kleinbergs, Mila S.

Engineer

115.00 CERTIFICATE REIMBURsem*nT

Kleinbergs, Mila S.

Engineer

545.68 CWEA P3S CONFERENCE

Klinger, Laurie J.

Senior Human Resources Analyst

150.00 CERTIFICATE REIMBURsem*nT

RETURN TO AGENDA

Site Location

Duration

Napa Valley, CA

2/1 to 2/3/15

Krzysiak, Paul

Principal Information Technology Analyst

1,370.13 CISCO LIVE CONFERENCE

San Diego, CA

6/7 to 6/11/15

Krzysiak, Paul

Principal Information Technology Analyst

2,120.73 MICROSOFT IGNITE CONFERENCE

Chicago, IL

5/3 to 5/8/15

Kyi, May T.

Engineer

624.60 AERMOD TRAINING

Las Vegas, NV

5/3 to 5/5/15

Kyi, May T.

Engineer

116.00 CERTIFICATE REIMBURsem*nT

Lambertz, Marcus G.

Maintenance Supervisor

455.00 CERTIFICATE REIMBURsem*nT

Lambertz, Marcus G.

Maintenance Supervisor

746.03 MAINTENANCE FOR MGRS

Houston, TX

7/28 to 7/31/14

Lambertz, Marcus G.

Maintenance Supervisor

779.01 MAINTENANCE & RELIABILITY TRAINING #1

Houston, TX

1/26 to 1/29/15

Lambertz, Marcus G.

Maintenance Supervisor

762.03 MAINTENANCE & RELIABILITY TRAINING #3

Houston, TX

9/29 to 10/2/14

Lambertz, Marcus G.

Maintenance Supervisor

752.55 MAINTENANCE & RELIABILITY TRAINING #4

Houston, TX

12/1 to 12/4to14

Lapite, Elizabeth A.

Administrative Assistant

Lester, Edwin M.

Senior Plant Operator

Liang, Jian

Senior Information Technology Analyst

Lin, John H.

Senior Engineer

Long, Rebecca

Senior Public Information Specialist

Washington, D.C.

2/22 to 2/25/15

Long, Rebecca

Senior Public Information Specialist

416.43 CASA FORUM

Sacramento, CA

4/27 to 4/28/15

Long, Rebecca

Senior Public Information Specialist

877.24 DC LOBBY DAYS

Washington, D.C.

3/17 to 3/19/15

Long, Rebecca

Senior Public Information Specialist

358.79 PR SUPPLIES

Lopez, John M.

Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Lore, Kelly A.

Clerk of the Board

998.04 BOARD SECRETARY/CLERK CONFERENCE

San Diego, CA

2/11 to 2/13/15

Losurdo, Linda

Administrative Assistant

107.54 EMPLOYEE APPRECIATION EVENT SUPPLIES

Losurdo, Linda

Administrative Assistant

210.61 EMPLOYEE APPRECIATION EVENT SUPPLIES

Losurdo, Linda

Administrative Assistant

230.24 EMPLOYEE APPRECIATION EVENT SUPPLIES

Losurdo, Linda

Administrative Assistant

322.87 SAFETY RECOGINITION AWARD MEAL

3,289.05 TUITION REIMBURsem*nT 300.00 CERTIFICATE REIMBURsem*nT 10,500.00 TUITION REIMBURsem*nT 115.00 CERTIFICATE REIMBURsem*nT 1,338.35 CASA CONFERENCE

Page 6 of 12

Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Amount

Description

RETURN TO AGENDA

Employee Name

Title

Site Location

Losurdo, Linda

Administrative Assistant

116.42 SOAP BINDER BATTERY

Malik, William S.

Electrical Technician II

190.00 CERTIFICATE REIMBURsem*nT

Malpede, Jaime M.

Source Control Supervisor

250.08 EPA TREATMENT TRAINING

Mansell II, Selwyn D.

Senior Plant Operator

340.00 CERTIFICATE REIMBURsem*nT

Mansell, Selwyn D.

Operations Supervisor

340.00 CERTIFICATE REIMBURsem*nT

Mansell, Selwyn D.

Operations Supervisor

107.11 EMPLOYEE APPRECIATION EVENT SUPPLIES

Mansell, Selwyn D.

Operations Supervisor

Maravilla, Laura

Principal Human Resources Analyst

Maravilla, Laura

Principal Human Resources Analyst

Markus, Stephen M.

Senior Plant Operator

Martin, Marie C.

Accounting Assistant II

Martinez, Chad M.

Source Control Inspector I

707.28 3OTH TRI-STATE SEMINAR

Martinez, Chad M.

Source Control Inspector I

140.00 CERTIFICATE REIMBURsem*nT

Martinez, Chad M.

Source Control Inspector I

273.17 MANUAL & VIDEO

Martinez, Denise M.

Senior Human Resources Analyst

387.10 CSDA MEETING

Sacramento, CA

Martinez, Denise M.

Senior Human Resources Analyst

206.68 CSDA SUBCOMMITTEE MEETING

Sacramento, CA

1/9/2015

Martinez, Denise M.

Senior Human Resources Analyst

125.46 PELRAC CONFERENCE

Long Beach, CA

10/14 to 10/16/14

McMullin, Ryan

Senior Laboratory Analyst

4,883.40 TUITION REIMBURsem*nT

Melby, Mark

Senior Plant Operator

1,131.50 TUITION REIMBURsem*nT

Mendez, Thomas J.

Senior Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Menocal, Jorge

Senior Mechanic

707.28 3OTH TRI-STATE SEMINAR

Menocal, Jorge

Senior Mechanic

344.00 CERTIFICATE REIMBURsem*nT

Menocal, Jorge

Senior Mechanic

150.00 CERTIFICATE REIMBURsem*nT

Meregillano, Tom B.

Regulatory Specialist

174.10 CASA CONFERENCE

Napa Valley, CA

Duration

2/2 to 2/3/15

127.90 SAFETY RECOGINITION AWARD 1,856.38 CAL/PELRA CONFERENCE

Monterey, CA

11/17 to 11/21/14

Las Vegas, NV

9/22 to 9/26/14

150.00 CERTIFICATE REIMBURsem*nT 340.00 CERTIFICATE REIMBURsem*nT 3,450.00 TUITION REIMBURsem*nT

Meregillano, Tom B.

Regulatory Specialist

Millea, Kathleen T.

Engineering Manager

1,418.84 WEF BIOSOLIDS CONFERENCE 115.00 CERTIFICATE REIMBURsem*nT

Millea, Kathleen T.

Engineering Manager

304.00 EMPLOYEE APPRECIATION EVENT SUPPLIES

Milligan, Shallee M.

Staff Analyst

745.94 TUITION REIMBURsem*nT

Mohr, Jeffrey D.

CIP Project Manager

272.00 MEMBERSHIP RENEWAL

Moline, William M.

Operations Supervisor

145.30 EMPLOYEE APPRECIATION EVENT SUPPLIES

Moline, William M.

Operations Supervisor

109.49 EMPLOYEE APPRECIATION EVENT SUPPLIES

Moline, William M.

Operations Supervisor

109.72 SAFETY RECOGINITION AWARD

Morey, Michael N.

Senior Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Morgan, Lynn R.

Administrative Assistant

260.47 EMPLOYEE APPRECIATION EVENT SUPPLIES

Morgan, Lynn R.

Administrative Assistant

246.71 EMPLOYEE APPRECIATION EVENT SUPPLIES

Morgan, Lynn R.

Administrative Assistant

276.01 EMPLOYEE APPRECIATION EVENT SUPPLIES

Morgan, Lynn R.

Administrative Assistant

171.94 EMPLOYEE APPRECIATION EVENT SUPPLIES

Morgan, Lynn R.

Administrative Assistant

182.68 EMPLOYEE APPRECIATION EVENT SUPPLIES Page 7 of 12

Las Vegas, NV

Sacramento, CA Washington, D.C.

6/12/2015

9/22 to 9/26/14

12/10 to 12/12/14 6/7 to 6/11/15

Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Amount

Description

RETURN TO AGENDA

Employee Name

Title

Site Location

Duration

Mullins, James C.

Senior Engineer

1,555.17 CERTIFICATE REIMBURsem*nT

Mullins, James C.

Senior Engineer

1,344.24 WATER & ENERGY TRAINING

Murthy, Umesh N.

Engineering Supervisor

115.00 CERTIFICATE REIMBURsem*nT

Murthy, Umesh N.

Engineering Supervisor

150.00 CERTIFICATE REIMBURsem*nT

Murthy, Umesh N.

Engineering Supervisor

Murthy, Umesh N.

Engineering Supervisor

Nazaroff, Adam A.

CIP Project Manager

116.00 CERTIFICATE REIMBURsem*nT

Nazaroff, Adam A.

CIP Project Manager

947.00 CERTIFICATE REIMBURsem*nT

Newell, Kelly C.

Public Affairs Specialist

129.02 EVENT SUPPLIES

Nguyen, Huan-Hoang

Senior Engineer

116.00 CERTIFICATE REIMBURsem*nT

Nguyen, Huan-Hoang

Senior Engineer

921.99 NAGDCA CONFERENCE

San Antonio, TX

Nguyen, Quynh D.

Engineering Associate

109.61 ESRI CONFERENCE

San Diego, CA

Nguyen, Tiffany H.

Human Resources Analyst

375.49 CORNERSTONE TRAINING

Los Angeles, CA

Nguyen, Tiffany H.

Human Resources Analyst

238.98 CWEA CONFERENCE

San Diego, CA

Nguyen, Tiffany H.

Human Resources Analyst

104.52 PELRAC CONFERENCE

Long Beach, CA

Nielsen, John

Board of Directors Member

989.20 CASA CONFERENCE

Monterey, CA

8/20 to 8/22/14

Nielsen, John

Board of Directors Member

631.09 CASA CONFERENCE

Palm Springs, CA

1/21 to 1/23/15

Nielsen, John

Board of Directors Member

841.11 DC LOBBY DAYS

Washington, D.C.

3/17 to 3/19/15

Nunez, Jose A.

Storekeeper

232.60 TUITION REIMBURsem*nT

Oberly, Michael A.

Electrical Technician I

165.00 CERTIFICATE REIMBURsem*nT

Oberly, Michael A.

Electrical Technician I

822.10 TUITION REIMBURsem*nT

Oruganti, Jagadish

Senior Information Technology Analyst

1,218.75 TUITION REIMBURsem*nT

Padilla, Karen L.

Engineering Assistant I

2,129.38 TUITION REIMBURsem*nT

Paik, Sang

Senior Information Technology Analyst

187.98 EPA CYBER WORKSHOP

Santa Rosa, CA

5/18 to 5/19/15

Pantoja, Enrique

Senior Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Paramo, Giovanni

Automotive/Heavy Equip Assistant

945.50 TUITION REIMBURsem*nT

Patel, Madankumar B.

Senior Engineer

116.00 CERTIFICATE REIMBURsem*nT

Perez, Leyla D.

Senior Environmental Specialist

300.00 NASAL RANGER TRAINING

Philips, David N.

Senior Engineer

116.00 CERTIFICATE REIMBURsem*nT

Pilko, Victoria

CIP Project Manager

Quiroz, Carlos

Maintenance Manager

192.07 BOOKS

Quiroz, Carlos

Maintenance Manager

125.43 EMPLOYEE APPRECIATION EVENT SUPPLIES

Quiroz, Carlos

Maintenance Manager

129.35 EMPLOYEE APPRECIATION EVENT SUPPLIES

Quiroz, Carlos

Maintenance Manager

Ralston, John R.

Accounting Supervisor

300.00 CERTIFICATE REIMBURsem*nT

Rampley, Alexander J.

Information Technology Analyst III

405.00 CERTIFICATE REIMBURsem*nT

Rampley, Alexander J.

Information Technology Analyst III

Rampley, Alexander J.

Information Technology Analyst III

Washington, D.C.

6/7to 6/11/15

Washington, D.C.

6/7to 6/11/15

136.61 EMPLOYEE APPRECIATION EVENT SUPPLIES 1,550.32 WATER & ENERGY TRAINING

1,122.60 WEFTEC CONFERENCE

Irvine, CA

9/14 to 9/17/14 7/16/2014 5/11 to 5/13/15 4/30 to 5/1/15 10/14 to 10/16/14

4/21/15

New Orleans, LA

9/28 to 10/1/14

Daytona Beach, FL

12/7 to 12/13/14

856.76 IBM-MAXIMO TRAINING

Las Vegas, NV

2/22 to 2/26/15

651.27 MISAC PREP COURSE

Encinitas, CA

7/21 to 7/24/14 Prepared By: Lisa Rogers 8/12/2015

1,351.55 IMC CONFERENCE

Page 8 of 12

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Amount

Description

RETURN TO AGENDA

Employee Name

Title

Site Location

Duration

Rampley, Alexander J.

Information Technology Analyst III

492.83 SPECIAL DISTRICTS ASSOC. COMMITTEE MEETINGS

Sacramento, CA

3/27/2015

Rampley, Alexander J.

Information Technology Analyst III

681.87 SPECIAL DISTRICTS ASSOC. LEGISLATIVE DAYS

Sacramento, CA

5/18 to 5/20/15

Reed, Brian K.

Senior Environmental Specialist

168.00 CERTIFICATE REIMBURsem*nT San Diego, CA

4/27 to 5/1/15

Indian Wells, CA

9/7 to 9/11/14

Reynolds, Roy J.

Maintenance Supervisor

192.00 CWEA CONFERENCE

Riley, Cory J.

Plant Operator

230.00 CERTIFICATE REIMBURsem*nT

Rivera, George

Security/Emergency Planning Specialist

Rivera, George

Security/Emergency Planning Specialist

550.95 FORKLIFT SAFETY

San Diego, CA

7/27 to 7/29/14

Rivera, George

Security/Emergency Planning Specialist

871.31 OSHA-2264 TRAINING

Los Angeles, CA

4/26 to 4/29/15

Roberts, Mark S.

Operations Supervisor

340.00 CERTIFICATE REIMBURsem*nT

Roberts, Mark S.

Operations Supervisor

Robertson, George L.

Senior Scientist

Mt. Hood, OR

9/17 to 9/20/14

Robertson, George L.

Senior Scientist

574.00 MEMBERSHIP RENEWAL

Robertson, George L.

Senior Scientist

438.76 PACIFIC ANOMALIES WORKSHOP

Robertson, George L.

Senior Scientist

635.39 REIMBURsem*nT FOR BUOY LIGHTS

Robertson, George L.

Senior Scientist

656.32 SCCOOS/CENCOOS

Robertson, George L.

Senior Scientist

245.39 SUPPLIES FOR THE NERISSA

Robles, Carrie L.

Secretary to the General Manager

Rocha, Johnny J.

Senior Plant Operator

Rocha, Milton

Senior Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Rodriguez, David

Engineer

190.00 CERTIFICATE REIMBURsem*nT

Rodriguez, David

Engineer

195.00 CERTIFICATE REIMBURsem*nT

Rodriguez, David

Engineer

115.00 CERTIFICATE REIMBURsem*nT

Rodriguez, David

Engineer

285.00 CERTIFICATE REIMBURsem*nT

Rosenhamer, Aharon M.

Senior Mechanic

200.00 CERTIFICATE REIMBURsem*nT

Rothbart, Lisa A.

Environmental Supervisor

1,257.00 CASA CONFERENCE

Rothbart, Lisa A.

Environmental Supervisor

1,380.00 TUITION REIMBURsem*nT

Ruckman, Ernest S.

Senior Environmental Specialist

1,455.25 SETAC MEETING

1,055.41 CESA TRAINING CONFERENCE

106.62 EMPLOYEE APPRECIATION EVENT SUPPLIES 1,428.85 EPOC CONFERENCE

213.30 IAAP EFAM 2014

La Jolla, CA

5/5 to 5/6/15

San Luis Obispo, CA

6/30 to 7/3/14

Milwaukee, WI

7/26 to 7/30/14

Monterey, CA

8/20 to 8/22/14

Vancouver, Canada

11/9 to 11/13/14

San Diego, CA

7/12 to 7/17/14

1,444.95 TUITION REIMBURsem*nT

Ruckman, Ernest S.

Senior Environmental Specialist

5,067.61 TUITION REIMBURsem*nT

Ruiz, Luis M.

Laboratory Assistant

5,146.66 TUITION REIMBURsem*nT

Ruiz, Stefanie R.

Office Assistant

5,132.00 TUITION REIMBURsem*nT

Rulison, Doug

Senior Information Technology Analyst

540.14 ESRI CONFERENCE

Russell, David L.

Lead Instrumentation Technician

160.00 CERTIFICATE REIMBURsem*nT

Sabri, Julian F.

Engineering Supervisor

164.00 CERTIFICATE REIMBURsem*nT

Sabri, Julian F.

Engineering Supervisor

249.00 CERTIFICATE REIMBURsem*nT

Sabri, Julian F.

Engineering Supervisor

498.49 CWEA P3S CONFERENCE

Sabri, Julian F.

Engineering Supervisor

5,589.61 TUITION REIMBURsem*nT

Sakamoto, Ken A.

Senior Environmental Specialist

213.78 ARCGIS3 TRAINING

Redlands, CA

5/11 to 5/12/15

Sakamoto, Ken A.

Senior Environmental Specialist

169.28 ESRI CONFERENCE

Redlands, CA

11/5 to 11/7/14 Prepared By: Lisa Rogers 8/12/2015

Page 9 of 12

Napa Valley, CA

2/1 to 2/3/15

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Employee Name

Title

Sakamoto, Ken A.

Senior Environmental Specialist

Sakamoto, Ken A.

Senior Environmental Specialist

Salgado, Henry R.

Principal Information Technology Analyst

Salgado, Henry R. Santos, Jackie M

Amount

Description

115.00 PRIMER-E TRAINING

RETURN TO AGENDA

Site Location

Duration

Long Beach, CA

1/12 to 1/16/15

696.11 CORNERSTONE TRAINING

Los Angeles, CA

5/11 to 5/13/15

Principal Information Technology Analyst

588.05 IPACS USER GROUP CONFERENCE

N. Brunswick, NJ

9/30 to 10/3/14

Buyer

704.82 TUITION REIMBURsem*nT

Schuler, Kevin A.

Senior Mechanic

708.40 3OTH TRI-STATE SEMINAR

Las Vegas, NV

9/22 to 9/26/14

Schuler, Kevin A.

Senior Mechanic

5,820.00 TUITION REIMBURsem*nT

Scott, Gregg A.

Plant Operator

340.00 CERTIFICATE REIMBURsem*nT

Segura, Anthony

Materials Control Supervisor

299.00 CERTIFICATE REIMBURsem*nT

Segura, Anthony

Materials Control Supervisor

199.00 CERTIFICATE REIMBURsem*nT

Segura, Anthony

Materials Control Supervisor

249.00 CERTIFICATE REIMBURsem*nT

Sevenandt, Wendy T.

CIP Project Manager

164.00 MEMBERSHIP RENEWAL

Shelp, Curt V.

Operations Supervisor

340.00 CERTIFICATE REIMBURsem*nT

Shelp, Curt V.

Operations Supervisor

151.62 EMPLOYEE APPRECIATION EVENT SUPPLIES

Shelp, Curt V.

Operations Supervisor

144.95 SAFETY BOOTS

Smith, Wendy A.

Engineer

131.90 ESRI CONFERENCE

San Diego, CA

7/16/2014

Sohanaki, Roya

Engineering Supervisor

115.00 CERTIFICATE REIMBURsem*nT

Spears, James

Operations Manager

Spears, James

Operations Manager

340.00 CERTIFICATE REIMBURsem*nT

Spears, James

Operations Manager

488.06 EMERGENCY REPAIR/FOOD REIMB.

Spencer, Richard L.

Human Resources Manager

140.00 EMPLOYEE APPRECIATION EVENT SUPPLIES

Stacklin, Christopher A.

Engineer

Anaheim, CA

6/8 to 6/9/15

Stacklin, Christopher A.

Engineer

962.37 WATERREUSE CONFERENCE

Dallas, TX

9/7 to 9/10/14

Stacklin, Christopher A.

Engineer

843.52 WEF CONFERENCE

Chicago, IL

2/4 to 2/7/15

Stacklin, Christopher A.

Engineer

241.55 WEF CONFERENCE

Washington, D.C.

1/20 to 1/22/15

Stacklin, Christopher A.

Engineer

1,757.08 WEF CONFERENCE

Washington, D.C.

4/12 to 4/16/15

Stacklin, Christopher A.

Engineer

1,933.39 WEFTEC CONFERENCE

New Orleans, LA

9/26 to 10/1/14

Las Vegas, NV

10/7 to 10/8/14

Los Angeles, CA

5/11 to 5/13/15

1,159.65 SUPPLIES FOR THE NERISSA

2,051.56 AWWA/WEF CONFERENCE

1,147.38 AWWA CONFERENCE

Stahl, Keith C.

Plant Operator

Sternin, Warren L.

Information Technology Supervisor

Sullivan, Patrick A.

Senior Plant Operator

Swindler, John W.

Information Technology Manager

Swindler, John W.

Information Technology Manager

Swindler, John W.

Information Technology Manager

719.10 SHAREPOINT ELECTRONIC DOCUMENTATION TRAINING

Tafolla, Brian J.

Reliability Maintenance Technician

200.00 CERTIFICATE REIMBURsem*nT

Tang, Danny

Scientist

Tang, Luc H.

Senior Mechanic

Terriquez, Laura A.

Senior Environmental Specialist

Tetsch, Gina A.

Occupational Health Nurse

Austin, TX

2/16 to 2/21/15

230.00 CERTIFICATE REIMBURsem*nT 470.04 VEEAM BACKUP & RECOVERY EVALUATION 2,290.00 TUITION REIMBURsem*nT 673.56 CORNERSTONE TRAINING 2,202.22 MICROSOFT IGNITE CONFERENCE

252.09 ARCGIS1 TRAINING

Chicago, IL

5/3 to 5/8/15

San Diego, CA

10/26 to 10/28/14

Redlands, CA

6/8 to 6/9/15

4,480.00 TUITION REIMBURsem*nT 162.80 SUPPLIES FOR THE NERISSA 2,476.86 AAOHN CONF Page 10 of 12

Boston, MA

3/20 to 3/27/15 Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Employee Name

Title

Amount

Description

Thiede, Robert J.

Principal Project Controls Analyst

Thompson, Robert C.

Director of Engineering

Thompson, Robert C.

Director of Engineering

119.83 BOOKS

Thompson, Robert C.

Director of Engineering

116.00 CERTIFICATE REIMBURsem*nT

Thompson, Robert C.

Director of Engineering

280.00 MEMBERSHIP RENEWAL

Thompson, Robert C.

Director of Engineering

123.68 SAWPA DISCUSSION LUNCH

Thornburg, Steven M.

Lead Mechanic

108.00 MEAL PER DIEM FOR UNSCHEDULED O/T

Tintle, James G.

Maintenance Supervisor

406.52 FASTER ASSET SOLUTIONS TRAINING

Tintle, James G.

Maintenance Supervisor

Torres, Edward M.

Director of Operations & Maintenance

455.00 CERTIFICATE REIMBURsem*nT

Torres, Edward M.

Director of Operations & Maintenance

Torres, Edward M.

Director of Operations & Maintenance

Torres, Edward M. Torres, Edward M.

RETURN TO AGENDA

Site Location

Duration

164.00 MEMBERSHIP RENEWAL 2,340.61 APWA EXPO

8/15 to 8/20/14

8/14, 8/15, 8/18/14 Portsmouth, VA

10/19 to 10/22/14

Denver, CO

6/7 to 6/11/15

827.81 MAINTENANCE & RELIABILITY TRAINING #1

Houston, TX

7/28 to 7/31/14

691.24 MAINTENANCE & RELIABILITY TRAINING #2

Houston, TX

9/29 to 10/2/14

Director of Operations & Maintenance

723.17 MAINTENANCE & RELIABILITY TRAINING #3

Houston, TX

1/26 to 1/29/15

Director of Operations & Maintenance

722.83 MAINTENANCE & RELIABILITY TRAINING #4

Houston, TX

12/1 to 12/4/14

Tran, Jane H.

Engineer

115.00 CERTIFICATE REIMBURsem*nT

Tsai, Yu-Li

Senior Scientist

Tuiasosopo-Kemper, Gary J. Lead Plant Operator

1,050.30 GOVT FLEET EXPO

Toronto, Canada

1,058.88 TNI MEETING

Washington, D.C.

8/3 to 8/7/14

Denver, CO

6/7 to 6/11/15

340.00 CERTIFICATE REIMBURsem*nT

Tuiasosopo-Kemper, Gary J. Lead Plant Operator

1,230.00 TUITION REIMBURsem*nT 1,150.81 GFX CONFERENCE

Unsell, Bobby L.

Lead Mechanic

Velasco, Jesse R.

Lead Storekeeper

101.60 TUITION REIMBURsem*nT

Von Winckelmann, Michael

Laboratory Supervisor

379.78 CWEA CONFERENCE

San Diego, CA

4/29 to 5/1/15

Voss, Betty J.

Buyer

306.51 CAPPO CONFERENCE

Monterey, CA

1/5 to 1/9/15

Vuong, Michael

Operations Supervisor

340.00 CERTIFICATE REIMBURsem*nT

Vuong, Michael

Operations Supervisor

102.03 SAFETY RECOGINITION AWARD MEAL

Ward, Paul

Plant Operator

340.00 CERTIFICATE REIMBURsem*nT

Wheatley, Caleb

Plant Operator

292.01 TUITION REIMBURsem*nT

White, Allen J.

Senior Plant Operator

300.00 CERTIFICATE REIMBURsem*nT

Washington, D.C.

6/7 to 6/10/15

White, Michael

Controller

111.58 CERTIFICATE REIMBURsem*nT

Wilcox, Robyn A.

Engineer

115.00 CERTIFICATE REIMBURsem*nT

Wilcox, Robyn A.

Engineer

164.00 CERTIFICATE REIMBURsem*nT

Wilcox, Robyn A.

Engineer

Willis, Bryan

Automotive/Heavy Equipment Tech

Wong, Ken H.

Operations Supervisor

Wride, Brent

Data Management Tech I

Yin, Shuang

Senior Engineer

Yin, Shuang

Senior Engineer

Ying, Morris C.

Engineer

115.00 CERTIFICATE REIMBURsem*nT

Yong, Eros

Engineering Supervisor

115.00 CERTIFICATE REIMBURsem*nT

160.00 MEMBERSHIP RENEWAL 3,375.23 TUITION REIMBURsem*nT 115.00 SAFETY RECOGINITION AWARD MEAL 3,300.00 TUITION REIMBURsem*nT 195.00 CERTIFICATE REIMBURsem*nT 1,102.21 WEF CONFERENCE

Page 11 of 12

Prepared By: Lisa Rogers 8/12/2015

Orange County Sanitation District Government Code § 53065-5, Public Disclosure Reports - Reimbursem*nts by OCSD July 1, 2014 through June 30, 2015 Employee Name

Title

Amount

Description

Yong, Eros

Engineering Supervisor

Yong, Eros

Engineering Supervisor

489.32 CWEA CONFERENCE

Zedek, Michael I.

RELATED DOCUMENTS 8.1

U.S. and California State Constitutions

8.2

Title VII of the Civil Rights Act of 1964

8.3

California Fair Employment and Housing Act (FEHA)

8.4

Policy 1.2, Retaliation & Whistleblowing

8.5

Policy 1.3, Workplace Violence & Weapons

8.6

Policy 5.1, Rules of Conduct

Personnel Policies & Procedures Manual Policy 1.1, Harassment & Discrimination

Page 4 of 4

Effective 06/08/11

RETURN TO AGENDA

Orange County Sanitation District Personnel Policies Subject: RETALIATION & WHISTLEBLOWING

1.0

4.0

Supersedes:

September 22, 2004

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures prohibiting retaliation against individuals who report or participate in the investigation of a report of discrimination, harassment, or individuals who engage in whistleblowing, as defined herein.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: June 17, 2008

PURPOSE 1.1

2.0

Policy Number: 1.2

This policy applies to all Orange County Sanitation District (OCSD) employees, potential employees, and all persons who perform services for the OCSD, including persons working under contract.

DEFINITIONS

3.1

Retaliation means that a supervisor or manager has taken action(s) toward an individual for engaging in protected activity described within this policy, wherein the action(s) have a substantial and material impact on an employee’s terms and conditions of employment. Retaliatory action may include discipline, failure to promote, failure to hire, termination of a contract, inaccurate poor performance evaluations, arbitrarily changing work assignments, or arbitrarily changing work locations.

3.2

Whistleblowing refers to the act of an employee who discloses information where the employee has reasonable cause to believe that the information reveals (1) violations or noncompliance with state or federal statutes; (2) unfair labor practices; (3) billing for services not performed or for goods not delivered; (4) gross mismanagement, significant waste of funds, and abuse of authority; and/or (5) a substantial and specific danger to the public health, safety or unsafe working conditions.

POLICY

4.1 It is OCSD’s policy to prohibit retaliation or reprisals towards employees, prospective employees or outside contractors who engage in, but not limited to, the following protected activities: 4.1.1

Disclosing information to a government or law enforcement agency or internally to OCSD, where there is reasonable cause to believe that the information discloses a violation of state or federal statute or non-compliance with a state or federal regulation.

4.1.2

Disclosing the filing of a false claim for money, goods, or services to OCSD.

4.1.3

Filing a written complaint, under penalty of perjury, of gross mismanagement, a

Personnel Policies & Procedures Manual Policy 1.2, Retaliation & Whistleblowing

Page 1 of 2

Effective 06/17/08

significant waste of funds, an abuse of authority or a substantial and specific danger to public health or safety.

4.2

5.0

6.0

4.1.4

Complaints of discrimination or harassment or any other conduct prohibited by the Fair Employment and Housing Act (FEHA).

4.1.5

Complaints about an unfair labor practice.

4.1.6

Participating in an administrative investigation either as the complainant, a witness or the accused or conducting an administrative investigation.

Any employee who, in good faith, reports an alleged incident involving the protected activities described in this policy, under no circ*mstances, shall be subjected to reprisal or retaliation of any kind. A report is made in good faith when the complainant reasonably believes there is a violation of policy.

PROCEDURE 5.1

OCSD policy requires employees to report all perceived incidents of retaliation or conditions justifying whistleblowing, regardless of the offender’s identity or position.

5.2

Any employee who believes that he or she has been the victim of retaliation prohibited by this policy should report the matter to his or her supervisor or manager, or to any other supervisor or manager, including the General Manager or Assistant General Manager.

5.3

Reports of retaliation will be investigated promptly. The investigation may include individual interviews with the parties involved and, where, necessary, with individuals who may have observed the alleged conduct or may have other relevant knowledge.

5.4

Confidentiality will be maintained throughout the investigatory process to the extent permissible under the circ*mstances and consistent with applicable law.

5.5

No fixed report period has been established. However, prompt reporting of complaints or concerns have proven to be the most effective method in finding rapid and constructive action and resolution.

EXCEPTIONS 6.1

An employee who knowingly files a false and malicious report of retaliation -- as opposed to a complaint which, even if erroneous, is made in good faith -- may be the subject of appropriate disciplinary action, up to and including termination.

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Policy 1.1, Harassment & Discrimination

8.2

Policy 1.8, Conflict of Interest & Business Ethics

8.3

Policy 5.1, Rules of Conduct

Personnel Policies & Procedures Manual Policy 1.2, Retaliation & Whistleblowing

Page 2 of 2

Effective 06/17/08

RETURN TO AGENDA

Orange County Sanitation District Personnel Policies Subject: WORKPLACE VIOLENCE &

Policy Number: 1.3 Effective Date: June 8, 2011 Supersedes:

June 17, 2008

WEAPONS

Approved by: General Manager

1.0

PURPOSE 1.1

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

This policy applies to all Orange County Sanitation District (OCSD) employees, regardless of their organizational unit, on OCSD property or off site with a OCSD employee. Additionally, all persons who perform any services for the OCSD, regardless of their employment status, are covered by this policy.

DEFINITIONS 3.1

4.0

The purpose of this policy is to promote a safe work environment for all employees; establish and maintain a workplace that is free from violence, threats of violence, harassment, intimidation, and other disruptive behavior; and encourage and foster a workplace that is characterized by respect and the use of acceptable conflict resolution techniques.

Workplace Violence includes threats, violent behavior, harassment, intimidation and other disruptive behavior, direct, indirect, implied or actual from any person, and directed toward any person, occurring at an OCSD facility or in connection with the conduct of OCSD business without regard to location.

POLICY 4.1

It is OCSD policy to provide a safe work environment for its employees. The OCSD is committed to working with its employees to maintain a workplace free from violence, threats of violence, harassment, intimidation, and other disruptive behavior.

4.2

All employees are responsible for maintaining a safe work environment.

4.3

Violence, threats, harassment, intimidation, and other disruptive behavior in the OCSD workplace will not be tolerated; furthermore, all reports of these types of incidents will be seriously reviewed and will be appropriately resolved.

4.4

This policy applies to all incidents involving OCSD employees while they are on duty, on or off plant sites, and incidents involving non-employees perpetrating violence against OCSD employees while they are on duty.

Personnel Policies & Procedures Manual Policy 1.3, Workplace Violence & Weapons

Page 1 of 3

Effective 06/08/11

4.5

Available conflict resolution techniques, such as problem solving, grievance procedures and appeals processes, will be used to appropriately resolve conflicts that arise in the OCSD workplace.

4.6

The OCSD strictly prohibits persons from possessing weapons including, but not limited to, firearms, explosives, and knives, clubs and incendiary devices on OCSD premises, in OCSD vehicles, in private vehicles parked on OCSD property, and in the possession of OCSD employees while on duty performing OCSD related business assignments.

4.7

The commission or threat of an act of workplace violence, harassment, intimidation, or other disruptive behavior is prohibited. The following examples of such conduct, while not all-inclusive, provide an indication of the types of behaviors that are considered unacceptable.

4.8

An employee who displays/exhibits prohibited conduct under this policy with regard to one or more of the following may be subject to disciplinary action, up to and including termination, after consideration of the employee’s past performance, prior discipline, length of service and work history.

4.9

Persons who engage in prohibited conduct may also be subject to legal action by law enforcement authorities. 4.9.1

Prohibited Conduct 4.9.1.1 Causing physical injury to another person; 4.9.1.2 Making threatening remarks, whether with intent to harm or in jest; 4.9.1.3 Aggressive, hostile or harassing behavior that creates a reasonable fear of injury to another person or subjects another individual to emotional distress; 4.9.1.4 Intentionally damaging employer property or property of another individual; 4.9.1.5 Possession of a weapon while on OCSD property or while on OCSD business; or, 4.9.1.6 Committing acts motivated by, or related to, sexual harassment or domestic violence, 4.9.1.7 Other acts or threats of violence as determined by the OCSD.

5.0

PROCEDURE 5.1

Reporting: If the incident involves an emergency and requires the direct intervention of public safety personnel (i.e., law enforcement or emergency medical services), immediately CALL extension 2222. 5.1.1

Control Center personnel will contact emergency services via 911 and will coordinate the response of public safety personnel.

Personnel Policies & Procedures Manual Policy 1.3, Workplace Violence & Weapons

Page 2 of 3

Effective 06/08/11

RETURN TO AGENDA

5.2

Any situation involving the commission or threat of violence, harassment, intimidation, other disruptive behavior, possession of a weapon or any other potentially dangerous situation must be promptly reported to a supervisor or the Human Resources Department.

5.3

Risk Reduction Measures 5.3.1

Employees at Risk: Employees are expected to exercise good judgement and to notify their supervisor, or the Human Resources Department if a co-worker, or other person on OCSD property or business, exhibits behavior that could be a sign of potentially dangerous situations. Such behavior includes, but is not limited to, the following: 5.3.1.1 Discussing the use of weapons as a means to perpetrate violence against another or bringing them to the workplace; 5.3.1.2 Displaying overt signs of extreme stress, resentment, hostility or anger; 5.3.1.3 Making threatening statements or remarks; 5.3.1.4 Sudden or significant deterioration in performance; 5.3.1.5 Displaying irrational or inappropriate behavior.

5.3.2

Hiring: The Human Resources Department takes reasonable measures to conduct background investigations in order to review candidates’ backgrounds and to reduce the risk of hiring individuals with a history of violent behavior.

5.3.3

Enforcement: Threats, threatening conduct, harassment, or any other act of aggression or violence within the OCSD work environment will not be tolerated. All reports of these types of incidents will be promptly investigated and will be appropriately resolved. 5.3.3.1 Any employee determined to have committed such acts will be subject to disciplinary action, up to and including termination. 5.3.3.2 Non-employees engaged in violent acts on OCSD premises will be reported to the proper authorities and fully prosecuted.

6.0

EXCEPTIONS 6.1

Knives traditionally used as tools and having a blade length of three and one-half (3 /2) inches or less are only considered weapons when used or displayed in a threatening manner.

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Policy 1.1, Harassment & Discrimination

8.2

Policy 5.1, Rules of Conduct

Personnel Policies & Procedures Manual Policy 1.3, Workplace Violence & Weapons

Page 3 of 3

Effective 06/08/11

Orange County Sanitation District Personnel Policies

Policy Number: 1.4 Effective Date: November 14, 2011

Subject: RECRUITMENT AND SELECTION

Supersedes: June 8, 2011 Approved by: General Manager

1.0

PURPOSE 1.1

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

The purpose of this policy is to establish uniform guidelines and procedures for Orange County Sanitation District (OCSD) recruitment activities.

This policy applies to all OCSD departments, divisions, and employees.

DEFINITIONS 3.1

Internal recruitment means considering only current employees as applicants for job openings within the organization.

3.2

Open recruitment means attracting applicants from outside the organization, as well as internally to apply for job openings within the organization.

3.3

Probationary Period - Initial, unless otherwise specified by an applicable bargaining unit Memorandum of Understanding (MOU), is defined as the period of service that extends to at least the first day of the pay period following twenty-six (26) weeks of employment with OCSD beginning with the date of hire. This period is regarded as an extension of the hiring process, and provides an opportunity for both the employee and OCSD management to assess, over a substantial period of time, whether or not the hiring decision was appropriate. Employees who have not yet successfully completed their initial probationary period serve “at-will” and may be released from employment without cause or recourse to any appeal or grievance procedures.

3.4

Probationary Period - Promotional is defined as the period of service that extends to at least the first pay period following six (6) months of employment with OCSD, beginning with the effective date of promotion. If an employee is promoted during his/her initial probationary period, the period will be extended until at least the first day of the pay period twenty-six (26) weeks after the effective date of the promotion. This period is regarded as an extension of the selection process, and provides an opportunity for both the employee and OCSD management to assess, over a substantial period of time, whether or not the decision was appropriate. “At-will” employees do not serve a promotional probationary period.

3.5

Probationary Period – Reassignment or Lateral Transfer, unless otherwise specified by an applicable bargaining unit MOU, is defined as the period of service that extends to at least the first twenty-six (26) weeks of employment with OCSD, beginning with the effective date of the reassignment or lateral transfer. This period provides an opportunity for both the employee and OCSD management to assess, over a

Personnel Policies & Procedures Manual Policy 1.4, Recruitment & Selection

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Effective 11/14/11

RETURN TO AGENDA

substantial period of time, whether or not the decision was appropriate. 3.6

4.0

5.0

Recruitment is the process of attracting qualified individuals to apply for employment opportunities that are advertised by the organization, whether internal or open.

POLICY 4.1

OCSD is an Equal Opportunity Employer (EOE). OCSD does not discriminate on the basis of race, religion, color, national origin, disability, pregnancy, martial status, age, gender, sexual orientation, or participation in any protected class/activity.

4.2

It is OCSD’s policy to provide nondiscriminatory, lawful, and consistent guidelines and procedures to all recruitment processes, whether internal or open.

PROCEDURE 5.1

5.2

PERSONNEL REQUISITION 5.1.1

A personnel requisition is the first step for the Department Head (or designee) to communicate staffing needs to the Human Resources Department. If the recruitment requires testing (hands-on, written, essay, etc.) as part of the recruitment process, the testing methods must be reviewed for validity and reliability by the Human Resources Department prior to the initiation of a personnel requisition.

5.1.2

The Department Head (or designee) completes the personnel requisition and routes for the required signatures before sending it to the Human Resources Department.

5.1.3

The Human Resources representative reviews the requisition to make sure the qualifications are appropriate for the position. If changes are necessary, the Human Resources representative will work with the appropriate Department Head (or designee).

EMPLOYMENT OPPORTUNITY BULLETINS/POSTINGS 5.2.1

The Human Resources representative prepares the employment opportunity bulletin, also known as a posting. Each posting will include the following information: • • • • • • • •

Salary range Department Brief job description Required qualifications Desired qualifications Posting/closing dates Procedure for applying Brief benefits overview

5.2.2

The Human Resources representative provides the draft posting to the Department Head (or designee) for approval.

5.2.3

Upon approval, all job postings are advertised as internal recruitments for ten (10) business days, unless the Department Head (or designee) directs an

Personnel Policies & Procedures Manual Policy 1.4, Recruitment & Selection

Page 2 of 10

Effective 11/14/11

open recruitment, which must be authorized by the Director of Human Resources (or designee). All job postings for Student Intern and Executive Management positions may be advertised as an open recruitment at the beginning of the recruitment process.

5.3

5.4

5.2.4

During the recruitment process, all internal and external applicants may be interviewed at the same time at the discretion of the Department Head (or designee). If the process includes both groups, the hiring decision will be made at the completion of those interviews.

5.2.5

Job opportunities will be posted to the intranet which is accessible to all OCSD employees.

5.2.6

Job Announcement Notifications are sent via e-mail to all OCSD employees for all recruitments.

ADVERTISING 5.3.1

Advertising for positions at OCSD ensures positions are filled with the bestqualified candidate for the job. OCSD shall make every reasonable effort to advertise open positions to all segments of the public to ensure EOE guidelines are followed.

5.3.2

All positions are advertised on the internet and may be posted in other media when deemed appropriate. Technical and hard-to-fill positions are advertised on trade specific websites.

5.3.3

Trade magazines and other forms of advertising may be used for hard-to-fill or specialized positions.

APPLICANT SCREENING 5.4.1

Applications and resumes are only accepted electronically. All other application material will be accepted at the interview. Unsolicited application material will not be accepted at any time.

5.4.2

Once an application and/or resume is received and reviewed, it will only be selected for further consideration if the minimum job requirements for the position are met.

5.4.3

The Department Head (or designee) is given access to files within the online application program pertinent to the job opening for which the Department Head (or designee) submitted a personnel requisition. The Department Head (or designee) may review applications that meet the minimum qualifications to determine which candidates may be interviewed.

5.4.4

All materials (e.g., applications, resumes, interviewer notes, interview packets, etc.) submitted by applicants/candidates or generated by OCSD staff during the interview process are confidential and are considered OCSD property and must be returned to the Human Resources Department upon completion of the hiring process. All recruitment files are maintained by OCSD in accordance with established record keeping guidelines.

Personnel Policies & Procedures Manual Policy 1.4, Recruitment & Selection

Page 3 of 10

Effective 11/14/11

RETURN TO AGENDA

5.5

INTERVIEW PROCESS 5.5.1

The interview panel members are selected along with the interview date(s). Applicants are scheduled, interview questions are prepared, and the interview panel conducts the actual interview.

5.5.2

A Human Resources representative and the hiring supervisor shall work together to select the interview panel, which consists of three (3) panel members. The interview panel will generally be comprised of the hiring supervisor, one (1) additional member from within the department, and one (1) from outside the department. The Human Resources Department representative will facilitate and monitor the interview process, but will not have a vote.

5.5.3

The Human Resources Department monitors panel composition to ensure that there is no conflict of interest when a candidate is known to a current or former employee.

5.5.4

The Human Resources representative and the Department Head (or designee) shall work together to establish a set of interview questions and criteria for the candidates.

5.5.5

The Human Resources representative prepares interview packets and distributes them to the interview panel. Packets include: • • • • •

5.6

An overview of the interview process A copy of the interview schedule A copy of the employment bulletin opportunity/posting Copies of candidate applications Interview questions and evaluation forms for each candidate

5.5.6

The interview panel will meet at least one (1) half hour before the interview to gain an understanding from the hiring supervisor or other department representative about the criteria with which to rank the ideal candidates. The hiring supervisor, in consultation with the Human Resources Representative, may add or delete questions providing they are related to the pre-established criteria.

5.5.7

The Human Resources representative facilitates the interview process. W hen interviews are completed, the interview panel members evaluate each candidate interviewed. The panel will rank a list of the top candidates (no more than three (3) per vacancy) based on a majority decision. The hiring supervisor or other department representative will then choose from among the top candidates with the concurrence of the General Manager (or designee). The Department Head (or designee) will report the final hiring decision to the Human Resources Department, to include all applicable interview materials (e.g., applications, resumes, interviewer notes, interview packets, etc.).

RECRUITMENT APPEALS PROCESS 5.6.1

Employees should bring recruitment process and decision-making issues to the attention of the Human Resources Supervisor as soon as possible. The manager will review the issue and provide a written response within five (5) business days from the issue notification date.

Personnel Policies & Procedures Manual Policy 1.4, Recruitment & Selection

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Effective 11/14/11

5.7

5.6.2

If the issue is not resolved to the employee’s satisfaction, the employee may file a written statement concerning the problem to the Director of Human Resources within ten (10) business days of receipt of the manager’s decision. Upon request by either party, a meeting may be held to discuss the issue and establish remedies.

5.6.3

The employee will be provided a written response from the Director of Human Resources (or designee), within ten (10) business days after the employee’s statement is received. The decision of the Director of Human Resources, or designee, is final (see policy 6.4, Problem Solving and 6.5, Grievance Procedure).

5.6.4

Time limits may be extended for cause upon mutual consent of the parties.

EMPLOYMENT OFFERS 5.7.1

The Human Resources representative and Department Head (or designee) determine an appropriate starting salary for all candidates, except those designated as “at-will” employees, based on a Salary Offer Analysis. This analysis will include the applicant’s: • • • • •

Qualifications Years of experience Educational background Salary history Parity within the department

5.7.2

The Human Resources Compensation Analyst reviews a job candidate’s salary request, prepares an analysis, and makes a recommendation on placement in the applicable salary range. If market or other material conditions necessitate offering a job candidate a pay rate up to the salary range mid-point, a department head may recommend, and with the concurrence of the Director of Human Resources, may approve the proposed hire rate. The General Manager, or designee, shall approve all recommended salary offers that would result in a new hire pay rate at Step 4 or greater. Under no circ*mstances should panel members (excluding the Human Resources representative) or any other OCSD employee discuss salary offers with candidates or make promises of any kind. Human Resources staff are the only employees authorized to engage in salary discussions with job candidates.

5.7.3

The Human Resources representative completes a status change form for the candidate and initiates the background investigation. Background investigation results are provided to the candidate by OCSD’s background screening firm.

5.7.4

When the status change form is approved, the Human Resources representative makes a verbal employment offer to the candidate, which is contingent upon results of a background investigation, pre-employment physical and drug screening. Upon acceptance of the employment offer, the Human Resources representative sends letters of regret to unsuccessful candidates. Internal candidates are contacted personally prior to receiving letters of regret.

Personnel Policies & Procedures Manual Policy 1.4, Recruitment & Selection

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6.0

5.7.5

The Human Resources representative schedules the pre-employment physical and drug screen for the candidate, works with the Department Head (or designee) to establish a potential start date and prepares a formal offer letter for the candidate.

5.7.6

When the Human Resources representative (or designee) has cleared the background investigation, pre-employment physical and drug screening results, the applicant will be contacted to confirm the employment offer.

5.7.7

The Human Resources representative coordinates the candidate’s start date.

5.7.8

In the event that a candidate is selected and voluntarily or involuntarily vacates the position prior to completing the required six (6) month probationary period, the Human Resources Department, at the request of the Department Head (or designee), may exercise the option to extend an offer to the second candidate from the original interview process.

EXCEPTIONS 6.1

EMPLOYMENT OF FORMER EMPLOYEES 6.1.1

Employment of former employees for full-time equivalent or part-time positions shall be subject to and conducted in accordance with this policy.

6.1.2

Employment of a former employee is subject to the approval of the General Manager and the Director of Human Resources.

6.1.3

In all cases, approval of the General Manager and the Director of Human Resources shall be received prior to an offer of employment to a former employee.

6.1.4

OCSD policy prohibits the rehire of former full-time, regular employees or “atwill” employees who: were terminated for workplace misconduct; resigned while charges were pending against the employee; resigned while serving a suspension; failed to provide two (2) weeks written notice in advance of resignation depending upon employment status, unless approved by the Director of Human Resources, or designee; or failed to return to work following an absence without leave of forty (40) consecutive work hours without notifying the immediate supervisor or the Human Resources Department with an acceptable reason for their absence.

6.1.5

If any former employee commences doing business wherein the employee, his/her spouse, or members of his/her immediate family are sole proprietors, or majority or controlling shareholders or owners of a corporation, partnership or other business entity, such business shall not be retained as an independent contractor or consultant to provide service directly to OCSD for a period of one (1) year after leaving OCSD’s employment. Thereafter, said business entity shall be allowed to contract with OCSD upon compliance with all resolutions and regulations of OCSD then in effect, relating to the procurement of services.

6.1.6

If any former employee becomes employed by any firm or business entity in which the former employee, his/her spouse or members of his/her immediate family own less than the majority or controlling interest in said entity, said entity shall not be prohibited from contracting with the OCSD. However, the

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former employee shall not perform work on OCSD projects for a period of one (1) year after leaving OCSD employment; nor shall such former employee contact OCSD officers or employees for the purpose of attempting to influence any OCSD decision, including but not limited to, the award of contract, issuance of permits, or compromise of administrative civil penalties, for a like period of one (1) year. Said services shall be obtained only in accordance with all rules and procedures of OCSD relating to procurement.

6.2

6.3

6.1.7

Any OCSD employee who receives an offer of employment or a request to discuss potential employment from any person or business entity performing services for OCSD shall report such contact to his or her immediate supervisor, who shall decide whether any change in assignment is necessary or appropriate while the offer or discussions are pending.

6.1.8

The prohibitions of this policy may be waived by the Administration Committee of the Board of Directors if, on a case-by-case basis, it is determined to be in the best interests of OCSD to do so.

6.1.9

All former employees who are rehired will be placed on an initial probationary period as defined in this policy. All prior service with OCSD will not be counted for accrual purposes including, but not limited to, leaves of absence and seniority.

RE-EMPLOYMENT OF OCSD RETIRED EMPLOYEES 6.2.1

The General Manager may, with the written approval of the Board Chair, employ on an as-needed basis, a former employee retired from OCSD when the individual possesses knowledge and expertise of unique and particular benefit to OCSD. The length of service performed in any one (1) year shall be limited in accordance with the provisions prescribed by the Orange County Employees’ Retirement System (currently 120-day maximum).

6.2.2

As-needed service, by a former employee retired from OCSD, shall be compensated at the same current hourly rate of the retired employee’s position classification, or if no such classification exists, at a rate not to exceed that paid for the most comparable classification. The retired employee shall not be entitled to receive any benefits otherwise payable to OCSD employees. In the event any employment under this provision involves work assignments outside of Orange County, the current expense reimbursem*nt policy established for regular employees will apply.

6.2.3

On occasion, OCSD may offer an early retirement incentive to staff under economic conditions in which it is deemed necessary. Employees who select an early retirement incentive offered by OCSD may not be eligible for rehire.

LATERAL TRANSFERS 6.3.1

Employees may request a lateral transfer to a budgeted vacant position within the same classification of another department. For a lateral transfer to be considered, the employee must have demonstrated satisfactory performance within the last six (6) months of the request and have no pending disciplinary action. The lateral transfer must be of benefit to OCSD.

6.3.2

Employees who wish to be considered for a lateral transfer shall notify the Human Resources Department in writing of their intent prior to recruitment of

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the budgeted position. Employees who are interested in a lateral transfer, but are unaware of any budgeted vacant positions within the same classification, may contact the Human Resources Department. The employee’s written intent must be approved by any affected department head and the Director of Human Resources. In the event a transfer is approved and accepted by the employee, the department from which the employee is transferring may determine the effective date based upon operational requirements and a reasonable period of time to acquire a suitable replacement.

7.0

6.3.3

Lateral transfers do not normally involve increased levels of duties and responsibilities, or otherwise qualify as promotions, and therefore do not involve salary adjustments.

6.3.4

In the event an adjustment appears warranted based on extenuating circ*mstances, the adjustment must have written approval from the department head prior to being extended to the employee.

PROVISIONS AND CONDITIONS 7.1

The interview process for Student Intern positions shall be an abbreviated version of the process outlined in section 5.5 and will be administered by the appropriate division manager/supervisor and a Human Resources representative.

7.2

OCSD’s Board of Directors must approve unbudgeted positions for new hires or promotions before any internal or open recruitment effort is initiated.

7.3

Hiring an individual into a budgeted position requires the approval of the Department Head and General Manager.

7.4

Promoting an individual into a budgeted position requires the approval of the Division Manager, Department Head or General Manager.

7.5

Employees on Performance Improvement Plans are not eligible for promotional opportunities.

7.6

INITIAL PROBATIONARY PERIOD 7.6.1

Unless designated as an “at-will” Executive Management Team (EMT) member or Student Intern, all new employees and employees who are reassigned or laterally transferred serve a probationary period. The probationary period begins with the date of hire, reassignment, or transfer and extends to at least the first day of the pay period following twenty-six (26) weeks of employment without a break in service, unless otherwise stipulated by a bargaining unit MOU,. For new employees, this probationary period is regarded as an extension of the hiring process, and provides an opportunity for both the employee and OCSD’s management to assess, over a substantial period of time, whether or not the hiring decision was appropriate and resulted in a relationship that adequately meets the needs of both the individual and OCSD.

7.6.2

The probationary period may be extended by mutual agreement between OCSD and the employee, prior to the expiration of the probationary period. An employee’s probationary period may be extended when there is a need to further assess the individual’s abilities to satisfactorily perform the duties required for their job classification. Probationary employees may be released

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by OCSD at any time during the probationary period (including any extension) without cause or reason. OCSD will extend an employee’s probationary period for the length of any period during which an employee is on an extended leave of absence during the probationary period. 7.6.3

7.7

7.8

8.0

A probationary employee’s work performance is closely monitored during this period to ensure that the employee understands the duties, responsibilities and management expectations of the position, and to allow an opportunity for the supervisor or manager to provide proper direction and guidance. Employees who do not demonstrate the potential for meeting performance expectations for their position within a reasonable period of time may be released prior to the completion of the Probationary Period. Probationary employees shall serve at the will of OCSD during this period. In the event of release of a probationary employee, the employee shall not be entitled to receive any severance pay.

PROMOTIONAL PROBATIONARY PERIOD 7.7.1

All promoted employees, except those designated as “at-will” employees, shall serve a promotional probationary period lasting at least 6 (six) months, beginning with the effective date of promotion. This period is regarded as an extension of the selection process, and provides an opportunity for both the employee and OCSD management to assess, over a substantial period of time, whether or not the decision was appropriate.

7.7.2

At any time during the promotional probationary period an employee may be returned to his or her prior position. The promotional probationary period may be extended by mutual agreement between the employee and OCSD management for up to ninety (90) days. If an employee is promoted during his or her initial probationary period, the period shall be extended until at least the first day of the pay period twenty-six (26) weeks after the effective date of the promotion.

REFERENCE CHECKS 7.8.1

Employment with OCSD is contingent upon a pre-employment screening process which includes a physical examination, drug/alcohol test and background investigation. Candidates must also be able to provide documentation authorizing their legal right to work in the United States as per the Immigration Reform and Control Act of 1986.

7.8.2

OCSD may verify information contained in the job application of a prospective employee with the prospective employee’s authorization.

7.8.3

Inquiries to OCSD employees regarding reference or employment verification checks of former or present employees shall be discussed with or referred to Human Resources prior to any response.

RELATED DOCUMENTS 8.1

OCSD Student Intern Program guidelines

8.2

Policy 1.6, Nepotism

8.3

Policy 1.7, At-Will EMT Employment Agreements

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8.4

Policy 6.4, Problem Solving Procedure

8.5

Policy 6.5, Grievance Procedure

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Orange County Sanitation District Personnel Policies Subject: OUTSIDE EMPLOYMENT & PROFESSIONAL ASSOCIATIONS

Policy Number: 1.5 Effective Date: June 19, 2012 Supersedes:

January 12, 2009

Approved by: General Manager 1.0

PURPOSE 1.1

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

4.0

The purpose of this policy is to establish uniform guidelines and procedures for employees engaging in outside employment or any other outside remunerative activity as well as voluntary involvement in outside professional associations.

This policy applies to all Orange County Sanitation District (OCSD) employees regardless of their organizational unit.

DEFINITIONS 3.1

Confidential Information – Information that requires a “need-to-know”, restricted use, or is sensitive in nature is considered confidential information. Generally, OCSD technical data, proprietary, customer, and personnel related information is confidential. Personnel related information includes, but is not limited to, medical, recruitment, disciplinary, and performance related information. Once information becomes generally available to the public, it is no longer considered confidential.

3.2

Conflict of Interest – As it relates to this policy occurs when an outside activity interferes with OCSD business operations, discredits the integrity and reputation of OCSD, and/or violates OCSD policies, procedures, or agreements.

3.3

Outside professional association activities – Any membership or affiliation to an outside organization, group, or activity that is related to an employee’s profession.

3.4

Outside remunerative activities – Any outside employment or business related relationship, which results in a payment, transfer of goods, or receipt of services to the employee involved.

POLICY 4.1

It is OCSD’s policy to allow employees to engage in outside remunerative activities or professional association activities in accordance with the procedures and provisions of this policy.

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5.0

PROCEDURE 5.1

5.2

Outside Remunerative Activities. Performing any outside remunerative activity requires initial and annual approval of the General Manager and is subject to the following conditions: 5.1.1

An OCSD request form for outside employment must be completed and submitted for approval.

5.1.2

Outside remunerative activities shall not be performed on OCSD property, during an employee’s work time for OCSD, or using any OCSD resource. OCSD resources include, but are not limited to, staff, equipment, facilities, and computers.

5.1.3

Outside remunerative activities shall not involve use of an employee’s OCSD title or position to benefit the outside employer or business activity. This activity must not give the appearance that an employee is acting in the official capacity of his/her job at OCSD.

5.1.4

The outside remunerative activity shall not give rise to any real or apparent conflict of interest, nor will the activity require the disclosure of OCSD confidential information. Any attempt to influence OCSD business decisions, with respect to the employee’s outside remunerative activity is prohibited.

5.1.5

The performance of such services shall not affect the employee’s efficiency and job performance for OCSD.

5.1.6

Outside employment or other remunerative activity must not bring discredit upon or reasonably cause unfavorable criticism towards OCSD, or impair public confidence in the integrity of OCSD.

Professional Associations. Performing any outside professional association activity may be authorized by a supervisor subject to the following conditions: 5.2.1

Outside professional association activities may not make use of OCSD staff, equipment, postage, telephones, computers, internet access, or any other resource unless authorized by the General Manager, or designee.

5.2.2

Managers and supervisors may restrict activities in outside professional associations in order to prevent conflicts of interest from occurring.

5.2.3

Employees are required to obtain prior approval from their supervisor for all outside professional association activities if these activities are performed during an employee’s working hours. In addition, employees are required to report all potential conflicts of interest, as defined in this policy, to their supervisor.

5.2.4

Any duties performed for outside professional association activities must not adversely affect an employee’s job performance or interfere with the official business of OCSD.

5.2.5

All employees will follow OCSD’s Information Systems Management policies when using OCSD computer resources. The use of email and internet resources

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is strictly prohibited if such use conflicts or interferes with OCSD’s Core Values and/or any administrative policy, guideline, or procedure.

6.0

5.2.7

Employee participation in outside activities not directly referenced in this policy that affect the terms and conditions of employment are prohibited, unless authorized by the General Manager, or designee.

There are no exceptions to this policy unless authorized by the General Manager, or designee; superseded by an amending OCSD policy; or changed due to federal or state laws.

PROVISIONS AND CONDITIONS 7.1

8.0

Employee association, bargaining unit, and labor union activities are authorized under the provisions of federal and states laws, adopted Orange County Sanitation District (OCSD) Employer-Employee Relations Resolution, and the terms and conditions of applicable Memoranda of Understanding with OCSD.

EXCEPTIONS 6.1

7.0

5.2.6

The provisions of Government Code Section 1126 shall apply to all such services.

RELATED DOCUMENTS 8.1

California Government Code, Sections 1126 and 3502

8.2

OCSD Core Values

8.3

OCSD Request Form for Outside Employment

8.4

Policy 5.2, Discipline

8.5

Policy 6.4, Problem Solving Procedure

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Policy Number: 1.6

Orange County Sanitation District Personnel Policies Subject: NEPOTISM

1.0

2.0

June 8, 2011

Supersedes:

June 17, 2008

Approved by:

General Manager

PURPOSE 1.1

The purpose of this policy is to avoid the possibility of nepotism in hiring, promoting, evaluating, awarding salary, and disciplining employees and to ensure that employment decisions are based on the individual’s qualifications for the position, ability, and performance.

1.2

OCSD does not tolerate favoritism, the appearance of favoritism, conflicts of interest or the appearance of conflicts of interest in employment and personnel decisions.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date:

This policy applies to all Orange County Sanitation District (OCSD) employees regardless of their organizational unit, and employment applicants. Additionally, all persons who perform any services for OCSD including persons working under contract, regardless of their employment status, are covered by this policy.

DEFINITIONS 3.1

Near relative means a relative within the third degree by blood or marriage, including an individual’s: spouse grandparent nephew fiancée grandchild cousin domestic partner great-grandparent sister-in-law parent/stepparent great-grandchild brother-in-law sister/stepsister aunt son-in-law brother/stepbrother daughter-in-law uncle child/stepchild dependent niece Near relatives shall also include persons who fall into the above categories by a previous marriage or adoption.

3.2

Supervisory Relationship means a supervisor-subordinate relationship between near relative employees, whether direct or indirect, that has the ability to impact the terms and conditions of employment, including, but not limited to, appointment, transfer, promotion, demotion, layoff, suspension, termination, recall, work assignments, performance evaluations, merit increases, training, or any other administrative action that may affect an employee; or near relatives reporting to the same immediate supervisor.

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4.0

POLICY 4.1

It is the policy of OCSD not to discriminate in its employment and personnel actions with respect to its employees and applicants on the basis of marital and familial status.

4.2

Notwithstanding the above statement, OCSD retains the right to refuse to appoint a person to a position in the same department, division or facility, wherein his or her relationship to another employee has the potential for creating an adverse impact on supervision, safety, security, or morale, or involves a potential conflict of interest. The department head shall have the authority and responsibility for determining if such a potential for adverse impact exists or does not exist.

4.3

Near relatives of employees or of members of the Board of Directors shall not be hired, promoted or transferred into positions in which one near relative may supervise, directly or indirectly, any other relative, or work in a capacity which would allow an employee to evaluate or control the terms, conditions or performance circ*mstances of employment of a near relative.

4.4

Near relatives of members of the Board of Directors shall not be employed in any position where there is a potential for adversely impacting the safety, security, morale or efficiency of supervision of other employees, or in which there may be created a potential conflict of interest.

4.5

No person shall be appointed, promoted, demoted, flexibly placed, or transferred to any position, whether exempt, permanent, provisional, acting, part-time, or temporary, in any division of any department, where such person's near relative already holds a position which would create a supervisory relationship.

4.6

No employee shall interview, recommend, or in any way be involved in the selection or disciplinary process of his or her near relative.

4.7

All current employees of OCSD on the effective date of this policy will not be allowed to remain in positions where they are in a supervisory relationship with a near relative, except in those situations where a direct level of supervision or the ability to impact the terms or conditions of employment of a relative does not occur.

4.8

There shall be no appointments to any position at OCSD of a near relative of any member of the Board of Directors or Executive Management Team without the express written approval of the Chair of the Board of Directors and the General Manager.

4.9

Any individual having appointive power shall not appoint or promote any of their near relatives to any position at OCSD.

4.10

Hiring, reinstatement, promotion or transfer which will result in near relatives of employees working in the same department may be permitted, but only in such cases where direct supervision or the ability to impact the terms or conditions of employment of the near relative does not exist.

4.11

In cases whereby persons who are near relatives are employed in the same department, action shall be taken by the Department Head, Division Manager, or Supervisor to protect against situations which: •

may interfere with response to public health emergencies;

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• • •

may adversely impact working conditions; may jeopardize confidentiality; and, may suggest a conflict of interest.

4.12

Remedies to the cases referred to in Section 4.11 may include, but are not necessarily limited to, shift change, reassignment to another position or location, transfer, or a case-by-case basis, possible termination of one of the involved employees.

4.13

All appointments, transfers or promotions of near relatives under this policy will be evaluated under guidance of this policy and in terms of the extent to which the relationship could have an adverse effect on the operations of OCSD. This policy does not necessarily preclude the near relative or an OCSD employee applying for an OCSD position or promotion. The policy provides that the General Manager, or designee, may withhold approval to appoint a relative if such an appointment is not in the best interest of OCSD or does not follow this policy.

4.14

In those cases in which the aforementioned relationships exist, or in which employees marry or acquire a covered relationship, the Human Resources Department shall be responsible to ensure that work assignments are made or other steps taken so as to avoid conflicts of interest or violation of this policy. If no conflict of interest exists because employees have no working interrelationship, supervisory or evaluative control over one another, no action shall be necessary. If conflict exists, action may include reassignment to another position, work location, or work shift. If such reassignment or other alternative is not deemed appropriate by OCSD, one of the conflicted individuals may have to resign or be terminated.

4.15

Employees are responsible for immediately notifying their supervisor or the Human Resources Department of an impending marriage or the establishment of a near relative relationship with another employee of OCSD as specified in Section 3.1.

4.16

No persons who have a near relative working at OCSD may be hired without the approval of the General Manager, or designee. No OCSD employee who is related to any other OCSD employee may be transferred or promoted within OCSD without the approval of the General Manager, or designee.

4.17

The General Manager is responsible for enforcing this policy with the assistance of the Human Resources Department.

4.18

OCSD reserves the right to take action when relationships or associations of employees impact its mission.

4.19

OCSD retains the right to refuse to place a relative under the direct supervision of an OCSD employee, or place relatives in the same department, division, or facility, where such has a potential for creating an adverse impact on supervision, safety, security or morale.

4.20

OCSD will make reasonable efforts to assign job duties to eliminate any potential for an adverse impact on supervision, safety, security or morale, or potential conflicts of interest.

4.21

Except as otherwise provided by law, no employee, prospective employee or applicant shall be excluded from the competitive hiring and examination process or denied employment or benefits of employment solely on the basis of his or her familial relationship with an employee of the agency or a member of the Board of

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Directors. 5.0

6.0

PROCEDURE 5.1

OCSD employees shall submit the Near Relative Notification form, which is attached to this policy, to the Human Resources Department within 30-days of the effective date of this policy, if they currently have near relatives working for OCSD or within 30-days of becoming a near relative of another OCSD employee. Failure by an employee to complete and submit the required Near Relative Notification to the Human Resources Department may be grounds for disciplinary action, up to and including termination of employment.

5.2

If the Human Resources Department determines that employment of near relatives in a supervisory relationship violates this policy, the Human Resources Department may transfer one of the employees to a vacant position in another division or department for which he or she is qualified. The determination of which employee will be transferred will be based upon the promotion of effective and efficient operations of OCSD. Transfer must be to the same or equivalent position in another department without loss of classification, salary or benefits to the employee who is transferred. No regular, full-time employee shall be terminated at the time of the implementation of this policy as a result of a supervisory relationship with a near relative.

5.3

Any employee, contractor, or member of the Board of Directors who knowingly violates this policy may be subject to disciplinary action, up to and including termination of employment.

5.4

In cases involving a near relative of a member of the Board of Directors, the matter will be referred to the Steering Committee, General Manager, and General Counsel for resolution.

EXCEPTIONS 6.1

The General Manager may authorize exceptions to this policy whenever he or she determines that the best interests of OCSD so require. If an exception is granted, it shall be in writing and a copy placed in the employee’s personnel file.

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Near Relative Notification Form

8.2

Policy 1.4, Recruitment & Selection

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Orange County Sanitation District Personnel Policies Subject: At-Will EMT Employment Agreements 1.0

Policy Number:

1.7

Effective Date:

June 17, 2008

Supersedes:

July 20, 2005

Approved by:

General Manager

PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for the General Manager’s administration of Orange County Sanitation District’s (OCSD) At-Will Agreement with Executive Management Team members.

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to Executive Management Team (EMT) members only.

3.0

DEFINITIONS 3.1 At-Will is an employment status that either party may terminate at any time. An employer can discontinue the employment of an At-Will employee with or without cause and no liability if there is no express contract for a definite term governing the employment relationship.

4.0

POLICY 4.1 The General Manager is authorized to employ EMT members on an At-Will basis. Such status shall be memorialized by a written employment agreement signed by the General Manager and the EMT member, acknowledging that the EMT member shall serve at the pleasure of the General Manager. 4.2 Notwithstanding any other provisions of this policy or any prior Board action, the General Manager is authorized to periodically adjust the rate of compensation and benefits for EMT members who have signed At-Will agreements so long as no adjustment exceeds the compensation permitted by the applicable salary range and the value of all benefits does not exceed thirty-seven percent (37%) of the incumbent’s compensation (salary plus any applicable non-base building merit increase).

5.0

PROCEDURE

5.1 Notwithstanding any other provisions of this policy or any prior Board action, the General Manager may provide for compensation agreements for At-Will employees, as well as severance agreements, in accordance with the following guidelines: 5.1.1 Salary must be negotiated within the approved salary range identified for the position. 5.1.2 Severance packages will not exceed six (6) month’s salary. 5.1.3 Benefits may differ from those offered to other employees; however, the total benefits package offered to each At-Will employee (e.g. medical, dental, vision coverage, retirement, Personnel Policies & Procedures Manual Policy 1.7, At Will Employment Agreements

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LTD, STD, vacation leave, sick leave, etc.) may not exceed (in value) thirty-seven percent (37%) of the incumbent’s compensation (salary plus any applicable non-base building merit increase). 5.1.4 The value of the total compensation package will be evaluated annually against the market. Adjustments will be considered where market comparisons and other factors indicate they would be appropriate, and results reported to the Administration Committee. Market is determined through the use of the annual Executive Management Compensation and Benefits Survey. 5.1.5 General Counsel shall approve each employment agreement as to form. 6.0 7.0

EXCEPTIONS PROVISIONS AND CONDITIONS 7.1 Employees who are hired into the Executive Management Group will be placed on an At-Will employment agreement. 7.2 Each At-Will employment agreement will be agreed upon between the General Manager and the Executive Management employee in accordance with the guidelines outlined in this policy.

8.0

RELATED DOCUMENTS 8.1 Policy 1.4 Recruitment & Selection

Personnel Policies & Procedures Manual Policy 1.7, At Will Employment Agreements

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Orange County Sanitation District Personnel Policies

Policy Number: 1.8 Effective Date: July 19, 2010

Subject: BUSINESS ETHICS

Supersedes: Approved by:

1.0

4.0

The purpose of this policy is to establish uniform guidelines and procedures for issues related to business ethics.

ORGANIZATIONAL UNITS AFFECTED 2.1.

3.0

General Manager

PURPOSE 1.1.

2.0

June 17, 2008

This policy applies to all Orange County Sanitation District (OCSD) employees.

DEFINITIONS 3.1.

Conflict of Interest means a conflict that arises when an OCSD employee, or member of his or her immediate family, has a Financial Interest or a Significant Non-Financial Interest in any decision or other action that the employee may take in the course of his or her duties.

3.2

Designated Positions are those positions identified in OCSD’s Conflict of Interest Code.

3.3

Financial Interest has the same meaning set forth in the Political Reform Act, Government Code Section 87103 and its implementing regulations.

3.4

Gift has the same meaning set forth in the Political Reform Act, Government Code Section 81000 et seq. and regulations adopted thereunder, 2 Cal. Code of Regulations 18109 et seq.

3.5

Immediate Family Member is defined as the employee’s father, step-father, father-in-law, mother, step-mother, mother-in-law, brother, step-brother, sister, step-sister, husband, wife, domestic partner, biological child, step-child, adopted child, child of a domestic partner, step parent, grandchild, grandparent, foster parent, foster child, legal guardian, or any family member with whom the employee resides.

3.6

Significant Non-Financial Interest means a significant personal interest in any decision or other action, other than a Financial Interest, that could compromise the employee’s duty of loyalty to OCSD.

POLICY 4.1.

OCSD employees shall conduct their duties with disinterested skill, zeal, and diligence for the benefit of OCSD and the public that OCSD serves.

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5.0

PROCEDURE 5.1.

Conflicts of Interest: OCSD employees shall not participate in any decision, or take any other type of action, in which they have a Conflict of Interest. When considering potential Conflicts of Interest, OCSD employees shall strive to avoid even the appearance of impropriety.

5.2.

Gifts: OCSD employees shall not receive, directly or indirectly, any Gift from any source that provides goods or services to OCSD under a current contract or any source that intends to bid on an OCSD contract for goods or services in the foreseeable future. Notwithstanding the foregoing, employees may accept the following items from existing and potential contractors: 5.2.1.

Food and drinks of nominal value in the ordinary course of OCSD business;

5.2.2.

Unsolicited promotional items of nominal value; and

5.2.3.

Incidental transportation, provided that the transportation is furnished in connection with the employee’s official duties and of a type customarily provided.

5.3.

Return of Gifts: A Gift that is prohibited by this policy shall be returned to the donor. If the employee cannot return the Gift to the donor, the Gift shall be reported to the employee’s supervisor and donated to a public or charitable organization.

5.4.

Relationships with Contractors and Customers: Employees that supervise contractors and/or interact with customers must at all times act in an impartial manner, without bias or favoritism. Employees shall not grant any special consideration, advantage, or treatment to any contractor or customer beyond that generally available to others in the same or similar circ*mstances.

5.5.

Disclosure of Significant Personal Relationships with Contractors and Customers: Each OCSD employee must promptly disclose any Significant Personal Relationship that the employee may have with any contractor that the employee supervises, and/or any customer that the employee regulates or otherwise interacts with during the course of the employee’s duties. 5.5.1.

For purposes of this section 5.5, the term “Significant Personal Relationship” means (1) a romantic or intimate relationship, (2) a relationship within the employee’s immediate family; (3) a relationship that involves one or more joint business ventures and/or joint ownership of real property or personal property of significant value, and (4) any other especially close personal relationship that may give rise to actual or apparent favoritism, bias, or preferential treatment.

5.5.2.

Employees must disclose Significant Personal Relationships to their supervisors and the Human Resources Division immediately by completing a Significant Personal Relationship Disclosure Form.

5.5.3.

Upon disclosure, OCSD will work with the employee to determine whether it is appropriate and possible to adjust work assignments, or take other action, to eliminate any actual or apparent conflict of interest.

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5.6.

Use of OCSD Assets: Employees shall not use or permit the use of OCSD assets for personal gain or any purpose other than OCSD business. OCSD “assets” include, but are not limited to, OCSD facilities, equipment, stationary, records, mailing lists, supplies, badges, vehicles, real and personal property, and employee staff time. Employees shall not conduct any personal business during work hours (unless expressly authorized such as internet usage during breaks/lunch periods), or direct any other employee to conduct personal business during work hours.

5.7.

Confidential Information: OCSD employees shall not willfully and knowingly disclose to any other person, confidential information acquired in the course of District employment.

5.8.

Ethics Training: Employees holding Designated Positions must attend at least two (2) hours of ethics training every two (2) years and submit the associated certificate of attendance to the Clerk of the Board by April 1 of the year that training is due.

5.9.

Legal & Regulatory Compliance: OCSD employees are bound to uphold the Constitution of the United States and of the State of California, and to carry out the laws of the nation, state and local government agencies, and the ordinances, resolutions, rules, policies and procedures of the OCSD.

5.10.

Public Interest & Conduct: OCSD employees are bound to observe the highest standards of morality and to perform the duties of their position regardless of personal consideration, recognizing that the public interest must be of primary concern and that their conduct must be above reproach.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Policy 1.7, At-Will EMT Employment Agreements

8.2

Policy 3.3, Leave of Absence With Pay

8.3

Policy 5.18, Use of District Property

8.4

Policy 5.2, Discipline

Personnel Policies & Procedures Manual Policy 1.10, Employee Separation

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Orange County Sanitation District Personnel Policies Subject: CLASSIFICATION & COMPENSATION

1.0

Supersedes:

November 14, 2011

Approved by:

General Manager

The purpose of this policy is to establish and maintain uniform guidelines and procedures for use in the administration of the Orange County Sanitation District’s (OCSD’s) classification and compensation programs.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: June 19, 2012

PURPOSE 1.1

2.0

Policy Number: 2.1

All OCSD employees, as specified herein.

DEFINITIONS 3.1

At-Will is an employment status that either party may terminate at any time. An employer can discontinue the employment of an At-Will employee with or without cause and no liability if there is no express contract for a definite term governing the employment relationship.

3.2

Budgeted Positions are those positions that have been formally approved and authorized by the Board of Directors during the budget process.

3.3

Classifications are groups of positions, regardless of location, which are alike enough in duties and responsibilities to be called by the same descriptive title, to be given the same pay scale under similar conditions, and to require substantially the same qualifications.

3.4

Comparative Labor Market are those agencies that the Board of Directors considers most comparable to OCSD in terms of agency size, function, population served, employee population job function, technology, and equipment.

3.5

Equity Adjustment is a modification to an employee’s salary so that the salary remains competitive to the job’s relative value to the organization.

3.6

Inequity is an unusual salary disparity either between an employee and the comparative labor market or between two (2) or more employees.

3.7

Market Rate is the prevailing salary being paid in the comparable labor market for a given job.

3.8

Pay Grade is an organizational unit into which classifications of the same or similar value are grouped for compensation purposes. All classifications in a pay

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grade have the same salary range.

4.0

5.0

3.9

Peers are employees in the same or comparable classifications performing similar or comparable job duties and responsibilities.

3.10

Salary Ranges are the range of pay rates, from minimum to maximum, set for a pay grade or class.

3.11

Y-Rating is the freezing of an employee’s salary that exceeds the salary range maximum of a position that has been allocated to a lower paid classification. Depending on an employee’s bargaining unit affiliation, the y-rated salary may be based on years of service.

POLICY 4.1

It is the policy of OCSD to apply uniform classification and compensation standards. OCSD’s Classification and Compensation Program provides for the establishment of a wage and benefit structure that allows management and employees to effectively compete in the labor market and to retain present employees through an internally consistent measure of relative job worth and personal merit. Every position is assigned to a pay grade based upon OCSD’s compensation strategy, which strives to be internally equitable and externally competitive. The salary ranges are accessible on OCSD’s internet website.

4.2

It is OCSD policy to correct pay inequities, in accordance with this policy, that cannot be remedied through annual merit adjustments.

4.3

The General Manager is authorized to employ and assign persons as needed to occupy budgeted positions and to exercise supervision over all persons in accordance with the provisions of this policy and to terminate, for cause, the employment of any regular full time employee employed under these provisions.

4.4

New-hire probationary, temporary, contract, and executive management employees, as well as student interns, serve At-Will and may be released from employment at OCSD’s sole discretion.

4.5

Non-management employees are awarded merit increases based upon their performance as determined by the OCSD Performance Management Program. The specific evaluation process is set forth in the Performance Management Program Guidelines.

4.6

Increases to pay will only apply to eligible employees in an active payroll status on the effective date of implementation. Eligible employees will not receive retroactivity if active payroll status becomes effective after the date of implementation.

4.7

Salary range adjustments for represented employees will be based on applicable Memorandum of Understanding (MOU) provisions. Salary range adjustments for unrepresented employees may be reviewed annually.

PROCEDURE 5.1

CLASSIFICATION

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5.1.1

Classification Studies: Employees who believe their position is not properly classified may submit a written request to the Department Head requesting that a classification study be conducted. The Department Head will acknowledge the request in writing, review the request for accuracy, and forward it to the Human Resources & Employee Relations Manager for review. 5.1.1.1 Classification studies can be requested by employees twice during the year - during the annual budget planning process and in November. Those reclassifications approved in the budget may be made effective any time during the new fiscal year. 5.1.1.2 Classification study requests must be submitted to Human st Resources no later than October 1 for the November cycle and in accordance with the submittal schedule for the annual budget planning process. 5.1.1.3 Classification studies may be conducted at the discretion of OCSD to ensure that the duties and responsibilities of all employees are appropriately allocated within the classification structure. 5.1.1.4 Classification studies may result in: 5.1.1.4.1

Employees being reclassified to either a lower or higher level classification.

5.1.1.4.2

Employees being reclassified to a newly created classification.

5.1.1.4.3

Employees remaining in the current classification.

5.1.1.5 All classification study findings regarding existing classifications are subject to approval by the General Manager; findings recommending the establishment of new job classifications are subject to approval by OCSD’s Board of Directors. 5.1.2

Reclassifications: Reclassification Guidelines have been established to ensure fair and objective processes are in place to support uniform application of classification and compensation standards. The Reclassification Guidelines are located on the Human Resources Website. 5.1.2.1 Position reclassification categories are as follows: 5.1.2.1.1

Upward: An upward position reclassification occurs when the degree of change in job responsibilities, duties, and requirements are very high and significant. A significant change in the duties within a position may result in a job being placed at a higher salary grade. The following requirements apply to Upward Reclassifications: 

Personnel Policies & Procedures Manual Policy 2.1, Classification & Compensation

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

The incumbent meets the qualifications for the position being considered for reclassification; and



If the position being considered for reclassification is a supervisory classification, the position must be openly recruited.

5.1.2.1.2

Downward: A downward position reclassification occurs when there is a significant reduction in the level of work required. The reduction in the level of work required results in the job being placed in a lower salary grade, which may effectuate the YRating provision.

5.1.2.1.3

Lateral: A lateral position reclassification occurs when job responsibilities, duties, and requirements reflect no degree of change. The job remains in its current salary grade placement.

5.1.2.2 Additional information about reclassifications can be found on MyOCSD. 5.2

COMPENSATION

5.2.1

Equity Adjustments: Equity adjustment requests are submitted as Decision Packages during the budget process or outside the budget process as deemed appropriate by the General Manager. 5.2.1.1 An analysis of the salary disparity will be conducted by Human Resources to include factors such as education, skills, related work experience, length of service, and job performance of affected employee. 5.2.1.2 The application of an equity adjustment in addressing salary disparity may be appropriate in the following exceptional circ*mstances: 

Department/division restructures that result in an employee taking on additional staff and/or additional job responsibilities not warranting an upward reclassification.



Salary compaction between managers/supervisors and their direct reports.



Salary inequity between and among employees holding similar positions. The factors of education, skills, related work experience, length of service, and job performance of affected employees will be considered in determining most appropriate salary relationship.

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5.2.1.3 There shall be no right to an equity adjustment. Such adjustments shall be made at the sole discretion of OCSD and shall not be subject to the grievance procedure or to judicial review. 5.2.2

Grade Five (5) California Wastewater Treatment Plant Operator Certificate Pay: It is the policy of the Orange County Sanitation District (OCSD) to compensate employees in the Operations Division who perform duties involving the operation and control of wastewater through the treatment plant for the obtainment of a California Wastewater Treatment Plant Operator’s Grade V Certificate. 5.2.2.1 Employees who perform duties involving the operation and control of wastewater through the treatment plant are eligible to receive a 1.375% increase, upon obtainment of a California Wastewater Treatment Plant Operator’s Grade V Certificate. 5.2.2.2 Employees who fail to maintain their Grade V Certificate will lose the Grade V Certificate pay. 5.2.2.3 Employees in classifications with a minimum qualification of California Wastewater Treatment Plant Operator’s Grade V Certificate are not entitled to the Grade V Certificate pay. 5.2.2.4 Employees who receive Grade V pay are ineligible to receive Development Pay for the Grade V California Wastewater Treatment Plant Operator Certificate. Employees who possess a Grade V Certificate and do not meet the criteria for Grade V Pay are eligible for Development Pay in accordance with the Development Pay Program Guidelines.

5.2.3

Merit Increases. Employees will be eligible for a merit increase based upon receipt of a year-end (over a 12-month period) performance appraisal issued by the assigned supervisor. Merit increases will be paid according to the following: 5.2.3.1 Employees must have a proficient year-end performance appraisal to receive a one (1) step base-building merit increase until earning placement at step five (5). 5.2.3.2 Employees who are placed on a Performance Improvement Plan (PIP) due to a needs improvement performance review on the year-end appraisal or who are on a PIP at the time of the yearend appraisal period will remain at their current step until the PIP is satisfactorily completed.

5.2.4

New Employees: Employees shall be offered a salary at or near the minimum of the salary range unless their level of training, educational background, expertise, and/or prior earnings indicate a need for a salary greater than the minimum. The determination of an appropriate salary should also consider the relationship of the employee’s proposed salary to that of other employees in the same classification and to employees supervised, if applicable.

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5.2.4.1 Exempt and non-exempt employees shall be compensated within the salary range authorized for the classification in which they are employed and, in the case of non-exempt employees, in accordance with FLSA provisions. 5.2.5

Pay Grades: Each pay grade is divided into five (5) steps, with an approximate 5.0% difference between each step.

5.2.6

Promotional Increases: Employees who earn promotions to a higher pay range will normally receive an increase of at least one (1) step or a salary increase to the minimum of the new pay range. 5.2.6.1 Employees shall not receive a probationary salary adjustment at the conclusion of the Promotional Probationary Period.

5.2.7

Upward Reclassification Increases: Employees approved for an upward reclassification will normally receive an increase of at least one (1) step or a salary increase to the minimum of the new pay range.

5.2.8

Y-Rating: In the event the duties and responsibilities of a position are allocated to a lower paid classification, the salary of the incumbent of that position will remain unchanged, unless otherwise stipulated by an employee’s affiliated bargaining unit MOU, when the incumbent’s salary is above the salary range maximum of the lower paid classification. 5.2.8.1 Y-Rating will be granted for all reclassifications where employees are working in a job classification with a lower salary range maximum rate of pay resulting from changes to OCSD’s staffing requirements, organizational structure or “bumping” associated with layoffs. 5.2.8.2 Y-Rating shall not apply in cases involving disciplinary actions or voluntary changes to a job classification with a lower salary range maximum rate of pay (unless otherwise authorized by the General Manager). 5.2.8.3 The Y-Rating will remain in effect until the salary range maximum for the new classification equals or exceeds the employee’s Y-Rated salary. 5.2.8.4 Employees become eligible for merit increases and salary range adjustments when the Y-Rating is no longer in effect. 5.2.8.5 Y-Rating may also apply when an existing employee is selected as an Operator-in-Training or Power Plant Operator I candidate, as stipulated by the affiliated bargaining unit MOU,

5.2.9

6.0

Z-Rating: If stipulated in an employee’s affiliated bargaining unit MOU, Z-Rating pertains to salary allocations resulting from the July 12, 2002 OCSD Classification Study.

EXCEPTIONS 6.1

The procedures of this policy do not apply to individuals serving in an At-Will employment status.

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6.2

Employees on Performance Improvement Plans (PIP’s) are not eligible for any pay status changes except for salary range adjustments. 6.2.1

Employees on a PIP will continue to be eligible for participation in the shift bid process.

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Fair Labor Standards Act, as amended.

8.2

Policy 1.4, Recruitment & Selection

8.3

Policy 1.7, At-Will EMT Employment Agreements

8.4

Policy 2.2, Non-Base Building Pay

8.5

Reclassification Guidelines

8.6

OCSD Salary Schedules

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Orange County Sanitation District Personnel Policies Subject:

1.0

Supersedes:

June 8, 2011

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures for nonbase building pay that does not become a permanent part of base pay, and may vary in amount from period to period.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: November 14, 2011

PURPOSE 1.1

2.0

NON-BASE BUILDING PAY

Policy Number: 2.2

All Orange County Sanitation District (OCSD) regular, full-time employees, as specified herein.

DEFINITIONS 3.1

Acting means performing substantially all of the duties of a vacant, budgeted position, unless otherwise stipulated by an employee’s affiliated bargaining unit Memorandum of Understanding (MOU), with a higher maximum rate of pay.

3.2

Call-Back Pay is compensation provided to employees for returning to work at the direction of OCSD management.

3.3

Development Pay is non-base building compensation provided to employees for obtaining job-related educational degrees, certificates and/or licenses that increase job knowledge, skills, and abilities.

3.4

Exempt Employees are those employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees are considered exempt by virtue of their duties in conformance with the Act’s definition of executive, administrative and professional responsibilities.

3.5

Non-Exempt Employees are those employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees, because of the type of work that they perform and their earnings level, are subject to receiving overtime pay.

3.6

Overtime is the number of hours, which are counted as time worked, in excess of forty (40) hours during a workweek.

3.7

Shift Differential Pay is additional compensation provided to employees who are regularly assigned to work a night shift.

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4.0

3.8

Standby is time during which an employee is not required to be at the work location or at the employee’s residence but is required to be available for immediate return to work.

3.9

Substitution Pay is compensation provided to employees in the Operations and Maintenance Department for performing the duties of an absent supervisor.

3.10

Workweek for full-time employees is forty (40) hours per one hundred sixty-eight (168) hour period, to be paid on a biweekly payroll basis of eighty (80) hours worked. Employee work periods may be scheduled in shifts of four (4) 9-hour days, and one (1) four-hour day each workweek (9/80 schedule), five (5) 8-hour days each workweek (10/80), four (4) 10-hour days each workweek (8/80), or three (3) 12-hour days and one (1) 4-hour day each workweek (7/80). The starting and ending times of individual employees’ workweeks may vary.

3.11

Variable Special Pay is additional compensation in the form of a one-time lump sum payment for an eligible employee who assumes the responsibilities of another position for an extended period of time due to a leave of absence or unusual circ*mstances.

POLICY/PROCEDURE 4.1

The following pay types apply to exempt and non-exempt regular, full-time employees: 4.1.1 ACTING PAY 4.1.1.1 Unless otherwise stipulated by an employee’s affiliated bargaining unit MOU, employees who are temporarily assigned by OCSD management to perform substantially all of the duties of an open, budgeted higher level classification for a period of at least one hundred (100) consecutive hours will be eligible for a salary increase up to a maximum of six (6) months. 4.1.1.1.1

For service beyond one hundred (100) consecutive hours, pay shall be one (1) step greater than the employee’s current rate of pay, or at the minimum of the pay range for the acting position, whichever is greater.

4.1.1.1.2

The higher rate of pay begins with the 101 hour, and continues until the assignment ends.

4.1.1.1.3

Requests for acting pay require the pre-approval of the employee’s Department Director or designee and the Director of Human Resources, or designee.

4.1.2 DEVELOPMENT PAY 4.1.2.1 Development Pay is intended to promote employee efforts that increase job knowledge, skills, and abilities, consistent with OCSD personnel policies and procedures regarding tuition and certification reimbursem*nt and in accordance with the Development Pay Program Guidelines located on the Human Resources website.

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4.1.2.2 Development Pay is a non-base building pay type that is distributed in a lump-sum amount each pay period. 4.1.2.3 Employees must have a proficient year-end performance appraisal to be eligible for the following Development Pay types: 4.1.2.4 Education 4.1.2.4.1 Eligible exempt employees who obtain or who have obtained a graduate degree of approved subjects at an accredited college or university will receive Development Pay in the amount of $62.29 per pay period. The maximum amount of Development Pay for an educational degree is fixed at $62.29 per pay period. 4.1.2.4.2 Eligible non-exempt employees who have completed a degree of approved subjects at an accredited college or university will receive Development Pay in the amount of $20.76 per pay period for an associate degree and $41.53 per pay period for an undergraduate degree. The maximum amount of Development Pay for an educational degree is fixed at $41.53 per pay period. 4.1.2.5 Certificate/License 4.1.2.5.1 Eligible exempt and non-exempt employees who obtain or who have obtained an OCSD approved certificate or license will receive Development Pay in the amount of $7.62 per pay period per certificate or license with a maximum of three (3) certificates and/or licenses. The maximum amount of Development Pay for any combination of certificates and/or licenses is fixed at $22.86 per pay period. 4.1.2.6 The overall maximum amount of Development Pay for any combination of education, certification and/or licenses is fixed at $64.39 per pay period for non-exempt employees and $85.15 per pay period for exempt employees. 4.1.2.7 Employees who are placed on a Performance Improvement Plan (PIP) due to a needs improvement performance review on the yearend performance appraisal are not eligible for Development Pay until the PIP is satisfactorily completed. 4.1.2.8 Employees who are placed on a PIP due to needs improvement performance outside the year-end appraisal will have all Development Pay suspended until the PIP is satisfactorily completed. The return of Development Pay will not be retroactive. 4.1.3 SEVERANCE PAY 4.1.3.1 When a full-time regular employee is separated from employment by action of OCSD, except for disciplinary cause, the employee will be notified in writing two (2) weeks prior to the effective separation date. Unless otherwise stipulated in the employee’s affiliated bargaining

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unit MOU, the employee will be entitled to severance pay in accordance with the formula set forth below: 4.1.3.1.1

4.1.3.2

Full-time, regular employees shall be entitled to eight (8) hours pay for each full calendar month of continuous employment not to exceed one hundred sixty (160) hours pay, or as may be determined by the General Manager.

Employees in limited term or part-time classifications, Student Interns, probationary employees, and employees who are separated for cause are not eligible for severance pay under any circ*mstances.

4.1.4 SHIFT DIFFERENTIAL PAY 4.1.4.1 Employees who are assigned to work a night shift that consists of 50% or more of their hours between 6:00 p.m. and 6:00 a.m., and who actually work that shift, shall receive a shift differential of $2.50 per hour, unless otherwise stipulated by an employee’s affiliated bargaining unit MOU. 4.1.5 UNSCHEDULED OVERTIME MEALS 4.1.5.1 When employees are required to work overtime due to an emergency, and actually work at least five (5) hours, or due to an unanticipated extension of their regular workday that includes a regular meal period, employees are entitled to reimbursem*nt for the actual cost of a meal, not to exceed applicable per diem amounts, in addition to any compensation for time worked. Receipts are not required to receive the per diem amount. In lieu of cash reimbursem*nt, OCSD may provide actual food service to the employees. 4.1.5.2 Per diem reimbursem*nt and reimbursem*nt for an individual’s meal not eaten at the time and location of the overtime worked will be taxable. 4.2

The following pay types only apply to regular, full-time non-exempt employees: 4.2.1 CALL-BACK PAY 4.2.1.1

Unless otherwise stipulated by an employee’s affiliated bargaining unit MOU, Call Back Pay shall be applied in accordance with the following provisions.

4.2.1.2

An employee shall receive a minimum of three (3) hours of call-back pay in the following instances: 4.2.1.2.1

When an employee is called back to work by OCSD without prior notice, and the employee has completed his or her normal work shift for that day and left the work site.

4.2.1.2.2

When prior notice is given by OCSD, but the work begins on the same day at least three (3) hours after completion of an employee’s regular shift.

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4.2.1.2.3

When an employee assigned to standby is actually called to work.

4.2.1.3

The three (3) hour minimum, whether or not actually worked, shall be paid at the rate of one and one half (1.5) times the employee’s regular hourly rate.

4.2.1.4

If the actual work time exceeds three (3) hours, the employee will be compensated for that time as well, except that no employee may work for or be compensated for more than sixteen (16) hours in a 24hour period.

4.2.1.5

The call back period shall begin when the standby employee has been informed by the District to return to work. The call back period shall end when either the employee arrives at his or her residence or the original destination; in either case, the employee must inform the District upon arrival.

4.2.1.6

If the call back period has ended and the employee is called back to work (whether within or outside of the 3-hour minimum timeframe), a new call back period will be started and the employee will be eligible for at least the 3-hour minimum call back pay.

4.2.1.7

If the call back period has not ended and the employee is called back to work (whether within or outside of the 3-hour minimum timeframe), the call back period and associated pay will continue but the employee will not be eligible for another 3-hour minimum call back pay.

4.2.1.8

Call back pay is applied per call back and not per work assignment or work order.

4.2.1.9

Call back work performed by employees on standby assignments is intended for activities that are imperative and not routine in nature, as determined by the applicable on-duty Operations Supervisor or designee. 4.2.1.9.1

In some instances, if call back work can be postponed for several hours, the Operations Supervisor or designee will do so as a courtesy to the employee and to allow for the work to be performed during daylight or day shift. For instance, a breakdown occurs at 3:00am but work can be postponed a few hours so the standby employee can be called in at 6:00am.

4.2.2 OVERTIME PAY 4.2.2.1

Employees who work in excess of forty (40) hours in a workweek shall be paid one-and-a-half (1.5) times their regular rate of pay.

4.2.2.2

Employees shall not be paid overtime compensation until forty (40) hours of work time, which includes scheduled leave, is reached in a seven (7) day workweek.

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4.2.2.3 For purposes of overtime, all time charged to unscheduled sick or personal leave will not be counted as time worked. 4.2.3

STANDBY PAY 4.2.3.1 Standby Pay applies to employees who are placed on a standby assignment. 4.2.3.2 An employee who is placed on a standby assignment shall be compensated at the rate of two hundred (200) dollars per week, unless otherwise stipulated in the employee’s affiliated bargaining unit Memorandum of Understanding, and will also receive call-back pay when actually called to work. 4.2.3.3 Standby assignments shall first be made on a voluntary basis. 4.2.3.4 A volunteer standby list shall be established by classification and job location.

4.3

4.2.3.5

Standby assignments shall be made from the list of employees who are competent and experienced, in alphabetical order, on a rotating basis.

4.2.3.6

In the event that no one volunteers, OCSD shall, on a rotational basis, assign standby by job classification and work location from employees who are competent and experienced.

The following pay type applies to all employees: 4.3.1

HOLIDAY PAY 4.3.1.1 Employees shall receive holiday pay for OCSD-observed holidays. 4.3.1.2

Employees shall receive holiday pay if their entire scheduled work shift immediately preceding and following the holiday is in a paid payroll status, meaning the employee worked those shifts or utilized paid time off in lieu of working those shifts.

4.3.1.3

Holiday pay for part-time employees is based on a nine (9) hour workday. It is paid on the following prorated basis: NORMALLY SCHEDULED HOURS OF WORK PER WEEK 0 –19, inclusive 20 –29, inclusive 30 – 39, inclusive

4.3.1.4

PERCENT BENEFIT/SUBSIDY None 50% - (4.5) hours 75% - (6.75) hours

Regularly Scheduled Work Day is a Holiday: When a holiday occurs on an employee’s regularly scheduled work day, the employee will have the day off and be paid at the employee’s regular rate of pay for the holiday.

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4.3.1.5

Regularly Scheduled Day Off is a Holiday: When a holiday occurs on an employee’s regularly scheduled day off, the employee will have the day off and accrue compensatory time for the amount of hours normally scheduled for that day.

4.3.1.6

Working on a Holiday: When an affected employee’s work schedule requires, with management approval, that work be performed on an observed holiday, the employee shall be paid: 4.3.1.6.1 At the employee’s regular rate of pay for the holiday or receive an equivalent amount of holiday compensatory time; and 4.3.1.6.2 Receive overtime pay at the rate of one-and-one-half (1.5) times their regular hourly rate for all hours actually worked.

4.3.1.7 Employees with a compensatory time off balance in excess of fifty (50) hours as of the last pay period ending in October will receive a mandatory payout for the hours that exceed fifty (50). 4.3.1.8 The days listed below are observed by OCSD as holidays for noted calendar years. Employees who are assigned to eight (8), nine (9) or ten (10) hour shifts, observe the holidays listed in Schedule A. Employees who are assigned to twelve (12) hour shifts observe the holidays listed in Schedule B.

SCHEDULE A for 8, 9 & 10 Hour Shifts HOLIDAY

2011

2012

2013

2014

New Year's Day

December 31

January 2

January 1

Lincoln's Birthday

February 11

February 13

February 12

President's Day

February 21

February 20

February 18

February 17

May 30

May 28

May 27

May 26

July 4

Labor Day

September 5

September 3

September 2

September 1

Veteran's Day

November 11

November 12

November 11

Thanksgiving Day

November 24

November 22

November 28

November 27

Day after Thanksgiving

November 25

November 23

November 29

November 28

Day before Christmas

December 23

December 24

Christmas

December 26

December 25

N/A

Memorial Day Independence Day

Floating Holiday

SCHEDULE B for 12 Hour Shifts HOLIDAY

2011

2012

2013

2014

January 1

Lincoln's Birthday

February 12

President's Day

February 21

February 20

February 18

February 17

New Year's Day

Personnel Policies & Procedures Manual Policy 2.2, Non-Base Building Pay

Page 7 of 11

Effective 11/14/2011

SCHEDULE B for 12 Hour Shifts HOLIDAY

2011

2012

2013

2014

May 30

May 28

May 27

May 26

July 4

Labor Day

September 5

September 3

September 2

September 1

Veteran's Day

November 11

Thanksgiving Day

November 24

November 22

November 28

November 27

Day after Thanksgiving

November 25

November 23

November 29

November 28

Day before Christmas

December 24

Christmas

December 25

N/A

Memorial Day Independence Day

Floating Holiday

4.3.1.9

Floating Holiday:

4.3.1.10 Employees may elect one (1) day during each calendar year as a Floating Holiday. 4.3.1.11 There will be no more than one (1) Floating Holiday granted to an employee in any calendar year. 4.3.1.12 New employees will be granted a Floating Holiday on the following pro-rata basis in their first calendar year of service:

Hire Month

Percent of Floating Holiday Granted

January - March

100%

April

- June

75%

July - September

50%

October - December

4.3.1.13 The Floating Holiday shall only be used as a full day increment unless the holiday is pro-rated. As such, the percent of holiday granted shall be used in one (1) occurrence. 4.3.1.14 The Floating Holiday must be used within the calendar year it is granted. The Floating Holiday will not be carried over from one (1) calendar year to the next. If not used within the year granted, the Floating Holiday is lost. 4.3.1.15 Within the year granted, an unused Floating Holiday is not subject to cash out or eligible for any mandatory payout regardless of the reason.

Personnel Policies & Procedures Manual Policy 2.2, Non-Base Building Pay

Page 8 of 11

Effective 11/14/2011

RETURN TO AGENDA

4.3.1.16 Every effort shall be made to grant an employee’s request for a Floating Holiday off, subject to business requirements, providing an employee gives sufficient advance notice to his/her supervisor. 4.3.1.17 A Floating Holiday should be used by the last full pay period in December of the year in which it is granted. However, an employee may choose to use the Floating Holiday after the last full pay period up until December 31. 4.4

The following pay types apply to specified employees only: 4.4.1 EXTRAORDINARY SERVICES COMPENSATION 4.4.1.1 In accordance with applicable MOU provisions, Operations Supervisors will be eligible to receive additional compensation for performing extraordinary services. 4.4.1.2 Except for performing extraordinary services as defined in this policy, exempt employees are not entitled to receive any compensation or compensatory time off for service rendered beyond their normal work schedule. 4.4.2 SUBSTITUTION PAY 4.4.2.1 In accordance with applicable MOU provisions, employees in the Operations and Maintenance Department who are assigned by OCSD management to perform the duties of an absent supervisor shall be eligible for Substitution Pay. 4.4.3VARIABLE SPECIAL PAY 4.4.3.1 Only Executive Management Team, Manager Group, and exempt Confidential Group employees are eligible for Variable Special Pay. 4.4.3.2 An eligible employee must assume the responsibilities of another position for at least thirty (30) days in order to receive Variable Special Pay and such pay is limited to no more than three (3) months. 4.4.3.3 Requests for Variable Special Pay require a review by the Human Resources Department and approval of the General Manager. 4.4.3.4 Employees retain the normal duties of their regularly assigned position when assuming the responsibilities of another position. 4.4.3.5 A one (1) time lump sum payment shall be applied at the end of the leave of absence coverage. 4.4.3.6 Calculation of Variable Special Pay is as follows: 4.4.3.6.1

Personnel Policies & Procedures Manual Policy 2.2, Non-Base Building Pay

Determine number of workweeks of the leave of absence. Four (4) workweeks equals one month. Two (2) workweeks equals half of a month.

Page 9 of 11

Effective 11/14/2011

4.4.3.6.2

For employee covering the leave of absence, multiply 1% of the annual base salary which will equal the “baseline amount”.

4.4.3.6.3

Multiply the “baseline amount” by the number of months covered, which will equal the one (1) time lump sum of the Variable Special Pay amount.

4.4.3.6.4 Example: If the annual base salary of the employee covering the leave of absence is $90,000. The “baseline amount” equals $900 (1% X $90,000). Length of Coverage 1 month 1.5 months 2 months 2.5 months 3 months 5.0

Variable Special Pay Amount $900.00 $1350.00 ($900 x 1.5) $1800 ($900 X 2) $2250 ($900 X 2.5) $2700 ($900 X 3)

EXCEPTIONS 5.1

Student interns are ineligible for non-base building pay types, except overtime, if applicable.

5.2

Acting Pay: Eligibility periods may be waived at the discretion of the General Manager. Development Pay: Part-time employees are eligible for Development Pay.

5.3 5.4

Holiday Pay: During the waiting period for disability benefits, employees will receive holiday pay in accordance with OCSD policy. When an employee is receiving disability payments from the insurance carrier, the employee will be ineligible for holiday pay through OCSD since disability payments are based on a percentage of salary irrespective of when a holiday occurs.

5.5

If a regularly scheduled holiday occurs on a Saturday, the previous Friday shall be taken off as the “holiday” for pay purposes. If a regularly scheduled holiday occurs on a Sunday, then the following Monday shall be taken off as the “holiday” for pay purposes.

5.6

Variable Special Pay: Coverage for a leave of absence longer than three (3) months shall be re-evaluated by the Human Resources Department and if applicable reapproved by the General Manager based upon business necessity, operational requirements, or any other extenuating circ*mstance.

6.0

PROVISIONS AND CONDITIONS

7.0

RELATED DOCUMENTS

Personnel Policies & Procedures Manual Policy 2.3, Wage Garnishments & Attachments

Page 2 of 2

Effective 06/16/08

Orange County Sanitation District Personnel Policies Subject: HOURS OF WORK – NON-EXEMPT EMPLOYEES

1.0

Effective Date:

December 15, 2008

Supersedes:

December 15, 2004

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District’s (OCSD’s) working hours.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

3.1.1

PURPOSE 1.1

2.0

Policy Number:

This policy applies to all OCSD non-exempt employees in all organizational units and departments unless otherwise specified.

DEFINITIONS 3.1

Non-exempt Employees are employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees, because of the type of work that they perform and their earnings level, are subject to receiving overtime pay in addition to any other entitlement provided for in applicable Memorandums of Understanding and/or other OCSD policies.

3.2

Day Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 a.m. and 6:00 p.m.

3.3

Night Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 p.m. and 6:00 a.m.

3.4

Flextime is the option of employees to choose the starting and finishing times of their shift, with supervisory pre-approval.

3.5

3.6

Core Hours are the hours between 8:00 a.m. and 4:00 p.m. on any given day.

3.7

Payday is the W ednesday before the end of the subsequent pay period.

3.8

Pay Periods occur bi-weekly and are calculated on the basis of 80-hours worked for full-time employees.

3.9

W orkweek means 40-hours of work per 168-hour period. The workweek is a fixed and recurring period of 168-hours, or seven consecutive 24-hour periods. OCSD employee workweeks are structured on an individual and/or group basis so that 40-hours of work regularly occurs during the fixed and regularly recurring period of 168-hours. The specific workweek for each employee is fixed by the General Manager, or his designee, and is maintained by the accounting payroll office.

Personnel & Policies Procedures Manual Policy 3.1.1, Hours of Work – Nonexempt Employees

Page 1 of 4

Effective 12/15/08

RETURN TO AGENDA

4.0

5.0

POLICY 4.1

It is the policy of OCSD to establish the time and duration of working hours as required by work load, operations flow, customer service needs, the efficient management of human resources, and any applicable law.

4.2

It is the policy of OCSD to require non-exempt employees to complete weekly timesheets.

4.3

On occasion, employees may request or be asked to transition from part-time to full-time status or vice-versa. It is the right of OCSD, at its sole discretion, to schedule working hours and assign work that may be necessary to operate OCSD in the most efficient and economical manner and in the best interest of the public it serves. Due consideration will be given to an employee’s input and concerns prior to implementation of a schedule change. Multiple transitions to full-time or part-time, requested by the affected employee, shall be deemed as an abuse of this privilege and factored into future considerations for approval. A thirty (30) day written notice for work schedule changes must be given to an affected employee prior to the change.

PROCEDURE 5.1

Normal Business Hours. Administrative and business functions are normally performed between the hours of 7:30 a.m. and 5:30 p.m., Monday through Thursday, and between the hours of 7:30 a.m. and 4:30 p.m. on Friday. However, OCSD allows flextime for employees to choose their starting and finishing times as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8:00 a.m. and 4:00 p.m. In addition, department heads, or designee, may deny flextime to certain employees for reasons of business necessity, work flow, or customer service needs.

5.2

Core Hours. Individual divisions may schedule work beyond the core hours of 8:00 a.m. and 4:00 p.m., subject to approval by the department head, or designee, to meet specific operating or service requirements in the most cost-effective and efficient manner. Actual starting and ending times of an employee’s shift may vary depending on the operational requirements of each department.

5.3

Shift Schedules. For time record keeping and accounting purposes, the “workweek” for fulltime employees is 40 hours per 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked. The actual work periods may be scheduled in shifts of four 9-hour days and one 4-hour day each workweek (9/80 schedule), five 8-hour days each workweek (10/80), four 10-hour days each workweek (8/80), or three 12-hour days and one 4-hour day each workweek (7/80) at the discretion of the supervisor. The starting and ending times of individual employees’ workweeks may vary.

5.4

Overtime. Supervisors may schedule overtime or extra shifts as necessary. Supervisors will assign overtime to non-exempt employees in the particular job for which overtime is required. Non-exempt employees are not permitted to work overtime without the prior written or verbal approval of their supervisor, division manager, or department head.

5.5

Meeting Attendance. Employee attendance at lectures, meetings, and training programs will be considered as part of an employee’s work hours if attendance is requested by management. Overtime or compensatory time may be allowed for such attendance only in unusual circ*mstances and must be approved by the department head in advance of the meeting.

5.6

Make-up Time. Using discretion, supervisors may allow non-exempt employees to make-up lost time during a given workweek. However, make-up time may not be allowed if the lost time results from conditions the employee could control, if there is no work the employee is qualified to do, or if adequate supervision is not available.

Personnel & Policies Procedures Manual Policy 3.1.1, Hours of Work – Nonexempt Employees

Page 2 of 4

Effective 12/15/08

5.7

5.8

6.0

Timesheets – Non-exempt Employees. The following points shall be considered when filling out timesheets: 5.7.1

Employees shall record their total hours worked for each workday on their timesheets and submit their timesheets through the online timekeeping system every Thursday at the end of the employee’s work day. Management approval shall be completed by the Monday morning of the subsequent week.

5.7.2

Employees are not permitted to begin work before their normal starting time or work after their normal quitting time without the prior approval of their supervisor.

5.7.3

Employees are required to take scheduled lunch breaks and are required to take scheduled morning and afternoon breaks.

5.7.4

Employee timesheets shall be reviewed and approved by their supervisor or designee through the online timekeeping system.

5.7.5

Unapproved absences are not considered as hours worked for pay purposes. Supervisors should inform employees if they will not be paid for certain hours in which they are or were absent from work.

5.7.6

Filling out another employee’s timesheet without management authorization, or falsifying any timesheet is prohibited and may be grounds for disciplinary action, up to and including termination.

5.7.7

Time worked should be charged to the appropriate work order category. If an employee is unable to complete their timesheet due to absence, the timesheet must be completed by the supervisor or designee (e.g., designee authorized by management to process the employee’s timesheet while on a leave-of-absence) and submitted through the online timekeeping system.

5.7.8

An employee must record all time taken as paid or unpaid leave. Any day with less than the typical amount of time for that shift recorded, usually 8, 9, 10 or 12 hours, must be supported by an explanation of the missing hours. Total hours recorded for each day or shift must agree with the total time for the pay period.

5.7.9

Supervisors are responsible for ensuring that timesheets are submitted in a timely manner.

Payday. Paychecks are distributed on the W ednesday immediately preceding the close of a pay period. Paychecks received on W ednesday cover the period worked during the previous pay period. If a payday falls on a holiday, paychecks will normally be distributed on the last working day preceding the holiday. Employees who will not be at work on a payday may request that their checks be held, forwarded to their supervisor, or mailed directly to them. Unclaimed paychecks will be held in Accounting. Paychecks of individuals who terminate their employment with OCSD, or are separated, will be mailed directly to them on the next regular payday subsequent to the separation date unless other arrangements are made to hold the check.

EXCEPTIONS 6.1

Flextime does not apply to the Operations and Maintenance Department.

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS

Personnel & Policies Procedures Manual Policy 3.1.1, Hours of Work – Nonexempt Employees

Page 3 of 4

Effective 12/15/08

RETURN TO AGENDA

8.1

Fair Labor Standards Act, as amended

8.2

Policy 3.1, Hours of W ork – Exempt Employees

8.3

Policy 4.7, Pro Rata Benefits for Part-Time Employees

8.4

Policy 5.1, Rules of Conduct

Personnel & Policies Procedures Manual Policy 3.1.1, Hours of Work – Nonexempt Employees

Page 4 of 4

Effective 12/15/08

Orange County Sanitation District Personnel Policies Subject: HOURS OF WORK – EXEMPT

Policy Number: 3.1.2 Effective Date:

December 15, 2008

Supersedes:

September 28, 2005

Approved by:

General Manager

EMPLOYEES

1.0

PURPOSE 1.1

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

4.0

The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District’s (OCSD’s) working hours.

This policy applies to all OCSD exempt employees in all organizational units and departments unless otherwise specified.

DEFINITIONS 3.1

Exempt Employees are employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act (FLSA), as amended. Such employees are considered exempt by virtue of their duties in conformance with FLSA’s definition of Executive, Administrative and Professional employees.

3.2

Overtime is the number of hours, which are counted as time worked, in excess of 40 hours during a workweek. For the purposes of overtime, all time charged to unscheduled leave will not be counted as time worked. Overtime only applies to non-exempt employees. Exempt employees are not eligible to receive overtime pay; however, in accordance with applicable MOU provisions, Operations Supervisors may be eligible to receive Extraordinary Services Compensation.

3.3

Memo time is a pay code used by exempt-level employees to identify unpaid work hours in excess of eighty (80) hours in a biweekly pay period.

3.4

Core Hours are the hours between 8:00 a.m. and 4:00 p.m. on any given day.

3.5

Payday is the W ednesday before the end of the subsequent pay period.

3.6

Pay Periods occur bi-weekly and are calculated on the basis of 80-hours worked for full-time employees.

3.7

3.8

Leave time is any authorized leave-of-absence with pay outlined in OCSD’s policies and procedures, such as vacation leave, sick leave, personal leave, etc.

POLICY

Personnel Policies & Procedures Manual Policy 3.1.2, Hours of Work-Exempt Employees

Page 1 of 3

Effective 12/15/08

RETURN TO AGENDA

5.0

4.1

4.2

It is the policy of OCSD to require exempt employees to complete weekly timesheets.

4.3

PROCEDURE 5.1

Normal Business Hours. Administrative and business functions are normally performed between the hours of 7:30 a.m. and 5:30 p.m., Monday through Thursday, and between the hours of 7:30 a.m. and 4:30 p.m. on Friday. However, the starting and finishing times of employees may vary as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8:00 a.m. and 4:00 p.m.

5.2

5.3

5.4

5.5

Meeting Attendance. Employee attendance at lectures, meetings, and training programs will be considered as part of an employee’s work hours if attendance is requested by management.

5.6

Timesheets - Exempt Employees. Exempt employees are not eligible to receive overtime pay; however, exempt employees must account for daily attendance. The following points shall be considered when filling out time sheets: 5.6.1

Timesheets for exempt employees shall indicate the days worked during the pay period and include all time taken as paid or unpaid leave. Timesheets should report a total of eighty (80) hours per pay period plus any applicable memo time.

5.6.2

RELATED DOCUMENTS 8.1

Fair Labor Standards Act, as amended

8.2

Policy 2.2, Non-Based Building Pay

8.3

Policy 3.1, Hours of W ork – Non-exempt

8.4

Policy 4.7, Employees Pro-rata Benefits for Part-Time Employees

8.5

Policy 5.1, Rules of Conduct

Personnel Policies & Procedures Manual Policy 3.1.2, Hours of Work-Exempt Employees

Page 3 of 3

Effective 12/15/08

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Orange County Sanitation District Personnel Policies Subject: ATTENDANCE

Policy Number: 3.2 Effective Date: June 3, 2011 Supersedes:

October 12, 2010

Approved by: General Manager 1.0

PURPOSE 1.1

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

4.0

This policy applies to all current employees regardless of their organizational unit.

DEFINITIONS 3.1

Tardiness occurs when an employee reports to work after the start time of an assigned work shift. Employees are expected to be at their assigned work location and ready to work at the start of the assigned work shift.

3.2

Absence occurs when an employee does not report to work for all or a portion of an assigned work day. An absence is considered unscheduled for nonexempt employees when it is requested within 23 hours of the start of an employee’s work schedule.

POLICY 4.1

5.0

The purpose of this policy is to establish uniform guidelines and procedures for attendance.

Prompt and regular attendance is required in order to maintain effective and efficient District operations. Therefore, all employees are expected to report to work as scheduled unless proper arrangements have been made to ensure that work flow, customer service needs and business needs are met.

PROCEDURE 5.1

Supervisor’s Responsibility. Supervisors are responsible for ensuring that employees observe the District’s need for prompt and regular attendance. They are also responsible for providing counseling, as necessary, including referring employees to the Human Resources Department or Employee Assistance Program for help in dealing with medical, physical, or personal difficulties related to their attendance causing performance deficiencies. All of the facts and circ*mstances surrounding an employee's inability to report for work should be considered in the counseling process, including the employee's performance, overall attendance, reasons for missing work, and prospects for improvement. While the District’s need for prompt and regular attendance of all employees is of utmost importance, it is equally important to recognize individual employee needs in an impartial manner.

5.2

Notification. Employees must notify their supervisor of their inability to report for work as scheduled as far in advance as possible and in no case later than the regular start time.

Personnel Policies & Procedures Manual Policy 3.2, Attendance

Page 1 of 2

Effective 06/03/11

The notification of absence should include a reasonable explanation and an estimate of when the employee expects to be able to return. The District may require medical documentation of any absence due to illness or injury, particularly when there is an indication of abuse of time-off privileges. Employees must also notify their supervisor prior to leaving early from work unless other arrangements have been made and approved by management.

6.0

5.3

Tardiness. Tardiness is not acceptable from a performance standpoint and excessive tardiness may be the basis for discipline, up to and including termination. For timesheet reporting purposes, employees who are 15 or more minutes tardy to work will be required to use accrued time off to offset the time away from work unless other arrangements have been made and approved by management. Tardiness of less than 15 minutes shall not be deducted from the employee's pay but numerous occurrences may warrant disciplinary action.

5.4

Unscheduled time off will be properly recorded as such for nonexempt employees on the employee’s timesheet.

EXCEPTIONS 6.1

Except for employees affiliated with the Local 501 bargaining Unit, negative impacts of an employee’s attendance on the individual’s performance or the operations of OCSD shall be addressed through the designated Performance Management Program. Failure to correct performance deficiencies may be the basis for disciplinary action in accordance with Policy 5.1 (Rules of Conduct).

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Policy 5.1 (Rules of Conduct)

8.2

Policy 3.1.1 (Hours of Work – Nonexempt Employees)

8.3

Policy 3.1.2 (Hours of Work – Exempt Employees)

8.4

Policy 3.3 (Leave of Absence with Pay)

8.5

Policy 3.4 (Leave of Absence without Pay)

8.6

OCSD Performance Management Programs

Personnel Policies & Procedures Manual Policy 3.2, Attendance

Page 2 of 2

Effective 06/03/11

RETURN TO AGENDA

Orange County Sanitation District Personnel Policies

Policy Number: 3.3 Effective Date:

Subject: LEAVE-OF-ABSENCE WITH PAY

1.0

Supersedes:

November 14, 2011

Approved by:

General Manager

PURPOSE 1.1

2.0

September 3, 2013

The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Orange County Sanitation District's (OCSD’s) leave-of-absence with pay program.

ORGANIZATIONAL UNITS AFFECTED 2.1

All regular OCSD 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 4

3.08

In years 5 through 10

4.62

120

In year 11

4.93

128

In year 12

5.24

136

In year 13

5.54

144

In year 14

5.85

152

In year 15

6.16

160

In year 16

6.46

168

In year 17

6.77

176

In year 18

7.08

184

In year 19

7.39

192

In years 20 and over

7.69

200

4.1.1

Vacation leave begins to accrue after a new employee has completed six (6) months of continuous service.

Personnel Policies & Procedures Manual Policy 3.3, Leave of Absence with Pay

Page 1 of 10

Effective 09/03/13

4.2

4.1.2

After the first six (6) months of service, the employee’s account will be credited with forty (40) hours. After that time, the employee will accrue vacation hours consistent with the above chart.

4.1.3

Vacation leave may only be utilized in increments of one-half (0.5) hour or more.

4.1.4

Vacation leave is accrued for all paid hours, including hours actually worked and hours in a paid-leave payroll status.

4.1.5

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 parttime, regular employee will not be granted vacation leave credit during any period he/she is absent without pay on his/her regular working day.

4.1.6

Employees may have a maximum accumulation of two hundred (200) hours as of the last day of the final pay period in December of each year. In the event an employee accrues vacation leave in excess of two hundred (200) hours, it must be used prior to the December date, all other remaining hours in excess of two hundred (200) will be paid to the employee in the first pay period in January at the employee’s then current hourly rate of compensation.

4.1.7

Management shall make a reasonable effort, considering the operational needs of OCSD, to accommodate all employee requests for vacation leave. Vacation leave should normally be requested at least two (2) weeks in advance to increase the likelihood of submitted dates being approved. However, in the event unforeseen circ*mstances prevent such advance notification, employees may request vacation leave with as little as one (1) days’ notice.

4.1.8

Preference among employees who request time off at least six (6) months in advance shall be based on seniority. Requests received less than six (6) months in advance shall be scheduled in the order received. Further guidelines for vacation leave are outlined in applicable Memorandums of Understanding (MOU).

Sick Leave. Sick leave is an insurance or protection provided by OCSD to be granted to employees in circ*mstances of adversity to promote the health and welfare of the individual employee. It is not an earned right to take time off from work. Sick leave is defined as the absence from duty of an employee because of a bona fide illness, injury, or pregnancy, or to attend to the illness or injury of a family member as hereinafter defined. 4.2.1

Sick-Leave Accrual. Full-time employees hired prior to November 27, 1981, accrue paid sick leave at the rate of three and one-half (3.5) hours for each biweekly pay period of continuous service (ninety-one [91] hours per year).

4.2.2

Full-time employees hired on or after November 27, 1981, accrue paid sick leave at the rate of three (3.0) hours for each biweekly pay period of continuous service (seventy-eight [78] hours per year), beginning with the first day of employment.

4.2.3

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.

Personnel Policies & Procedures Manual Policy 3.3, Leave of Absence with Pay

Page 2 of 10

Effective 09/03/13

RETURN TO AGENDA

4.2.4

Annual Payoff. Employees may elect annually to be paid for any unused sick leave hours accrued through the end of the last pay period ending in October at their current hourly rate according to the following payoff schedule or as specified by an employee’s affiliated bargaining unit Memorandum of Understanding (MOU). Accrued Sick Leave Hours

Rate of Payoff

0 – 100 hours

101 to 240 hours

25%

241 to 560 hours

35%

Over 560 hours

50%

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.

4.2.6

Employees who retire or decease shall be paid a percentage of all accrued and unused sick leave based on years of service as follows: Years of Service

Rate of Payoff

Less than 20 years of service

75%

20 or more years of service

100%

4.2.7

Sick Leave Incentive Plan. The Sick Leave Incentive Plan applies to Executive Management Team (EMT) members, Managers, Supervisors and professional-level employees. The Plan is administered on an individual Group basis.

4.2.8

If the average sick leave usage of employees in a Group is under forty (40) hours per year, calculated on annualized actual time off during the period November 1 to October 31 exclusive of catastrophic illness or injury requiring absence in excess of two hundred (200) hours or industrial injury leave in excess of eighty (80) hours, the annual payoff for unused sick leave will be made according to the following table or as otherwise stipulated in a prevailing MOU.

4.2.9

Accrued Sick Leave Hours

Rate of Payoff

0-100 101-240 241-560 Over 560 (mandatory)

15% 45% 60% 75%

Permissible Uses. Sick leave may be applied only when: 4.2.9.1 The employee is physically or mentally unable to perform his or her normal functions due to illness, injury, or a medical condition. 4.2.9.2 The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition of the employee or the absence is due to medical and dental office appointments of an employee when approved by the employee’s supervisor.

Personnel Policies & Procedures Manual Policy 3.3, Leave of Absence with Pay

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4.2.9.3 The absence is for other medical reasons of the employee, such as pregnancy or obtaining a physical examination. 4.2.9.4 The absence is for the care of the employee’s parent, father-in-law, motherin-law, brother, step-brother, sister, step-sister, spouse, domestic partner, biological child, adopted child, step-child, foster child, legal ward, child of a domestic partner, grandchild, grandparent, foster parent, legal guardian, or any family member with whom the employee resides. 4.2.9.5 The absence is due to a job-related injury. 4.2.10 General Provisions. To qualify for sick-leave pay, the employee must notify OCSD at or in advance of the time the employee is scheduled to report for duty. Minimum charge to the employee’s sick-leave account shall be one-half (0.5) hour and thereafter in one-half (0.5) hour increments. 4.2.11 Human Resources, along with the division management, shall be responsible for control of abuse of the sick-leave privilege. If notified in advance by a manager or supervisor, the employee may be required, at any time, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness; however, for absences of ten (10) consecutive working days or more, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor’s release must be submitted to Human Resources. For absences of one (1) or more working days in an unpaid status, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. 4.2.12 Sick Leave Banks. Sick Leave Banks are administered on an individual Group basis. Employees represented by the International Union of Operating Engineers Local 501 for the Operations and Maintenance Unit (Local 501) who elect to bank sick leave accrued prior to the implementation of Personal Leave provisions may elect to use such time off for absence due to a bon a fide illness, injury, or pregnancy, or to attend to the illness or injury of an immediate family member. Employees represented by Local 501 who retire or die shall be paid at the 50% (fifty percent) rate for all Banked Sick Leave hours; an employee who separates shall be compensated for Banked Sick Leave as follows.

Banked Sick Leave Hours

Rate of Payoff

0 - 100

0 percent

101 - 240 241 - 560 Over 560

25 percent 35 percent 50 percent

4.2.13 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 paidleave payroll status, on a biweekly basis as follows unless otherwise stipulated by an employee’s affiliated bargaining unit MOU:

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Personal Leave Hours Years of Service 0 through 1

Biweekly

Annual

2.31

80*

2 through 4 5 through 10 11 12 13 14

5.38 6.92 7.23 7.54 7.85 8.15

140 180 188 196 204 212

15 16 17 18 19 20 and over

8.46 8.69 8.92 9.15 9.38 9.62

220 226 232 238 244 250

4.3.1

Only sixty (60) hours may be taken in the first year; the twenty (20) additional hours shall be credited to the accrual balance following successful completion of one year’s service.

4.3.2

Scheduled Time Off. Management shall make a reasonable effort, considering the operational needs of OCSD, to accommodate all employee requests for personal leave. Personal leave off should normally be requested at least two (2) weeks in advance to increase the likelihood of submitted dates being approved.

4.3.3

Supervisor absences will not affect an employee’s ability to schedule time off unless the time off request is submitted within two (2) weeks of the date requested.

4.3.4

Unscheduled Time Off. Personal leave that is classified as unscheduled time off provides income protection to an employee who is unable to work due to the following: 4.3.4.1 The employee is physically or mentally unable to perform his or her normal functions due to illness, injury, or a medical condition. 4.3.4.2 The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition of the employee or the absence is due to medical and dental office appointments of an employee when approved by the employee’s supervisor. 4.3.4.3 The absence is for other medical reasons of the employee, such as pregnancy or obtaining a physical examination. 4.3.4.4 The absence is for the care of the employee’s parent, father-in-law, motherin-law, brother, step-brother, sister, step-sister, spouse, domestic partner, biological child, adopted child, step-child, foster child, legal ward, child of a domestic partner, grandchild, grandparent, foster parent, legal guardian, or any family member with whom the employee resides. 4.3.4.5 The absence is due to a job-related injury.

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4.3.5

Unscheduled time off must be accounted for by completion of an Unscheduled Time Off Report if required by management 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 OCSD management to control the potential abuse of unscheduled time off privileges.

4.3.6

OCSD 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. Any absence that is requested within twenty-three (23) hours of the start of an employee’s work schedule, excluding protected leaves of absent and bereavement leave, shall be considered unscheduled time off unless otherwise stipulated by an employee’s affiliated bargaining unit MOU. Employees returning from an extended leave should notify their supervisor as soon as possible to facilitate personnel scheduling.

4.3.7

Human Resources, along with the division management, 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 (1) or more working days in an unpaid status, a request for leave and a medical statement on prescribed forms, stating expected date of return must be submitted to Human Resources.

4.3.8

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.

4.3.9

Personal Leave Payoff. Employees (or their estate) who separate, retire or die shall be paid in full at their current rate of pay for all Personal Leave hours accrued.

4.3.10 Maximum Accrual. Employees may have a maximum accumulation of four hundredforty (440) hours of Personal Leave as of the last day of the final pay period in December of each year. In the event an employee accrues personal leave in excess of the maximum accrual, it must be used prior to the December date. All, other remaining hours in excess of the maximum accrual will be paid to the employee in the first pay period in January at the employee’s then current hourly rate of compensation. 4.3.11 If the need for leave is due to the employee’s own serious health condition, as defined in the Family and Medical Leave Act (“FMLA”) or the California Family Rights Act (“CFRA”), the certification requirement shall comply with the provisions of these Acts. 4.4

Jury Duty Leave. Any full-time, including probationary, employee who is called for jury duty shall be entitled to his/her regular pay for those hours of absence due to performance of the jury duty for a period up to twenty-two (22) working days. 4.4.1

Prior to jury duty service, each employee must complete an online time off request form. 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 (½) of their regular shift

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remaining. Employees are not compensated for jury duty occurring on scheduled days off.

4.5

4.4.2

An employee serving jury duty must obtain an attendance slip from the court to be submitted to his/her supervisor with his/her time sheet in order to be eligible for regular pay for those hours of absence due to jury duty.

4.4.3

Employees are advised in all cases, whether serving jury duty for the state or federal court systems, to disclose their public employment and OCSD’s jury duty pay policy because employees who receive jury duty pay may not be entitled to court compensation.

Witness Leave. Any full-time, including probationary, employee who is required to be absent from work by a subpoena properly issued by a court, agency or commission legally empowered to subpoena witnesses, which subpoena compels his/her presence as a witness, except in a matter wherein he/she is named as a defendant or plaintiff or as an expert witness, shall, upon approval of an online time off request, be entitled to the time necessary to comply with such subpoena. An employee’s regular pay will be reduced by the amount of witness leave pay received, exclusive of mileage. 4.5.1

4.6

An employee so subpoenaed must submit a copy of the subpoena to their supervisor and complete an online time off request form in order to be eligible for pay for such absence. To be entitled to receive regular pay for such witness leave, the employee must report for work at OCSD for time not actually retained on witness service of one (1) hour or more prior to and/or upon completion of each day’s service, exclusive of travel time.

Military Leave. A request for military leave shall be made through the online time off request form and shall state the date when it is desired to begin the leave-of-absence and the date of anticipated return. A copy of the orders requiring such military service shall be submitted with the request to the employee’s supervisor. 4.6.1

Provisions of the Military and Veterans Code of the State of California, Sections 395395.5 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 online time off request form, any full-time employee, whether probationary or regular, shall receive a maximum of thirty-six (36) hours off with pay for the death or funeral of an immediate family member. Immediate family member is defined as the employee’s father, step-father, father-in-law, mother, step-mother, mother-in-law, brother, step-brother, sister, step-sister, husband, wife, domestic partner, biological child, step-child, adopted child, child of a domestic partner, step parent, grandchild, grandparent, foster parent, foster child, legal guardian, or any family member with whom the employee resides or who is identified in the employee’s MOU, if applicable. Employees must submit an online time off request form for approval by the supervisor.

4.8

Administrative Leave.

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4.8.1

Manager Group Employees 4.8.1.1 No more than forty (40) hours of administrative leave shall be granted to employees in the Manager Group in any calendar year on January 1st. 4.8.1.2 Employees who are hired or promoted into the Manager Group shall be granted administrative leave on a pro-rata basis in accordance with the following schedule: Month of Hire/Promotion

Percentage of Leave Granted

January - September

100%

October - December

50%

4.8.1.3 Administrative leave may only be used in quarter-hour increments or more. 4.8.1.4 Any unused administrative leave, within the calendar year granted, will not be carried over to the next calendar year. 4.8.1.5 Any unused administrative leave, within the calendar year granted, is not subject to cash out or eligible for any mandatory payout. 4.8.1.6 Employees who cease to be part of the Manager Group for any reason will not receive payment of any unused administrative leave. 4.8.2

Professional, Supervisor and Exempt-level Confidential Group Employees 4.8.2.1 Effective the first pay period in July, regular full-time exempt-level employees in the Professional, Supervisor and Confidential Groups shall be granted forty (40) hours of Administrative Leave. 4.8.2.2 Regular full-time exempt-level employees who are hired or promoted into the Professional, Supervisor and Confidential Groups shall be granted Administrative Leave on a pro-rata basis per the following schedule: Month of Hire/Promotion

Percentage of Leave Granted

July - September

100%

October - December

75%

January - March

50%

April - June

4.8.2.3 Administrative Leave will be administered in accordance with the following guidelines: 4.8.2.3.1

Administrative Leave may be used in quarter-hour increments.

4.8.2.3.2

Any unused Administrative Leave, within the fiscal year granted, will not be carried over to the next fiscal year.

4.8.2.3.3

Any unused Administrative Leave, within the fiscal year granted, is not subject to cash out or eligible for any mandatory payout.

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4.8.2.3.4

4.9

Employees who cease to be part of the Professional Group for any reason will forfeit any unused Administrative Leave.

Supplemental Leave 4.9.1

Nonexempt Confidential Group Employees (unless otherwise stipulated by an employee’s affiliated bargaining unit MOU) 4.9.1.1 In 2011, effective the first pay period in the month following the approval of this Agreement by the OCSD Board of Directors, regular full-time employees in the bargaining unit shall be granted Supplemental Leave in accordance with the following schedule: Years of Service

5–9

10 - 14

15 - 19

20 - 24

25+

Supplemental Leave Hours

4.9.1.2 In 2012 and 2013, Supplemental Leave shall be granted per the schedule in the first pay period in July. 4.9.1.3 Supplemental Leave will be administered in accordance with the following guidelines: 4.9.1.3.1

Supplemental Leave may be used in one-quarter (0.25) hour increments.

4.9.1.3.2

Any unused Supplemental Leave, within the fiscal year granted, will not be carried over to the next fiscal year.

4.9.1.3.3

Any unused Supplemental Leave, within the fiscal year granted, is not subject to cash out or eligible for any mandatory payout.

4.9.1.3.4

Employees who cease to be part of the bargaining unit for any reason will forfeit any unused Supplemental Leave.

4.9.1.4 Employees who are hired or transferred into the bargaining unit shall be granted Supplemental Leave on a pro-rata basis per the following schedule:

5.0

PROCEDURE

6.0

EXCEPTIONS 6.1

Hire/Transfer Date

Percent

July – September

100%

October – December

75%

January – March

50%

April – June

25%

Part-time employees receive leave of absence benefits on a pro-rated basis per Policy 4.7, Pro Rata Benefits for Part-time Employees.

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7.0

8.0

6.2

Employees receive either both sick leave and vacation time off accruals or personal leave time off accruals depending on the employee’s bargaining unit and/or employee group affiliation.

6.3

Vacation leave is not accrued for overtime hours worked.

6.4

The unscheduled time off designation does not apply to exempt employees.

PROVISIONS AND CONDITIONS 7.1

Accrued balances of vacation leave, compensatory leave, and personal leave may be cashed out at the employee’s request on an annual basis in December of each calendar year.

7.2

Employees are not eligible to schedule vacation leave until the completion of six (6) months continuous service.

7.3

Employees may not maintain a negative balance of vacation, sick, compensatory, or personal leave accruals.

RELATED DOCUMENTS 8.1

California Labor Code, Section 233

8.2

Policy 1.10, Employee Separation

8.3

Policy 4.7, Pro Rata Benefits for Part-time Employees

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Orange County Sanitation District Personnel Policies Subject: MILITARY LEAVE

Policy Number: 3.3.1 Effective Date: July 21, 2004 Supersedes: Approved by: General Manager

1.0

PURPOSE 1.1

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

The purpose of this policy is to support employees who serve in the National Guard and Reserve branches of the United States Armed Forces.

This policy applies to all OCSD employees who serve in the National Guard and Reserve branches of the United States Armed Forces.

POLICY 3.1

GENERAL INFORMATION 3.1.1

3.2

3.3

OCSD provides leave of absence to employees who are fulfilling military duty requirements as Reservists or National Guard members.

LEAVE WITH PAY 3.2.1

Employees on military leave (i.e., active duty), who have one year or more service with OCSD, are entitled to full pay for the first thirty (30) calendar days of military leave, up to a maximum of one hundred-sixty (160) hours of pay, in any fiscal year.

3.2.2

National Guard members on military leave (i.e., active duty), regardless of their length of service with OCSD, are entitled to full pay for the first thirty (30) calendar days of military leave, up to a maximum of one hundred-sixty (160) hours of pay, in any fiscal year.

3.2.3

Employees on temporary military leave (i.e., training), who have one year or more of service with OCSD, are entitled to full pay for the first thirty (30) calendar days of temporary military leave, up to a maximum of one hundredsixty (160) hours of pay, in any fiscal year.

3.2.4

In determining the one year of service with OCSD, all military service shall be counted as service with OCSD.

LEAVE WITHOUT PAY 3.3.1

Employees who are required to attend scheduled reserve drill periods or other inactive duty reserve obligations are entitled to military leave without pay. Employees may, at their option, elect to use vacation or personal leave time to attend the scheduled reserve drill periods or to perform other inactive duty reserve obligations. Employees who participate in weekend military drill

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duty are not eligible for leave with pay, but may request to have their regular work schedule changed to accommodate the required time off. 3.4

3.5

BENEFITS 3.4.1

Health insurance coverage, in accordance with plan documents, shall continue while employees are engaged in military duty.

3.4.2

Time spent on a military leave of absence will be credited to “length of service” requirements for leave accruals and retirement benefits.

3.4.3

Employees are entitled to receive pay for OCSD holidays that occur while employees are engaged in military duty. Holiday pay hours shall be included in the maximum one hundred-sixty (160) hours of paid military leave (i.e., active or training) per fiscal year.

RETURN TO WORK 3.5.1

3.6

STATE OR NATIONAL EMERGENCY 3.6.1

4.0

5.0

Employees are obligated to provide prompt notification of their intent to return to work. Employees who are on a military leave of absence are guaranteed reemployment in accordance with the Uniformed Services Employment and Reemployment Rights Act (USERRA). Employees returning to work shall be restored to their former position or a position of similar status and pay. Employees who are released from military duty with a dishonorable or bad conduct discharge do not qualify for protection under USERRA.

Employees called to active duty because of a State or National emergency are entitled to full pay for the first thirty (30) calendar days, up to a maximum of one hundred-sixty (160) hours of pay, of such order. Thereafter employees shall receive the difference between their pay with OCSD and their military pay (including allowances). Employees shall continue to receive all leave time accruals (personal leave, vacation, sick) and health insurance coverage in effect at the time they were called to active service. Employees shall continue to receive credit towards “length of service” requirements for retirement benefits. These benefits shall remain in effect for the full duration of the active military assignment.

PROCEDURE 4.1

Unless precluded by military necessity, employees must provide as much advance notice as possible regarding their military obligation by completing an online time off request form.

4.2

Employees should provide a copy of their orders, annual drill schedule or other documentation to their immediate supervisor in a timely manner and if possible, before they begin their assignment.

PROVISIONS AND CONDITIONS 5.1

Provisions of California’s Military and Veterans Code, Sections 389 et seq., and the Uniformed Services Employment and Reemployment Rights Act (USERRA), 38 U.S.C. Sections 4301 et seq. shall govern military leave.

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5.2

6.0

As per the California Military and Veterans Code, Section 395.03, no more than the pay for a period of thirty (30) calendar days shall be allowed under the provisions of Section 395.01 or 395.02 for any one military leave of absence or during any fiscal year, except as otherwise authorized by resolution number 01-20, approved by OCSD’s Board of Directors on October 24, 2001.

RELATED DOCUMENTS 8.1

Policy 3.3, Leave of Absence with Pay

8.2

Policy 3.3.1, Military Leave

8.3

Leave of Absence Request Form

8.4

Medical Certification of Health Care Provider Form

8.5

Fitness-for-Duty to Return from Leave Form

Personnel Policies & Procedures Manual Policy 3.4, Leave of Absence Without Pay

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Orange County Sanitation District Personnel Policies Subject:

1.0

Supersedes:

July 18, 2007

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District’s (OCSD’s) insurance benefits program.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: November 14, 2011

PURPOSE 1.1

2.0

INSURANCE

Policy Number: 4.1

All OCSD employees and legal dependents who are covered under OCSD’s insurance carrier-provided Summary Plan Description (SPD). Domestic partners, in accordance with California Family Code, Sections 297 and 298, are considered legal dependents.

DEFINITIONS 3.1

Summary Plan Description (SPD)/Plan Document is a booklet published by an insurance carrier that provides detailed information about the insurance plan.

3.2

Qualifying event is a change in an employee's personal life that may impact eligibility or dependent's eligibility for benefits. As defined in the IRS Irrevocability Rule, employees experiencing a qualifying event can change certain benefits for a specified time period. Qualifying events include: 3.2.1 3.2.2 3.2.3 3.2.4 3.2.5 3.2.6 3.2.7 3.2.8 3.2.9 3.2.10 3.2.11 3.2.12 3.2.13

3.3

Legal marriage or registration approval as a domestic partner from the California Secretary of State; Divorce, legal separation, or annulment of marriage; Birth, adoption, or placement for adoption of child(ren); Death of spouse or dependent; Dependent becomes eligible for coverage; Dependent no longer meets eligibility criteria or becomes ineligible for other coverage; Court order results in the employee gaining or losing custody of a dependent; Court decree establishes an employee's financial responsibility for a child's medical, dental, or other health care; Change in employee's, spouse's or dependent's employment status that affects eligibility under their plan; Spouse's employer makes significant changes in coverage or premium costs (30% or greater change); Coordination of spouse's annual election period; Spouse is provided group insurance through employer for the first time; or Reinstatement of coverage terminated due to non-payment of premium.

IRS Irrevocability Rule states that pursuant to Section 125 of the Internal Revenue Code, premiums paid by the employee for health, dental, and life insurance coverage are taxexempt. The tax exemption applies only to premiums that are payroll deducted. For plans that provide the tax-exempt premium, the Internal Revenue Code prohibits changes in

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the employee's deduction during the plan year unless there is a qualifying change in status (qualifying event). The Irrevocability Rule applies to both increases and decreases in coverage, such as adding or dropping dependents from the health coverage or increasing or decreasing employee life insurance coverage. Non-compliance subjects the plan to loss of qualification and/or subjects employees to an IRS audit, additional taxes, and possible penalties.

4.0

5.0

3.4

Domestic Partners are two adults who have chosen to share one another’s lives in an intimate and committed relationship of mutual caring and who have met the criteria set forth in California Family Code, Sections 297 and 298.

3.5

POLICY 4.1

OCSD will provide healthcare and welfare insurance benefits. Part-time employees receive insurance benefits as set forth in policy 4.7.

4.2

All insurance coverage for OCSD employees shall become effective on the first day of the month following date of hire, regardless of hire date. Insurance coverage for an employee’s legal dependent(s), as defined in each insurance SPD, will become effective once the employee’s insurance coverage becomes effective or upon a qualifying event. An open enrollment period for insurance plans shall be held annually.

4.3

As set forth by COBRA, employees and/or their dependents (qualified beneficiaries) will be provided the opportunity for a temporary extension of health coverage (continuation coverage) in certain instances where coverage under the plan would otherwise end. The type of qualifying event determines the qualified beneficiaries and period of time the coverage must be offered. COBRA continuation coverage will not be extended to employees terminated for gross misconduct.

4.4

If a former employee chooses to continue group benefits under COBRA, he/she must pay the total applicable premium plus a two percent (2%) administrative fee. Coverage will cease if the former employee fails to make premium payments as scheduled, becomes covered by another group plan that does not exclude pre-existing conditions, or becomes eligible for Medicare.

4.5

For detailed information or questions regarding COBRA, employees may reference their initial notice. The initial notice is an explanation of COBRA rights that is sent to all employees and qualified beneficiaries upon enrollment in an OCSD health insurance plan.

PROCEDURE 5.1

Medical. OCSD offers a choice of medical plans through Anthem Blue Cross and Kaiser Permanente. Plan eligibility and premium contributions are based on bargaining unit or employee group affiliation as published annually in OCSD’s Employee Benefits Brochure. 5.1.1

Any change in insurance rates shall be shared equally in the same ratio as premiums are currently paid by OCSD and employees.

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5.2

5.1.2

Before the renewal of any OCSD’s sponsored health insurance plan, the parties agree to meet and confer as to changes in the plan, as applicable.

5.1.3

Employees hired on or after July 1, 2007 are not eligible for the group model HMO Plan “A”.

Life. OCSD provides basic term life insurance coverage for all regular, full-time employees. OCSD shall pay the full premium for basic term life insurance in accordance with the employee’s affiliated bargaining unit Memorandum of Understanding (MOU) or as otherwise agreed upon. 5.2.1

Managers are eligible for additional term life insurance coverage. OCSD shall pay the full premium for term life insurance as agreed upon.

5.3

Short Term Disability. OCSD shall provide a non-work related, short-term disability insurance plan that pays up to the weekly maximum equal to the California State Disability Insurance (SDI) program for up to ninety (90) days (employees with Long-Term Disability) or twenty-six (26) weeks (employees without Long-Term Disability) following a fourteen (14) calendar day waiting period. Employees may request to receive prorated sick leave, personal leave, or vacation pay to supplement their short term disability payments in an amount such that the sum of both is equal to the employee’s regular base pay.

5.4

Long-Term Disability. OCSD offers, at the employee’s expense, a non-work related, longterm disability insurance plan that pays two-thirds of the employee’s rate of pay in effect at the time of such disability, not to exceed $5,000 per month, following a 90-day waiting period of continuous disability. OCSD provides this coverage at OCSD’s expense after five (5) years of employment. 5.4.1

For participants age 64 and younger, the maximum duration of long-term disability benefits is based on the employee’s normal retirement age under the Social Security Act. For participants age 65 and older, the maximum duration of benefits is specified in the summary plan document accessible on the intranet.

5.4.2

Managers enrolled in the group long-term disability plan may be eligible for increased disability benefits through OCSD’s Executive Disability plan. Enrollment is subject to approval by the insurance carrier.

5.5

Dental. OCSD will contribute 80% of employee only and full family premiums for dental insurance.

5.5

Vision. OCSD shall provide and pay the full premium for a vision insurance plan for regular, full-time employees and their eligible dependents.

5.6

Retiring Employees. OCSD shall pay, for employees hired prior to July 1, 1988, two and one-half (2.5) months’ premium for each year of continuous service of a retiring employee towards the premium costs of coverage for the employee and eligible dependents under OCSD’s medical plan. 5.6.1

Unless otherwise stipulated by an employee’s affiliated bargaining unit Memorandum of Understanding (MOU), OCSD will continue to implement the retiree medical health premium offset program wherein the cost of health premiums are offset by $10 per month for every year of service up to a maximum of twenty-five (25) years or $250 per month. In the event of a retired employee’s death, the benefit will be provided to the surviving spouse or domestic partner.

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5.6.2

6.0

5.7

Deceased Employees. In the event of the death of an active employee OCSD shall pay the COBRA premium cost for a period of one (1) year from the date benefits would otherwise terminate for the surviving dependents covered under the deceased employee’s medical, dental, and vision insurance plans.

5.8

Workers Compensation Insurance. OCSD’s Workers Compensation program is selffunded and administered by a third party administrator. Workers’ Compensation insurance provides coverage for injuries arising out of employment with OCSD and occurring in the course of employment.

5.9

Reimbursem*nt Account. Section 125 of the Internal Revenue Code permits employees to use pretax dollars to pay for their portion of the cost of benefits under the plan through salary redirection arrangements. The available options are summarized below. For complete information regarding Flexible Spending Accounts (FSA) employees must refer to the plan booklet available in the Human Resources Department. Participation in this Program does not affect OCSD’s contribution to the Orange County Employees Retirement System. The amount deducted shall then be repaid to the employee through OCSD’s provided Reimbursem*nt Program. Enrollment, termination, and/or changes to the medical or dependent care reimbursem*nt accounts shall not be permitted outside of the annual open enrollment period unless the employee experiences a qualifying event. An FSA open enrollment period is held annually. 5.9.1

Medical Care Reimbursem*nt Account. The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Medical Care Reimbursem*nt Account for the purposes of reimbursing the employee for payment of health care costs not otherwise covered by the health insurance.

5.9.2

Dependent Care Assistance Account. The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Dependent Care Assistance Account for the purposes of reimbursing the employee for child care expenses or day care for a disabled dependent.

EXCEPTIONS 6.1

7.0

For employees hired prior to July 1, 1988, the retiree medical health premium offset program will begin after the District-paid medical benefit ends.

Contract workers and student interns are not entitled to and are ineligible to join or participate in any benefit plans offered by OCSD.

PROVISIONS AND CONDITIONS 7.1

Employees have sixty (60) days from the date of a qualifying event to submit a change in any health insurance plan through OCSD’s benefits administration system. Employees must wait until the next open enrollment period to make a change outside of the 60-day period. Changes must be consistent with the qualifying event experienced.

7.2

No combination of disability and other pay shall result in more than an employee’s regular rate of pay. Employees may not receive short-term and long-term disability benefits at the same time. An employee who is otherwise not eligible for OCSD paid long-term disability may purchase such coverage at their own expense.

7.3

In the event OCSD adds additional optional insurance plans, OCSD’s share of the premium shall be the same as for existing plans. In the event OCSD changes

Personnel Policies & Procedures Manual Policy 4.1, Insurance

Page 4 of 5

Effective: 11/14/11

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underwriters for existing insurance plans, OCSD’s share of the premium shall be the same as for existing insurance plans. 8.0

RELATED DOCUMENTS 8.1

Policy 3.4, Leave-of-Absence Without Pay

8.2

Policy 4.2, Retirement

8.3

Policy 4.6, Domestic Partnership

8.4

Policy 4.7, Pro Rata Benefits for Part-Time Employees

8.5

Policy 4.8, Employee Assistance Program

Personnel Policies & Procedures Manual Policy 4.1, Insurance

Page 5 of 5

Effective: 11/14/11

Orange County Sanitation District Personnel Policies Subject: RETIREMENT

1.0

November 14, 2011

Approved by:

General Manager

This policy does not provide a complete description of all benefits available to OCSD employees upon retirement, but rather provides top-level policy issues. Details about retirement options, benefits and other administrative information are available in the Summary Plan Description (SPD) booklets for each applicable plan titled, “A Guide to Your Retirement Plan Benefits,” by the Orange County Employees Retirement System (OCERS), which is available through the OCERS website (www.ocers.org) or OCSD’s intranet site and is considered a part of this policy.

This policy applies to all current employees regardless of their organizational unit.

DEFINITIONS 3.1

4.0

Supersedes:

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: September 3, 2013

PURPOSE 1.1

2.0

Policy Number: 4.2

Plan refers to a retirement benefits group. Plan membership is determined as follows: 3.1.1

An employee is considered a Plan A member if the date of membership into the OCERS is before September 21, 1979 and the employee was age 62 or older as of July 1, 2005.

3.1.2

An employee is considered a Plan G member if the date of membership into OCERS is before September 21, 1979 and the employee was under age 62 as of July 1, 2005.

3.1.3

An employee is considered a Plan H member if the date of membership into OCERS is on or after September 21, 1979.

3.2

Service Credit means the hours worked as a member of OCERS, converted to months for which an employee makes contributions and receives credit in the retirement system. One hour is equal to .00576923 months of service credit.

3.3

Summary Plan Description is a booklet published by OCERS that provides detailed information about how the retirement plan works.

POLICY 4.1

It is the policy of the OCSD to continue participation in the OCERS in accordance with the provisions of the SPD, California Public Employees' Pension Reform Act of 2013 (PEPRA), and the County Employees Retirement Act of 1937.

4.2

OCSD retirement plans are reciprocal and allow employees who transfer between different retirement systems to preserve and enhance their total retirement benefits in accordance with

Personnel Policies & Procedures Manual Policy 4.2, Retirement

Page 1 of 3

Effective: 09/03/13

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reciprocity criteria. Additional information about reciprocity is accessible on OCSD’s intranet site, OCERS website and in the SPD. 4.3

An employee’s service retirement date will be the day following the termination date.

4.4

OCSD Contributions. Unless otherwise stipulated by an employee’s affiliated bargaining unit MOU, OCSD will pay 3.5% toward the employee’s contribution to OCERS for Plan G and H members and 0% toward the employee’s contribution to OCERS for Plan B and U members. 4.4.1

4.5

Early Retirement Incentive. When, in the determination of OCSD, a change in the manner of performing service, savings of money or other economic benefit would result from employees being able to receive additional service credit and retire early, OCSD’s Board of Directors may adopt an ordinance implementing the provisions of Government Code Section 31641.04. 4.5.1

5.0

The OCSD participates in OCERS, wherein all regular full-time employees and eligible parttime employees are considered members from their date of hire. The retirement program is in effect pursuant to the contract between OCERS and OCSD as of December 2, 1977, and will continue unless amendments to contracts or termination of membership is effected by OCSD subsequent to meeting and conferring with employee bargaining units concerning such proposed amendments or termination.

EXCEPTIONS 6.1

7.0

Receipt of Additional Service Credit. Subject to certain specified conditions, this Section generally provides that an employee who is at least age fifty (50) with ten (10) years of service, and who is otherwise eligible to retire, may receive up to two (2) years additional service credit, if the employee retires within a period of time designated by the Board in accordance with this provision.

PROCEDURE 5.1

6.0

All monies paid into the retirement system as an employee’s contribution are deducted from gross salary for taxation purposes in accordance with Internal Revenue Code provisions.

In extenuating circ*mstances, as authorized by the General Manager, an employee’s termination date may be a non-work day.

PROVISIONS AND CONDITIONS 7.1

Employees must contact OCERS within sixty (60) days of their expected retirement date to make an appointment to apply for retirement. Employees may not file for retirement earlier than sixty (60) days before their expected retirement date. Retirement applications are considered void after sixty (60) days.

7.2

Upon determining a retirement date, employees must notify Human Resources (HR) and their supervisor. HR staff will arrange a meeting to review retiree benefits and address retirement questions.

7.3

Eligibility Criteria. Employees are eligible for retirement when they are no longer working in a position requiring them to be a member of OCERS and they meet any of the following criteria: 7.3.1

Any part-time or full-time employee age fifty (50) or over with ten (10) or more years of service credit

Personnel Policies & Procedures Manual Policy 4.2, Retirement

Page 2 of 3

Effective: 09/03/13

8.0

7.3.2

Any employee at any age with thirty (30) or more years of service credit

7.3.3

A part-time employee age fifty-five (55) or older with five (5) years of service credit and at least ten (10) years of active employment

7.3.4

Any employee at age seventy (70) or over, regardless of years of service credit

RELATED DOCUMENTS 8.1

“A Guide to Your Retirement Plan Benefits,” Orange County Employees Retirement System Summary Plan Description for Plans A & B General Members (Tier 1 and 2)

8.2

“A Guide to Your Retirement Plan Benefits,” Orange County Employees Retirement System Summary Plan Description for Plans G & H General Members (2.5% @ 55)

8.3

“A Guide to Your Retirement Plan Benefits,” Orange County Employees Retirement System Summary Plan Description for Plan U General Members (2% @ 62)

8.4

County Employees Retirement Law of 1937, Sections 31450 through 31899.10 of the California Government Code

8.5

California Public Employees' Pension Reform Act of 2013

8.6

Government Code Section 31641.04, Receipt of Additional Service Credit

8.7

Policy 4.1, Insurance

8.8

Policy 3.3, Leave of Absence with Pay

8.9

Retirement Preparation document located on OCSD’s intranet site

Personnel Policies & Procedures Manual Policy 4.2, Retirement

Page 3 of 3

Effective: 09/03/13

RETURN TO AGENDA

Orange County Sanitation District Personnel Policies Subject: TUITION REIMBURsem*nT PROGRAM

1.0

4.0

September 23, 2015

Supersedes:

June 19, 2012

Approved by:

General Manager

This program is designed to encourage self-development of Orange County Sanitation District (OCSD) employees by providing qualifying employees with tuition reimbursem*nt for specific educational courses at accredited colleges or universities provided that such courses are primarily for the purpose of: 1.1.1

Increasing capabilities in the employee’s present position within OCSD;

1.1.2

Preparing for positions to which the employee could be reasonably expected to advance within OCSD; and/or

1.1.3

Updating professional and/or technical capabilities that are pertinent and beneficial to OCSD.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date:

PURPOSE 1.1

2.0

Policy Number: 4.3

This policy applies to all OCSD qualifying employees.

DEFINITIONS 3.1

Qualifying Employees – All regular OCSD employees who have completed their initial probationary period of employment and work more than 19 hours per week.

3.2

Tuition Reimbursem*nt – A program in which qualifying employees who successfully complete OCSD approved courses, on their own time, at accredited colleges, universities or other institutions within the guidelines of this policy, can be reimbursed for eligible expenses incurred.

POLICY 4.1

OCSD will reimburse employees who successfully complete educational courses that serve the mission and goals of OCSD, at the sole determination of OCSD, in compliance with this policy based upon the number of hours worked per week as follows:

HOURS OF WORK PER WEEK 0 – 19 20 – 29 30 – 39 40

Personnel Policies & Procedures Manual Policy 4.3, Tuition Reimbursem*nt

PERCENT OF REIMBURsem*nT NOT ELIGIBLE – 0% 50% 75% 100%

Page 1 of 4

Effective: 09/23/15

4.2

Employees may be reimbursed for the following: 4.2.1

Specific, job-related courses as part of an Associate, Baccalaureate (Bachelor’s), Graduate Certificate (Post-Baccalaureate), or Master’s degree program. 4.2.1.1 Requests for reimbursem*nt of courses above the Bachelor degree level require special approval by the Department Head and the General Manager. Such requests will be considered by the Department Head and the General Manager to determine the value to OCSD of the proposed courses or degree program. 4.2.1.2 As of July 1, 2014, employees may only be reimbursed for one Associate, Baccalaureate and Master’s degree. Multiple Associate, Baccalaureate and Master’s degrees are not permitted for reimbursem*nt.

4.2.2

Specific, job-related courses through accredited colleges or universities. 4.2.2.1 The employee’s Division Manager is responsible for determining whether the course is “job-related.”

4.3

When an employee successfully completes a course with a grade of “C” or better and within the guidelines of this policy, OCSD will reimburse the employee for eligible expenses incurred, based on the number of hours worked per week, not to exceed $5,250 per calendar year.

4.4

Examples of eligible and ineligible expenses are: Eligible Expenses • • • • • • • •

5.0

Ineligible Expenses

Tuition Registration fees Laboratory fees Parking fees Health fees Application fees Required textbooks and materials per the course syllabus Supplies required per the course syllabus not to exceed $100.00 per course

• • • • • •

•

Travel Mileage Optional student fees Master’s thesis fees Supplemental textbook costs Supplies and materials used for the course and retained by the employee after course completion (i.e., paper, pencils, notebooks, etc.) Graduation or diploma fees

PROCEDURE 5.1

To participate in the Tuition Reimbursem*nt Program: 5.1.1

Employees must obtain preapproval for the course by submitting an electronic Tuition Reimbursem*nt Application including a copy of the course description, the course cost, course start/end date, and number of units for each course NO EARLIER THAN 30 days prior to the course start date and NO LATER THAN one day prior to the course start date.

5.1.2

Tuition Reimbursem*nt Applications submitted more than 30 days prior to the course start date will not be processed and should be resubmitted in accordance with the defined timeline.

5.1.3

Tuition Reimbursem*nt Applications submitted on or after the course start date will not be approved and the employee will be notified.

Personnel Policies & Procedures Manual Policy 4.3, Tuition Reimbursem*nt

Page 2 of 4

Effective: 09/23/15

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5.2

6.0

7.0

Upon course completion, the employee must complete and submit the reimbursem*nt application along with (1) an official record of the final grade, (2) itemized receipts for eligible expenses, and (3) a copy of the course syllabus (if requesting reimbursem*nt for required textbooks, materials and/or supplies) for each course within 60 calendar days following the course end date. Requests for Tuition Reimbursem*nt submitted more than 60 days after the course end date will not be approved. 5.2.1

Upon approval of the application at all required levels, the employee will be notified, and the Financial Management Division will proceed with processing the reimbursem*nt.

5.2.2

Incomplete requests will be returned to the employee with explanation(s).

EXCEPTIONS 6.1

If an employee terminates employment or gives notice of termination prior to the completion of a course, no reimbursem*nt will be made.

6.2

Reimbursem*nt for courses that do not meet the requirements of this policy may be authorized when the employee’s Department Head and Director of Human Resources (or designee) determine that there is substantial benefit to be derived by OCSD.

6.3

OCSD will reimburse for a maximum of one Associate degree, a maximum of one Baccalaureate (Bachelor’s) degree, and a maximum of one Master’s degree per employee.

6.4

OCSD does not reimburse for doctorate degrees.

PROVISIONS AND CONDITIONS 7.1

This policy does not apply to student interns or temporary employees.

7.2

Reimbursem*nt requests must be received by the Financial Management Division by the second-to-last pay period of the calendar year, unless otherwise announced, in order to be applied to an employee’s reimbursem*nt limit for that calendar year.

7.3

Reimbursem*nt requests received by the Financial Management Division during or after the last pay period of the calendar year, unless otherwise announced, will be applied to the employee’s reimbursem*nt limit for the following year.

7.4

Employees who, for any reason, terminate employment with OCSD and received reimbursem*nt through the Tuition Reimbursem*nt Program within 36 months of resignation, shall be subject to the following: 7.4.1

Should an employee, for any reason, terminate employment with OCSD 1-12 months after receiving reimbursem*nt, he/she shall repay OCSD 100% of the funds received through this program within the twelve-month period prior to the date of his/her termination.

7.4.2

Should an employee, for any reason, terminate employment with OCSD 13-24 months after receiving reimbursem*nt, he/she shall repay OCSD 66% of all funds received through this program within the twenty-four month period prior to the date of his/her termination.

7.4.3

Should an employee, for any reason, terminate employment with OCSD 25-36 months after receiving reimbursem*nt, he/she shall repay OCSD 33% of all funds

Personnel Policies & Procedures Manual Policy 4.3, Tuition Reimbursem*nt

Page 3 of 4

Effective: 09/23/15

received through this program within the thirty-six month period prior to the date of his/her termination. 7.5

8.0

Reimbursem*nt will be at the discretion of OCSD provided the employee meets the criteria specified in this policy.

RELATED DOCUMENTS 8.1

Fair Labor Standards Act, as amended.

8.2

Sections 127 and 132-J8 of the Internal Revenue Code.

8.3

Tuition Reimbursem*nt Application

Personnel Policies & Procedures Manual Policy 4.3, Tuition Reimbursem*nt

Page 4 of 4

Effective: 09/23/15

RETURN TO AGENDA

Orange County Sanitation District Personnel Policies

Policy Number: 4.4 Effective Date: September 23, 2015

Subject: CERTIFICATION REIMBURsem*nT PROGRAM

Supersedes:

October 24, 2002

Approved by: General Manager

1.0

PURPOSE 1.1

2.0

4.0

1.1.1

Increasing capabilities in the employee’s present position within OCSD;

1.1.2

Preparing for positions to which the employee could be reasonably expected to advance within OCSD; and/or

1.1.3

Updating professional and/or technical capabilities that are pertinent and beneficial to OCSD.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

The purpose of this program is to encourage employees to broaden and further develop their job skills. To meet this goal, the District will provide qualifying employees with financial reimbursem*nt for the fees associated with acquiring and maintaining District-approved technical and professional licenses and certifications that are job-related and either required or preferred by the District for the purpose of:

This policy applies to all qualifying OCSD employees.

DEFINITIONS 3.1

Qualifying Employees: all OCSD employees who have completed their initial probationary period of employment and work more than 19 hours per week.

3.2

Certification Reimbursem*nt: a program of eligible expense reimbursem*nt for qualifying employees who acquire and maintain District-approved technical and professional licenses and certifications on their own time.

POLICY 4.1

The District will reimburse employees who successfully complete approved required or preferred license and/or certification requirements in alignment with section 1.0 PURPOSE that are in an effort to increase professional and/or technical capabilities approved by the Department Head.

4.2

When an employee completes a pre-approved license or certification preparation course on their own time and successfully obtains a license or certification within the guidelines of this policy, OCSD will reimburse the employee for eligible expenses associated with the preparation course and the license or certification.

Personnel Policies & Procedures Manual Policy 4.4, Certification Reimbursem*nt

Page 1 of 4

Effective 09/23/15

4.2.1

Examples of eligible and ineligible expenses for approved preparation courses are: Eligible Expenses • Course registration • Required textbooks and materials per the official course information • Parking fees

4.3

5.0

4.2.2

OCSD will provide reimbursem*nt for one approved preparation course per employee for each license or certification.

4.2.3

An approved preparation course will be eligible for reimbursem*nt only after the employee successfully obtains the license or certification.

4.2.4

Courses offered through colleges or universities that yield a letter grade may be reimbursed through the Tuition Reimbursem*nt Program rather than the Certification Reimbursem*nt Program. However, these courses would be subject to all requirements outlined in the Tuition Reimbursem*nt Program (Policy 4.3).

License or certification examinations and/or preparation courses are intended to be completed on an employee’s own time. If a desired examination or course is scheduled during the employee’s normal work schedule, then the employee should seek supervisor approval to take scheduled time off to attend in accordance with their respective Memorandum of Understanding. Additionally, management may consider flextime arrangements in accordance with OCSD’s Policies and Procedures and Memoranda of Understanding.

REQUIREMENTS 5.1

6.0

Ineligible Expenses • Optional student fees • Optional textbooks, supplies and materials • Mileage • Travel (other than parking)

Budgeted professional and/or technical organization Membership Fees are eligible for direct payment through the Professional and Technical Memberships and Fees Policy (Policy 4.5).

PROCEDURE 6.1

Pre-Approval Process 6.1.1

Prior to applying for an initial License or Certification, the employee must submit a License or Certification Reimbursem*nt Pre-Approval Application form with all required information included.

6.1.2

The employee’s Division Manager will review the application for approval. If a preparation course is requested, the below requirements apply. 6.1.2.1

Employees and Division Managers should make every effort to select the preparation course based on cost and outcome to ensure fiscal responsibility in the use of OCSD funds.

6.1.2.2

In order for a preparation course to be eligible for reimbursem*nt, it must be included on the License or

Personnel Policies & Procedures Manual Policy 4.4, Certification Reimbursem*nt

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Effective 09/23/15

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Certification Reimbursem*nt Pre-Approval form and must be submitted no earlier than 90 days prior to the course start date and no later than one day prior to the course start date. Forms that are submitted on or after the course start date may not be approved. 6.1.2.3

6.2

6.1.3

Upon approval of the application at all required levels, the employee will be notified.

6.1.4

Upon non-approval of the application, the employee will be notified with an explanation of the reason(s) for non-approval.

Reimbursem*nt Process 6.2.1

6.2.2

7.0

A specific class should be identified prior to submitting the preapproval form. A copy of the course description which includes the course cost, course start/end dates and provider information is required.

Within 60 calendar days of obtaining license or certification, the employee must complete and submit a Request for Certification Reimbursem*nt form, with the following documents attached: 6.2.1.1

Official transcript or photocopy of final score (for initial certification or license).

6.2.1.2

Proof of license or certification (i.e., photocopy of certificate, card or license).

6.2.1.3

Printout of license or certification fees paid from issuing body.

6.2.1.4

Proof of course registration for preparation course, if applicable.

6.2.1.5

Proof of payment for each reimbursable item, such as: copy of both sides of cancelled checks or copy of monthly credit card statement (black-out non-applicable transactions).

The employee’s Division Manager will review the form for approval. 6.2.2.1

Upon approval, the electronic form will be forwarded to the Financial Management Division, and the employee will be notified with the status of the request.

6.2.2.2

Upon non-approval, the employee will be notified with an explanation of the reason(s) for non-approval.

EXCEPTIONS 7.1

License or certification preparation courses are intended to be completed on the employee’s own time. However, OCSD may choose to provide onsite or offsite preparation courses occurring partially or fully during an employee’s work hours when at least one of the following conditions applies: 7.1.1

OCSD is required to maintain a specific number, distribution, or level of certain licenses and certifications.

Personnel Policies & Procedures Manual Policy 4.4, Certification Reimbursem*nt

Page 3 of 4

Effective 09/23/15

7.1.2

8.0

PROVISIONS AND CONDITIONS 8.1

9.0

A Department Head determines that a particular license or certification is business critical.

Reimbursem*nt will be at the discretion of the District provided the employee meets the criteria specified in this policy.

RELATED DOCUMENTS 8.1

Policy 4.4, Certification Reimbursem*nt Program

_ Personnel Policies & Procedures Manual Page 2 of 2 Policy 4.5, Professional & Technical Memberships & Fees

Effective 04/26/06

RETURN TO AGENDA

Orange County Sanitation District Personnel Policies Subject: Domestic Partnership

Policy Number: 4.6 Effective Date: December 15, 2004 Supersedes: Approved by:

1.0

PURPOSE 1.1

2.0

5.0

All Orange County Sanitation District (OCSD) employees.

DEFINITIONS 3.1

4.0

The purpose of this policy is to recognize the status of domestic partners and to establish uniform guidelines and procedures for providing eligibility for programs (e.g., benefits) and ensuring equal access to those programs.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

General Manager

POLICY 4.1

It is the policy of OCSD to recognize employees who meet the definition of domestic partners provided for within this policy and who have registered with the California Secretary of State.

4.2

No one shall discriminate against or harass any person or couple on the grounds of domestic partner status, gender, sexual orientation, or any other protected class as outlined in OCSD’s non-discrimination and harassment policies.

4.3

The use of any available sick or personal leave entitlement to attend to an illness of a domestic partner is permitted as outlined in OCSD’s Leave-of-Absence with Pay policy.

4.4

Employees who are registered domestic partners on or after January 1, 2005 shall be extended the same rights, responsibilities, and duties as married couples and shall be afforded the same protections and benefits.

PROCEDURE 5.1

Registered domestic partners must file with the Human Resources Department, a copy of all applicable documentation that establishes approved domestic partnership status, in order to receive all available benefits outlined in OCSD policies, procedures, and applicable Memorandums of Understanding (MOU).

_ Personnel Policies & Procedures Manual Policy 4.6, Domestic Partnership

Page 1 of 2

Effective 12/15/04

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS 7.1

8.0

To be eligible to receive the same allocation of benefits extended to married couples, employees must register with the California Secretary of State and file approved documentation with OCSD’s Human Resources Department.

RELATED DOCUMENTS 8.1

California Family Code, Sections 297and 298

8.2

California Domestic Partner and Responsibilities Act of 2003

8.3

Declaration of Domestic Partnership Registration Form

8.4

Policy 1.1, Harassment & Discrimination

8.5

Policy 3.3, Leave-of-Absence with Pay

8.6

Policy 3.4, Leave-of-Absence without Pay

8.7

Policy 4.1, Insurance

8.8

Policy 4.9, Catastrophic Illness Leave Bank Program

8.9

Policy 5.1, Rules of Conduct

8.10

Policy 5.2, Discipline

8.11

Local 501, Operations and Maintenance Unit MOU

8.12

Administrative and Clerical Unit MOU

8.13

Engineering Unit MOU

8.14

Technical Services Unit MOU

8.15

Professional Group MOU

8.16

Supervisor Group MOU

_ Personnel Policies & Procedures Manual Policy 4.6, Domestic Partnership

Page 2 of 2

Effective 12/15/04

RETURN TO AGENDA

Orange County Sanitation District Personnel Policies Subject:

1.0

4.0

Supersedes:

December 15, 2004

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines for use in the administration of the benefits program provided for regular employees working in a part-time status.

ORGANIZATIONAL UNITS AFFECTED 2.1.

3.0

Effective Date: July 18, 2007

PURPOSE 1.1.

2.0

Pro Rata Benefits for Part-Time Employees

Policy Number: 4.7

All regular Orange County Sanitation District (OCSD) employees authorized to work in a part-time status.

DEFINITIONS 3.1

Part-time employees – Employees who are authorized to regularly work less than 80 hours in a bi-weekly pay period.

3.2

Pro rata insurance benefits – Part-time employees are responsible for payment of prorated insurance benefit premiums. Insurance benefits consist of medical, dental, vision, life, and short and long-term disability.

POLICY 4.1

4.2

Notwithstanding any other provision herein, the General Manager is authorized to confer the benefits set forth under OCSD’s policies and procedures regarding leave of absence with or without pay (excluding jury duty), vacation leave, sick leave, personal leave, bereavement leave, holidays, tuition reimbursem*nt, and insurance benefits. These benefits shall apply to regular part-time employees on a prorated basis, as follows:

HOURS OF WORK PER WEEK

PERCENT BENEFIT/SUBSIDY

0 – 19

None

20 – 29

50 percent

30 – 39

75 percent

Personnel Policies & Procedures Manual Policy 4.7, Pro-rata Benefits for Part Time Employees

Page 1 of 2

Effective 07/18/07

change. Multiple transitions to full-time or part-time, requested by the affected employee, shall be deemed as an abuse of this privilege and factored into future considerations for approval. A thirty (30) day written notice for work schedule changes must be given to an affected employee prior to the change. 5.0

PROCEDURE 5.1

With respect to insurance, employees pay premiums through bi-monthly payroll deduction, according to the chart in section 4.1.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Policy 3.1, Hours of Work – Non-Exempt Employees

8.2

Policy 3.1.1, Hours of Work – Exempt Employees

8.3

Policy 3.3, Leave-of-Absence with Pay

8.4

Policy 3.4, Leave-of-Absence without Pay

8.5

Policy 4.1, Insurance

8.6

Policy 4.3, Tuition Reimbursem*nt

8.7

Policy 3.5, Holidays

8.8

Local 501, Operations and Maintenance Unit MOU

8.9

Administrative and Clerical Unit MOU

8.10

Engineering Unit MOU

8.11

Technical Services Unit MOU

8.12

Professional Group MOU

8.13

Supervisor Group MOU

Personnel Policies & Procedures Manual Policy 4.7, Pro-rata Benefits for Part Time Employees

Page 2 of 2

Effective 07/18/07

RETURN TO AGENDA

Orange County Sanitation District Personnel Policies

Policy Number: 4.8 Effective Date: October 22, 1997

Subject: EMPLOYEE ASSISTANCE PROGRAM

Supersedes: Approved by: General Manager

1.0

PURPOSE 1.1

2.0

The purpose of this policy is to establish uniform guidelines and procedures for the Employee Assistance Program (EAP). The objective of the EAP is to offer confidential professional assistance and support to employees and their families to help them solve personal problems that affect their personal lives or job performance. Typical examples of such problems might include: alcohol abuse, drug abuse, family or marital difficulties, nervous or emotional disorders, stress, legal problems, work-related problems, the loss of loved ones, food problems, coping with separation or divorce, and financial difficulties.

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

5.0

It is the District’s policy to administer an EAP in accordance with the procedures of this policy.

PROCEDURE 5.1

The District provides professional consultation and referral services to employees experiencing emotional or medical problems that may affect their personal lives or impair satisfactory job performance. These services are available through the EAP, a confidential program provided by a professional counseling and referral service and administered by the Human Resources Department. The program is available to all employees.

5.2

Employees who are referred to the EAP as a result of unsatisfactory job performance may be requested to secure appropriate medical, counseling, or rehabilitation services deemed necessary to resolve the problem. However, if an employee who is referred to the EAP refuses such assistance, and job or attendance problems continue, regular corrective procedures may apply, including termination. Employees may be granted general leaves of absence for treatment or rehabilitation. If such leave is not necessary, satisfactory job

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performance will be expected to continue while participating in a treatment program. 5.3

Employees are not required to notify the District if they choose to participate in the EAP and all participation is voluntary.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS

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Orange County Sanitation District

Policy Number: 4.9 Effective Date:

Personnel Policies Subject:

Catastrophic Leave Bank Donation Program

October 25, 2011

Supersedes: December 15, 2004 Approved by: General Manager

1.0

PURPOSE 1.1

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

The purpose of this policy is to establish uniform guidelines and procedures regarding the Orange County Sanitation District (OCSD) Catastrophic Leave Bank Donation Program.

All OCSD employees.

DEFINITIONS 3.1

Catastrophic Illness or Injury: 3.1.1

A debilitating non-industrial illness or injury that is expected to incapacitate the employee, meaning the employee is unable to work and/or perform other regular daily activities for a period of time that exceeds thirty (30) calendar days.

3.1.2

A debilitating non-industrial illness or injury that incapacitates an immediate family member and results in the employee being required to take time away from work for a period of time that exceeds thirty (30) calendar days to care for the family member.

3.1.3

Conditions that are short-term in nature, such as a cold, flu, a minor injury or surgery, are generally not deemed catastrophic; however, surgery recovery time that meets eligibility criteria may qualify.

3.2

Donor for the purposes of this policy refers to an employee who voluntarily contributes leave hours to OCSD’s Catastrophic Leave Bank Donation Program.

3.3

Immediate Family Member: an employee’s child, stepchild, parent, spouse, domestic partner or child of a domestic partner.

3.4

Recipient for purposes of this policy refers to an employee who voluntarily accepts leave hour contributions through OCSD’s Catastrophic Leave Bank Donation Program.

3.5

Terminally Ill Employee: an employee whose life expectancy is twelve (12) months or less, as diagnosed by the employee’s treating physician.

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4.0

POLICY 4.1

Employees may, on occasion, face catastrophic medical conditions involving themselves or their immediate family members. Such employees may request leave donations from OCSD’s Catastrophic Leave Bank Donation Program.

4.2

Employees may donate accrued and unused sick leave, personal leave, vacation leave and compensatory time to OCSD’s Catastrophic Leave Bank Donation Program. Administrative leave and floating holidays may not be donated.

4.3

Donations must be made in whole hour increments and are irrevocable.

4.4

Personal Leave, Vacation Leave and/or Compensatory Time Off Donations. To be eligible to donate, an employee must maintain a combined total minimum balance of eighty (80) hours for personal leave, vacation leave, and/or compensatory time off leave hours. Employees can only donate leave hours that exceed the minimum eighty (80) hour total combined balance.

4.5

Sick Leave Donations. To be eligible to donate sick leave hours, an employee must maintain a minimum sick leave balance of one hundred (100) hours. Employees can only donate sick leave hours that exceed the minimum one hundred (100) hour sick leave balance.

4.6

Sick leave donations will be applied at a thirty-five percent (35%) value rate. 4.6.1

5.0

For instance, an employee with three hundred (300) accrued sick leave hours could donate up to two hundred (200) sick leave hours to the Catastrophic Leave Bank Donation Program (100 of the 300 hour balance must be maintained to donate sick leave hours). The donated hours would be converted at a thirty-five percent (35%) value rate. If the employee elects to donate all two hundred (200) hours and the employee’s hourly rate of pay is twenty dollars per hour ($20/hour), the donated value would be fourteen hundred dollars ($1,400); 200 X 20 = $4,000 X .35 = $1,400.

PROCEDURE 5.1

Requests for donated leave time are to be submitted to Human Resources for approval using the “Recipient Participation Form”. This form is located on the OCSD intranet site.

5.2

To receive donations, employees must provide medical documentation of their own catastrophic health condition or the catastrophic health condition involving their immediate family member. 5.2.1

5.3

If applicable, employees must also provide permission for the release of certain medical information as indicated on the Recipient Participation Form.

To donate leave hours, employees must complete a “Donor Participation Form” and submit the form to Human Resources for approval. This form is located on the OCSD intranet site. Employees will also be provided the option to donate leave hours during annual leave payout periods.

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5.4

6.0

5.4.1

Except for sick leave, donated leave hours will be valued at the donor’s hourly rate of pay that is in effect at the time the completed Donor Participation Form is received by the Financial Management Division. The leave value amount will be allocated to the Catastrophic Leave Bank and the donor’s leave accrual balance will be decreased with the next applicable pay period.

5.4.2

Donations will be applied to qualified recipients beginning with the next applicable pay period after the Financial Management Division receives the Recipient Participation Form provided there are donations available in the Catastrophic Leave Bank.

5.4.3

To apply leave donations, the Financial Management Division will determine the number of hours necessary for the recipient for the pay period. An amount equal to that number of hours at the recipient’s current rate of pay will be deducted from the Catastrophic Leave Bank and the hours applied to the recipient’s leave accrual balance. That balance will be available for immediate use.

EXCEPTIONS 6.1

7.0

Approved donor and recipient requests shall be administered by the Financial Management Division.

In the event that an employee is unable to complete the “Recipient Participation Form,” the employee’s court appointed legal representative, guardian, or conservator may do so on the employee’s behalf.

PROVISIONS AND CONDITIONS 7.1

Employees are expected to maintain confidentiality regarding participation in the Catastrophic Leave Bank Donation Program to protect the privacy of the employee and/or the employee’s family. Employees shall not disclose recipient or donor information, or catastrophic illness/injury information, except as authorized on the Recipient Participation Form.

7.2

To be eligible to receive donations of leave time, employees must have exhausted all of their unused and accrued vacation leave, sick leave, personal leave, administrative leave, compensatory time off, and floating holiday hours.

7.3

The maximum allocation of donated leave that an employee may receive is four hundred and eighty (480) hours per individual per twelve (12) month period except in the event that the employee is diagnosed by his/her treating physician as terminally ill. If an employee is diagnosed as terminally ill, there is no limit to the amount of donated leave that the employee may receive.

7.4

The leave type (sick, vacation, personal or compensatory) that is donated will be converted to either sick leave or personal leave depending on the paid time off system of the recipient’s affiliated bargaining unit or employee group.

7.5

In the event that there are donations totaling $2,000 or less remaining in the Catastrophic Leave Donation Bank or it is anticipated that the Catastrophic Leave Donation Bank will be insufficient to support pending recipient requests, OCSD

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will notify employees to solicit additional donations. OCSD will continue to allocate remaining donation amounts until depleted. 7.5.1

7.6

8.0

For multiple recipient requests, available donations remaining in the Catastrophic Leave Donation Bank shall be allocated so that each recipient receives an equivalent percentage of leave donation hours.

Participation in this program shall be subject to applicable state and federal taxation requirements.

RELATED DOCUMENTS 8.1

Recipient Participation Form

8.2

Donor Participation Form

8.3

Policy 3.3, Leave of Absence with Pay

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Orange County Sanitation District Personnel Policies Subject: EMPLOYEE DEVELOPMENT

Policy Number: 4.10 Effective Date: September 23, 2015 Supersedes:

N/A

Approved by: General Manager

1.0

PURPOSE 1.1

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

4.0

OCSD seeks to provide all employees with access to appropriate training and development opportunities to increase job knowledge, skills, and abilities. This policy provides standards and guidelines for OCSD employees requesting, needing or attending training and development activities through OCSD.

This policy applies to all Orange County Sanitation District (OCSD) employees.

DEFINITIONS 3.1

Computer-Based Training – training delivered through the use of a computer, including self-paced coursework and/or webinars designed to develop an employee’s job-related knowledge and skills.

3.2

Conference – an event that focuses on updating a participant’s knowledge or current trends, practices or technologies. Frequently the format allows the participant a variety of choices in the form of breakout sessions or discussion groups

3.3

Development – any formal or informal effort to increase an employee’s job knowledge, skills, and abilities. Efforts may include a variety of approaches such as training, conference attendance, coaching and mentoring, job shadowing, and job rotation.

3.4

Meeting – an event that is action-oriented and has the primary purpose to accomplish work-related outcomes. Meetings focus on such objectives as project and implementation planning, updates, issue resolution, resource allocation, department updates, information exchanges, and problem-solving and decisionmaking discussions. Learning is not the main focus of meetings, and thus meetings are not considered a training and development activity.

3.5

Training – an event where an employee focuses on learning, maintaining and/or enhancing job-related knowledge, skills, and abilities (KSAs) in order to better perform job duties at OCSD.

POLICY 4.1

OCSD provides employees with training and development opportunities in accordance with this policy.

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5.0

PROCEDURE 5.1

GENERAL TRAINING INFORMATION 5.1.1

Risk Management Compliance Training – OCSD ensures that all employees complete appropriate risk management compliance training on topics such as occupational safety and health, hazardous waste, workers’ compensation, and Department of Transportation (DOT) compliance requirements. These types of training are administered by the Risk Management Division 5.1.1.1

5.2

Divisions seeking to arrange risk management or safetyrelated training should work with the Risk Management Division to do so.

5.1.2

Onsite Training and Development – OCSD provides onsite training and development opportunities when there is an organizational need and it makes financial sense. In cases where groups of employees will participate, it is generally more cost-effective to offer these opportunities onsite at OCSD. This allows more employees to attend and reduces the cost per person. Onsite training requests are approved through the budget process for each division.

5.1.3

Offsite Training and Development – Offsite training and development activities may be attended in the instance that the topic is not offered at OCSD and/or it is determined to be more cost-effective to send the employee(s) offsite. The decision to send employees offsite should be justified by evaluating the cost and availability in the local area. Offsite training requests are approved through the budget process for each division. Employees who attend offsite training and development activities may be eligible for reimbursem*nt of travel expenses in accordance with Policy 5.6 Travel.

5.1.4

Voluntary Training and Development – Voluntary training and development opportunities are offered to develop and improve employees’ knowledge, skills, and abilities. Voluntary training and development activities are identified based on organizational and/or individual needs. Requests for voluntary training and development must be approved by the employee’s supervisor (or designee) prior to enrollment. In deciding whether an employee should participate, the supervisor (or designee) should consider business relevance, the employee’s developmental needs, and the division’s ability to cover the employee’s absence. Additionally, requests should be reconciled against employees’ past training history to ensure that District funds are being utilized and managed appropriately.

5.1.5

Off Shift Training and Development Attendance – Employees are expected to attend training and development activities during their normal work schedule whenever possible. Any exceptions, such as overtime or attendance on scheduled holidays or days off, must be approved by division management in accordance with department policy prior to enrollment.

SPECIAL TRAINING AND DEVELOPMENT CONSIDERATIONS 5.2.1

Training of Night Shift Employees – Training sessions dedicated to Night Shift employees generally will be scheduled between the hours of 6:15PM

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– 8:15PM. If the vendor for a business-critical or mandatory course is unable to train between the hours stated, the requesting division may make arrangements to have the course videotaped. Such training videos and materials will be made available to the Night Shift supervisors (or designees) to use during the scheduled shift.

5.3

5.2.2

Training of Interns – Vocational and college interns may participate in onsite and computer-based training that is required for their position, such as safety and compliance courses. Also interns may participate in training of proprietary information that is unique to OCSD and which is required for their job assignment.

5.2.3

Training of Non-OCSD Employees – Non-OCSD employees are workers who are not on OCSD’s payroll. Examples of non-OCSD employees include temporary workers and contractors. 5.2.3.1

Only OCSD employees may participate in training funded by OCSD. The employer contracting with OCSD is responsible for ensuring non-OCSD employees receive all necessary training. However, non-OCSD employees may participate in training of proprietary information that is unique to OCSD and which is required for their job assignment.

5.2.3.2

Human Resources and Risk Management do not maintain training records for non-OCSD employees.

TRAINING AND DEVELOPMENT FUNDING 5.3.1

The training and development budget is determined annually through the budget process. Risk Management administers OCSD’s budget for risk management and safety-related training topics, and Human Resources coordinates key organization-wide training programs. All other training and conferences are budgeted and administered by divisions.

5.3.2

During the budget process, divisions submit a comprehensive list of training, development, and conference needs for the next budget cycle using a Budget Training Request Form. This information is evaluated by Financial Management and used in fiscal planning and the allocation of funds to each division. Management is responsible to accurately plan training and development needs during the budget process to ensure appropriate funding for requested items. 5.3.2.1

5.4

Department Heads will review the sum of divisional conference attendance requests to identify overlap and ensure that budget requests are not excessive.

TRAINING AND DEVELOPMENT REQUESTS 5.4.1

Source of Requests – Training and development requests are collected and compiled by each division in preparation for the budget process.

5.4.2

Prioritization of Training Requests – Training requests should be prioritized based on such factors as organizational need, strategic goals, and budget allocation. Divisions also should review employees’ past training history when evaluating training requests.

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5.5

5.4.3

Performance-Related Training and Development Requests – Supervisors (or designees) should discuss specific performance-related needs with Human Resources to identify potential training and development options.

5.4.4

Training Needs Assessments – When needed, departments and/or divisions may conduct Training Needs Assessments to identify training and development needs across the department/division. Training Needs Assessments should include an analysis of training requests, training needs, goals and objectives, training plans (current and future) and funding. This process also may include surveying and questionnaires to better assess and prioritize training needs.

CONFERENCE ATTENDANCE REQUESTS 5.5.1

OCSD provides employees with opportunities to attend a variety of conferences to continue to build industry knowledge and maintain an awareness of the most current information and trends applicable to their function at OCSD.

5.5.2

In order to maximize the scope of information obtained through conference attendance and ensure the most efficient use of available funds, OCSD seeks to distribute attendance across multiple events and reduce overlap by limiting the number of attendees for any specific event. This approach allows OCSD to be strategic in its use of training funds, provides access for employees to attend a wide variety of learning events, and increases the diversity of information brought back to OCSD by conference attendees.

5.5.3

Approval of Conference Attendance Requests: Manager and Department Head approval is required for all conference attendance requests. In evaluating requests, management should consider factors such as cost, location of the event, expected return on investment, organizational staffing needs, employee conference attendance history, and number of requesters.

5.5.4

5.5.3.1

If the goal is to obtain continuing education credits (CEUs) for an employee to maintain a license or certification, often there are local options that divisions could consider to maximize the use of OCSD funds.

5.5.3.2

If the conference is of interest to multiple employees or groups, management should consider additional factors described below.

Conference of Interest to Multiple Employees or Groups: The Department Head (or designee) will decide which interested employee(s) will attend each specific conference. For conferences of interest to multiple departments, Department Heads (or designees) of each affected Department should collaborate to identify the most appropriate individual(s) to attend. 5.5.4.1

Decisions should be based on considerations such as the relevance of the subject matter to the employee’s job function, the employee’s past attendance history, the equitable distribution of opportunities across appropriate groups and levels, and any applicable development needs or goals.

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5.5.4.2

5.6

5.7

When appropriate, priority may be given to employees who have been approved to participate in an active conference role on behalf of OCSD, such as speaker, poster presenter, panel member or session moderator. Employees must have Department Head approval in writing before agreeing to appear in these types of roles on behalf of OCSD.

VENDOR PAYMENT FOR OFF-SITE TRAINING, CONFERENCES, AND WEBINARS 5.6.1

Once a request for an offsite training event, conference or webinar has been approved, the requesting division coordinates payment and registration with the vendor. Registration fees for offsite training, conferences and webinars are typically paid through a Payment Request Voucher (PRV). The completed electronic PRV form must be approved at all required levels in order to ensure payment. Enrollment should be made as early as possible, at least six (6) weeks prior to the event, in order to allow time for the PRV to be paid.

5.6.2

All training-related expenditures should be reconciled against the appropriate line item.

PROCUREMENT OF ON-SITE TRAINING 5.7.1

After onsite training has been approved, the responsible division submits all required documentation to initiate procurement of the training in accordance with the Purchasing Threshold Guidelines.

5.7.2

Bidding Training – When a project requires a Request for Proposal according to the Purchasing Threshold Guidelines, the following responsibilities apply:

5.7.3

5.7.2.1

The requesting division provides objectives and discussion items for the training by preparing a Scope of Work. A potential vendor list (minimum 3) must be provided. A requisition including both documents must be submitted in order to initiate the procurement process.

5.7.2.2

Purchasing staff manages the vendor selection process with an evaluation committee including representatives from the requesting division.

Sole Source Training – In cases where the criteria for a Sole Source are met, a sole source justification is required from the requesting division and the following responsibilities apply: 5.7.3.1

In initiating a sole source request, the requesting division is responsible to fully justify their proposal in a sole source justification memorandum and obtain all required approvals.

5.7.3.2

Following approval of the sole source request, the requesting division provides the objectives and discussion items for training by preparing a Scope of Work. A requisition including the sole source justification memorandum and Scope of Work must be submitted in order to initiate the procurement process.

5.7.3.3

Purchasing staff manages the procurement process.

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5.8

5.9

TRAINING SCHEDULING 5.8.1

Risk Management is responsible for the planning and scheduling of all internally advertised risk management and safety-related training. Divisions seeking to arrange onsite risk management or safety-related training should work with Risk Management to schedule and announce the training.

5.8.2

Human Resources is responsible for the planning and scheduling of key organization-wide training programs, such as Human Resources-related compliance training and other organization-wide initiatives.

5.8.3

Individual divisions are responsible for the planning and scheduling of all other budgeted training.

5.8.4

Classes are scheduled based on OCSD’s need and the number of employees identified to attend.

5.8.5

The division responsible for each training course enters the scheduled classes into the learning management system and distributes announcements to the target audience. Announcements should be sent approximately four to six weeks in advance to allow for enrollment and divisional planning.

TRAINING RECORDS 5.9.1

5.9.2

5.10

Training Documentation 5.9.1.1

Learning Management System – OCSD uses this training database to schedule, track, and maintain all training information relevant to OCSD employees.

5.9.1.2

Rosters – All onsite training attendance must be documented with a training roster (sign in sheet). The division responsible for the training provides rosters for all onsite classes. In cases where a roster is not available, an appropriate generic Training Roster form from MyOCSD should be used. Following the class, the division is responsible for closing out the roster in the learning management system and retaining a copy of the signed roster.

Access to Training Transcripts 5.9.2.1

Unofficial Transcript: Employees may view and/or print a copy of their training transcript within the learning management system.

5.9.2.2

Official Transcript: If an official transcript is needed, employees should email a request to their supervisor or division manager (or designee) including the date range needed (from/to). The supervisor or manager (or designee) will request that the transcript be sent to the employee. The official transcript will be sent to the requester through interoffice mail.

RESPONSIBILITIES FOR TRAINING AND DEVELOPMENT

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5.10.1 Employee Responsibilities 5.10.1.1

Enrollment: Employees interested in attending any voluntary training and development activities must request supervisor (or designee) approval to attend. Enrollment of employees in mandatory training is the responsibility of the immediate supervisor (or designee).

5.10.1.2

Attendance: Enrollment is training indicates a commitment to attend and is considered work direction by one’s supervisor (or designee). It is the individual’s responsibility to plan ahead and attend all assigned training, arrive on time, and complete the entire course. Employees must sign the training roster for each class attended so that training attendance is accurately recorded. If an employee is unable to attend an assigned training class as scheduled, they are required to notify the supervisor (or designee) in advance to allow for un-enrollment and rescheduling. Also, employees are responsible for completing all other assigned courses, such as web-based training, prior to the established deadlines.

5.10.1.3

Conference Session Attendance: In certain cases, employees approved to attend a conference may be instructed to attend one or more specific conference sessions to ensure that OCSD obtains certain knowledge.

5.10.1.4

Post-Training or Post-Conference Presentation: Following attendance of a training or conference, employees may be requested by management to share materials or provide a presentation of key information to appropriate colleagues.

5.10.2 Division Responsibilities 5.10.2.1

Training Budget: Divisions are responsible to accurately plan training and development needs during the budget process, administer funds in accordance with what was approved, and reconcile and track training-related expenditures against the division’s training budget.

5.10.2.2

Offsite Training, Webinar, and Conference Registration: Divisions are responsible for coordinating the registration and payment process for approved offsite training, conferences, and webinars.

5.10.2.3

Procurement and Coordination of Onsite Training: Divisions are responsible for the planning, procurement initiation, scheduling, announcement, and coordination of onsite training classes approved during the budget process. The scheduling division is also responsible for class entry in the learning management system and the coordination, close-out, and retention of class rosters.

5.10.2.4

Enrollment: Immediate supervisors (or designees) are responsible for all employee training enrollments in the learning management system. Also, supervisors (or designees) are responsible to ensure that employees are enrolled in and complete all mandatory training.

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5.10.2.5

Attendance: It is the immediate supervisor’s (or designee’s) responsibility to ensure that employees attend all assigned training as scheduled. If an employee is unable to attend a training class, the supervisor (or designee) is responsible for withdrawing the employee in advance and enrolling in another session if needed.

5.10.3 Human Resources and Risk Management Responsibilities

6.0

5.10.3.1

Risk Management and Safety Training: Risk Management is responsible for maintaining an annual training plan to ensure all risk management and safety-related training is scheduled and completed according to established retraining frequencies, managing employee safety training profiles, validating all related course content, and providing instruction on training topics when appropriate. Also, Risk Management is responsible for administering onsite and computer-based risk management and safety-related training programs.

5.10.3.2

Non-Safety Compliance Training: Human Resources is responsible for administering designated non-safety compliance training programs in accordance with retraining frequencies required by law.

5.10.3.3

Organization-Wide Training Programs: Human Resources is also responsible for administering several key organizationwide training programs.

5.10.3.4

Attendance Records: Human Resources and Risk Management are responsible for maintaining employee training files and compliance-related training records in accordance with OCSD’s Records and Information Management (RIM) Program and Policy. Onsite training attendance is tracked through signed training rosters and corresponding records in the learning management system. Offsite training and conference attendance is recorded from the travel and training approval and payment process.

EXCEPTIONS 6.1

Any exceptions to this policy must be approved by Human Resources and the Department Head.

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Budget Training Request Form

8.2

Delegation of Authority Resolution

8.3

Payment Request Voucher E-Form

8.4

Policy 4.3, Tuition Reimbursem*nt

8.5

Policy 4.4, Certification Reimbursem*nt

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8.6

Policy 5.6, Travel

8.7

Purchasing Threshold Guidelines

8.8

Purchasing Threshold Guidelines for Sole Sources

8.9

Sole Source Purchases

8.10

Training Roster (General, Operations)

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Orange County Sanitation District Personnel Policies Subject: RULES OF CONDUCT

Policy Number: 5.1 Effective Date: September 3, 2013 Supersedes:

January 12, 2009

Approved by: General Manager 1.0

PURPOSE 1.1

2.0

The purpose of this policy is to establish uniform guidelines regarding rules of conduct for employees.

ORGANIZATIONAL UNITS AFFECTED 2.1

This policy applies to all employees regardless of their organizational unit.

3.0

DEFINITIONS

4.0

POLICY 4.1

5.0

Reasonable rules of conduct are necessary for the safety and protection of all employees and to ensure the efficient and productive operation of District’s facilities. Such rules are established with the goal of achieving mutual understanding with all employees regarding unacceptable behavior, and should be fairly and equitably administered by all supervisors and managers.

PROCEDURE 5.1

The following items are examples of expected conduct or behavior. An employee who acts in an irresponsible manner with regard to one of the following areas may be subject to discipline, up to and including termination, after consideration of the employee’s past performance, prior discipline, longevity and work history. 5.1.1

Coming to work in a timely manner and not abusing time-off privileges.

5.1.2

Proper completion of individual time records in accordance with established procedures.

5.1.3

Proper notification of supervisors in the event of intended absence or tardiness.

5.1.4

Careful and considerate use of District property.

5.1.5

Observance of all safety and security rules and regulations.

5.1.6

Professional conduct toward other District employees.

5.1.7

Adherence to the District’s Core Values specifically Honesty, Trust and Respect, and Teamwork and Problem Solving.

5.1.8

Adherence to applicable memorandums of understanding and District policies and procedures.

5.1.9

Safeguarding confidential information obtained in connection with employment.

5.1.10 Appropriate correction of unacceptable job performance or practices. Personnel Polices & Procedures Manual Policy 5.1, Rules of Conduct

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5.2

The following items are examples of conduct or behavior which may subject an employee termination without regard to the employee’s past performance, prior discipline, longevity and work history. 5.2.1

Substantiated charges of Sexual Harassment.

5.2.2

Fighting or any violent act endangering the safety of others.

5.2.3

Making false, profane, abusive or malicious statements concerning any employee or officer of the District.

5.2.4

Accepting gifts or favors of more than token value from anyone doing or seeking to do business with the District.

5.2.5

Engaging in any activity which represents a violation of the District’s conflict of interest code.

5.2.6

Intentional falsification of any District records including intentional incorrect time charges on timesheets.

5.2.7

Unauthorized removal of District’s or others' property.

5.2.8

Defacing, destroying or damaging District property or the property of others.

5.2.9

Possession of weapons or explosives on District premises.

5.2.10 Violation of substance abuse policy. 5.2.11 Immoral or indecent conduct, or insubordination, which is defined as refusal or failure to follow the lawful directive of a supervisor or manager or to comply with an established policy or procedure. 5.3

Employees who are convicted of a felony for conduct arising out of or in the performance of duties may be subject to the forfeiture of pension benefits per the California Public Employees' Pension Reform Act of 2013 (PEPRA).

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS 7.1

8.0

The examples of conduct or behavior listed in this policy should not be considered an exhaustive list. Absence of an example of conduct or behavior from this policy will not be the basis for avoiding discipline or termination when the District finds that such an action is warranted

RELATED DOCUMENTS 8.1 OCSD Core Values 8.2 Policy 1.1, Harassment and Discrimination 8.3 Policy 1.3, Workplace Violence & Weapons 8.4 Policy 1.5, Outside Employment & Professional Associations 8.5 Policy 1.8, Conflict of Interest Code & Code of Business Ethics

Personnel Polices & Procedures Manual Policy 5.1, Rules of Conduct

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8.6 Policy 3.1.1, Hours of Work – Non-Exempt Employees 8.7 Policy 3.1.2, Hours of Work – Exempt Employees 8.8 Policy 3.2, Attendance Policy 8.9 Policy 3.3,Leave of Absence with Pay 8.10

Policy 5.18, Use of District’s Property

8.11

Policy 5.20, Substance Abuse

8.12

Safety Policies and Procedures

8.13

California Public Employees' Pension Reform Act of 2013

Personnel Polices & Procedures Manual Policy 5.1, Rules of Conduct

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Orange County Sanitation District Personnel Policies Subject:

1.0

4.0

Supersedes:

June 8, 2011

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: November 14, 2011

PURPOSE 1.1

2.0

DISCIPLINE

Policy Number: 5.2

This policy applies to all current Orange County Sanitation District (OCSD) employees regardless of their organizational unit.

DEFINITIONS 3.1

Discipline is the occurrence of any of the following actions taken for just cause with respect to any employee: verbal reprimand, written reprimand, suspension without pay, reduction in pay, demotion to a classification with a lower maximum rate of pay, or dismissal.

3.2

Dismissal is the separation from OCSD employment of a regular employee initiated by OCSD for just cause.

3.3

Serious Misconduct is performance or conduct connected with an employee’s work that the employee knows or reasonably should have known was unsatisfactory. W hile not an exhaustive list, such performance or conduct may involve behaviors listed in section 5.5 of this policy.

POLICY 4.1

OCSD is committed to supervisory and management practices and procedures which support effective operations in the best interest of OCSD and its employees. Such procedures include the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance. Employment with OCSD is voluntarily entered into, and employees have the right to resign within the guidelines of an employee’s affiliated Memorandum of Understanding and administrative policies to pursue other interests. Similarly, OCSD has the right to conclude an employment relationship for proper cause when it is believed to be in OCSD’s best interests.

4.2

The General Manager is authorized and directed to exercise supervision over all employees and to impose discipline, for just cause, upon any person employed under the provisions of this Policy for unacceptable behavior or performance.

Personnel Policies & Procedures Manual Policy 5.2, Discipline

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5.0

4.3

The General Manager shall establish rules and guidelines pertaining to the procedures governing such actions. The General Manager shall establish Rules of Procedure and Evidence governing post-discipline hearings.

4.4

The General Manager is authorized to delegate his authority herein to the Department Heads, Division Managers, Director of Human Resources and other management and supervisory employees, as the General Manager deems appropriate.

PROCEDURE 5.1

Discipline may occur when any of the following actions are taken for just cause with respect to any employee: verbal reprimand, written reprimand, suspension without pay, reduction in pay, demotion to a classification with a lower pay grade, or dismissal.

5.2

A Notice of Intent to impose disciplinary action is not required when the disciplinary action involves verbal reprimand or written reprimand.

5.3

A Notice of Intent to impose disciplinary action is required and will be given to an employee whenever the disciplinary action involves suspension without pay, reduction in pay, demotion to a classification with a lower pay grade, or dismissal. The Notice of Intent shall be given to the affected employee either by delivery in person or by Certified Mail sent to the employee’s last known address. The Notice of Intent shall indicate the date on which it was personally delivered or deposited in the mail, which shall be the date of issuance.

5.4

The Notice of Intent shall contain the following: 5.4.1 5.4.2 5.4.3 5.4.4 5.4.5 5.4.6 5.4.7 5.4.8

A description of the disciplinary action intended; The effective date of the action; The reason(s) for the proposed action; A copy of the charges and materials upon which the action is based; A statement of the employee’s right to respond, either verbally or in writing to the person initially imposing the discipline, or to an OCSD management representative with authority to make an effective recommendation on the proposed action; The person to whom any response must be directed; The fact that such response must be received within ten (10) business days of the date of issuance of the notice; and Advice of the employee’s right to representation.

5.5

Prior to the effective date of any proposed disciplinary action requiring a Notice of Intent, the employee will be given an opportunity to respond either orally or in writing to a management representative with authority to make an effective recommendation on a proposed action. After review of an employee’s response, OCSD will notify the employee in writing of any action to be taken. Such action may not involve discipline more severe than that described in the Notice of Intent; however, OCSD may reduce discipline without further notice.

5.6

Dismissal shall be preceded by at least one (1) written reprimand, except in those situations in which the employee knows or reasonably should have known that the performance or conduct was unsatisfactory. Such performance or conduct may involve, but is not limited to: dishonesty; possession, use, sale or being under the influence or drugs or alcohol; theft or misappropriation of OCSD’s property or funds; falsification of OCSD’s records; fighting on the job; insubordination; acts endangering people or property; or other serious misconduct. OCSD may substitute a documented suspension without pay for written reprimands.

5.7

If a Notice of Intent is upheld and the disciplinary action is imposed, the employee may request a post-disciplinary hearing. The request must be submitted to the Director of Human Resources, unless otherwise stipulated by an employee’s affiliated bargaining unit Memorandum of Understanding (MOU), within ten (10) business days following the effective

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date of the disciplinary action (for suspensions, the effective date will be the first business day following the final day of the suspension). The Director of Human Resources will schedule a post-disciplinary hearing with the General Manager or a hearing officer selected by the General Manager. The hearing officer selected by the General Manager may not be an employee of the District. The selected hearing officer will provide a written, advisory opinion to the General Manager. The General Manager may uphold the disciplinary action that has been imposed or may reduce such discipline without the issuance of further Notice of Intent. The decision of the General Manager shall be final. 5.8

Disciplinary actions will be recorded in employee performance reviews. Unless otherwise stipulated by an employee’s affiliated bargaining unit MOU, all disciplinary action documentation shall be placed in an employee's personnel file in the Human Resources Department.

5.9

Unless otherwise stipulated in an employee’s affiliated bargaining unit MOU, documentation regarding verbal and written reprimands may be removed from an employee’s personnel file twenty-four (24) months subsequent to the date of issuance, provided that there has been no recurrence of a similar incident during the period. If the Director of Human Resources, or designee, agrees to remove disciplinary action documentation from an employee’s personnel file, such documentation shall be retained in a separate file by the Human Resources Department for the purpose of showing that progressive discipline has been followed or in support of the District’s proposed discipline.

5.10 Verbal reprimands and written reprimands may only be reviewed under this Agreement through the Problem Solving Procedure. 6.0

EXCEPTIONS 6.1 This policy shall not apply to the General Manager, Executive Management Team (EMT) members, new-hire probationary employees, and student interns who serve “at-will” and may be released from employment without cause or recourse to any appeal or grievance procedures. 6.2

7.0

PROVISIONS AND CONDITIONS 7.1

8.0

A reduction in pay or demotion to a classification with a lower pay grade that is not a result of performance deficiencies (for example, a reclassification, “bumping” associated with a layoff, a reasonable accommodation, or a voluntary employment change) shall not be considered discipline.

OCSD may place an employee on administrative leave without prior notice in order to review or investigate allegations of conduct which, in OCSD’s view, would warrant relieving the employee immediately from all work duties. If upon conclusion of the review or investigation, the employee on administrative leave receives a suspension without pay; a maximum of fifteen (15) business days of the administrative leave period may be applied to such suspension without pay.

RELATED DOCUMENTS 8.1

Policy 1.7, “At-W ill” Employment EMT Employment Agreements

8.2

Policy 1.10, Employee Separation

8.3

Exhibit A - Rules of Procedure & Evidence for Post-Disciplinary Hearings

Personnel Policies & Procedures Manual Policy 5.2, Discipline

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Personnel Policies & Procedures Manual EXHIBIT A - Policy 5.2, Discipline

Effective 07/20/09

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Personnel Policies & Procedures Manual EXHIBIT A - Policy 5.2, Discipline

Effective 07/20/09

Orange County Sanitation District Personnel Policies

Policy Number: 5.3 Effective Date: October 22, 1997

SUBJECT: OPERATOR CERTIFICATION, MAINTENANCE AND RENEWAL

Supersedes:

Approved by: General Manager

1.0

PURPOSE 1.1

2.0

The purpose of this policy is to establish uniform guidelines and procedures to ensure that required certification is maintained and/or renewed by Operations personnel and that the District operates its facilities in compliance with Title 23 of the California W ater Code.

ORGANIZATIONAL UNITS AFFECTED 2.1

All District employees whose positions require certification of competence as a Wastewater Treatment Plant Operator issued by the State of California State Water Resources Control Board.

3.0

DEFINITIONS

4.0

POLICY 4.1

4.2

It is the policy of the District to operate its wastewater treatment plant facilities in compliance with state-mandated regulations, and to ensure that employees who are employed to operate said facilities do so in compliance with the certification requirements of said regulations. 4.1.1

Operations Supervisors are to inspect the certification for each of their assigned employees on a quarterly basis as part of that employee’s quarterly and annual reviews. This criteria is considered a part of the supervisor’s goals and objectives.

4.1.2

Maintenance of certification is expected to be an integral part of each employee’s goals and objectives.

4.1.3

Certification upgrade and maintenance may be considered in the Individual Development Plan (IDP) for each certified employee.

An employee who is required to be certified and who fails to maintain or renew certification appropriately will be placed in a “non-certified” employee status. The employee will be prohibited from operating the District’s wastewater treatment plant facilities, until, at the District’s discretion, the individual’s certification is re-instated by the state, and the District is duly notified.

Personnel Policies & Procedures Manual Policy 5.3, Operator Certification Maintenance

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4.3

If an employee fails to maintain or renew his certification or if the employee’s certification is suspended or revoked for any reason, the employee shall immediately notify the Chief Operator of his or her certification status. 4.4.1

At no time shall an employee whose position requires certification operate the District’s wastewater treatment plant facilities without the appropriate certification. An employee who violates this policy is subject to disciplinary action up to and including termination.

5.0

PROCEDURE

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Title 23 of the California Water Code

Personnel Policies & Procedures Manual Policy 5.3, Operator Certification Maintenance

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Orange County Sanitation District Personnel Policies Subject: Employee Participation in Athletic and Recreational Activities on Off-Duty Time

Policy Number: 5.4 Effective Date: June 8, 2011 Supersedes:

Approved by:

December 9. 1998

General Manager

1.0

PURPOSE 1.1 To establish uniform guidelines and rules pertaining to employee participation in athletic and recreational activities on or off District property on off-duty time.

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all District employees.

3.0

DEFINITIONS

4.0

POLICY 4.1 The District does not and shall not endorse or support any organized or unorganized athletic or recreational activities by the District's employees in which they participate during non-working hours.

5.0

PROCEDURE 5.1

Employees participating in athletic and recreational activities during non-working hours, such as, but not limited to, bowling, basketball and softball teams, etc., are deemed to do so outside of the course and scope of their employment with the District, except when expressly authorized in writing. While the use of nicknames (e.g., "Sludge Haulers") that would generically refer to the nature of employees' business are not barred by this policy, no employee or group of employees may arrange for, or participate in any organized activity bearing a team designation such as "Orange County Sanitation District's Employees Team", or similar terminology that would indicate official sanction or support by the District.

5.2

Organization of, and participation in, athletic or recreational activities are prohibited during any work periods for which employees are compensated.

5.3

The District shall not financially contribute or provide equipment and supplies to any employee, or any organization, for athletic or recreational activities, except as authorized by written policy memorandum from the General Manager for a specific activity. No employee shall utilize any District equipment, including but not limited to, computers or copying machines, nor supplies in furtherance of any

Personnel Policies & Procedures Manual Policy 5.4, Participation in Recreational Activities

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organized recreational or athletic activity that may occur during non-work hours, whether such activities are to occur on site or off site. 5.4

Supervisory and management personnel shall not require or coerce any employee to participate, or not participate, in any athletic or recreational activity during off-duty work hours.

5.5

The District's facilities, at the sole discretion of the General Manager, may be made available for employee athletic or recreational use during noncompensated work times. These facilities may include an outdoor basketball court or an unused conference or work room for aerobic training or similar activities.

5.6

Athletic or recreational activities organized by the District's employees to be undertaken during non-duty, non-compensated work periods on District property may be approved by the General Manager, provided that all employees acknowledge that they shall be deemed to be participating solely on their own personal time and at their sole discretion. This can include non-compensated lunch periods.

5.7

Participation in such events shall not be considered as part of the requirements of an employee's job classification, nor shall it be considered an activity to be within the course and scope of the employee's employment. Risk of injury incurred during the participation of such activity shall be solely with the employee. All employees are advised that such injuries, if they should occur, are not compensated by worker's compensation benefits when incurred outside of the course and scope of an individual's employment.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS

8.0

7.1

Notices advising employees that the District is not responsible for off-duty recreational activities will be posted throughout the District.

7.2

Place in OCSD’s Personnel Policies and Procedures Manual and on the Intranet.

RELATED DOCUMENTS 8.1

Labor Code Section 3600(a)(9)

Personnel Policies & Procedures Manual Policy 5.4, Participation in Recreational Activities

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Orange County Sanitation District Personnel Policies

Policy Number: 5.5 Effective Date: November 14, 2011

Subject: MEAL AND REST PERIODS

Supersedes:

October 22, 1997

Approved by: General Manager 1.0

PURPOSE 1.1

2.0

The purpose of this policy is to establish uniform guidelines and procedures for providing employees with time off for meals and rest periods.

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

5.0

6.0

PROCEDURE 5.1

Meal Periods: Unless otherwise stipulated by an employee’s affiliated bargaining unit Memorandum of Understanding (MOU), OCSD shall provide employees with an uncompensated meal break for each workday of at least five (5) hours. The meal break may be either thirty (30) or sixty (60) minutes at the discretion of division/department management.

5.2

Rest Periods: Unless otherwise stipulated by an employee’s affiliated bargaining unit MOU, OCSD shall provide employees with (2) 10-minute uncompensated rest periods for an 8-hour, 9-hour, or 10-hour workday. Employees will receive three (3) 10-minute rest periods for a 12-hour workday.

EXCEPTIONS 6.1

7.0

It is the District’s policy to provide employees with time off for meal periods and rest periods in accordance with the procedures of this policy.

Treatment plant operators are compensated at their regular rate of pay during their meal period.

PROVISIONS AND CONDITIONS 7.1

Meal and rest periods are intended to provide employees with time for relaxation from work during the workday, and may not be avoided or accrued for the purpose of obtaining additional time off or shortening the regular workday.

Personnel Policies & Procedures Manual Policy 5.5, Meal & Rest Periods

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Orange County Sanitation District Personnel Policies Subject: TRAVEL

1.0

November 14, 2011

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures pertaining to off-site travel for job-related meetings and training functions.

This policy applies to all Orange County Sanitation District (OCSD) employees.

POLICY 3.1

4.0

Supersedes:

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: September 23, 2015

PURPOSE 1.1

2.0

Policy Number: 5.6

It is OCSD’s policy to reimburse employees for pre-approved travel and business expenses in accordance with the procedures of this policy.

PROCEDURE 4.1

GENERAL INFORMATION 4.1.1

OCSD will reimburse employees for reasonable travel expenses incurred in the course of representing OCSD at job-related meetings or training functions provided that approval is obtained in advance.

4.1.2

Employees are to exercise every effort to minimize meeting and training travel expenses by utilizing the least expensive method of travel. Employees should work with their division’s travel arrangers (designated clerical staff who utilize the services of OCSD’s travel agent) to compare and obtain the best pricing for travel arrangements.

4.1.3

Travel arrangements shall be made as far in advance as possible to take advantage of discounted or reduced fares and rates.

4.1.4

Related documents and forms are listed in section 7.0. The forms associated with this policy are accessible through the OCSD Intranet, MyOCSD.

4.1.5

In determining whether a function shall be considered a meeting or a training function, determine how the majority of time is spent during the function. If the majority of time is spent in an issue-resolution or project-focused atmosphere, the function shall be considered a meeting. If the majority of time is spent learning new skills, then the function shall be considered training.

Personnel Policies & Procedures Manual Policy 5.6, Travel Policy

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4.1.6

Any use of OCSD training funds must be pre-authorized prior to training. Training and related travel arrangements made without pre-approval will not be reimbursed.

4.1.7

Travel Approval – Any travel involving airfare, overnight stays, or multiple day attendance must be approved by management in advance using the Travel PreApproval electronic form available on MyOCSD. For other requests, the procedures for obtaining approval to attend off-site meetings or training functions shall be established within each department/ division. The Travel Authorization Request form can be used to facilitate this approval process and is accessible through MyOCSD.

4.1.8

Business travel expenses incurred in excess of those described in this policy are not reimbursable. For example, if employees choose to drive instead of fly from Los Angeles to Phoenix, the total reimbursem*nt will not exceed the amount that would have been incurred had air travel been used (e.g., mileage, lodging and meal expense reimbursem*nts resulting from car travel cannot exceed the amount that would have been required if air travel had been used).

4.1.9

Employees will be responsible for repaying OCSD for any expenses paid on their behalf by OCSD that are subsequently determined to be excessive.

4.1.10 OCSD’s reimbursem*nt plan has been developed to be considered an “accountable plan” by the IRS. The plan includes a combination of reimbursem*nts based upon receipts and a “per diem” component approved by the IRS. You should check with your income tax preparer if you have any questions. 4.2

REIMBURsem*nT 4.2.1

A Travel Reimbursem*nt form shall be completed if any eligible out-of-pocket expenses have been incurred. In addition, the employee shall attach a single document with scanned images of original receipts that are applicable such as airfare itinerary, detailed hotel receipt, rental car contract and receipt, etc. Receipts are not required for authorized meals.

4.2.2

A Travel Reimbursem*nt form shall be completed and submitted no later than two (2) weeks after the travel has concluded.

4.2.3

Receipts are required for all reimbursable expenses except meals regardless of the dollar amount. If a receipt is missing, a lost/unavailable receipts memo must be prepared detailing the date, the expense and the amount of the missing receipt. The memo must be signed by the Department Head and attached to the Travel Reimbursem*nt package. See section 4.7 for meals.

4.2.4

The approval level required on the Travel Reimbursem*nt form is based on total expenses incurred. Employees cannot approve their own travel expenses. The Travel Reimbursem*nt form is configured to route to the next step automatically throughout the approval process.

4.2.5

The designated department/division travel arranger is responsible for auditing and signing the Travel Reimbursem*nt form. They shall also ensure that all applicable forms and receipts are prepared and attached.

Personnel Policies & Procedures Manual Policy 5.6, Travel Policy

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4.3

4.4

LODGING 4.3.1

Lodging shall be in a hotel, motel or lodge. Hotel/motel rooms shall be standard, single occupancy. The employee shall pay lodging expenses directly. Direct billings to OCSD for employee lodging will not be accepted unless the circ*mstances are unavoidable and written authorization from the General Manager’s Office is obtained in advance.

4.3.2

Meals or other reimbursable charges on the hotel bill will be applied towards, and must not exceed, the daily reimbursem*nt maximum.

4.3.3

Overnight stays may be allowed for meetings or training functions lasting more than one day in OCSD’s general geographical area (Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties) when the travel time is significant. Such matters will be determined on a case-bycase basis and at the discretion of the appropriate supervisor, manager or department head.

4.3.4

Making Reservations - Employees make their own lodging reservations via phone or Internet and may compare prices with OCSD’s travel agent through their division’s travel arranger. When making hotel reservations, always ask for the lowest available rate the hotel is offering (e.g., government, season special), which may be lower than the convention/conference rate.

4.3.5

Canceling Reservations - A traveler canceling the reservation shall do so according to the hotel’s policy in order to avoid charges. OCSD does not reimburse for non-canceled reservations, early departure, or late cancelation charges unless approved by the Department Head via an “Exceptions-Unauthorized Expenditures” memo.

GROUND TRANSPORTATION 4.4.1

Employees shall select the most economical, practical means of ground transportation that is appropriate for the particular site.

4.4.2

Mileage reimbursem*nt for personal auto usage while on OCSD business will be calculated per the current Internal Revenue Service (IRS) guidelines. This rate is updated periodically.

4.4.3

Automobile mileage is reimbursable if an employee is required to use a personal vehicle for travel within OCSD’s general geographical area, which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial, and Kern Counties. Mileage is based upon the following: 4.4.3.1 If an employee drives round-trip from their residence to a meeting or training function on a work day, the round-trip mileage the employee would have driven from his/her residence to work must be subtracted from the round-trip mileage to the event. Any excess mileage is reimbursable to the employee at the current IRS approved rate. 4.4.3.2 If an employee drives round-trip from work to a meeting or training function, the round-trip mileage from OCSD to the event is reimbursable at the current IRS approved rate.

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4.5

4.4.4

OCSD shall pay local transportation costs from the employee’s residence to the departure airport and from the departure airport to the employee’s residence. Local transportation to and from a departing airport shall be by bus, shuttle or taxi. If the employee uses his/her personal vehicle, then mileage is reimbursable at the current IRS approved rate.

4.4.5

The reimbursable mileage for air travel departures is the mileage between the last stop (e.g., OCSD or employee’s residence) and the terminal. The reimbursable mileage for air travel arrivals is the mileage between the terminal and the first stop (e.g., OCSD or employee’s residence).

4.4.6

Parking at the departure airport is reimbursable with receipts.

4.4.7

Round-trip mileage expenses are reimbursable when family chauffeuring is the most economical alternative.

4.4.8

OCSD vehicles may be used to transport business guests.

4.4.9

Travel while at the local destination may be by shuttle, bus or taxi, as needed. A rental car may be allowed when it is more economical.

AUTO RENTALS 4.5.1

Rental Car Reservations - Employees shall utilize either OCSD’s designated travel agency or the Internet, whichever is more cost effective, to secure rental car reservations. Internet reservations may require employees to charge their personal credit card. Employees will be reimbursed for pre-approved reservations made on their personal credit card after they submit a detailed receipt of the charges. Reservations made through the Internet require a written statement from the employee detailing the cost savings.

4.5.2

Rented autos shall only be used when no other means of transportation is economically feasible. Use of airport or hotel shuttles is encouraged.

4.5.3

Class Size - Intermediate or standard model, mid-size car (Class C), or the smallest size compatible with the specific need, are to be used. Exceptions shall be explained on an “Exceptions-Unauthorized Expenditures” memo signed by the Department Head. The original copy of the car rental contract and receipt must be attached to the “Travel Reimbursem*nt” form.

4.5.4

Insurance – OCSD is insured or self-insured for damage to rental cars used on company business. ONLY the “Loss Damage Waiver Fee” is to be accepted and is reimbursable. Any additional insurance purchased for the rental car is not reimbursable.

4.5.5

Rental Contract - When completing the rental agency contract, sign for OCSD, not as an individual (i.e., Orange County Sanitation District, CA, by [your name]).

4.5.6

Gas Surcharge – OCSD will not pay fuel surcharges.

4.5.7

Damage - In the event of damage to rental cars, all details of the event reported to the police and/or the rental firm shall also be provided to OCSD’s Risk Management Division or your immediate supervisor no later than the next business day.

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4.6

AIR TRAVEL 4.6.1

Airline Reservations – Employees shall utilize OCSD’s designated travel agency or the Internet, whichever is more cost effective, to secure airline reservations. Internet reservations may require employees to charge their personal credit card. Employees will be reimbursed for pre-approved reservations made on their personal credit card after they submit a detailed receipt of the charges.

4.6.2

Frequent Flyer Miles - Employees who belong to frequent flyer programs are entitled to personally use all bonuses accrued by them on company business. Under no circ*mstances, however, may employees purchase more expensive tickets in order to accumulate frequent flier mileage or upgrade the class of service. First or Business Class upgrades may be used as long as the original ticket still represents the lowest practical airfare.

4.6.3

Baggage Fees – OCSD will not reimburse for excess baggage fees if not related to company business. This includes sporting equipment. In cases where the airline charges for every checked bag, an employee will be reimbursed the fee paid for one checked bag.

4.6.4

Alternative Airports - Alternative airports within close proximity (Los Angeles, Long Beach, and Ontario) shall be used if the savings exceed $150.

4.6.5

Lost or Unused Tickets/Ticket Changes – Once an employee accepts an airline ticket on behalf of OCSD, he or she is responsible for it. If the employee loses his/her ticket, the employee must incur any related fees. Unless directed by OCSD management, an employee who fails to use or changes an airline ticket for his/her convenience shall incur any related fees. It is the employee’s responsibility to contact the agency that issued their ticket to find out how to remedy lost, unused or ticket change situations.

4.6.6

Flight Limitations – There shall be no more than four (4) OCSD employees total per flight.

4.6.7

Saturday Night Stay-over – OCSD may require a Saturday night stay- over if the stayover results in significant cost savings to OCSD. In general, it is expected that business meetings that start on Tuesday or end on Thursday will not justify a reimbursem*nt for Saturday night stay-over. Saturday night stay-over expenses are reimbursable only if the sum of the airfare plus the expenses of the additional lodging, meals and incidentals resulting from the stay-over are less than the lowest available airfare without the stay-over.

4.7

4.6.8

Flight Insurance – Flight insurance is not reimbursable.

4.6.9

Private Air Travel – Employees are prohibited from flying in aircraft other than commercial airline flights to conduct OCSD business due to the liability exposure.

MEALS/INCIDENTALS 4.7.1

On overnight stays, or travel beyond the normal work day, OCSD employees are entitled to meal per diem reimbursem*nts per day depending upon the destination. The daily maximum includes amounts for breakfast, lunch, and dinner and an allowance for incidentals. Receipts are not required to receive the meal per diem reimbursem*nt.

4.7.2

Meal per diem reimbursem*nt amounts have been approved by the Board of Directors and comply with the U.S. GSA (General Services Administration) Per Diem Rates found in

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the Code of Federal Regulations 301-11.18. Use of these rates allow OCSD’s reimbursem*nt plan to be considered an “accountable plan” by the IRS. The file containing the daily rates and governing destinations is accessible through MyOCSD. 4.7.3

When a training function or meeting does not involve overnight stay, meal per diem reimbursem*nt received by the employee shall be reported as taxable income and shall not exceed the individual maximums identified by the U.S. GSA Per Diem Rates for the meals that are appropriate for travel times. 4.7.3.1 Employees may exclude meal per diem reimbursem*nt with no overnight stay from taxable income by foregoing the per diem meal reimbursem*nt amount on the Travel Reimbursem*nt form. 4.7.3.2 Meal per diem reimbursem*nt with overnight stay shall be considered non-taxable and is not reported on an employee’s annual W-2.

4.8

4.7.4

Provided Meals - Meal expenses are not reimbursable if furnished as part of the event and included in the registration or if provided by others.

4.7.5

Meals served by airlines are not counted as a full meal. If an airline serves breakfast, for example, an employee remains eligible for the breakfast per diem.

GROUP EXPENSE REIMBURsem*nT 4.8.1

When employees travel in a group, they shall pay their own expenses. If this is not practical, one member of the group may pay. The Travel Reimbursem*nt form shall include: • • •

Names of the individuals for whom the expense has been incurred Department number(s) to be charged Circ*mstances involved

Expenses for meals, etc., cannot exceed individual maximums on an average per employee basis. 4.8.2

4.9

When more than one OCSD employee is present for a business meal, the expense(s) must be reported by the most senior OCSD person. The cost of business meals should be in line with per diem rates.

COMBINING BUSINESS AND PERSONAL TRAVEL 4.9.1

If an employee combines business and personal travel, the personal travel expenses will be paid directly by the employee. For trips in which the primary purpose is personal, OCSD pays only that portion of the trip directly related to business.

4.9.2

Business travel is based on actual business expenses incurred. Therefore, no adjustment is permitted between expense categories (e.g., funding extra airfare expense in exchange for reduced lodging in a private home on a personal side trip).

4.9.3

In general, it is not appropriate for family members to accompany employees on business trips. Any costs incurred on behalf of family members are not reimbursable.

Personnel Policies & Procedures Manual Policy 5.6, Travel Policy

Page 6 of 9

Effective: 09/23/15

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4.10

FOREIGN TRAVEL 4.10.1 Regardless of when expense reports are submitted, the exchange rate for converting foreign currency expenses into U.S. dollars will be the rate in effect at the time the U.S. dollars are converted to foreign currency and supported by receipts.

4.11

TELEPHONE CALLS 4.11.1 Business and personal telephone calls and modem services are reimbursable with receipt. On overnight stays, personal telephone calls will be reimbursed not to exceed $4.25 per day. Employees should use OCSD-provided cellular phones in lieu of other means whenever possible.

4.12

INTERNET USAGE 4.12.1 Subject to manager approval and prior to travel, employees who are issued an OCSD notebook computer must reserve and check out a data card/USB device for access to the internet while traveling. OCSD notebook computers should not be connected to the internet using hotel Wi-Fi networks. 4.12.2 The data card/USB device must be reserved electronically by sending an Outlook Meeting Planner to one of the following names: Loaner3Gcare-7146518360 Loaner3GUSB-7142278985 Loaner4GUSB-7146519678 4.12.3 Upon reservation, all laptops must be configured and tested by Information Technology staff. A Service Desk Request for this procedure must be entered by navigating to http://help. 4.12.4 Paid hotel internet must only be used in case of emergency and with prior approval from the employee’s manager. Internet use charges that are not in case of emergency and have not been pre-approved by the employee’s manager are not reimbursable.

4.13

CASH ADVANCE 4.13.1 Cash advances may be requested for overnight stays FOR EMERGENCY PURPOSES ONLY. The minimum request amount per trip is $100. The maximum request amount is $250 per trip. To receive a cash advance, the traveler is required to complete a “Request for Emergency Cash Advance” form, obtain proper signatures and submit the completed form to the Financial Management Division.

4.14

NON-REIMBURSABLE EXPENSES 4.14.1 Expenses that are personal (not directly connected with OCSD business) are not reimbursable unless there are extenuating circ*mstances approved by the General Manager. These include, but are not limited to the following: • Clothing and toiletries • Personal side trips, personal entertainment, and personal trip insurance

Personnel Policies & Procedures Manual Policy 5.6, Travel Policy

Page 7 of 9

Effective: 09/23/15

• • • • • • • • • • 4.15

Fees for use of recreational, health, and gym facilities Home maintenance, babysitting, and pet boarding expenses Personal legal charges and traffic and parking violations Loss or theft of cash, travelers checks, travel tickets and credit cards Loss, theft or damage to personal property such as luggage, auto, and clothing Medical expenses Accident related costs resulting from an employee’s business use of a personal auto Tips exceeding 15% Movies Alcohol

AGENCY/VENDOR-REIMBURSED EXPENSES 4.15.1 When any meeting or training fees are to be reimbursed by an outside agency or vendor, the agency/vendor shall provide a letter to the employee stating exactly which expenditures will be reimbursed. The letter shall accompany the employee’s reimbursem*nt package. The designated travel arranger shall prepare a letter to the agency/vendor listing all expenditures that the agency/vendor has agreed to reimburse and enclose a copy of the agency/vendor authorization letter and copies of all receipts. This letter is copied to the employee and to Accounts Receivable in the Financial Management Division so that the payment can be credited to the proper account.

4.16

REIMBURsem*nT FOR NON-OCSD EMPLOYEES 4.16.1 Occasionally, OCSD requests others to travel either to OCSD properties or on behalf of OCSD. In those instances, the Department Head shall prepare a letter authorizing the travel. After completing the travel, the traveler submits a detailed invoice along with a payment request voucher to Accounts Payable for processing. A copy of the authorization letter shall accompany the payment request voucher.

5.0

6.0

EXCEPTIONS 5.1

Exceptions to the policy shall be indicated on the Travel Reimbursem*nt form. Additionally an Exceptions-Unauthorized Expenditures memo shall be completed, signed by the Department Head and attached to the package.

5.2

Emergency Travel: Employees authorized in advance for emergency travel will be reimbursed for reservations made on their personal credit card after they submit a detailed receipt of all charges.

PROVISIONS AND CONDITIONS 6.1

7.0

Employees shall have Department Head approval in writing before agreeing to appear on a panel or to give a presentation on behalf of OCSD. Failure to do so may preclude attendance.

RELATED DOCUMENTS

Personnel Policies & Procedures Manual Policy 5.7, Solicitation & Distribution

Page 2 of 2

Effective 06/08/11

Orange County Sanitation District Personnel Policies Subject: Wireless/Electronic Communications (WEC)

Policy Number: 5.10 Effective Date: June 19, 2012 Supersedes: Policies 5.8 – 5.17 Approved by: General Manager

1.0

PURPOSE 1.1.

2.0

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

This policy establishes acceptable and unacceptable use guidelines and procedures for Wireless/Electronic Communications, which is referred to hereinafter as “WEC”.

This policy applies to all individuals who utilize OCSD WEC devices or equipment and individuals who utilize personal WEC devices or equipment to perform OCSD business.

DEFINITIONS 3.1

Antimalware – Frequently updated software that provides protection against viruses, Trojans, worms and similar infectious agents.

3.2

Blog – a website that contains an online personal journal with reflections, comments, and often hyperlinks provided by the writer.

3.3

California Public Records Act (CPRA) requires inspection and/or disclosure of governmental records to the public upon request unless exempted by law. Examples of items that may be exempted from the law include but are not limited to: 3.3.1 3.3.2 3.3.3 3.3.4 3.3.5 3.3.6 3.3.7 3.3.8

Files pertaining to data that would constitute an unwarranted invasion of personal privacy if disclosed; Pre-decisional, deliberative communications which are not retained in the ordinary course of business; Documents pertaining to pending litigation to which the organization is a party; Examination data; Records exempted or prohibited from disclosure pursuant to federal or state law; Employee relations information; Attorney-client privileged information; and Homeland Security data.

3.4

Confidential Information is only intended for recipients with a business need-to-know because of the sensitive nature and may include but is not limited to personal content such as medical, recruitment, disciplinary, and performance information; attorney-client privileged communications; and protected information, as defined herein. Unless exempted by law, some types of confidential information may be subject to legal inspection and/or disclosure requirements.

3.5

Computer hygiene is the safe and secure operation of computer resources that includes the deployment and use of tools such as firewalls and antimalware and the regular patching of the operating system and applications.

Personnel Policies & Procedures Manual Page 1 of 12 Policy 5.10, Wireless/Electronic Communications (WEC)

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3.6

3.7

Electronic Communications Privacy Act (ECPA) of 1986 is a Federal law that restricts electronic surveillance of employees by employers except in limited situations such as monitoring business-related phone calls, monitoring communications when there has been employee consent and retrieving and accessing stored WEC messages.

3.8

Electronic Snooping – The act of accessing or attempting to access, by any means, any computer file or other information for which an individual is not authorized to access.

3.9

Encryption – The coding or scrambling, using sophisticated techniques, of information to prevent third parties from “reading” it.

3.10

End User – the ultimate user of any particular program, application or service.

3.11

Exempt Employees - Employees who are not subject to the minimum wage and overtime provisions of the Fair Labor Standards Act.

3.12

Non-exempt Employees - Employees who are subject to the minimum wage and overtime provisions of the Fair Labor Standards Act.

3.13

Intellectual Property - Refers to a number of types of creations such as books, movies, songs and software. Intellectual property is protected by a body of law collectively referred to as copyright law.

3.14

Malware – A generic name for malicious software such as a virus, worm, Trojan or other infectious agent.

3.15

Network – The collective name for equipment and devices that interchange information using a common medium.

3.16

OCSD Policies, Procedures & Standards include the policies and procedures included in OCSD’s Personnel Policies & Procedures Manual and OCSD’s Core Values.

3.17

OCSD Vehicles - include, but are not limited to, all OCSD-owned cars, trucks, vans, carts, bicycles, and special motorized equipment.

3.18

Personal Use Plan – A supplemental, optional and voluntary private use plan that eligible OCSD-issued mobile/cellular phone users may add to OCSD’s mobile/cellular phone plan. The plan is provided at a cost based on features selected and requires preapproval.

3.19

Personal Wireless/Electronic Communications (WEC) Devices or Equipment – are privately-owned, non-OCSD WEC devices and equipment.

3.20

Podcast – an audio file typically containing voice, music or other audible sounds made available in digital format for download from the Internet.

3.21

Protected information includes but is not limited to data that could be utilized to attack, compromise, incapacitate or harm a critical OCSD asset; content regarding assessments or estimates of OCSD vulnerabilities; and details, plans or drawings about past operational problems, incapacitations, solutions, repairs and recovery.

3.22

Remote Access – The authorized act of accessing OCSD’s computer resources/network (which includes OCSD’s email system) from a location external to OCSD facilities or via a portable WEC device.

Personnel Policies & Procedures Manual Page 2 of 12 Policy 5.10, Wireless/Electronic Communications (WEC)

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3.23

Social Media – various forms of discussion and information sharing including social networks, blogs, video sharing, podcasts, wikis, message boards, and online forums.

3.24

Software – A set of related computer programs, procedures, and documentation.

3.25

Wi-Fi – short for “Wireless Fidelity,” Wi-Fi refers to wireless networking technology that allows computers and other electronic wireless devices to communicate over a wireless signal.

3.26

Wiki – a website that allows visitors to make changes, corrections or contributions.

3.27

Wireless Access Point – a device that allows wireless devices to connect to a wired network.

3.28

Wireless/Electronic Communications (WEC) – pertains to the act of corresponding by way of a computer, phone, smartphone, computer tablet or any other similar device or equipment to exchange information through various means including, but not limited to; the Internet, voice messages, email messages, online chat rooms, instant messaging, texting, social networking, social media sites, document attachments, Wi-Fi or any other type of communication.

3.29

Wireless/Electronic Communications (WEC) Devices & Equipment - consist of the tools individuals utilize to engage in WEC and include the following: 3.29.1 Computers, including, but not limited to, desktop personal computers, laptops, tablet computers, smart devices, and any other device that may act as a computer. 3.29.2 Phones, including, but not limited to, landline telephones; mobile phones, such as cellular phones, personal digital devices, or smart devices; and any other device that may act as a phone. 3.29.3 Wireless routers, which function as wireless access points and/or network switches; commonly used to allow access to the Internet or a computer. 3.29.4 Compact wireless routers, including, but not limited to, USB cellular modems, data cards, and Mi-fis (stands for “My Wi-Fi”) that act as mobile Wi-Fi hotspots and can be connected to WEC devices and equipment for Internet access.

3.30

4.0

Wireless/Electronic Communications (WEC) Messages – consist of exchanges transmitted using WEC devices and equipment, including, but not limited to; the Internet, voice, picture and video messages, email messages, online chat rooms, instant messaging, texting, social networking, social media sites, document attachments, or any similar type of communication.

POLICY 4.1

Individuals have no right to privacy when using OCSD WEC devices or equipment, which includes but is not limited to Internet sites visited, downloads, and messages produced, sent, received or transmitted via OCSD’s servers or networks.

4.2

OCSD WEC accounts may be controlled by the use of a password; however, the existence of a password does not mean that there is any expectation of privacy and users must disclose their passwords to OCSD upon request.

Personnel Policies & Procedures Manual Page 3 of 12 Policy 5.10, Wireless/Electronic Communications (WEC)

Effective: June 19, 2012

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4.3

Except for the exclusions noted in this policy (see Exceptions), all communications transmitted or stored on OCSD WEC devices or equipment is subject to monitoring at OCSD’s discretion, for any reason, including but not limited to, the promotion of OCSD, its business and its policies. OCSD WEC devices and equipment are subject to monitoring or recording in accordance with the ECPA (Electronic Communications Privacy Act) of 1986.

4.4

OCSD WEC devices and equipment are provided to individuals on an “as needed” basis, as authorized by management, for the purpose of conducting OCSD business. Use of these devices is subject to revocation at management’s discretion.

4.5

Non-exempt employees are only authorized to utilize OCSD WEC devices or equipment during approved work hours; the use of OCSD WEC devices or equipment by nonexempt employees during non-approved work hours or while off duty is prohibited.

4.6

OCSD WEC devices and equipment are the exclusive property of OCSD.

4.7

Communications created, stored, received or distributed using OCSD WEC devices or equipment may be considered a public record that is subject to records retention and disclosure requirements as set forth in the California Public Records Act. Individuals using OCSD WEC devices or equipment must comply with applicable laws regarding public records and be aware of and adhere to OCSD’s records retention policies and schedules, where applicable.

4.8

General Expectations 4.8.1

Acceptable Use 4.8.1.1 Individuals must always conduct WEC in a professional and courteous manner and in accordance with OCSD Policies, Procedures and Standards. 4.8.1.2 Employees may access the Internet using OCSD WEC devices and equipment for non-business reasons during their scheduled meal break, rest periods, and before or following work time as authorized by management provided that such use complies with applicable state and federal laws, OCSD Policies, Procedures and Standards, and does not interfere with other staff using the Internet to conduct OCSD business; use by employees during other occasions is prohibited. 4.8.1.3 Employees are permitted to use OCSD WEC devices and equipment on a minimal and infrequent basis or in emergency situations for personal reasons; however, such use must not interfere with productivity, increase costs to OCSD, or violate OCSD Policies, Procedures and Standards. In such cases, individuals may be required to pay personal use costs. Use by employees during other occasions is prohibited. 4.8.1.4 Employees are permitted to use personal WEC devices and equipment for personal reasons during work hours on a minimal and infrequent basis or in emergency situations; however, such use must not interfere with productivity or violate OCSD Policies, Procedures and Standards. Use by employees during other occasions is prohibited.

Personnel Policies & Procedures Manual Page 4 of 12 Policy 5.10, Wireless/Electronic Communications (WEC)

Effective: June 19, 2012

4.8.2

Unacceptable Use 4.8.2.1 Individuals are strictly prohibited from using OCSD WEC devices or equipment to disclose confidential or protected information without prior management authorization; or to create, receive, store, distribute, or display defamatory, derogatory, disrespectful, obscene, offensive, racial, sexually explicit, sexually suggestive, violent, harassing or discriminatory content or any other content that may be reasonably perceived as unprofessional or inappropriate. 4.8.2.1.1

Examples of prohibited content include but are not limited to sexually explicit or suggestive images, messages, or cartoons; and content, including jokes and humor, that contains ethnic slurs, racial epithets, or anything that may be construed as harassment or disparagement by others based on their race, national origin, color, sex, sexual orientation, age, disability, religious or political beliefs, and/or any other legally protected basis.

4.8.2.2 Individuals are prohibited from the use or disclosure, through any means, of any information, photograph, video or other recording obtained or accessible as a result of employment with OCSD for financial or personal gain, or any other personal use or disclosure of such materials without management authorization. 4.8.2.3 Unless the individual is engaging in certain concerted labor-related activities or other constitutionally protected activities, WEC devices or equipment may not be used to solicit or persuade others for commercial ventures, religious or political causes, outside organizations, outside employment, or other similar non-job-related reasons except as authorized by OCSD (e.g., the online “for sale” bulletin board). 4.9

Communications 4.9.1

Only individuals authorized by OCSD management may communicate on OCSD’s behalf with the public. Such communications must comply with OCSD Policies, Procedures and Standards.

4.9.2

Individuals are prohibited from using OCSD WEC to send information “OCSDwide” or to “all employees” without prior management authorization.

4.9.3

Individuals shall exercise care when engaging in OCSD WEC to ensure information is not inadvertently sent to the wrong recipient. In particular, distribution lists may become outdated so individuals are expected to ensure all the distribution list addressees are appropriate recipients of the information.

4.9.4

Confidentiality 4.9.4.1 Only individuals authorized by OCSD management may access confidential or protected information and such access must be based on a legitimate business need. 4.9.4.2 Individuals with authorized access are required to protect the privacy of confidential or protected information and limit access to only recipients who have a legitimate business need-to-know. Disclosure of confidential or protected information for other reasons is prohibited.

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4.9.4.3 Questions about whether information is confidential or protected and who is an authorized recipient of confidential or protected information must be addressed with management. 4.9.5

Media / Press Relations 4.9.5.1 All media or press inquiries whether via phone call, email or other means, must be directed to Public Affairs. 4.9.5.2 Whenever an individual receives a request from the media or press, they must notify the Public Affairs Manager. The individual receiving the call should ask for the contact information, subject matter and the deadline.

4.9.6

Social Media 4.9.6.1 Personal blogging or social media use such as Facebook, MySpace, or Twitter is prohibited during working hours using OCSD WEC devices or equipment. 4.9.6.2 Use of business related social media such as LinkedIn or a “Members Only” site maintained by an OCSD-approved professional organization may be permitted if limited to a professional rather than personal nature and kept short in duration in terms of time accessed. 4.9.6.3 Employees may not attribute personal statements, opinions, or beliefs to the OCSD when engaging in personal blogging or social media and must specify that all comments posted are those of the employee and not OCSD’s. 4.9.6.4 Employees are prohibited from posting any material that would constitute unlawful discrimination or harassment or material that is known to be false. 4.9.6.5 Employees are prohibited from posting material that is disruptive to the workplace or impairs OCSD’s mission and is not a matter of public concern. 4.9.6.5.1

Matters of public concern are those matters of interest to the community as a whole, whether for social, political or other reasons.

4.9.6.5.2

Employees have a statutory right to express opinions on matters of public concern to state or local officials regardless of the impact on the workplace. 4.9.6.5.2.1 Examples of local issues of general or public concern include the budget, spending priorities, any mater scheduled for a public hearing, illegal discrimination, official corruption, official impropriety, malfeasance on the part of government officials, misuse of public funds, waste of public funds, fraud, abuse or gross mismanagement, inefficiency in managing and operating government agencies, violations of law, local election or public safety.

Personnel Policies & Procedures Manual Page 6 of 12 Policy 5.10, Wireless/Electronic Communications (WEC)

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4.9.6.5.2.2 Examples of state or national issues of general public concern include election campaigns, elected officials, legislation, national security, budgets, foreign policy, or any topic of broad public interest or debate. 4.10

Safety/Security 4.10.1 Individuals must act in a safe manner and in accordance with applicable laws and ordinances regarding the use of OCSD WEC devices or equipment. 4.10.2 Security is everyone’s responsibility. Individuals are expected to protect OCSD WEC devices and equipment from loss or damage. Lost or damaged OCSD WEC devices or equipment are to be reported immediately to management and Information Technology. 4.10.3 Individuals are expected to protect all OCSD-related information stored on OCSD WEC devices and equipment. 4.10.4 Any suspicious activities, threats or anomalies involving OCSD WEC must be immediately reported to management and Information Technology. 4.10.5 Individuals with knowledge of an illegal activity or an OCSD Policy, Procedure or Standard violation regarding OCSD WEC are required to report the matter immediately to management. 4.10.6 Individuals must notify Information Technology immediately if malware is detected while using OCSD WEC. All work on that device must be stopped until Information Technology investigates and issues a clearance. 4.10.7 OCSD reserves the right to access, disclose or delete content created, stored, received, or distributed using OCSD WEC unless prohibited by law. 4.10.7.1 Individuals are discouraged from storing personal files and data on OCSD WEC devices or equipment because the information may be deleted due to operational or security considerations. 4.10.8 If directed by management or required by law, OCSD WEC devices or equipment must be surrendered immediately for any pending or anticipated litigation or investigation or any other related reasons. 4.10.9 Individuals are prohibited from: 4.10.9.1 Accessing or attempting to access any suspicious web site, forwarding questionable emails, or any similar action using OCSD WEC that may pose a security risk to OCSD. 4.10.9.2 Tampering with OCSD WEC devices or equipment. This includes, but is not limited to, modifying connections and changing any security/system-related settings. 4.10.9.3 Using any method to disguise login identity or actions performed on an OCSD WEC device or equipment. 4.10.9.4 Engaging in electronic snooping of any type.

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4.10.9.5 Deleting, intentionally hiding or renaming any files or data that pertain to pending or anticipated litigation or investigation. 4.10.9.6 Interfering with the antimalware software unless authorized by Information Technology. In the event such directives are issued, it is Information Technology’s responsibility to re-enable/re-configure the antimalware. 4.10.9.7 Installing or using software which provides encryption or wipes programs, personal firewalls, or similar products unless authorized by Information Technology management. 4.10.9.8 Deliberately using OCSD WEC to circulate or introduce a virus, Trojan horse, trap-door program, or any other malware. 4.11

Accounts/Passwords 4.11.1 In accordance with business needs, individuals may be assigned OCSD WEC devices or equipment that requires an account and password. Individuals are required to maintain and protect the privacy of passwords. 4.11.2 Individuals shall not share passwords unless directed by management in the case of an emergency. In such cases, passwords are to be transmitted orally, via voicemail or in-person only and changed immediately thereafter. 4.11.3 Passwords, depending on their use, must meet the Information Technology Standard regarding Accounts and Passwords, which is accessible on OCSD’s Information Technology intranet site. Exceptions can be granted by Information Technology if the WEC device or equipment in question cannot meet the Standard’s requirements. 4.11.4 If a user’s password is compromised, the password must be changed immediately and the incident reported to Information Technology. 4.11.5 Where possible, OCSD WEC devices and equipment are automatically configured to lock after a predetermined time. Applications determined by Information Technology management to be negatively impacted by this activity will be exempt. Under no circ*mstances shall this automated feature be intentionally modified by an end user. 4.11.6 Individuals are prohibited from: 4.11.6.1 Using an account that was assigned to another individual to transmit information except in extenuating circ*mstances for business purposes. The individual’s password must be changed thereafter as soon as possible. 4.11.6.2 Allowing a password to be automatically saved for an OCSD network account. OCSD WEC devices or equipment connecting to OCSD’s computer resources/network must be configured so that the networking password must be entered immediately prior to each connection.

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4.12

Intellectual Property 4.12.1 Individuals are expected to strictly comply with copyright law and are prohibited from: 4.12.1.1 Downloading or distributing pirated software, data, movies, music or games. 4.12.1.2 Posting material that is copyrighted by a party other than OCSD. 4.12.1.3 Copying software distribution media unless authorized by Information Technology management. 4.12.2 All copyrighted information used as reference material must contain a credit statement acknowledging the source. 4.12.3 Installation of copyrighted software is authorized only on the OCSD WEC devices or equipment for which it was purchased and intended. 4.12.4 Individuals are expected to maintain the confidentiality of all OCSD and contractor-authored software unless otherwise directed by management. 4.12.5 Only OCSD-purchased copyrighted material may be stored on OCSD’s network.

4.13

Use of Personal Devices 4.13.1 Individuals are prohibited from connecting personal WEC devices and equipment or hardware to OCSD’s computer resources/network without management and Information Technology approval. Hardware includes, but is not limited to, thumb drives, memory cards, disk drives, wireless access points, portable music devices, digital audio and/or video cameras; and any other similar device. 4.13.2 Employees are prohibited from using personal WEC devices or equipment to conduct personal business during work hours except during authorized breaks and meal periods, on a minimal or infrequent basis, or in emergency situations. Such use shall not interfere with productivity or violate OCSD Policies, Procedures and Standards. 4.13.3 The use of a personal WEC device or equipment for OCSD business communications is strictly voluntary because OCSD-provided devices and equipment are available for conducting OCSD business communications. If OCSD business is conducted using a personal WEC device, records created may be subject to the Public Records Act. 4.13.3.1 Nonexempt employees are prohibited from using any type of WEC device or equipment to conduct OCSD business communications while off duty because such use inhibits OCSD’s ability to manage work hours. There are no limited hours for exempt employee use.

4.14

Cameras/Recorders 4.14.1 The use of cameras or recorders, including those on personal WEC devices or equipment, to take photographs or videos for OCSD business purposes requires prior management approval unless extenuating circ*mstances prevent advance authorization. In such instances, management notification must be provided as

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soon as possible. The taking of photographs or videos for other purposes is prohibited unless advance management authorization has been obtained. 4.15

Remote Access 4.15.1 Remote access may only be utilized by authorized individuals for the purpose of conducting OCSD business; other purposes are prohibited. Remote access may be disabled at any time by management. 4.15.2 Nonexempt employees are generally prohibited from using any type of remote access because such use inhibits OCSD’s ability to manage work hours. The exception would be the use of remote access while attending overnight training functions. Such use is limited to assigned work hours and requires advance management and Information Technology approval; use while off duty is prohibited. 4.15.3 When using remote access, individuals are required to practice good computer hygiene and to physically secure the device or equipment when not in use. 4.15.4 Exempt employees can remotely access their assigned OCSD email account using an OCSD-approved Internet application (currently Outlook Web App). Instructions for use can be obtained from the Information Technology Division. 4.15.5 Exempt employees may request that their personal WEC device or equipment be configured to access their OCSD assigned email (currently through Exchange ActiveSync) or OCSD’s computer resources/network. Such requests are strictly voluntary because OCSD does not require employees to use personal WEC devices or equipment to conduct OCSD business. 4.15.5.1 Such requests require the completion of a Network and Email Sync Connection Request form. This form explains the voluntary nature of personal WEC device or equipment use and explains that such devices or equipment may be subject to remote wiping when security configurations are applied; must comply with OCSD Information Technology security requirements; and OCSD will not be responsible for any loss, problems or costs incurred as a result of such use. 4.15.5.2 Each request requires management and Information Technology approval and will be reviewed on a case-by-case basis to determine the most suitable means of access for the circ*mstance to maintain OCSD safety/security. 4.15.6 Due to the potential for interfering with OCSD equipment, the use of non-OCSD Wi-Fi or wireless access point must be coordinated through Information Technology.

4.16

Other Devices 4.16.1 This policy also applies to pagers, two-way radios, public announcement systems, and any other system or device that allows individuals to communicate with each other.

4.17

Personal Use Plan 4.17.1 With management and Information Technology approval, individuals who are issued OCSD WEC devices or equipment may add a Personal Use Plan, as

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applicable, to supplement OCSD’s usage plan. In such cases, individuals will be responsible for paying all personal use costs, unless pre-authorized by management and Information Technology. 5.0

6.0

7.0

PROCEDURES 5.1

Management must authorize the access and use of Internet email and browsing through the Internet Email and Browsing Request form.

5.2

In order to use personal WEC devices or equipment to remotely access OCSD’s computer resources/network and/or mail service, eligible individuals must obtain management approval and complete a Network and Email Sync Connection Request form.

5.3

In order to use an OCSD-issued mobile phone, eligible employees must complete a Request for Mobile Phone form and obtain necessary approvals. Using that form, employees may also add a Personal Use Plan to the OCSD mobile phone plan.

5.4

When an individual is separated from OCSD employment, it is the responsibility of OCSD management to ensure that OCSD WEC devices and equipment are returned, access is terminated, and all files are retained.

5.5

Individuals shall return all tangible forms of confidential or protected information to OCSD upon termination of employment or upon OCSD’s request.

EXCEPTIONS 6.1

Any exceptions to this policy must be authorized by the General Manager or designee and/or Information Technology management.

6.2

Personal information that is transmitted or stored as part of a Personal Use Plan on an OCSD WEC device or equipment may be considered private and may not be subject to monitoring.

PROVISIONS & CONDITIONS 7.1

8.0

Employees may be subject to discipline, up to and including termination, for failing to adhere to this policy or any other OCSD Policies, Procedures or Standards.

RELATED DOCUMENTS 8.1

Federal & State Copyright Laws

8.2

California Public Records Act (Cal. Gov't Code § 6252(e))

8.3

California Vehicle Code

8.4

Computer Security Act of 1987 (Public Law 100-235)

8.5

Electronic Communications Privacy Act of 1986

8.6

Internet Email/Browsing Request and Agreement to Abide by OCSD Policy

8.7

Network/Email Sync Connection Request and Agreement to Abide by OCSD Policy

8.8

OCSD’s records retention policies and schedules

Personnel Policies & Procedures Manual Page 11 of 12 Policy 5.10, Wireless/Electronic Communications (WEC)

Effective: June 19, 2012

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8.9

Information Technology Standard: Accounts and Passwords

8.10

Policy 5.1, Rules of Conduct

8.11

Policy 5.7, Solicitation & Distribution

8.12

Policy 5.19, Vehicle Usage

8.13

Request for Mobile Phone and Agreement to Abide by OCSD Policy

8.14

Unified Communications, Social Media and Logo Items, GM-POL-001

Personnel Policies & Procedures Manual Page 12 of 12 Policy 5.10, Wireless/Electronic Communications (WEC)

Effective: June 19, 2012

Orange County Sanitation District Personnel Policies Subject: USE OF DISTRICT PROPERTY

1.0

October 22, 1997

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures for the administration, use and disposition of District property.

This policy applies to all employees regardless of their organizational unit.

DEFINITIONS 3.1

4.0

Supersedes:

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: February 26, 2003

PURPOSE 1.1

2.0

Policy Number: 5.18

District Property, for purposes of this policy, District property includes, but is not limited to: keys, credit cards, scientific equipment, calculators, records, books, cellular phones, District-owned vehicles, office telephones, pagers, radios, journals, office equipment and supplies, computers, printers, copy machines, tools, uniforms, employee orientation materials, and all other real property.

POLICY 4.1

It is District policy to maintain the inventory, control and disposition of all property as defined herein.

4.2

It is District policy that no employee shall use or permit the use of District property for personal convenience or profit.

4.3

It is District policy that no employee shall use or direct another employee to use District paid work time for matters of convenience or profit.

4.4

It is the District policy that no employee shall remove District property from the premises unless the property is necessary to conduct District-related business and prior supervisor approval is obtained.

5.0

PROCEDURE

6.0

EXCEPTIONS 6.1

District property may be removed from the premises if the property is necessary to conduct District-related business by employees while off site. The employee must obtain

Personnel Policies & Procedures Manual Policy 5.18, Use of District Property

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Effective 02/26/03

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supervisor approval prior to removing District property (except for District-issued cellular phones, pagers and/or radios) from the premises. 7.0

PROVISIONS AND CONDITIONS 7.1

8.0

When an employee separates, all items of District property issued to that employee must be returned or properly accounted for.

RELATED DOCUMENTS 8.1

Policy 5.19, Vehicle Usage

Personnel Policies & Procedures Manual Policy 5.18, Use of District Property

Page 2 of 2

Effective 02/26/03

Orange County Sanitation District Personnel Policies Subject: Vehicle Usage

1.0

Supersedes:

June 8, 2011

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures for the administration, utilization, and disposition of Orange County Sanitation District (OCSD) vehicles.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: June 19, 2012

PURPOSE 1.1

2.0

Policy Number: 5.19

This policy applies to individuals who utilize, operate or drive OCSD vehicles.

DEFINITIONS 3.1

Authorized Drivers are employees approved by management to utilize, operate or drive OCSD vehicles in compliance with this policy.

3.2

Authorized Passengers are individuals who accompany authorized drivers to conduct OCSD business with the exception of vanpool passengers who accompany authorized drivers to commute to and from OCSD. Employees who participate as passengers in the vanpool program are considered authorized passengers in the applicable assigned vanpool.

3.3

Car/Vanpool involves two or more employees traveling together in one vehicle. The minimum and maximum number of employees traveling together in a vanpool shall be determined by the vanpool program.

3.4

Department of Motor Vehicles (DMV) Employer Pull Notice (EPN) Program was established to provide employers and regulatory agencies with a means of promoting driver safety through the ongoing review of driver records.

3.5

Emergency for the purposes of this policy is an illness or injury of a car/vanpooler, car/vanpool driver or car/vanpooler’s immediate family member, or unscheduled overtime requested by the employee’s immediate supervisor resulting in the car/vanpooler missing the car/vanpool departure time.

3.6

OCSD Vehicles include, but are not limited to, all OCSD-owned cars, trucks, vans, carts, bicycles, and special motorized equipment.

3.7

Private Vehicle includes any vehicle that is not owned, rented or leased by OCSD.

3.8

Pool Vehicles include OCSD vehicles that are available for authorized driver use to conduct OCSD business.

3.9

Standby is time during which an employee is not required to be at the work location or at the employee’s residence but is required to be available and ready for immediate return to work.

Personnel Policies & Procedures Manual Policy 5.19, Vehicle Usage

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Effective: June 19, 2012

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3.10 Wireless/Electronic Communications pertain to the act of corresponding by way of a computer, phone, or any other similar device or equipment to exchange information through various means including, but not limited to; the internet, voice messages, email messages, online chat rooms, instant messaging, texting, social networking, social media sites, document attachments, or any other type of communication. 3.11 Wireless/Electronic Communications Devices & Equipment consist of the tools individuals utilize to engage in wireless/electronic communications and include the following: 3.11.1 Computers, including, but not limited to, desktop personal computers, laptops, tablet computers, smart devices, and any other device that may act as a computer. 3.11.2 Phones, including, but not limited to, landline telephones; mobile phones, such as cellular phones, personal digital devices, or smart devices; and any other device that may act as a phone. 4.0

POLICY/PROCEDURES 4.1

4.2

All employees operating OCSD vehicles shall be required to participate in the DMV EPN Program. 4.1.1

Employees shall complete a DMV authorization form to participate in the DMV EPN Program. Those employees who do not complete the DMV authorization form will not be authorized to operate OCSD vehicles.

4.1.2

As part of the EPN program, OCSD shall verify that an authorized driver has a valid driver’s license(s) and that the license(s) is not suspended, restricted, or revoked. Other information reported by DMV may be used to determine an authorized driver’s ability to operate a vehicle.

4.1.3

Employees with a class A or B license are automatically added to the EPN Program. Records of class A and B licenses shall be presented to the California Highway Patrol upon request.

License. While operating an OCSD vehicle or driving a private vehicle on official OCSD business, the driver must possess a valid California DMV Driver’s License and shall comply with the requirements of the California Vehicle Code and local regulations and ordinances. 4.2.1

The consequences for failing to comply with any law, regulation or ordinance shall be the responsibility of the driver.

4.2.2

Drivers required to operate a commercial vehicle must possess a valid California DMV Commercial Driver’s License with the proper endorsem*nts.

4.2.3

Status Changes Affecting Driver’s License 4.2.3.1 Drivers of OCSD vehicles are required to notify their supervisor, in writing, immediately upon the following: 4.2.3.1.1

If their driver’s license is revoked, suspended, restricted, or expired.

4.2.3.1.2

If they are cited for a major moving violation, to include but not limited to, the following:

Personnel Policies & Procedures Manual Policy 5.19, Vehicle Usage

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Effective: June 19, 2012

• • • • • • 4.3

4.4

Driving under the influence of alcohol, drugs or a combination of both, Hit and run, Reckless driving, Leaving the scene of an accident, Eluding or fleeing a police officer, or Speed contests or drag racing.

Vehicle Assignments 4.3.1

OCSD vehicles and equipment are assigned to departments depending on business needs. Division management shall designate specific assignments for conducting OCSD business.

4.3.2

Pool vehicles are assigned to and managed by Fleet Services for the purpose of providing temporary assigned vehicles for OCSD business.

4.3.3

OCSD vehicles and equipment shall not be loaned to contractors, other agencies, cities, or other organizations or companies.

4.3.4

Only employees who participate in the DMV EPN Program may drive OCSD vehicles.

4.3.5

OCSD management may revoke any vehicle assignment at any time.

Use of Pool Vehicles 4.4.1

Pool vehicles are maintained by Fleet Services for: 4.4.1.1 Use by any authorized driver requiring transportation to conduct OCSD business on a trip-by-trip or as-needed basis. 4.4.1.2 Use by any authorized driver while a regularly assigned OCSD vehicle or mobile equipment is undergoing service or repairs.

4.4.2

Pool vehicles should not be used for extended out-of-town business unless all other options have been considered and eliminated and pool vehicle use is the least costly to OCSD.

4.4.3

Pool vehicles may be reserved in advance on a first come first serve basis by submitting an electronic motor pool request to Fleet Services.

4.4.4

Overnight use of an OCSD pool vehicle must have prior approval by an OCSD manager level or above. The manager should consider all options (i.e., using private vehicle instead) and shall choose the option that is the least costly to OCSD. An authorized driver whose OCSD business requires an early morning departure will be allowed to check-out the vehicle the night prior to the travel day.

4.4.5

Drivers should avoid parking pool vehicles overnight in a public parking facility such as an airport. Costs for airport shuttles, public transportation, or private vehicle use shall be reimbursed in accordance with OCSD’s Travel Policy.

4.4.6

Returned pool vehicles shall be refueled when less than one-half (1/2) tank of fuel remains. All trash and personal items must be removed from the pool vehicle.

4.4.7

Any mechanical problems shall be reported immediately to Fleet Services.

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4.5

4.6

4.4.8

Vanpool Vehicles: Vanpool vehicles have a designated route and schedule. Drivers and passengers must review, sign and abide by the vanpool rules stipulated in the Vanpool Participant Agreement in order to participate in the program.

4.4.9

Carpoolers may check out a pool vehicle in the event of an emergency that requires their immediate or delayed departure from work. Vanpoolers may do the same in accordance with the Vanpool Participant Agreement.

Use of Private Vehicles for OCSD Business 4.5.1

Employees must obtain management approval before using a private vehicle for OCSD business.

4.5.2

Employees who use a private vehicle to conduct OCSD business must participate in the DMV EPN Program; employees who do not participate in the DMV EPN Program may not drive a private vehicle for OCSD business.

4.5.3

Prior to using a private vehicle for OCSD business, the employee’s private vehicle shall have automobile insurance coverage that meets or exceeds the minimum requirements of the DMV for public liability and property damage. Employees are responsible for ensuring that their private vehicle insurance is valid for business use.

4.5.4

The authorized use of private vehicles to conduct OCSD business shall be reimbursed in accordance with OCSD’s Travel Policy not to exceed the prevailing rate allowed by the Internal Revenue Service.

4.5.5

The employee’s private vehicle insurance is the primary insurance on the vehicle.

4.5.6

OCSD shall not be responsible for the replacement or repair of any vehicle used to conduct OCSD business that is not owned, rented, or leased by OCSD.

Driver Responsibility 4.6.1

Safety 4.6.1.1 OCSD vehicles shall be operated in compliance with applicable laws/ordinances. The driver shall be responsible for the consequences of failing to comply with any law, regulation, or ordinance, including citations or fines for the following reasons: • • • • • • • •

4.6.1.2

Speeding, Failure to stop, Failure to obey posted traffic signs, Using a wireless/electronic communications devices without a hands free option while driving, Texting or emailing while driving, Toll road fines, Failure to wear seat belt, or Any other citation or fine that results from the vehicle operator failing to follow proper driving requirements.

Drivers and passengers shall use seat belts and shoulder restraints at

Personnel Policies & Procedures Manual Policy 5.19, Vehicle Usage

Page 4 of 9

Effective: June 19, 2012

all times while the vehicle is in motion. No driver shall allow or cause any passenger to ride in or on any vehicle other than in a proper passenger seat equipped with legal seat belts. 4.6.1.3

Drivers are to drive defensively and maintain control of the vehicle at all times and be aware of personal limitations, road conditions, weather, visibility, and traffic.

4.6.1.4

No driver shall operate a vehicle at a speed greater than is reasonable and prudent for the conditions, having due regard for weather and visibility, the traffic on, and the surface and width of, the highway and in no event shall a driver maintain a speed which exceeds posted speed limits or endangers the safety of persons or property.

4.6.1.5

Each driver having custody of an OCSD vehicle shall exercise due caution and prudence in the operation of such vehicle and minimize the risk of damage to such vehicle. Drivers are responsible for the proper operations and use of the vehicle and/or equipment attached to the vehicle. Drivers are responsible for avoiding unnecessary wear and tear on the vehicle such as but not limited to excessive idling.

4.6.1.6

No person will operate an OCSD vehicle while under the influence of alcohol or illegal drugs. Also, over-the-counter or prescription medications that are reasonably known to adversely influence the safe operation of a vehicle are prohibited.

4.6.1.7

In inclement weather, rain, fog, etc., drivers are required to turn on vehicle headlights.

4.6.1.8

Drivers are responsible to ensure that vehicles are not overloaded.

4.6.1.9

Drivers are responsible for the secure placement and proportionate distribution therein of the load to be transported. Whenever the load extends beyond the bed or body of such vehicles, the driver will use clearance flags or signs, properly displayed, indicating a long or wide load, as required by California Vehicle Code.

4.6.1.10 Whenever it is necessary to hook up a trailer to a truck, caution should be exercised and, if needed, the assistance shall be obtained through OCSD. 4.6.2

Accidents 4.6.2.1

OCSD requires individuals to report a wide variety of incidents ranging from loss of OCSD property to injuries. All job related incidents or any incident involving OCSD property is to be reported within forty-eight (48) hours, no matter how slight.

4.6.2.2

Drivers are required to notify their supervisor and complete a Vehicle Accident Report form, located on OCSD’s intranet, in the event of a vehicle accident, vehicle damage, vehicle theft, vehicle vandalism, property damage, and other vehicle related incidents. Reports and investigations shall be completed in accordance with the applicable safety policy.

4.6.2.3

An employee involved in a vehicle accident may be prohibited by

Personnel Policies & Procedures Manual Policy 5.19, Vehicle Usage

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management from operating an OCSD vehicle until operation is reauthorized by management.

4.6.3

4.6.2.4

All OCSD vehicles have a disposable camera in the glove box. Photographs are required for all vehicle accidents involving OCSD vehicles. Follow the printed instructions on the camera package and forward the camera to Fleet Services after use.

4.6.2.5

Applicable drug testing requirements for drivers involved in accidents shall apply in accordance with OCSD’s Substance Abuse Policy.

Personal Use of OCSD Vehicles 4.6.3.1

OCSD vehicles shall be used only for purposes of OCSD business and not for personal business or pleasure by any person.

4.6.3.2

Stopping for a meal break or running a personal errand is only allowed if such activity is during the course of official OCSD business. 4.6.3.2.1 Time used for a meal break or personal errand is limited to the allocated meal break and rest periods. Such stops shall be en route to the driver’s destination or work location. 4.6.3.2.2 OCSD vehicles cannot be used for the sole purpose of personal business.

4.6.4

4.6.3.3

The transportation of personal property within an OCSD vehicle is prohibited with the exception of a driver’s lunch or property ordinarily used while conducting OCSD business.

4.6.3.4

With the permission of the employee's manager, employees who are assigned to standby may use assigned OCSD vehicles in lieu of private vehicles for transportation to places/events to facilitate their availability during authorized stand-by. However, OCSD vehicles may not be parked at or near bars, casinos, adult entertainment establishments or other locations likely to reflect poorly on OCSD.

Care of Vehicles 4.6.4.1

Each employee having custody of an OCSD vehicle shall exercise due caution and prudence in the operation of such vehicle and shall minimize the risk of damage to such vehicle.

4.6.4.2

Only OCSD related stickers are authorized on OCSD vehicles. Placement of any stickers on OCSD vehicles must be approved by Fleet Services.

4.6.4.3

Drivers are responsible for the proper operation and use of the vehicle or equipment.

4.6.4.4

Drivers are responsible for ensuring that vehicles and equipment are made available to Fleet Services for scheduled service, preventative maintenance or repairs.

4.6.4.5

Employees must submit an electronic motor pool request to Fleet Services for unscheduled service, maintenance or repairs.

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4.6.5

4.6.4.6

Drivers are responsible for ensuring that the interior and exterior of assigned vehicles are clean. The exterior should be washed routinely and the interior should be free of trash, dirt, and unnecessary materials.

4.6.4.7

Drivers shall ensure the interior of their assigned vehicle is clean prior to having Fleet Services perform services or repairs.

OCSD Vehicle Parking 4.6.5.1

OCSD vehicles shall be parked and locked in assigned parking spaces or designated areas.

4.6.5.2

OCSD vehicle keys are to remain in a secure area.

4.6.5.3

OCSD vehicles shall be parked in open OCSD parking areas only excluding assigned, visitor, car/vanpool, handicapped, and red or green zone parking spaces. 4.6.5.3.1 Authorized drivers with a Disabled Persons Parking Permit issued by the DMV shall be authorized to use handicapped parking spaces for their assigned OCSD vehicle.

4.6.5.4

4.6.6

4.6.7

Private Vehicle Parking 4.6.6.1

Private vehicles shall be parked in open OCSD parking areas only excluding assigned, visitor, car/vanpool, handicapped, and red or green zone parking spaces unless otherwise authorized.

4.6.6.2

OCSD parking permits shall be visibly displayed in private vehicles.

4.6.6.3

Private vehicles may not be parked overnight on OCSD premises or at OCSD pump stations unless authorized in advance by Risk Management.

Smoking 4.6.7.1

4.6.8

Employees assigned to standby or other authorized drivers who are approved to utilize OCSD vehicles overnight shall park OCSD vehicles in a garage, carport, or driveway, whenever possible, and not on a private or public street.

Smoking is prohibited in OCSD owned vehicles.

Wireless/Electronic Devices & Equipment 4.6.8.1

Individuals must act in a safe manner and in accordance with applicable laws and ordinances regarding the use of wireless/electronic communications devices and equipment.

4.6.8.2

Employees are prohibited from using wireless/communications devices when operating an OCSD unless a hands-free device is utilized.

4.6.8.3

A hands-free device can be provided to employees who are issued an OCSD wireless/electronic communications device.

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4.6.9

4.6.8.4

Employees are prohibited from texting while operating OCSD vehicles.

4.6.8.5

Individuals who utilize their private vehicles and/or personal wireless/communications devices to conduct OCSD business must do so in accordance with OCSD Policies, Procedures and Standards and adhere to applicable laws and ordinances regarding the use of such devices while driving. The consequences for failing to comply with any law, regulation, or ordinance, shall be the responsibility of the driver.

Vehicles not in Use 4.6.9.1

OCSD vehicles are for use during working hours only. OCSD vehicles shall otherwise be parked and locked at assigned OCSD facilities. OCSD vehicle keys shall remain in a secured area. Keys for vehicles assigned to employees may be kept overnight or during the weekend by the employee. OCSD vehicles shall be made available to an assigned department if the employee who is assigned the OCSD vehicle will be gone for any extended period of time. 4.6.10 Passengers 4.6.11 No one except authorized drivers and authorized passengers may be transported in an OCSD vehicle. Unauthorized passengers, including but not limited to friends, strangers, and family members, are prohibited in OCSD vehicles. Toll Roads 4.6.11.1 Drivers are responsible for ensuring the payment of any toll road expense while operating an OCSD or private vehicle. Toll road expenses are reimbursable if the costs were incurred while performing official OCSD business and no other route of travel was available to reach the destination. Requests for toll road reimbursem*nt must be submitted in accordance with OCSD’s Travel Policy. 4.6.12 Roadside Assistance 4.6.12.1 In the event of a breakdown or interruption to OCSD assigned vehicle performance/operation due to, but not limited to, flat tires, lack of fuel, or car accidents; the driver shall follow the procedures outlined below (written procedures are located in the glove box of every OCSD vehicle): 4.6.12.1.1

The assigned driver must call OCSD’s Control Center to provide notification of the condition and location of the vehicle.

4.6.12.1.2

The Control Center will contact the OCSD towing agency and provide the agency with the driver’s contact information.

4.6.12.1.3

The towing agency will meet the driver at the specified location to repair the vehicle to drivable condition, where applicable (e.g. replace tire, provide fuel).

4.6.12.1.4

In the event the vehicle is inoperable, the Control Center will instruct the towing agency to arrive at Fleet Services at Plant No. 1. Operations will provide the driver of the towing agency with the keys to an emergency back-up

Personnel Policies & Procedures Manual Policy 5.19, Vehicle Usage

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Effective: June 19, 2012

vehicle. 4.6.12.1.5

5.0

EXCEPTIONS 5.1

PROVISIONS AND CONDITIONSEmployees are responsible for compliance with all applicable provisions of this policy when using OCSD or private vehicles to conduct OCSD business. For purposes of this policy the actual driver shall be the responsible party.

5.2

As applicable, the same provisions that apply to drivers shall also apply to equipment, bicycle and cart operators.

5.3

Drivers are responsible for the costs of any ticket, citation, and/or any other liability that may be imposed due to a violation of law, regulation, and/or ordinance as a result of their operation of a vehicle.

5.4

It is the responsibility of supervisory personnel to ensure this policy is understood by employees under their immediate supervision or authority. Automatic Vehicle Location (AVL) System 5.4.1

6.0

The vehicle will be delivered to the location of the inoperable vehicle and the inoperable vehicle will be transported to Fleet Services at Plant No. 1 by the towing agency.

OCSD vehicles may be equipped with an AVL monitoring device to assure proper maintenance and use. The system enables OCSD to generate various reports and notifications regarding the use, location and servicing requirements of vehicles. Individuals are prohibited from tampering with the AVL system or devices.

RELATED DOCUMENTS 8.1

OCSD’s Substance Abuse and Alcohol Misuse Plan

8.2

Drug Free Workplace Act

8.3

Substance Abuse Policy Acknowledgement Forms

8.4

HR Policy 1.4, Recruitment & Selection

8.5

HR Policy 4.8, Employee Assistance Program

8.6

HR Policy 5.1, Rules of Conduct

8.7

HR Policy 5.2, Discipline

8.8

HR Policy 5.19, Vehicle Usage

8.9

Safety Policy 202 – (Accident Investigation and Reporting)

Personnel Policies & Procedures Manual Policy 5.20, Substance Abuse

Page 7 of 7

Effective: 09/03/13

Orange County Sanitation District Personnel Policies Subject: Smoking

1.0

4.0

Supersedes:

June 11, 2008

Approved by:

General Manager

This policy has been developed to protect employees and the general public from the dangers of second-hand smoke and the potential hazards associated with ignition sources near plant process components.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: June 8, 2011

PURPOSE 1.1

2.0

Policy Number: 5.21

This policy applies to all Orange County Sanitation District (OCSD) employees, contractors, and the general public who are in or on OCSD property.

DEFINITIONS 3.1

Public Building – A building owned and occupied, or leased and occupied, by the State, County, City, City and County, or a California College District. In or inside a public building includes all indoor areas of the public building, except for covered parking lots.

3.2

Plant Process Component – An area, structure or pipe within OCSD facilities where wastewater, biosolids, digester gas, or grit are collected, treated, stored, transported or discharged.

3.3

OCSD Vehicles – All OCSD owned cars, trucks, carts, bicycles, and special motorized equipment.

3.4

Designated Smoking Areas – Management designated locations where the smoking of tobacco products is permitted.

POLICY 4.1

GENERAL INFORMATION 4.1.1

4.2

OCSD provides designated smoking areas that meet regulatory requirements and the operational needs of the organization. This policy defines employee, contractor, and general public conduct, as related to smoking, in or on OCSD property.

EMPLOYEE, CONTRACTOR AND PUBLIC CONDUCT 4.2.1

Smoking on OCSD property is only permitted in designated smoking areas.

4.2.2

Failure to comply with this policy shall result in disciplinary action, which includes, but is not limited to:

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4.2.2.1 Progressive disciplinary action for OCSD employees, which may result in termination for repeated violations. 4.2.2.2 Prohibition of offending contractor personnel from working in an OCSD public building, facility or vehicle and/or termination of the contract. 4.2.2.3 Prohibition of an offending member of the general public from remaining in the affected OCSD public building or vehicle. 4.2.2.4 Prohibition from coming on to OCSD sites. 4.3

5.0

LOCATING DESIGNATED SMOKING AREAS 4.3.1

All designated smoking areas shall be clearly marked.

4.3.2

All designated smoking areas shall be located outdoors and at least 20 feet from a main entrance, exit, and/or operable window of an OCSD building; within 20 feet of a building ventilation system intake or plant process component. No OCSD employee, contractor, or member of the general public shall smoke any tobacco product in an OCSD public building or vehicle.

4.3.3

Ash trays will be provided where necessary and will be maintained by OCSD.

PROCEDURE 5.1

Maps of designated smoking areas shall be maintained by the Risk Management Division and the information shall be posted on OCSD’s intranet.

5.2

Employees are required to contact their immediate supervisor if there are any concerns regarding this policy.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS 8.1

Code of Federal Regulations, Title 49 (Subpart D)

8.2

California Government Code, Sections 7597-7598

8.3

California Labor Code, Sections 6400-6413.5

8.4

Policy 5.2, Discipline

8.5

Policy 5.19, Vehicle Usage

8.6

Local 501, Operations and Maintenance Unit MOU

8.7

Administrative and Clerical Unit MOU

8.8

Engineering Unit MOU

8.9

Technical Services Unit MOU

Personnel Policies & Procedures Manual Policy 5.21, Smoking

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8.10

Professional Group MOU

8.11

Supervisor Group MOU

8.12

Plant 1 Map of Designated Smoking Areas

8.13

Plant 2 Map of Designated Smoking Areas

Personnel Policies & Procedures Manual Policy 5.21, Smoking

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Orange County Sanitation District Personnel Policies

Policy Number: 6.1 Effective Date: November 14, 2011

Subject: APPRAISAL OF PERFORMANCE

1.0

February 25, 2004

Approved by:

General Manager

PURPOSE 1.1

2.0

Supersedes:

The purpose of this policy is to establish uniform guidelines and procedures for the appraisal of employee performance.

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 and the District’s management philosophy that establishing an effective level of communication that offers consistent and continuing feedback on performance expectations and achievements will provide an environment in which our employees can perform to the best of their abilities. A performance appraisal program has been developed to provide a structure that will support the accomplishment of that goal. Important principles of the program include: 4.1.1

The District’s overall mission is enhanced by establishing a connection between that mission and individual employees’ responsibilities and objectives.

4.1.2

Recognizing employee strengths and identifying areas that may represent opportunities for improvement will affect current performance as well as enhance career potential.

4.1.3

Every individual has primary responsibility for their own performance and development.

4.1.4

The key role of the supervisor is to support an employee’s efforts to maximize their own contribution and potential.

Personnel Policies & Procedures Manual Policy 6.1, Appraisal of Performance

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5.0

PROCEDURE 5.1

New employees will receive a performance appraisal at the close of their initial probationary period to determine their suitability for continued employment with the District. An evaluation should also occur midway through the probationary period, unless otherwise stipulated by an employee’s affiliated bargaining unit Memorandum of Understanding, to ensure that performance expectations have been properly communicated and established. This will also offer an opportunity for both the employee and the supervisor to more effectively evaluate the desirability of continuing the employment relationship.

5.2

Employees who are transferred, reassigned or promoted similarly receive a performance appraisal midway through and at the conclusion of their probationary period.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS 7.1

8.0

Supervisors and managers will be notified by the Human Resources Department of all evaluations that must be completed.

RELATED DOCUMENTS

Personnel Policies & Procedures Manual Policy 6.1, Appraisal of Performance

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Orange County Sanitation District Personnel Policies

Policy Number: 6.2 Effective Date: October 22, 1997

Subject: OPEN COMMUNICATIONS

Supersedes: Approved by: General Manager

1.0

PURPOSE 1.1

2.0

The purpose of this policy is to establish uniform guidelines and procedures for maintaining open communications.

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

5.0

Our organization cannot successfully achieve our individual and collective missions without effective communications. District’s management will continually strive to provide a work environment throughout the organization that accomplishes this goal by encouraging open dialogue. Consequently, It is the District’s goal to maintain open communications in accordance with the procedures of this policy.

PROCEDURE 5.1

The most important working relationship occurs between an employee and his or her supervisor. For this relationship to remain effective, supervisors and managers must be aware of employee concerns. It is therefore very important for employees to openly discuss their ideas, concerns and suggestions with management. It is equally important that managers and supervisors actively listen to employees’ ideas and suggestions, and particularly their concerns.

5.2

The District believes that employees should be informed about District activities and issues that affect them, and should be provided with the information that they need to best perform their jobs. It is the District’s goal to foster an environment that encourages the flow of information and ideas among individuals at all levels.

5.3

To encourage open communications, the District has established the Pipeline for general news, Special Edition Pipeline for interviews with Executive Management and others, and Changing Times, which focuses on changes throughout the District. These communications vehicles are also being used to answer questions relative to policies or management decisions. Constructive criticisms are also encouraged, and should suggest a remedy if appropriate. _

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5.4

The District encourages an "open door” policy and management is dedicated to keeping employees informed of plans and processes. The General Manager regularly schedules meetings with both exempt and non-exempt employees to create a forum where ideas and suggestions are exchanged.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS

_ Personnel Policies & Procedures Manual Policy 6.2, Open Communications

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Policy Number: 6.3

Orange County Sanitation District Personnel Policies

Effective Date: June 8, 2011

Subject: PRIVACY INFORMATION &

Supersedes:

September 28, 2005

Approved by:

General Manager

HUMAN RESOURCES RECORDS

1.0

2.0

PURPOSE 1.1

The purpose of this policy is to establish uniform guidelines and procedures for receiving and retaining employee information so that the Orange County Sanitation District (OCSD) can make appropriate management decisions, administer programs, and satisfy compliance requirements.

1.2

Establish rules of conduct for any person involved in the design, development, operation, or maintenance of any system of records.

1.3

Establish uniform guidelines and procedures for accessing Human Resources records.

1.4

Establish uniform guidelines and procedures for maintaining the privacy of personal information within established regulations.

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

4.0

This policy applies to all current Orange County Sanitation District (OCSD) employees regardless of the organizational unit.

DEFINITIONS 3.1

Record – Recorded information, regardless of format.

3.2

Confidential Information – Information that requires a business “need-to-know”, restricted use, or is sensitive in nature is considered confidential information. Generally, OCSD technical data, proprietary, customer, and personnel related information is confidential. Personnel related information includes, but is not limited to, medical, recruitment, disciplinary, and performance related information. Once information becomes generally available to the public, it is no longer considered confidential. Contact the Human Resources Department if there are questions.

3.3

Human Resources Records (Personnel, Medical and Similar Files) – OCSD’s permanent record of employee personal data and employment history.

POLICY 4.1

An employee’s personnel, medical, or similar file is OCSD’s permanent record of that individual’s personal data and employment history, and as such is to be accurately maintained and treated confidentially, to the extent allowable by law.

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5.0

4.2

OCSD treats personal information about employees as confidential and respects the need for protecting each employee’s privacy by enforcing secure information handling procedures on the part of all personnel whose job duties involve gathering, retaining, using, or releasing personal information about OCSD employees.

4.3

OCSD collects and retains only such personal information as it needs to make appropriate management decisions, administer programs, and satisfy compliance requirements. OCSD takes all possible steps to make sure that all personal and jobrelated information about employees is accurate, complete, and relevant for the intended purpose.

4.4

Employee information is considered confidential and will not be disclosed to internal or external parties without a business need-to-know. Internal use shall be limited to those officers and employees of the organization that maintain confidential records or who have a need for the information in the performance of their duties. If there is a question of whether certain information is considered confidential, the employee should first check with the Human Resources Department.

4.5

Employees have the right to informational privacy and the guarantee of certain privacy rights, such as the right to be free from defamatory statements. OCSD prohibits the unauthorized gathering, dissemination, or misuse of sensitive and confidential information. This provision includes the unwarranted disclosure of the individual’s private life outside the realm of legitimate business or public interest, which would be construed as offensive and objectionable to a reasonable person of ordinary sensibilities.

4.6

Employees have a personal responsibility to limit the disclosure of their own sensitive and confidential information outside the context of “business necessity,” such as non-job related medical information. If there is a question of whether certain information is considered to be of a business necessity, the employee should contact the Human Resources Department.

4.7

Pursuant to the Confidentiality of Medical Information Act (CMIA) and the Health Insurance Portability and Accountability Act (HIPAA), OCSD will adhere to strict confidentiality requirements in accordance with OCSD’s HIPAA procedures manual with respect to any medical information that has been obtained about an employee. Medical information is any individually identifiable health information that is transmitted or maintained in any form or medium, including electronically, on paper, or orally.

PROCEDURE 5.1

Security and Storage of Records 5.1.1

Employees who are required to gather, retain, use, or release personal record information about other employees shall treat that information as confidential. Secure handling procedures shall be used with personal employee information at all times to ensure the highest integrity of such information.

5.1.2

All paper based documents relating to OCSD’s personnel record system are kept in secure, locked files in the Human Resources Department. These files are accessible only to authorized Human Resources Department staff and executives, managers and supervisors who have a valid, demonstrable need to obtain specific information from an employee’s personnel record. Employees are also granted access to their personnel files and records in accordance with access procedures outlined Memorandums of Understanding (MOUs) and

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section 5.3 of this policy. All personnel files must remain in the Human Resources Department at all times. 5.1.3

5.2

5.3

All employee medical information is kept separately from personnel files in secure, locked medical record files in the Risk Management Division. All managers and supervisors are required to forward original medical documentation pertinent to an OCSD employee, to the Risk Management Division. Access to Medical Records is tightly controlled. Unless there is a business necessity, medical information about an employee is supplied only to the employee’s designated physician in accordance with the employee’s specific written request.

Accuracy of Basic Employee Information 5.2.1

Maintenance of an employee’s payroll status, insurance coverage, and other benefit entitlements is dependent upon accurate information.

5.2.2

Employees are responsible for immediately notifying the Human Resources Department of any changes in their personal status, including, but not limited to the following categories: 

Name



Telephone Number



Home Address



Emergency Contact Information

Access to Personnel Records 5.3.1

Internal Disclosures and Uses of Personnel File Information 5.3.1.1

Managers/Supervisors: Managers and supervisors may only have access to personal employee information and personnel files on a business need-to-know basis. A manager or supervisor considering the hire of a former employee or transfer/promotion of a current employee may be granted access to the appropriate personnel file.

5.3.1.2

Current and Former Employees: Employees can review and obtain copies of the information contained in their own personnel file. OCSD reserves the right to remove certain sensitive documents, including pre-employment background reports; letters of reference; and management planning documents such as succession or promotion plans. Current and former employees interested in reviewing and/or obtaining copies of items contained in their personnel file should contact the Human Resources Department and provide at least a three-day notice requesting to schedule a mutually convenient time for an appointment. Personnel files may not be taken outside of the Human Resources Department. A Human Resources Department representative shall always be present while an employee is examining his/her personnel file.

5.3.1.3

Accuracy of Information: If an employee has concerns about the accuracy, completeness or fairness of materials contained in personnel files, the employee may submit a written request to the Director of Human Resources for review of the information in

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question. The Director of Human Resources will judge the merits of the request and will respond to the employee. 5.3.2

External Disclosures and Uses of Personnel File Information 5.3.2.1

Employment Verifications: OCSD will verify, to non-governmental agencies, the employment status (e.g. dates of employment and positions held) of former or current employees. No other information will be provided unless OCSD has received a written request to do so from the employee involved.

5.3.2.2

Pre-employment Verifications: OCSD will ensure that all inquires into an applicant’s privacy are narrowly tailored to ascertain the applicant’s ability to perform the essential duties of the position and intrude as minimally as possible into their private affairs. In no situation will an applicant be disqualified from entering or pursuing a profession, vocation, or employment because of sex, sexual orientation, race, creed, color, national origin, or any other legally protected classification. Hiring decisions are made on a case-bycase basis, which include the totality of an applicant’s background within the guidelines of the law. All information received will follow the guidelines set forth in Security and Storage of Records section.

5.3.2.3

Bargaining Units: OCSD will provide to the union representing an employee information related to the employee’s seniority date, job classification, wage rate, hours of employment, benefit information and such other data as OCSD deems necessary and appropriate in support of the collective bargaining process. OCSD will also provide such other personal and confidential information as the employee shall direct OCSD to disclose.

5.3.2.4

Governmental Agencies: On occasion, OCSD must provide information and data from its personnel records and files to federal, state and local government agencies in accordance with recordkeeping and reporting requirements imposed by such agencies. In instances where representatives of government or law enforcement agencies request information beyond that which is normally required, the decision to provide the information will be made at the discretion of the Human Resources Department.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS 7.1

8.0

E-mail, Internet and other records maintained on OCSD computers are not generally considered confidential employee records.

RELATED DOCUMENTS 8.1

California Constitution

8.2

California Public Records Act, Government Code Section 6250-6270

8.3

Confidentiality of Medical Information Act, Civil Code 56

8.4

Health Insurance Portability and Accountability Act 42 U.S.C 1301

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8.5

Policy 5.9, Information Systems Management

8.6

Policy 5.20, Substance Abuse

8.7

Safety-POL-403: Access to Employee Medical Records

8.8

Local 501, Operations and Maintenance Unit MOU

8.9

Administrative and Clerical Unit MOU

8.10

Engineering Unit MOU

8.11

Technical Services Unit MOU

8.12

Professional Group MOU

8.13

Supervisor Group MOU

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Orange County Sanitation District Personnel Policies Subject: PROBLEM SOLVING PROCEDURE

Policy Number: 6.4 Effective Date: November 14, 2011

Supersedes: Approved by:

June 8, 2011 General Manager

1.0 PURPOSE 1.1

The purpose of this policy is to establish uniform guidelines and procedures for application of Orange County Sanitation District’s (OCSD’s) Problem Solving Procedure.

2.0 ORGANIZATIONAL UNITS AFFECTED 2.1

This policy applies to all OCSD employees in all organizational units and departments, unless otherwise specified.

3.0 DEFINITIONS 4.0 POLICY 4.1

It is OCSD’s policy to encourage and facilitate the resolution of employee concerns in a responsive, timely and fair manner.

5.0 PROCEDURE 5.1

Employees may bring problems to the attention of management through the ProblemSolving Procedure. This procedure may be used to attempt to resolve issues that are not subject to the Grievance Procedure.

5.2

The problem solving procedure consists of the following steps, unless otherwise stipulated by an employee’s affiliated bargaining unit Memorandum of Understanding (MOU).

5.3

Step 1. Employees must submit concerns in writing to their supervisor, or designee, within ten (10) days of the occurrence of the event giving rise to the complaint or within ten (10) days from the time that the employee became aware of such event. The supervisor, or designee, will review the situation or decision, and provide a written response within five (5) business days from the date they were notified of the problem.

5.4 Step 2. If the problem is not resolved to the employee's satisfaction, a written statement concerning the problem may be filed with the Director of Human Resources or designee, within ten (10) business days of receipt of the supervisor's decision. Upon request by either party, a meeting may be held to define issues and establish the remedies sought. The employee will be provided with a written response within ten (10) business days after his/her statement is received. Time limits may be extended for cause upon mutual consent of the parties. The decision of the Director of Human Resources, or designee, is final. 6.0 EXCEPTIONS

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7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1

Policy 6.5, Grievance Procedure

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Orange County Sanitation District Personnel Policies Subject: GRIEVANCE PROCEDURE

1.0

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures for use in administration of Orange County Sanitation District’s (OCSD’s) Grievance Procedure.

This policy applies to all OCSD employees in all organizational units and departments unless otherwise specified.

Grievance is a complaint that management has violated a specific written policy or provision of a Memorandum of Understanding (MOU).

POLICY 4.1

5.0

February 25, 2004

DEFINITIONS 3.1

4.0

Supersedes:

ORGANIZATIONAL UNITS AFFECTED 2.1

3.0

Effective Date: November 14, 2011

PURPOSE 1.1

2.0

Policy Number: 6.5

It is the policy of OCSD to allow a grievance to be brought to the attention of OCSD by an individual employee or by a recognized employee organization.

PROCEDURE 5.1

Grievances brought by two (2) or more employees, and concerning the same incident, issue, or course of conduct, or multiple grievances brought by the same employee may, upon mutual agreement between OCSD and the employees or recognized employee organization, be consolidated for the purposes of this procedure. An employee shall have the right to be represented at all steps of the Grievance Procedure by another employee within the same employee group or by a representative of the recognized employee organization.

5.2

Any reference to days in this article implies business days.

5.3

A copy of each written communication on a grievance will be filed with the Director of Human Resources or designee, unless otherwise specified by an employee’s affiliated bargaining unit MOU.

5.4

The grievance procedure shall consist of the following steps, unless otherwise stipulated by an employee’s affiliated bargaining unit MOU. 5.4.1

Step 1. An employee who has a complaint shall attempt to resolve it with his/her immediate supervisor, or designee, within five (5) days of the occurrence of the event giving rise to the complaint. The supervisor, or designee, shall attempt to resolve the issues surrounding the complaint, and respond to the employee within five (5) days.

5.4.2

Step 2. If the grievance is not settled informally at Step 1, it may be presented in writing to the employee's Division Manager or designee. This request for formal review must be

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presented on a form provided by OCSD within five (5) days of the conclusion of Step 1. The written grievance must:

5.5

6.0

Identify the specific management act to be reviewed;

5.4.2.2

Specify how the employee was adversely affected;

5.4.2.3

List the specific provisions of the MOU that were allegedly violated, and state how they were violated;

5.4.2.4

Specify the remedy requested;

5.4.2.5

Provide the date of attempts at informal resolution and the name of the supervisor or individual involved.

5.4.3

The Division Manager, or designee, shall respond in writing to the employee within ten (10) days after the date the grievance is received.

5.4.4

Step 3. If a grievance is not settled under Step 1 or 2, it may be presented to the employee’s Department Director, or designee, for review and written response. The request for formal review must be presented on a form provided by OCSD within five (5) days of the conclusion of Step 1 or 2, and must contain the information specified in Step 2. The employee’s Department Director, or designee, shall respond in writing to the employee within ten (10) days after the date the grievance is received.

5.4.5

Step 4. If the grievance cannot be resolved under Step 3, it may be presented to the Assistant General Manager, or designee, within five (5) days from the date the Step 3 finding was issued. The Assistant General Manager, or designee, shall respond in writing to the employee within ten (10) days after the date the grievance is received.

5.4.6

Step 5. Appeal to the General Manager, or designee, is the final step in the Grievance Procedure. If the grievance cannot be resolved under Step 4, it may be presented to the General Manager, or designee, on a form provided by OCSD within five (5) days from the date the Step 4 finding was issued. The General Manager, or designee, shall respond in writing to the employee within ten (10) days after the date the grievance is received. The decision of the General Manager, or designee, is final.

Failure of a management representative to respond within the prescribed time limit shall provide a basis for the employee to appeal to the next step. If a grievance is not presented or appealed to the next level within the specified time limits, it shall be considered settled on the basis of the preceding response. The Director of Human Resources may be petitioned in writing to waive the step or time requirements provided sufficient cause exists. Time limits may also be extended at any step upon mutual agreement of the parties.

EXCEPTIONS 6.1

7.0

5.4.2.1

A grievance may not be brought by OCSD through this procedure.

PROVISIONS AND CONDITIONS 7.1

General Provisions. An employee shall be given reasonable time off, with advance approval of his or her supervisor or designee, to investigate and process a grievance. W hen an employee is represented by a recognized employee organization, that organization may designate one (1) employee to investigate and process the grievance. The employee representative shall be given reasonable time off, with the advance approval of his or her supervisor or designee, to perform this duty. Time off for investigating and processing a grievance shall be without loss of pay. Absence

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from work will be approved only if it does not disrupt OCSD’s operations. If the time requested cannot be provided, another time will be arranged. 7.2

8.0

Discipline imposed under Policy No. 5.2 (Discipline) is not reviewable as a grievance under this procedure.

RELATED DOCUMENTS 8.1 Policy 6.4, Problem Solving

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Policy Number: 7.1

Orange County Sanitation District Personnel Policies

Effective Date:

Subject: MISCELLANEOUS PROVISIONS Supersedes:

June 8, 2011 October 22, 1997

Approved by: General Manager

1.0

PURPOSE 1.1.

2.0

The purpose of this policy is to establish the uniform guidelines and procedures for use in the development and administration of OCSD’s Personnel Policies and Procedures Manual.

ORGANIZATIONAL UNITS AFFECTED 2.1

All District employees.

3.0

DEFINITIONS

4.0

POLICY 4.1

The General Manager, or his or her designee, is authorized to develop, administer, modify and amend written OCSD personnel policies and procedures in order to augment, clarify or otherwise provide for the proper implementation of the provisions of OCSD’s personnel policies and procedures, resolutions, rules and regulations adopted by the Boards of Directors.

5.0

PROCEDURE

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS

8.0

RELATED DOCUMENTS

Personnel Policies & Procedures Manual Policy 7.1, Miscellaneous Provisions

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Orange County Sanitation District Personnel Policies Subject: IDEA PROGRAM

1.0

Supersedes:

August 17, 2009

Approved by:

General Manager

The purpose of this policy is to establish uniform guidelines and procedures for the Incentives (for) District’s Employees Achievements (IDEA) Program.

ORGANIZATIONAL UNITS AFFECTED 2.1

This policy applies to all employees up to and including first-line supervisors regardless of organizational unit.

3.0

DEFINITIONS

4.0

POLICY 4.1

5.0

Effective Date: June 8, 2011

PURPOSE 1.1

2.0

Policy Number: 7.2

It is the policy of the District to recognize and reward employees’ suggestions and ideas for enhancing or improving District procedures on working conditions, work methods (practices), or OSHA compliance.

PROCEDURE 5.1

Employees should obtain an IDEA packet through the District’s Intranet site.

5.2

Each IDEA proposal should be submitted on a separate IDEA form and all pertinent attachments should be included with each submission.

5.3

All completed IDEA forms should include specific information describing how the proposal could be accomplished in sufficient detail to permit an adequate evaluation of the proposal.

5.4

All IDEA forms must be signed and dated.

5.5

All completed forms can be submitted to the IDEA Screening Committee and should be addressed to the Secretary to the General Manager- Attention IDEA Program.

5.6

Once the Secretary to the General Manager receives a completed IDEA form, a tracking number will be assigned and this number will be entered into a computer database. The employee who submitted the IDEA proposal will be sent an acknowledgement to confirm receipt, which includes the tracking number. The

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tracking number should be referenced whenever following up on the IDEA proposal. A copy of the completed IDEA form will be sent to the employee’s supervisor and to the IDEA Screening Committee for review. If additional information is requested, the employee has 60 days from the date of request to comply with this information or the IDEA proposal will be considered void. If this additional information requires an extended period of time to accumulate, the employee can request an extension through the Secretary to the General Manager, which will be forwarded to the IDEA Screening Committee. 5.6.1

All safety-related IDEA proposals will be directed to the Risk Management Division.

5.6.2

A safety-related IDEA proposal may receive a Safety Award or it may be directed to the IDEA Screening Committee for compliance evaluation.

5.6.3

If an employee identifies a hazard that could lead to injury, it is the employee’s responsibility to report the unsafe practice or condition to their immediate supervisor.

6.0

EXCEPTIONS

7.0

PROVISIONS AND CONDITIONS 7.1

7.2

IDEA Screening Committee Functions. 7.1.1

The IDEA Screening Committee will include at least one (1) representative from each department, including a representative from the Risk Management Division.

7.1.2

The IDEA Screening Committee will evaluate projects, approve or deny IDEA proposals, interact with the other divisions, and will establish award amounts for successful IDEA proposals. All IDEA proposals approved by the IDEA Screening Committee will need final approval by the General Manager or designee.

7.1.3

The IDEA Screening Committee will meet monthly to evaluate IDEA proposals submitted the previous month.

7.1.4

The employee(s) submitting the IDEA proposal will be notified by the IDEA Screening Committee if their IDEA proposal is approved, denied, or considered ineligible.

7.1.5

An IDEA proposal is valid only if submitted within 60 days of implementation.

Approval/Deny Criteria. 7.2.1

The following criteria shall be used for approving or denying an IDEA proposal: 7.2.1.1 Utility 7.2.1.2 Economic viability 7.2.1.3 Reductions in materials, supplies, equipment or work hours

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7.2.1.4 Effect on plant reliability 7.2.1.5 Effect on individual departments 7.2.1.6 Effect on processes 7.2.1.7 Impact on budgets and implementation cost 7.2.1.8 Intangible benefits such as improved adherence to safety compliance, better method, higher employee morale, improved service, improved public relations 7.2.1.9 The IDEA proposal is beyond the scope of the employee’s normal duties and responsibilities 7.3

8.0

Awards and Recognition 7.3.1

Safety-related IDEA proposals will be awarded up to $200.

7.3.2

Successful IDEA proposals that are determined by the IDEA Screening Committee to offer cost savings will be entitled to an award equivalent of 10 percent of the initial first year’s projected savings—up to a maximum of $4,000.

7.3.3

Approved IDEA proposals with intangible benefits may be awarded in sum amounts up to $2,000 as deemed appropriate by the IDEA Screening Committee. Approved team-project proposal awards will be shared equally by the employees whose signatures appear on the submitted IDEA proposal form. In some cases, non-monetary compensation will also be considered.

7.3.4

10% of an award over $500 will go to the Employee Activities Committee.

RELATED DOCUMENTS 8.1

Procedures and Forms – IDEA

8.2

Safety-POL-101: Injury & Illness Prevention Program.

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ADMINISTRATION COMMITTEE

Meeting Date 09/09/15

To Bd. of Dir. --

AGENDA REPORT

Item Number 5

Item Number --

Orange County Sanitation District

FROM:

James D. Herberg, General Manager Originator: Rob Thompson, Director of Engineering

SUBJECT: GROUND WATER REPLENISHMENT SYSTEM GENERAL MANAGER'S RECOMMENDATION Information Only. SUMMARY Staff will present on the Ground Water Replenishment System (GWRS) program, which will include an overview of the program, Orange County Sanitation District’s (Sanitation District) partnership with the Orange County Water District, and the value of the Sanitation District contributions to the project. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION N/A CEQA N/A BUDGET/PURCHASING ORDINANCE COMPLIANCE N/A ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package:

N/A

RT:KM:CM:sa

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ORANGE COUNTY SANITATION DISTRICT

Agenda Terminology Glossary

Glossary of Terms and Abbreviations AQMD

Air Quality Management District

ASCE

American Society of Civil Engineers

BOD

Biochemical Oxygen Demand

CARB

California Air Resources Board

CASA

California Association of Sanitation Agencies

CCTV

Closed Circuit Television

CEQA

California Environmental Quality Act

CRWQCB

California Regional Water Quality Control Board

CWA

Clean Water Act

CWEA

California Water Environment Association

EIR

Environmental Impact Report

EMT

Executive Management Team

EPA

U.S. Environmental Protection Agency

FOG

Fats, Oils, and Grease

FSSD

Facilities Support Services Department

gpd

Gallons per day

GWR System

Groundwater Replenishment System (also called GWRS)

ICS

Incident Command System

IERP

Integrated Emergency Control Plan

LOS

Level of Service

MGD

Million gallons per day

NACWA

National Association of Clean Water Agencies

NPDES

National Pollutant Discharge Elimination System

NWRI

National Water Research Institute

O&M

Operations and Maintenance

OCCOG

Orange County Council of Governments

OCHCA

Orange County Health Care Agency

OCSD

Orange County Sanitation District

OCWD

Orange County Water District

OOBS

Ocean Outfall Booster Station

OSHA

Occupational Safety and Health Administration

POTW

Publicly Owned Treatment Works

ppm

Parts per million

RFP

Request For Proposal

RWQCB

Regional Water Quality Control Board

SARFPA

Santa Ana River Flood Protection Agency

Glossary of Terms and Abbreviations SARI

Santa Ana River Inceptor

SARWQCB

Santa Ana Regional Water Quality Control Board

SAWPA

Santa Ana Watershed Project Authority

SCADA

Supervisory Control and Data Acquisition system

SCAP

Southern California Alliance of Publicly Owned Treatment Works

SCAQMD

South Coast Air Quality Management District

SOCWA

South Orange County Wastewater Authority

SSMP

Sanitary Sewer Management Plan

SSO

Sanitary Sewer Overflow

SWRCB

State Water Resources Control Board

TDS

Total Dissolved Solids

TMDL

Total Maximum Daily Load

TSS

Total Suspended Solids

WDR

Waste Discharge Requirements

WEF

Water Environment Federation

WERF

Water Environment Research Foundation

Activated‐sludge process – A secondary biological wastewater treatment process where bacteria reproduce at a high rate with the introduction of excess air or oxygen, and consume dissolved nutrients in the wastewater. Benthos – The community of organisms, such as sea stars, worms and shrimp, which live on, in, or near the seabed, also know as the benthic zone. Biochemical Oxygen Demand (BOD) – The amount of oxygen used when organic matter undergoes decomposition by microorganisms. Testing for BOD is done to assess the amount of organic matter in water. Biosolids – Biosolids are nutrient rich organic and highly treated solid materials produced by the wastewater treatment process. This high‐quality product can be recycled as a soil amendment on farm land or further processed as an earth‐like product for commercial and home gardens to improve and maintain fertile soil and stimulate plant growth. Capital Improvement Program (CIP) – Projects for repair, rehabilitation, and replacement of assets. Also includes treatment improvements, additional capacity, and projects for the support facilities. Coliform bacteria – A group of bacteria found in the intestines of humans and other animals, but also occasionally found elsewhere used as indicators of sewage pollution. E. coli are the most common bacteria in wastewater. Collections system – In wastewater, it is the system of typically underground pipes that receive and convey sanitary wastewater or storm water. Certificate of Participation (COP) – A type of financing where an investor purchases a share of the lease revenues of a program rather than the bond being secured by those revenues.

Glossary of Terms and Abbreviations Contaminants of Potential Concern (CPC) – Pharmaceuticals, hormones, and other organic wastewater contaminants. Dilution to Threshold (D/T) – the dilution at which the majority of the people detect the odor becomes the D/T for that air sample. Greenhouse gases – In the order of relative abundance water vapor, carbon dioxide, methane, nitrous oxide, and ozone gases that are considered the cause of global warming (“greenhouse effect”). Groundwater Replenishment (GWR) System – A joint water reclamation project that proactively responds to Southern California’s current and future water needs. This joint project between the Orange County Water District and the Orange County Sanitation District provides 70 million gallons a day of drinking quality water to replenish the local groundwater supply. Levels of Service (LOS) – Goals to support environmental and public expectations for performance. NDMA – N‐Nitrosodimethylamine is an N‐nitrosoamine suspected cancer‐causing agent. It has been found in the Groundwater Replenishment System process and is eliminated using hydrogen peroxide with extra ultra‐violet treatment. National Biosolids Partnership (NBP) – An alliance of the National Association of Clean Water Agencies (NACWA) and Water Environment Federation (WEF), with advisory support from the U.S. Environmental Protection Agency (EPA). NBP is committed to developing and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance and promote public participation in order to enhance the credibility of local agency biosolids programs and improved communications that lead to public acceptance. Plume – A visible or measurable concentration of discharge from a stationary source or fixed facility. Publicly‐owned Treatment Works (POTW) – Municipal wastewater treatment plant. Santa Ana River Interceptor (SARI) Line – A regional brine line designed to convey 30 million gallons per day (MGD) of non‐reclaimable wastewater from the upper Santa Ana River basin to the ocean for disposal, after treatment. Sanitary sewer – Separate sewer systems specifically for the carrying of domestic and industrial wastewater. Combined sewers carry both wastewater and urban run‐off. South Coast Air Quality Management District (SCAQMD) – Regional regulatory agency that develops plans and regulations designed to achieve public health standards by reducing emissions from business and industry. Secondary treatment – Biological wastewater treatment, particularly the activated‐sludge process, where bacteria and other microorganisms consume dissolved nutrients in wastewater. Sludge – Untreated solid material created by the treatment of wastewater. Total suspended solids (TSS) – The amount of solids floating and in suspension in wastewater. Trickling filter – A biological secondary treatment process in which bacteria and other microorganisms, growing as slime on the surface of rocks or plastic media, consume nutrients in wastewater as it trickles over them.

Glossary of Terms and Abbreviations Urban runoff – Water from city streets and domestic properties that carry pollutants into the storm drains, rivers, lakes, and oceans. Wastewater – Any water that enters the sanitary sewer. Watershed – A land area from which water drains to a particular water body. OCSD’s service area is in the Santa Ana River Watershed.

[PDF] Orange County Sanitation District Regular Meeting of the - Free Download PDF (2024)