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HomeMy WebLinkAbout1993-03-11 - Resolution No. 93-04• i RESOLUTION NO. 93-04 RESOLUTION OF THE BOARD OF DIRECTORS OF THE YORBA LINDA WATER DISTRICT AMENDING THE PERSONNEL RULES WHEREAS, on May 8, 1980 by adoption of Resolution No. 80-11, the Board of Directors of the Yorba Linda Water District established District Personnel Rules, and WHEREAS, on November 20, 1990 by adoption of Resolution No. 90-39, the Board of Directors of the Yorba Linda Water District amended sections of the Personnel Rules, and WHEREAS, the Personnel Rules provide in section 1.4.2 that the rules may be amended from time to time by the Board, and, WHEREAS, the Board has subsequently amended the rules and desires to further amend the rules. NOW, THEREFORE, BE IT RESOLVED by the Board of Directors of the Yorba Linda Water District to adopt the revised Personnel Rules as attached hereto and by this reference incorporated herein as Exhibit "A." PASSED AND ADOPTED this 11th day of March, 1993 by the following called vote: Ayes: 4 - Paul Armstrong, Michael Beverage, Sterling Fox, Carl Scanlin. NoeS: 1 - Arthur Korn Absent: 0 Abstain: President Yorba Linda Water District Attest: Secretary Yorba Linda Water District 0 0 PERSONNEL RULES Div WBEER 9:99mon WfiuzA 091YAgGir March, 1993 0 EL W PERSONNEL RULES YORBA LINDA WATER DISTRICT TABLE OF CONTENTS Page RULE 1 RULE 2 RULE 3 PURPOSE AND APPLICABILITY 2 1.01 Purpose 2 1.02 Coverage 2 1.03 Equal Employment Opportunity 2 1.04 Revisions 3 1.05 Personnel Officer 3 DEFINITIONS 4 CLASSIFICATION AND PAY 8 3.01 The Plan 8 A. Allocation List 8 B Class Specification Manual 8 C. Salary Schedule 8 3.02 Classification Changes 8 3.03 Requests for Classification Review 8 3.04 Compensation for Employees 8 3.05 Pay for New Employees 9 3.06 Merit Increase Adjustments 9 A. Advancement in Range 9 B. Performance Evaluations 9 C. Postponement of Merit Increase 9 D. Acceleration of Merit Increase 9 E. Leave of Absence and Review Date 9 F. Effective Date of Increases 9 G. Late Increases 10 3.07 Salary on Promotion 10 3.08 Salary on Transfer 10 3.09 Salary on Demotion 10 A. Involuntary Demotion 10 B. Voluntary Demotion 10 3.10 Salary on Position Reclassification 10 A. To Higher Classification 10 B To Equivalent Classification 10 C. To Lower Classification 11 - i - • Table of Contents (continue# RULE 4 RULE 5 3.11 Salary Upon Reemployment After Lay-Off 11 3.12 Employee Benefits and Perquisites 11 A. Retirement System 11 B . Health Insurance 11 C. Life Insurance 11 D. Dental Insurance 11 E. Vision Insurance 11 F. Cafeteria (125) Plan 12 G. Travel Expense Allowance 12 H. Meals During Emergency Service 12 I. Insurance for Retirees 12 WORKWEEK, OVERTIME AND PREMIUM PAY 4.01 Workweek 13 A. Eight Hour Shift 13 B. Alternative Work Schedules 13 C. Shift Differentials 13 D. Time Records 13 4.02 Overtime 13 A. Notification to Employees 13 B . Distribution of Overtime 13 4.03 Payment for Overtime 14 4.04 Rest Periods 14 4.05 Standby and Call Out Compensation 14 EMPLOYMENT PROCEDURES 15 5.01 Recruitment Announcements & Applications 15 A. Announcements 15 B. Application Forms 15 C. Application Closing Dates 15 5.02 Employment Examinations 15 A. Types of Examinations 15 B. Selection Techniques 16 C. Conduct of Examinations 16 D. Examination Records 16 5.03 Eligibility Lists 16 5.04 Certification of Eligibles and Appointments 17 A. Certification of Eligibles 17 B. Regular Appointments 17 C. Temporary appointments 17 D. Acting Appointments 17 ii - 0 Table o Contents continued RULE 6 RULE 7 GENERAL PERSONNEL PROVISIONS 18 6.01 Probation 18 A. New Probation 18 B. Promotional Probation 18 C. Failure of Probation 18 (1) New Probation 18 (2) Promotional Probation 18 D. General Provisions 18 (1) Service Credit 18 (2) Extension of Probation 18 (3) Leave of Absence 18 6.02 Performance Evaluation 18 6.03 Contents of Personnel File 19 6.04 Training and Employee Development 19 A. Eligibility and Documentation 19 B. Reimbursement 19 C. Limitations 20 6.05 Time Off for Selection Procedures 20 6.06 Resignation 20 6.07 Nepotism 20 6.08 Conflict of Interest 20 6.09 Drug and Alcohol Free Workplace 21 A. Prohibition 21 B. Controlled Substances 21 C. Pre-Employment Testing 21 D. Probable Cause 21 E. Right to Inspect 22 F. Assistance for Employees 22 6.10 Employee Assistance Program 22 6.11 Smoking Policy 22 6.12 Incompatible Employee Activities 22 6.13 Political Activities 22 6.14 Service Awards 23 VACATION AND LEAVE 24 7.01 Holidays 24 7.02 Vacation 24 7.03 Sick Leave 25 A. Accumulation of Sick Leave 25 B. Notification of Illness 25 C. Permitted and Prohibited Uses 26 of Sick Leave D. General Provisions 26 7.04 Bereavement Leave 26 7.05 Leave of Absence Without Pay 27 7.06 Civic Responsibility Leave 27 7.07 Jury Duty and Witness Leave 27 - iii - Table of Contents (continuef 7.08 Absence Without Authorization 27 7.09 Medical Leave 28 7.10 Military Leave 28 7.11 Leave Without Pay Affect on 28 Seniority and Benefits 7.12 Eligibility for Benefits Temporary 29 and Part-Time Employees 7.13 Family Leave 29 RULE 8 LAYOFF PROCEDURES 30 8.01 Elimination of Position 30 8.02 Layoff Procedure 30 A. Seniority 30 B . Order of Layoff 30 C. Seniority List 30 D. Written Notice of Layoff 30 8.03 Reemployment 31 A. Reemployment List 31 B . Appointments 31 C. Prior Service and Anniversary Date 31 RULE 9. HARASSMENT 32 9.01 Purpose 32 9.02 Definition 32 9.03 Reporting 32 9.04 Investigation 32 9.05 Confidentiality 33 9.06 Retaliation 33 RULE 10. DISCIPLINE 34 10.01 Cause 34 10.02 Types of Actions 34 10.03 Progressive Steps 35 A. Verbal Reminder 35 B . Written Reminder 35 C. Contemplation Leave 35 D. Suspension Without Pay 36 E. Involuntary demotion 36 F . Reduction In Pay 36 G . Termination 36 10.04 Notice of Intent to Impose Discipline 36 A. Notice Requirements 36 B. Content of Notice 36 - iv - • Table of Contents continued) RULE 11 RULE 12 10.05 Response to Notice of Intent 36 A. Written Response to Notice 36 B. Preliminary Hearing 36 C. Suspension with Pay Pending 37 Determination of Disciplinary Action D. Personnel Officer's Determination 37 10.06 Appeal Rights 37 10.07 Placement in personnel File 37 10.08 Employee Acknowledgement 37 10.09 Investigatory Leave 37 10.10 Emergency Suspension 37 10.11 Extension 38 10.12 Delivery of Notice 38 GRIEVANCE PROCEDURE 39 11.01 Purpose of Grievance Procedure 39 11.02 Definitions 39 11.03 Grievance Procedure 39 11.04 General Provisions 40 EMPLOYEE REPRESENTATION ORGANIZATIONS 41 12.01 Purpose 41 12.02 Definitions 41 12.03 District Responsibilities and Rights 42 12.04 Employee Rights 43 12.05 Determination of Appropriate Employee Unit 43 12.06 Procedure for Recognition of 43 Employee Organizations 12.07 Scope of Representation 45 12.08 Timetable for Submitting Requests 45 12.09 Negotiations 45 12.10 Disposition If Impasse 45 12.11 Decertification 45 - v - Yorba Linda Water Dio Personnel Rules 0 page 2 RULE 1• PURPOSE AND APPLICABILITY 1.01 PURPOSE These rules establish the policies, principles and procedures for dealing with personnel matters. The intent of these rules is to establish a practical system based upon merit principles that will provide effective and efficient service to the public. This objective will be sustained through uniform, fair and equitable procedures which provide reasonable rights for prospective and current employees. These rules describe the District's Classification and Compensation system along with employee benefits. They also define work schedules, overtime, standby and call-out requirements; and spell out the District's criteria and expectations regarding employment, selection, promotion, while providing protection and due process for employees in matters related to discipline, grievances, and promotion. 1.02 COVERAGE These rules apply to employees in the Competitive Service, unless a broader coverage is expressly extended by a specific provision within these rules. The Competitive Service shall include all regular full-time and part-time positions except the following: A. General Manager B . Temporary Employees The following Corporate functions are assigned by the Board of Directors. They are are also excluded from these rules. C. Secretary D. Assistant Secretary E. Auditor Incumbents serving in positions excluded from Competitive Service shall serve at the will of the General Manager and may be dismissed without cause or right of appeal. These Rules supersede any and all District or Departmental personnel management policies, rules, regulations and procedures previously adopted, to the extent that they are inconsistent. If any section, sub-section, sentence, clause or phrase of these Rules is found to be illegal, such findings shall not affect the validity of the remaining portion of these Rules. 1.03 EQUAL EMPLOYMENT OPPORTUNITY For purposes of employment, promotion, transfer or any other personnel related action, the District does not discriminate by reason of physical handicap, disability, marital status, medical condition, race, religion, color, sex, age, national origin or ancestry, provided however, that the District may make employment decisions on the basis of a bona fide occupational qualification when permitted by law. Continued employment of those employees covered by these rules shall be subject to satisfactory work performance and necessity for the performance of the work as determined by the District. Yorba Linda Water D* Personnel Rules • page 3 1.04 REVISIONS The Board of Directors may amend these Rules. Revisions to these Rules may be proposed by any member of the Board of Directors or the General Manager. Notice of proposed revisions and/or amendments shall be furnished to each recognized employee organization at least five days prior to consideration by the Board of Directors. Such notice shall include the content of the proposed revision and/or amendment as well as the date, time and place on which it is to be heard by the Board of Directors. 1.05 PERSONNEL OFFICER The General Manager shall designate the Personnel Officer. The Personnel Officer shall be responsible for administration of the District Personnel System, including all rules and regulations except those which may be specifically reserved by the General Manger or Board of Directors. The Personnel Officer shall also be responsible for preparing and recommending to the Board of Directors revisions to and/or interpretations of these rules; providing for the the recruitment and evaluation of candidates for vacant positions; and for preparing and revising as necessary, a position classification system along with a schedule of compensation for approval by the Board of Directors. Nothing shall preclude the Personnel Officer from recommending to the General Manger that any personnel function be performed under contract by a qualified person, agency or organization. FW1 Yorba Linda Water Df page 4 Personnel Rules The following terms as used in these Personnel Rules and Regulations shall, unless the context clearly indicates otherwise, have the respective meanings described below: ALLOCATION: The assignment of a single position to its proper class in the District's Position Classification Plan. APPOINTING AUTHORITY: The General Manager or designee, who, in their individual capacity, has the final authority to appoint a person to a position of employment. APPOINTMENT: The designation of a person by due authority to become a District employee, signing of the proper forms to record the designation and acceptance by the person of the position and conditions as provided in these rules. CLASS: All positions sufficiently similar in duties, authority, responsibility and working conditions to permit grouping under common title and the application of common standards of selection, transfer, promotion and salary. CLASSIFICATION PLAN: A listing of the duties and responsibilities of all District positions, as determined by the Personnel Officer and approved by the Board of Directors. COMPETITIVE SERVICE: The positions and employments which are set forth in Rule 1.02. In essence, the merit system whereby District employees are hired and promoted through a competitive process based upon objective standards of merit to assure fair consideration in all aspects of employment/promotion. CONTINUOUS SERVICE: The continuing service of a regular employee in a payroll status without interruption except for authorized leave of absence from date of hire. DEMOTION: The voluntary or involuntary transfer of an employee from one class to another class with a lower salary grade or to a lower step in a hierarchy of positions. DEPARTMENT HEAD: One who functions directly under the authority of the General Manager, has direct responsibility for a particular department or major function, and manages its staff, policies and budget. DISCIPLINARY ACTION: The discharge, demotion, reduction of pay, suspension, or the issuance of a written reprimand or formal warning other than an evaluation for corrective, punitive or disciplinary reasons. DISMISSAL: The discharge of an employee by the District from District employment. ELIGIBLE: A person whose name is on an employment list, promotional list or reemployment list.. EMPLOYEE: An elected or appointed person occupying a position in the District employment, and providing services to the District or its customers. This excludes independent and outside contractors, members of advisory boards and volunteers. EMPLOYEE ASSISTANCE PROGRAM: A health and wellness benefit which allows an employee or member of the employee's family to receive personal counseling at District expense, Yorba Linda Water Die Personnel Rules subject to certain limits. EMPLOYMENT LIST: • page 5 A. Open Competitive A list of candidates who have qualified in an examination open to all qualified individuals and who are eligible for appointment. B. Promotional A list of candidates who have qualified in an examination open only to qualified District employees and who are eligible for appointment. C. Reemployment A list of former employees who have been laid off and who are eligible for reemployment in their former classification or in a comparable classification carrying the same or lower maximum rate of pay. D. Reinstatement A list of former employees who resigned from the Competitive Service in good standing and who are eligible for reinstatement to their former classification carrying the same or lower maximum rate of pay. EXEMPT EMPLOYEE: An employee who is exempt from the overtime payment provisions of FLSA. FAIR LABOR STANDARDS ACT (FLSA): The Federal Law which guarantees employees certain minimum wages and time and one-half overtime standards. FISCAL YEAR: A twelve month period from July 1 to June 30 in which the District plans, budgets, appropriates and expends its funds. FULL-T AE POSITION: A position requiring the incumbent to work forty hours or more per week. GRIEVANCE: A claim by a regular employee in the competitive service that the District has violated, misrepresented or misapplied an obligation to the employee, as expressed in the Personnel Rules, Memorandum of Understanding or other administrative rules, procedures or regulations. Disciplinary actions, the content of performance evaluations, rejection from probation and merit adjustments are not subject to the grievance procedure. Improper treatment of an employee and violations of commonly accepted safety procedures and practices are within the scope of grievance procedures. However, the grievance procedure shall not be used to establish new policies or change any existing rules. GRIEVANCE PROCEDURE: The process by which the validity of a grievance is determined. IMMEDIATE FAMILY: Employee's spouse, parents, children (stepchildren), sisters, brothers, grandparents, grandchildren, mother-in-law, father-in-law, sisters-in-law, brothers-in-law. LAYOFF: Termination of employment due to elimination of position due to lack of work or lack of available funding. LEAVE OF ABSENCE: Permission to be absent from work for a specified purpose, with the right to return before or upon the expiration of the leave period. MERIT SALARY INCREASE: The increase of an employee's salary within the salary range established for the classification the employee occupies, resulting from satisfactory job Yorba Linda Water Di Personnel Rules • page 6 performance, which is based on performance or merit, not on longevity. MISCONDUCT: Any act or unsatisfactory job performance which may be subject to disciplinary action. NON-EXEMPT EMPLOYEE: An employee who is covered by the overtime provisions of FLSA. OVERTIME: The time which an employee is required or permitted to work beyond the number of hours prescribed for a full-time employee in that classification. PART-TIME POSITION: A position requiring the incumbent to work at least twenty hours per week. Employees working less than twenty hours per week are excluded from the Competitive Service, serve at the will of the General Manager, and may be terminated without cause or without hearing or right of appeal. PERSONNEL COMMITTEE: A Committee comprised of two members of the Board of Directors who are empowered to hear, discuss and review all personnel-related matters prior to submission to the Board of Directors. The Personnel Officer provides staff support to the Personnel Committee. PERFORMANCE IMPROVEMENT PLAN: When an employee's performance either does not justify a salary increase or is such that a decrease in salary is recommended, the employee and their supervisor shall design a Performance Improvement Plan. This plan shall describe the performance objectives for the employee for a 90 day reassessment period. This plan requires the concurrence of the Department Head and Personnel Officer prior to implementation. PERSONNEL OFFICER: The General Manger or the General Manger's appointed representative. POSITION: A combination of duties assigned to be performed by one person. PROBATIONARY EMPLOYEE: An employee whose regular status is contingent upon successful completion of a prescribed period of observation to determine that employee's ability to perform the duties of the position. The probationary period is a 6 month working test period, unless extended, during which an employee is required to demonstrate their ability to perform the duties of their position. PROMOTION: The movement of an employee from one class to another class with a higher rate of pay. RECLASSIFICATION: The reassignment of a position from one classification title or grade to a different classification title or grade in accordance with a reevaluation of the minimum qualifications, dudes, and responsibilities of the position in question. REDUCTION IN FORCE: A layoff in the work force. REGULAR EMPLOYEE: An employee who has completed the Probationary Period in their position and is occupying a position established on a continuing basis, as distinct from temporary employees who serve on a seasonal or intermittent basis. "Regular" status connotes no vestment rights in a position, nor does it imply any form of "permanence" with regard to continuity of employment except as provided for within these Rules. Yorba Linda Water Dio Personnel Rules • page 7 RULES: These Personnel Rules, as they may be amended from time to time. SALARY PLAN: An annual listing of the minimum through maximum salary grades of pay for all defined District classifications, as prepared by the General Manager and adopted by the Board of Directors. SENIORITY: Seniority is defined as the length of continuous service in the employee's present classification or in higher or equal classes regardless of the department to which assigned. When employees have equal seniority for retention in a class, the employee with the greatest amount of seniority credit with the District shall have the highest retention priority. Seniority credit with the District shall be defined as the length of continuous service from the last date of hire by the District. STAFFING PLAN: The classification titles, salary grades and number of allocated positions in the District for a given fiscal year. STEP: The various increments of a salary range, from minimum to maximum, authorized for the subject classification. SUSPENSION: An involuntary absence imposed by the General Manager for disciplinary purposes or pending investigation or charges. TEMPORARY EMPLOYEE: An employee in a position which is intended to be occupied on less than a year-round basis including, but not limited to the following: to cover seasonal peak workloads; emergency extra workloads of limited duration; vacation relief, paid sick leave or other situations involving a fluctuating staff. Ordinarily, such positions will not be authorized for over six months. Temporary employees are excluded from the Competitive Service, serve at the will of the General Manager, and may be terminated without cause or without hearing or right of appeal. TERMINATION: The separation of an employee from District service because of retirement, resignation, permanent disability, dismissal or death. TRANSFER: Change of an employee from one class to another having the same maximum salary and similar duties and basic qualifications. WORKWEEK: A regularly reoccurring period of seven (7) consecutive twenty-four (24) hour days. Y-RATE OF PAY: The Y-rate of pay shall exist when an employee's salary is frozen at their current level until such time as the maximum salary for that employee's classification equals or exceeds the employee's salary, as frozen at the Y-rate. Yorba Linda Water Di~ Personnel Rules 3.01 THE PLAN • page 8 The plan shall cover all positions in the Competitive Service and shall consist of the following components: A. ALLOCATION LIST: An Allocation List reflecting the number and departmental location of positions allocated to the respective job classifications. B. CLASS SPECIFICATION MANUAL: A Class Specification Manual containing descriptions of all job classifications currently in the Competitive Service. The Class Description is intended to clearly set forth the basic work tasks, distinguishing characteristics, knowledge, skills, abilities, and minimum employment qualifications applicable to each classification. C. SALARY SCHEDULE: A Salary Schedule which assigns each classification to a specific salary range or salary rate. The Classification and Pay Plan may be modified as necessary to reflect Board-approved general or special salary adjustments, classification actions or other related items. 3.02 CLASSIFICATION CHANGES When a new position is proposed for creation in the Competitive Service or an existing one is reclassified or abolished, the manager proposing such action shall submit the justification to the Personnel Officer who shall conduct whatever study may be required. The General Manger or Personnel Officer shall have the authority to initiate, at any time, a study to determine the appropriateness of any position's classification allocation. The General manger shall make the final determination on all actions arising under this provision, subject to approval by the Board of Directors when the determinations results in an amendment to the Plan. The District will provide affected recognized Bargaining Units an information copy of the new class specification for any proposed classification relevant to that Bargaining Unit. 3.03 REQUESTS FOR CLASSIFICATION REVIEW A Department Head may, at any time, submit a request to the Personnel Officer for a review of an employee's position, setting forth the reasons for the request. The Personnel Officer may make the review, take appropriate recommendations to the General manager, and notify the Department head and employee. All such requests may be acted upon within sixty days of receipt. The decision of the General Manger shall be final without right of grievance or further hearing, except in cases where Board of Directors' action is required, in which case Board action shall be final. 3.04 COMPENSATION FOR EMPLOYEES Employees shall receive compensation at the monthly or hourly rate for the range and step, or flat rate assigned to the class in which they are employed. The pay plan for the District shall be as provided in the current Salary Resolution. Merit increases and reductions in pay within salary ranges shall be determined by the General Manager in accordance with this rule. Yorba Linda Water Di*t Personnel Rules 3.05 PAY FOR NEW EMPLOYEES • page 9 A new employee shall be paid at the first step of the salary range in effect for the class in which the new employee is hired. However, the General Manager may authorize the appointment of employees at any of the steps of the salary range. Such appointments shall be made only when the General Manger makes a determination that there is a direct and measurable benefit to the District from such appointments and makes a determination that the applicant's previous training and experience enables that candidate to make a greater contribution than a less experienced employee. 3.06 MERIT INCREASE ADJUSTMENTS A. ADVANCEMENT IN RANGE: Employees may be considered for merit salary increases. These increases to steps within an established salary range shall not be automatic but will be granted only for continued improvement by the employee in the effective performance of the duties of their position as determined through the District's performance evaluation process. Merit salary increases require the specific recommendation of the employee's immediate supervisor or department head, the concurrence of the Personnel Officer and the approval of the General Manger. B. PERFORMANCE EVALUATION: Merit salary increases from Steps 1 through 3 require that an employee have 60 or more points on the regular employee evaluation. To move above Step 3, the employee must have 80 or more points on the annual employee evaluation. C. POSTPONEMENT OF MERIT INCREASE: If an employee on Step 4 fails to achieve 70 or more points on their annual evaluation, the employee will be reduced one step. If an employee on step 5 fails to achieve 80 or more points on their annual evaluation, the employee will be reduced one step. Such a step reduction shall be a function of evaluation content, and not be considered discipline for any purpose. D. ACCELERATION OF MERIT INCREASE: The General Manager may grant a merit increase prior to the completion of the eligibility requirements set forth above. E. LEAVE OF ABSENCE AND REVIEW DATE: The granting of an official leave of absence of more than thirty continuous calendar days, other than for military leave, shall cause the employee's merit salary review date to be extended the by the number of calendar days they were on leave. F. EFFECTIVE DATE OF INCREASE: Authorized salary step increases shall become effective at the beginning of the next full pay period after the employee's review date. To take effect, a salary increase requires approval by the General Manager. Yorba Linda Water Di* • page 10 Personnel Rules G. LATE INCREASES: Should an employee's review date be overlooked, and upon discovery of the error, the employee is recommended for a salary increase, the employee shall receive a supplemental payment in compensation for the additional salary they would have received had the increase been granted at the appropriate time. Final approval of all step salary increases provided for in this section shall rest with the General Manager. The decision of the General Manager will be final. The employee will not have the right to grieve or appeal any determination of a merit adjustment. It shall be the responsibility of the Personnel Officer and Department Head to ensure that the required performance evaluation is submitted in a timely and complete fashion. In no event shall an increase be granted before the requirements of this provision have been satisfied. 3.07 SALARY ON PROMOTION An employee who is promoted to a position in a class with a higher salary range than the class in which they formerly occupied, shall receive the nearest higher monthly salary in the new range that constitutes at least a minimum five percent salary increase. The employee upon promotion shall be given a new merit review date for purposes of future salary step advancement. The new date shall be based upon the effective date of promotion. 3.08 SALARY ON TRANSFER An employee who is transferred from one position to another in a class having the same salary range shall be compensated at the same step in the salary range. The employee's merit review date shall not change. 3.09 SALARY ON DEMOTION A. INVOLUNTARY DEMOTION: An employee who is involuntary demoted may have their monthly salary reduced by up to two steps, or they shall receive the maximum rate in the salary range for the class to which they have been demoted, whichever is lower. The employee shall be assigned a new merit review date based upon the effective date of the demotion. An involuntary demotion is considered disciplinary action, and subject to the provisions of Rule 10. B . VOLUNTARY DEMOTION: An employee who is demoted at their request shall receive the highest salary in the new range that does not exceed the employee's rate of pay immediately prior to reduction. The employee shall retain the merit review date they had in the higher position. 3.10 SALARY ON POSITION RECLASSIFICATION When a regular or probationary employee's position is reclassified and the employee is appointed to the new position, their salary shall be determined as follows: A. HIGHER CLASSIFICATION: If the position is reclassified to a class with a higher salary range than the previous class, the employee's salary and merit salary review date shall be set in the same manner as if they had been promoted B. EQUIVALENT CLASSIFICATION: If the salary of the employee is the same or less than the maximum of the salary range of the new class, the salary and merit salary review date of the employee shall not change. Yorba Linda Water Dist • page 11 Personnel Rules C. LOWER CLASSIFICATION. If the salary of the employee is greater than the maximum of the range of the new class, the salary of the employee shall be designated as a Y-Rate, and shall not change during continuous regular service until the maximum of the salary range to which the class is assigned exceeds the salary of the employee. 3.11 SALARY UPON REEMPLOYMENT AFTER LAY-OFF An employee reemployed in the same class or a comparable class shall receive the same salary step in the range of the class they held upon layoff. 3.12 EMPLOYEE BENEFITS AND PERQUISITES A. RETIREMENT SYSTEM: The District is a member of the Public Employee Retirement System (PERS). Eligible employees are required to participate in accordance with the rules of PERS. At its option, the District may change its retirement system provider upon adoption by the Board of Directors. Prior to any changes in retirement benefits, those eligible for retirement must be notified at least 90 days in advance. PERS retirement benefits are available to regular employees working at least 1,000 hours in a fiscal year. All members of the Board of Directors shall be covered either by PERS, a Deferred Compensation Plan and/or the Federal Social Security retirement system. All part-time, temporary and seasonal employees, as well as any other employees not eligible for membership in PERS shall be placed in the Federal Social Security retirement system. B . HEALTH INSURANCE: The District shall pay a portion of the premium as determined by the District for hospitalization and medical insurance for employees and eligible dependents in accordance with the provisions of any contract between the District and any company or companies chosen by the Board of Directors which provide such service; and the employee shall bear the cost of the difference in premium. All eligible employees are required to participate. The designation or change of carrier shall be at the District's option after receiving the input of employees. C. LIFE INSURANCE: The District shall provide group life insurance, in the amount of one times basic annual salary, rounded to the next highest multiple of $1,000 for each regular employee under age 70. This shall be provided after two full calendar months of service to the District, and shall be provided by a carrier of the District's choosing. Any employee may increase the coverage to up to two times annual salary by authorizing the additional premium to be deducted from salary. The designation or change of carrier shall be at the District's option. D. DENTAL INSURANCE: Dental insurance is provided by the District for all eligible employees and their eligible dependents. This shall be provided after two full calendar months of service to the District, and shall be provided by a carrier of the District's choosing. The District pays the full dental insurance premium for eligible employees, and 2/3 of the premium for eligible dependents. All eligible employees are required to participate.The designation or change of carrier shall be at the District's option. E. VISION INSURANCE: Vision insurance is provided by the District for all eligible employees and their eligible dependents. This shall be provided after two full calendar months of service to the District, and shall be provided by a carrier of the District's choosing. The District pays the full vision insurance premium for eligible employees, and 2/3 of the premium for Yorba Linda Water Di* page 12 Personnel Rules eligible dependents. All eligible employees are required to participate. The designation or change of carrier shall be at the District's option. F. CAFETERIA (125) PLAN: The District shall provide a Cafeteria Plan to all or selected groups of employees, as defined in Section 125 of the Internal Revenue Code, as amended from time to time. The purpose of this plan is to provide eligible employees a choice between cash and certain non-taxable benefits G. TRAVEL EXPENSE ALLOWANCE: Travel expense allowances for employees and Directors, while on District business, shall be provided in accordance with policies adopted by the Board of Directors. H. MEALS DURING EMERGENCY SERVICE: If an employee is required to remain at work for a minimum of two hours following the close of their regular workday for the purpose of performing emergency overtime work, the District shall provide that employee with an adequate meal. If an employee is called out to perform emergency overtime work during the morning hours of a regularly scheduled working day, the District shall provide that employee with an adequate meal if such overtime work continues past the hour of 7 a.m. If an employee is called out to perform emergency overtime work, the District shall provide an adequate meal at four-hour intervals during the performance of such overtime work. Meal time shall be considered working time and shall be compensated for at the appropriate overtime rate. The District shall not provide meals before, during or after any overtime work which is scheduled in advance. I. INSURANCE FOR RETIREES: The District shall pay the amounts provided in Section 3.12 B and 3.12 D for any employee who retires from the District. This benefit is accrued at the rate of one year for each three years service to the District. These accruals shall be prorated on a quarterly basis. To be eligible for this benefit the employee must be at least 50 years of age, have five years of service with the District, must retire from the District while in good standing and upon 90 days written notice, and must remain in retired status Members of the Board of Directors are also eligible for this benefit. To qualify, a member of the Board of Directors must have 12 years of service, but there is no minimum age qualifier for Board members. If any benefit period remains when the employee or their spouse reaches age 65, whichever is latest, then coverage will convert to Medicare Supplement for the remainder of the benefit period. For purposes of this section retired status means that the employee shall not work for compensation for more than seven hundred twenty (720) hours in any fiscal year. The District may require an employee to certify under penalty of perjury that the employee has remained on retired status and/or submit to such additional verification as the District deems necessary to demonstrate retired status.The retired employee must make any contribution of premiums but no more than the contribution required of a regular employee, prior to the first day of the month in which coverage is to be extended. Failure of an employee to make such payment shall result in termination of coverage and termination of any right to any benefit pursuant to this section. Yorba Linda Water Di, page 13 Personnel Rules RULE 4. WORKWEEK OVERTIME AND PREMIUM PAY 4.01 WORKWEEK Employees shall be in attendance at their work in accordance with the rules regarding hours of work, holidays and leaves. All departments shall keep biweekly time records of employees which shall be reported in the form and on the dates specified by the Personnel Officer. Employees are expected to be at work and on-time, whenever possible, in order that the District may meet its work goals and objectives. Employees who are frequently late and/or absent will be subject to discipline as outlined in Rule 10. The normal workweek shall be forty hours consisting of: A. EIGHT HOUR SHIFT: Five consecutive work days of eight hours within a period of seven consecutive days, as designated by the District. B. ALTERNATIVE WORK SCHEDULES: Work schedules of more than eight hours within one day but not more than forty hours within a period of seven consecutive days may be scheduled by management to meet the work needs of the District. Where it meets the needs of both the District and the employee, an alternative work schedule comprised of nine working days within a period of ten work days may be scheduled. C. SHIFT DIFFERENTIALS: Department heads may schedule maintenance and plant operations shifts which include evening, weekend and holiday work. Employees whose regularly scheduled shift includes working hours after 6:00 p.m.and/or before 6:00 a.am. Monday through Friday, and/or any hours on Saturday, Sunday and/or holidays, shall be paid a differential equal to their regular hourly rate plus five percent for each hour worked after 6:00 p.m. and before 6:00 a.m. and/or Saturday, Sunday and/or holidays. D. TIME RECORDS: All District employees must complete time sheets showing hours worked and leave taken. They must be signed by the individual employee, the employee's supervisor and Department Head and the General Manager or designated representative. Notice of any corrections to the time-records will be sent to the employee and Department head. Such corrections will be deemed final unless questioned by the employee and within thirty days after notice of correction has been given to the employee. Unresolved matters may be taken to the General Manager for a final determination. 4.02 OVERTIME A. NOTIFICATION TO EMPLOYEES: An employee who may be asked to perform overtime shall be notified of the apparent need for such overtime as soon as practicable prior to the commencement of overtime. B. DISTRIBUTION OF OVERTIME: Overtime opportunities shall be made available first on an equal basis to regular full-time employees capable of performing the work. To receive overtime compensation, all overtime must be authorized in advance by a Department Head, their designee, or the General Manager. Yorba Linda Water D*t page 14 Personnel Rules 4.03 PAYMENT FOR OVERTIME The Fair Labor Standards Act (FLSA) requires that work performed by nonexempt employees in excess of forty hours in a seven day work period be compensated at the rate of time and one half the employee's regular rate of pay, either as paid time at the one and one half rate of pay or as compensatory time accrued at the rate of one and one half rate of pay. Prior to authorization of overtime, the employee and supervisor shall agree as to how the employee shall be compensated (i.e., paid time or compensatory time). Compensatory time is vested time and must be utilized or paid in conjunction with termination of employment. Whether an employee is exempt or nonexempt is determined by the criteria included in FLSA. Exempt and nonexempt status is determined by the Personnel Officer. Vacation, holiday and compensatory time will not be included as time worked for purposes of calculating FLSA overtime. Sick leave will be treated as time worked for purposes of calculating paid overtime or compensatory time off. Overtime shall be credited in fifteen minute increments with no credit given for time worked which is less than a fifteen minute period. Time worked as overtime shall not be used to earn supplemental benefits or to serve out probation or merit salary increase periods. 4.04 REST PERIODS Each employee shall be granted one fifteen minute rest period for each four hours worked. 4.05 STANDBY AND CALL OUT COMPENSATION An employee assigned to standby duty for purposes of being on call to handle emergency situations arising at times other than normal working hours shall be paid at the current rate, as determined by the Board of Directors, for each day that employee is assigned to standby duty. The pay for standby time may be accrued to the second payday in December and paid in a lump sum, or it may be paid at the regular pay period in which the standby duty is completed. Call-out compensation shall be as follows: When an employee is called out between the hours of 10:00 p.m. and 6:00 a.m.at times other than the employee's normally scheduled working hours, the employee shall be paid time and one half base rate for each hour worked, provided however, the employee shall be paid a minimum of two hours. When an employee is called out between the hours of 6:00 a.m. and 10:00 p.m. at times other than the employee's normally scheduled working hours, the employee shall be paid time and one half base rate for each hour worked, provided however, the employee shall be paid a minimum of one hour. All emergency call out time which exceeds one hour shall be calculated to the nearest one half hour of time worked. Yorba Linda Water Dot Personnel Rules 0 page 15 5.01 RECRUITMENT ANNOUNCEMENTS AND APPLICATIONS In adopting these rules, it is the goal of the District to employ the most qualified individuals and to achieve excellence in serving the needs of the District and its customers. Employment and promotion in the District shall be based upon merit and qualifications and shall be free from political influence and discrimination based upon religion, age, sex, marital status, race, color, national origin, ancestry, political affiliation, medical condition and or other disabilities as defined by law; provided however, that the District may make employment decisions on the basis of bona fide occupational qualifications when permitted by law. Although not expressed in the classification specifications or job announcements, all persons applying for or holding any position in the District shall be required to possess the following general qualifications to the extent necessary to perform their job: Integrity, thoroughness, accuracy, good judgment, initiative, resourcefulness, courtesy, willingness and ability to work cooperatively with others, willingness and ability to assume and fulfill the responsibilities of employment, physical and mental abilities compatible with the work assignment, subject to reasonable accommodation. A. RECRUITMENT ANNOUNCEMENTS: Job announcements providing information about the position, its title and pay, its major responsibilities and duties, minimum and other qualifications, when and where to apply, and the last day on which applications will be accepted shall be prepared and distributed by the Personnel Officer. All positions to be filled will be publicized by posting announcements on the District's official bulletin boards. Other recruitment methods may include notifying other public agencies, advertisements in general or specialized media, solicitation and recruitment through professional organizations, or other methods deemed appropriate by the Personnel Officer. B. APPLICATION FORMS: All applications for employment must be made on official forms furnished by the Personnel Officer. To be accepted, applications must be submitted by the official closing date of the filing period, be complete and bear an original signature of the applicant. C. APPLICATION CLOSING DATE: The Personnel Officer may establish, prior to the commencement of recruitment, the closing date for applications to be accepted for the open position. The closing date shall be clearly stated in the job announcement. However, all openings for regular positions in the District shall be posted for at least one week prior to the deadline for submission of applications. In order to be considered, an application must be received by 5:00 p.m. on the final day of the recruitment period. A late application shall be accepted from a qualified District employee only under the following circumstan ces: The employee must provide documentation establishing that they were absent from work on an authorized leave continuously from the date the position was first posted to the date the application period closed. The personnel Officer may extend or reopen the application period as recruitment needs require. 5.02 EMPLOYMENT EXAMINATIONS A. TYPES OF EXAMINATIONS: Prior to distribution of any examination announcement Yorba Linda Water D* • page 16 Personnel Rules the Personnel Officer and Department Head shall determine whether the examination is to be administered on an open-competitive basis and/or on a promotional basis. Where an open-competitive examination is to be utilized, applications may be accepted from any qualified individual. Promotional examinations shall be open only to those regular or probationary employees who meet the minimum qualifications for the position. At the discretion of the Personnel Officer, an examination may be administered on both an open-competitive and promotional basis. B. SELECTION TECHNIQUES: Selection techniques shall be impartial and relate to those areas which will adequately and fairly indicate the relative capacity of the applicants to perform the duties and responsibilities of the position to which they seek appointment. The selection procedure may consist of personal interviews, performance tests, evaluation of work performed, work samples, assessment centers, physical agility tests, other written tests, review and investigation of personal background, and such other examinations which in the judgment of the Personnel Officer, may be necessary to evaluate the candidate's capacity to perform successfully on the job. In addition, to conform to the Americans with Disabilities Act (ADA), job related medical examinations may be conducted after applicants receive an offer of employment and before they commence their duties. Offers of employment may be conditioned on the results of such medical examinations. All prospective employees may be subjected to such examinations. Information obtained regarding an applicant's medical condition or history will be collected and maintained on separate forms and in separate medical files. These files will be treated as confidential medical records; and the results of the examinations used only in accordance with the provisions of ADA. If a medical examination demonstrates that an applicant is not qualified for the position applied for even when reasonable accommodations are considered, the District may withdraw the conditional offer of employment. If a conditional offer of employment is withdrawn, the District will provide the applicant the opportunity to know why the offer was withdrawn. C. CONDUCT OF EXAMINATIONS: It shall be the responsibility of the Personnel Officer to assure that the examinations process is conducted in an objective, timely and efficient manner. The Personnel Officer may contract with any competent individual, organization or agency for preparation and/or administration of a given examination or portion thereof. D. EXAMINATION RECORDS: Candidates may be allowed to review their own examination results at the discretion of the Personnel Officer. All examination records are confidential and no copying of questions or answers from any paper made available for inspection shall be permitted. Any candidate violating this provision is subject to disqualification from the examination, and is subject to disciplinary action. 5.03 ELIGIBILITY LISTS Candidates successfully completing all components of the examination shall be placed on an eligibility list. Lists shall remain in effect for six months unless exhausted or abolished within that period. The Personnel Officer may extend any list for up to an additional 12 months. The Personnel Officer may abolish any eligibility list having fewer than three available candidates. Yorba Linda Water D* Personnel Rules • page 17 5.04 CERTIFICATION OF ELIGIBLES AND APPOINTMENTS, A. CERTIFICATION OF ELIGIBLES: When a request by a Dep'artme'nt head to fill a vacant position has been approved by the Personnel Offiper, the Personnel Officer shall forward to the Department head and General Manager an, eligibility list of persons eligible for appointment. The appointment shall be made bpohe'General Manager, following consultation with the Department Head B. REGULAR APPOINTMENTS: Regular appointments may be made from any candidate on the eligibility list. C. TEMPORARY APPOINTMENTS: The General Manager may authorize temporary appointments to meet short-term employment needs such as periods of peak workload, illness or pending the establishment of a new eligible list. Such appointments may be made from an appropriate employment list or from among other qualified persons where there is no active list or where there are insufficient eligibles directly available for appointment. Unless extended by the General Manager, temporary appointments shall not extend beyond one year. D. ACTING APPOINTMENTS: Upon recommendation of the Department head and Personnel Officer, the General Manager may approve acting appointments of regular District employees to higher level positions pending regular appointment in accordance with these rules. Acting appointments shall be reviewed on six month intervals, up to twelve months. Time served on an interim appointment may be extended and may be credited to a probationary period when applicable, upon recommendation by the Department head and the General Manager. After 30 days in an acting capacity in a class with a higher salary, an employee shall be paid a salary which is equal to the first step of the salary assigned to the acting position, or a five percent salary increase, whichever is greater. While working in an acting capacity, employees shall continue to accrue salary step increases consistent with District merit salary increase procedures in their regular position, which will become effective upon return to their regular position. An employee appointed to a position in an "acting" capacity may be removed from that position at any time and reassigned to their former class without cause, and at the discretion of the Department Head, with the concurrence of the Personnel Officer and the General Manager. Such action shall not be considered discipline for any purpose. Yorba Linda Water Dio Personnel Rules 10 page 18 RULE 6. (TENERAL PERSONNEL PROVISIONS 6.01 PROBATION A. NEW PROBATION: A new or reemployed employee employed in a regular position shall be placed on probation for six months from the date of appointment. A new or reemployed employee in a part-time position shall be placed on new probation for one thousand forty hours exclusive of overtime. B . PROMOTIONAL PROBATION: A full or part-time employee who is promoted shall be placed on promotional probation. A full time employee shall serve a probation period of six months. A part-time employee shall serve a promotional period of one thousand forty hours exclusive of overtime. C. FAILURE OF PROBATION: 1. New Probation: An employee on new probation may be released at the sole discretion of the Department at any time without right of appeal or hearing. 2. Promotional Probation: Any employee rejected during the first sixty days of the probationary period following a promotional appointment, shall be reinstated to the same classification from which they were promoted if a position in such classification is available. The Department head shall make reasonable efforts to hold such positions available if it appears that the employee may not successfully complete the first thirty days of the probationary period. If the employee shall have been discharged for cause, suspended without pay or resigned, no reinstatement shall be made. D. GENERAL PROVISIONS: 1. Service Credit: When an employee's record consists of a combination of full-time and part-time service in regular positions, part-time service shall be applied proportionally by using total hours worked to appropriate full-time requirements. For purposes of this section, one thousand forty hours shall equal six months. 2. Extension of Probation: Should the Department Head, Personnel Officer and General Manager determine that a longer period of probation should be required, the appointee will be informed in writing of the amount of extension and the reasons for the extension. Extensions shall not exceed six months. Only one extension shall be granted. 3. Leave of Absence: The granting of a leave of absence shall cause the employee's probation period to be extended by the length of the leave in excess of fifteen calendar days. An employee who is suspended shall have their probation extended by the length of suspension. 6.02 PERFORMANCE EVALUATIONS The District shall maintain a system of employee performance evaluations designed to give a fair appraisal of the quality and quantity of work performed by an employee. Such evaluations shall be prepared and recorded in the employee's personnel file for all regular and part time employees at least once each year. For employees on probationary status, performance shall be reviewed at least once near the middle and once again prior to the close of the probationary period. Yorba Linda Water Dot . page 19 Personnel Rules All performance appraisals must be completed in writing by the employee's supervisor, reviewed by the Department Head, the Personnel Officer and General Manager. The employee's immediate supervisor shall discuss with the employee the specific performance ratings prior to such ratings being made part of the employee's personnel file. When a performance evaluation is recorded in the personnel file of an employee, a copy of the evaluation shall be given to the employee. Performance appraisals and changes in salary stemming from these appraisals shall be conducted as described in Section 3.06 of these Rules. 6.03 CONTENTS OF PERSONNEL FILE The Personnel Officer shall maintain a personnel file for each employee. The personnel file shall contain information regarding employment status, disciplinary actions, and such other information as legally required and as may be considered pertinent as determined by the Personnel Officer. These files shall be locked, with access limited to designated employees. Adverse statements shall not be included in an employee's personnel file unless a copy is provided to the employee. Letters of reference and reports concerning criminal investigations concerning the employee may be included in an employee's personnel file. An employee shall have the right to inspect their personnel file at reasonable intervals. An employee who wants to review their personnel file shall request an appointment with the Personnel Officer or a designee at least twenty-four hours in advance. Any employee shall have the right to respond in writing or personal interview to any information contained in their official personnel file, such reply to become a permanent part of the employee's personnel file. Any contents of an employee's personnel file may be destroyed pursuant to an agreement between the Personnel Officer and the employee concerned or by order of an arbitrator, court or impartial hearing officer unless the particular item is otherwise required by law to be kept. The District shall maintain a file for each District Employee showing the name, title of position, the department assigned, salary, changes in employment status, W-4 forms, payroll deductions and other information as may be considered pertinent. 6.04 TRAINING AND EMPLOYEE DEVELOPMENT A. ELIGIBILITY AND DOCUMENTATION: Any regular employee is eligible to request reimbursement for educational or training expenses as defined and provided for within this or other controlling rules and procedures, and as agreed upon in Memoranda of Understanding. All employees must satisfy the necessary prerequisites for enrollment in a course to be eligible for reimbursement from the District. B. REIMBURSEMENT: Applications for educational reimbursement must be obtained from and submitted to the Personnel Officer. Each application must be approved by the appropriate Department head and the General Manager prior to enrollment in the course. Eligible employees may be reimbursed for costs of tuition, books, fees, and parking relating to educational courses taken and completed at accredited institutions at a rate not to exceed standard resident fees as charged by the California State University. Yorba Linda Water Di • page 20 Personnel Rules C. LIMITATIONS: Proof of payment and successful completion of the course must accompany the reimbursement request on a form provided by the District. To qualify for reimbursement, the General Manager shall have previously approved the subject matter of the courses and deemed them as job related. Failure to attain a passing grade or satisfactory completion will result in denial of the employee's request for reimbursement for any educational claim for reimbursement. 6.05 TIME OFF FOR SELECTION PROCEDURE An employee shall be entitled to necessary time off with pay to participate in tests of fitness, examinations and interviews required by the Personnel Officer during working hours for the purpose of determining eligibility for movement to another class or transfer from one department to another. 6.06 RESIGNATION An employee wishing to leave the competitive service in good standing shall file with the Personnel Officer a written resignation stating the effective date and reasons for leaving at least two weeks before leaving the service, unless such time is waived by the Personnel Officer. A statement as as to the resigned employee's service performance and other pertinent information shall be forwarded to the Personnel Officer. Failure to give notice as required by this rule shall be cause for denying future employment with the District. 6.07 NEPOTISM No member of the immediate family of an employee of the District may be hired when the employee would have control of the employment status or employment conditions of the immediate family member. The immediate family shall be defined as any relatives or other adults residing in the same household or claimed as dependents for tax purposes; and, in addition shall include regardless of residence or tax status the following: son, daughter, son-in-law, daughter-in-law, sister-in-law, brother-in-law, grandmother, grandfather, mother, father, mother-in-law, father-in-law, brother, sister, step-child, adopted child, step parents, step children, step brother, step sister, half brother, half sister, uncle, aunt, niece, or nephew. The District reserves the right to refuse to place one family member in the same department where such has the potential for creating adverse impact on supervision, safety, security or morale. If co-employees become members of the same family or reside in the same household, the District shall make reasonable effort to reassign one or the other, without discrimination, so as to make it possible for both to continue to be employed by the District. In the event the District is not able to make a job assignment consistent with this rule, then the least senior of the two employees shall be terminated. 6.08 CONFLICTS OF INTEREST District employees should serve the needs of all customers equally without regard to their personal gain. It is the policy of the District that all employees avoid situations which might be interpreted as involving or creating a conflict of interest between the employee's duties and responsibilities as a District employee and the employee's personal and private interest. Employees should not take part in the consideration of any application, proceeding or other matter involving their own personal property, real estate, investment or other interest, or that of any relative or close personal acquaintance. In all such situations, the employee should disclose Yorba Linda Water D&t • page 21 Personnel Rules the nature of the relationship to their supervisor and request to be relieved of any responsibility or involvement in such matter. The acceptance of gifts, favors, or any other form or compensation or gratuity may be viewed as influencing or compromising or attempting to influence or compromise the judgment of an employee. To prevent such a conflict, employees shall discourage any offer of a gift or favor or any form of compensation or gratuity. Gifts that can and will be shared with office staff, such as boxes of candy, flowers and food, may be viewed as exceptions. Employees who receive or are offered an unauthorized gift, favor or gratuity should consult their Department Head to determine an appropriate response to the donor. 6.09 DRUG AND ALCOHOL FREE WORKPLACE Because drug and alcohol use can detrimentally affect job performance and employee safety, the District is committed to achieving and maintaining a drug and alcohol free workplace. While the District has no intention of intruding into the private lives of its employees, it will be firm in identifying and disciplining those employees whose impaired mental or physical condition, as a result of drug or alcohol use, may endanger the health or safety of fellow employees and the public at large, or interfere with the operations of the District. A. PROHIBITIONS: While on paid duty time, or standby time, the employee shall not drink alcoholic beverages or use illegal drugs or controlled substances. The employee shall not work or be at work while under the influence of any of the above mentioned, or in the case of controlled substances, without authorization from a medical doctor and one's supervisor. The unlawful manufacture, distribution, dispensing, possession or use of any illegal drug or controlled substance is prohibited on the job, in the District's workplace, or while subject to duty (e.g., stand-by). B. CONTROLLED SUBSTANCES: For purposes of this section, a "controlled substance" is defined as any substance which could potentially impair the employee's ability to effectively and safely perform the functions of their duty. Certain prescription drugs shall also be classified as controlled substances. However, the use of prescription drugs which would not alter an employee's work performance subject to reasonable accommodation is acceptable, if prescribed by a qualified physician. Employees must notify their supervisor before beginning work when taking prescription or non-prescription drugs which may interfere with the safe and effective performance performance of their duties. In the event there is a question regarding an employee's ability to perform assigned duties safely and effectively while using such drugs, clearance from a qualified physician may be required before the employee is allowed to resume their regular duties. C. PRE-EMPLOYMENT TESTING: In order to reach the goal of a drug and alcohol free workplace, the District may conduct pre-employment drug or alcohol testing of applicants for District positions. Testing will be done by accepted medical procedures so as to safeguard applicant privacy. Pre-employment drug or alcohol tests shall apply only to non-District employees; District employees who apply for another District job shall not be subject to pre-employment drug or alcohol tests. Any applicant who tests positive for illegal drugs shall not be hired by the District. D. REASONABLE CAUSE: The District also reserves the right to require that an existing employee undergo testing if the District determines that reasonable cause exists to believe that the employee is under the influence of alcohol, any illegal drug or controlled substance which is Yorba Linda Water Dot • page 22 Personnel Rules impairing the employee's ability to function. Employees who refuse to submit to a drug or alcohol test immediately when requested by an authorized District employee or who are convicted of a criminal drug statute violation shall be subject to disciplinary procedures. E. RIGHT TO INSPECT: All District cabinets, vehicles, and other storage areas are the property of the District and are subject to search without the employee's consent by District management at any time with or without notice. Lockers and desks assigned by the District to the employee are also District property and are subject to search when reasonable cause exists. Refusal to cooperate with a search may result in a disciplinary action. Unless the supervisor is directed otherwise by the General Manager or Personnel Officer, employees will be given the opportunity to be present when the search is conducted. F. ASSISTANCE FOR EMPLOYEES: In appropriate cases, such as a first offense, the District should make every effort to place an employee with an available employee assistance program or service for purposes of rehabilitation. If, in such cases, the employee refuses to attend an employee assistance program or service, they will be subject to the disciplinary procedures of the District. 6.10 EMPLOYEE ASSISTANCE PROGRAM Depending on budget and other considerations, the District may provide an employee assistance program. The EAP provides counseling and other services to assist employees and their families deal with personal and emotional problems which affect or might potentially affect their job performance. This counseling is confidential. 6.11 SMOKING POLICY In the interests of promoting the health and well being of all District employees, smoking is prohibited in all District facilities, District vehicles and rolling stock, except where expressly permitted. 6.12 INCOMPATIBLE EMPLOYEE ACTIVITIES During an employee's work day, the employee is expected to devote their full time attention and efforts to the performance of their assigned duties as a District employee. At no time shall outside employment or activity be conducted on District time. No employee shall engage in any outside activity, or enterprise which is inconsistent, incompatible, in conflict with, or interferes with the employee's ability to perform the duties, functions or responsibilities of their job as a District employee; nor shall they engage in any activity which may contribute to the lessening of their effectiveness as a District employee. Employees who undertake outside employment shall notify their immediate supervisors in writing of the nature, duties and hours of that employment. No employee shall engage in any type of activity relating to an employee organization during such time an employee is on duty, except as expressly permitted by the General Manager, Federal or State law, Memorandum of Understanding, or Board directive. 6.13 POLITICAL ACTIVITIES No restriction shall be placed on the political activities of any employee of the District, other than the following: A. No person who holds, or who is seeking election or appointment to any office or Yorba Linda Water Da Personnel Rules • page 23 employment with the District shall, directly or indirectly, use, promise, threaten or attempt to use any office, authority or influence, whether then possessed or merely anticipated, to confer upon or secure for any individual person, or to aid or obstruct any individual person in securing, or to prevent any individual person from securing, any position, nomination, confirmation, promotion, or change in compensation or position within the District, upon consideration or condition that the vote or political influence of action of such a person shall be given or used on behalf of, or withheld from, any candidate, officer or party, or upon any other corrupt condition or consideration (Government Code 3204). B . No employee shall directly or indirectly solicit political funds or contributions from other employees of the District. Employees, however, are not prohibited from communicating through the mail or by other means, outside of the hours of employment, requests for political funds or contributions to a significant segment of the public which may include officers or employees of the District. (Government Code 3205). C. No employee shall participate in any political activities while in uniform (Government Code 3206). D. No employee shall engage in political activities during working hours or on District premises (Government Code 3207). E. No employee shall engage, during their working hours, in the solicitation or receipt of political funds or contributions to promote the passage or defeat of any ballot measure which would affect the rate of pay, hours of work, retirement, civil service, or other working conditions of the District; nor shall entry be permitted on District premises during working hours for such purposes (Government Code 3209). 6.14 SERVICE AWARDS The Board of Directors may authorize the presentation of appropriate service awards to employees and Directors for: Varying years of service; Outstanding performance; Safety; Exemplary actions or activities. Yorba Linda Water D*t Personnel Rules 0 page 24 ,RULE 7 VACATION AND LEAVE 7.01 HOLIDAYS The specific holidays observed by the District shall be established by the General Manager annually on or before July 1. Regular part-time employees shall receive holiday pay in proportion to the average of normal hours worked as a part-time employee, (i.e., 4 hours per day worked by a regular part-time employee would be paid 4 hours on a holiday). Holidays falling on a Saturday shall be taken on Friday. Holidays falling on Sunday shall be taken on Monday, unless another day is designated by the General Manager. Employees assigned to special shift work shall receive eight hours of paid time off on a day designated or approved by the District at the regular rate of pay for each holiday, whether or not the holiday falls on a regularly scheduled workday for that employee. For employees assigned to alternative work schedules, any holiday falling on their scheduled days off shall be taken so as to provide the employee with three consecutive days off, unless another day is designated by the General Manager. Employee shall have the option of accruing leave credit for future use when holidays occur on their scheduled days off consistent with District leave accrual policies. Employees other than those assigned to special shift work or assigned to standby duty for emergency, who are called in to work on a holiday, shall receive compensation equivalent to one and one-half times their regular rate of pay for the time actually worked, in addition to the paid holiday. To be eligible for holiday pay, any employee must be either at work or on paid leave of absence on the regularly scheduled workday immediately preceding the day observed as the holiday or the regularly scheduled workday immediately following the day observed as the holiday. 7.02 VACATION Regular, full-time employees shall accrue paid vacation up to the maximum accrual amount, at the following rate per month: For up to 5 years service 6 2/3 hours per month (10 days per year) Five but less than 15 years service 10 hours per month (15 days per year) Fifteen or more years service 13 1/3 hours per month (20 days per year) Part-time employees shall accrue vacation in proportion to the hours worked as a part-time regular employee. Hours shall be calculated as a percentage of 2,080 hours. (i.e., an employee working 1,040 hours annually shall accrue half the vacation as a full-time employee working 2,080 hours annually). During the first six months of service under an original appointment, employees may accrue vacation credits but may not use them. Subject to the approval of the General Manager, the Department head and employee shall schedule the times at which vacation leave is to be taken with due consideration being given to the desires of the employee and operational needs of the Department. The maximum amount of Yorba Linda Water D& Personnel Rules 0 page 25 vacation that may be taken at any given time shall be that amount that has accrued to the employee concerned. The minimum amount of vacation that may be taken at any given time shall be one hour. Based upon operational needs or employee preference, the use of vacation leave earned in a given year may be deferred to the following year. Vacation time shall be accrued at the rate shown above until such time as an employee has accrued the lesser of either one and one-half times the amount of vacation that can be earned in one year of service, or 30 days. From that point on, the employee will accrue vacation at the rate of zero days per month, until vacation is taken and total accrued vacation time is less than the lesser of either one and one-half times the amount of vacation that can be earned in one year of service, or 30 days. Where a District holiday falls during the period of an employee's vacation leave, that day shall not be charged against the employee's vacation accrual. Where an illness or injury necessitates hospitalization of an employee during their vacation leave, the days of hospitalization shall be charged against the employee's accrued sick leave rather than vacation. Vacation leave shall not accrue during leaves of absence without pay in excess of 30 days except for a temporary military leave for active training as defined by Section 395 of the State Military and Veterans Code. Upon separation, employees in the competitive service shall be entitled to receive payment at their current base rate of pay for all vacation leave earned, but not taken, as of the effective date of separation. 7.03 SICK LEAVE Sick leave is not an earned right to time off from work. It is provided so that an employee will not be seriously handicapped if they are unable to work because of their illness, injury or incapacity; serious illness of a member of the employee's immediate family or enforced quarantine. A. ACCUMULATION OF SICK LEAVE: Employees working an average workweek of 40 hours shall receive paid sick leave at the rate of one day per month. Regular, part-time employees shall receive sick pay in proportion to the average or normal hours worked as a part-time regular employee. In the event that any paid holiday falls during a period when an employee is on paid sick leave, the holiday shall not be charged against the employee's accrued sick leave. The only sick leave hours that shall be charged against any employee's accrued sick leave shall be those hours that the employee is regularly scheduled to work. Employees are eligible to take sick leave as earned, under conditions specified above. One hour of sick leave shall be deducted from an employee's accrued sick leave for each hour taken. B. NOTIFICATION OF ILLNESS: An employee may be required to furnish, at District expense, a certificate issued by a licensed physician, or other satisfactory evidence of illness, injury, medical condition or medical or dental office calls when the employee has been under the care of a physician. Such evidence may also be required if there is reason to believe an employee is or will be abusing sick leave. In such a case the employee shall be given advance written notice stating the reason for the requirement. Any requirement to furnish such evidence shall end after thirty days unless it is renewed in writing. In addition, such evidence may be requested when an absence for personal illness or injury exceeds five days. Any employee who is absent because of illness or disability shall notify their supervisor within the first hour of the shift on each scheduled work day after becoming ill or disabled, unless specifically excused by the supervisor. Yorba Linda Water Dot Personnel Rules • page 26 C. PERMIT'T'ED USES OF SICK LEAVE: Sick leave may be applied to: An absence necessitated by an employee's personal illness, injury or disability. 2. Medical and dental office appointments. (Employees on alternate work schedules which provide for a day off every other week, such as the 36/44 hour schedule, are expected to make non-emergency medical and dental office visits on their week days off.) 3. Absence due to exposure to a contagious disease when quarantine is imposed by health authorities or when it is determined by a physician that the presence of the employee on duty would endanger the health of others. 4. Emergency leave with pay may be approved by the Department Head in the event of a serious illness or death of a member of the employee's immediate family. For purposes of this section, immediate family shall mean spouse, parent, in-law, sibling, grandparent, grandchild, legal guardian, or any other relative living in the same household. The use of sick leave under this section shall be limited to a maximum of five days. Such leave may be in addition to the bereavement leave. 5. Illness while on paid vacation will be charged to sick leave rather than vacation when the illness necessitates hospitalization. Within five calendar days of returning to work, the employee must provide their supervisor with satisfactory medical evidence of the illness or injury. The department is under no obligation to extend the vacation beyond the original scheduled vacation ending date. 6. Sick leave shall not apply to absence caused by illness or injury to a member of the employee's family except as provided above and absences which occur on a holiday. D. GENERAL PROVISIONS: The minimum charge to an employee's sick leave account shall be one hour and additional absences over one hour shall be charged to the nearest quarter hour. Observed holidays occurring during sick leave shall not be counted as a day of sick leave. Any employee who retires in accordance with the Public Employees Retirement System qualifications shall be paid at the rate of their final salary for 3/8 of their accumulated days of sick leave at the time of separation from active employment. If the employee should die, their estate is entitled to such payment. Where an illness or injury is job-related and covered by Workers Compensation, accrued sick leave and vacation may, at the election of the injured employee, be applied to make up the difference between Workers Compensation and full base salary. Sick leave shall not accrue during leaves of absence without pay in excess of thirty days except for a temporary military leave for active training as defined by Section 395 of the State Military and Veterans Code. 7.04 BEREAVEMENT LEAVE Upon request, regular employees shall receive time off with pay, not to exceed three days in any one instance, to arrange for or attend a funeral of a member of their immediate family or conduct business associated with the deceased. Immediate family shall include spouse, child, siblings, Yorba Linda Water Dia page 27 Personnel Rules parents, in-laws, grand parents or any other relative living in the same household. The General Manager may allow the employee to use up to an additional four days of sick leave to supplement their three days of bereavement leave. 7.05 LEAVE OF ABSENCE WITHOUT PAY The General Manager may grant an employee a leave of absence without pay for a period not to exceed six months. Any leave of absence for a period longer than six months shall be approved by the Board of Directors. Upon expiration of an approved leave, the employee shall be reinstated in the position held at the time leave was granted or to a comparable position. An employee on a leave of absence in excess of 30 days shall not receive or accrue any employee benefits. However, in the event that the leave without pay is granted for reasons of illness or injury, the District shall continue to pay for any hospitalization and medical insurance. 7.06 CIVIC RESPONSIBILITY LEAVE In accordance with Sections 14,400 and 14,401 of the California Elections Code, an employee may take off such working time as will enable them to vote, providing such employee is a registered voter and does not have sufficient time outside regular working hours within which to vote. A maximum of two hours may be taken with pay. The scheduling of the time referenced above shall be subject to approval of the Department head and shall normally be at the beginning or end of the work shift. 7.07 JURY DUTY AND WITNESS LEAVE An employee who is called for jury duty or for examination for jury duty or who is called to answer a subpoena as a witness in an official capacity on a case where they are not on trial or a party, shall be compensated at their regular rate of pay provided the employee deposits the fee paid by the courts with the District. An employee otherwise involved in litigation in a matter unrelated to their capacity as a District employee shall be permitted time off without pay or the employee may choose to use accrued vacation for this purpose. 7.08 ABSENCE WITHOUT AUTHORIZATION When an employee has been absent without authorization from work for more than three days, and in the opinion of the Department head the employee has abandoned their position, the Department Head shall notify the General Manager or a designee. The General Manager shall notify the employee that the District has determined that they have abandoned their position and that the employee has five working days upon receipt of the notice to contact the District regarding their intent to return to work. Such notice shall be in writing and sent by certified mail or personal service to the last address listed in the employee's personnel file. Abandonment of position may include, but is not limited to: 1. An employee failing to return to their employment upon conclusion of any authorized leave of absence; 2. An employee failing to properly notify their immediate supervisor of absence due to sickness or injury; Yorba Linda Water Dist page 28 Personnel Rules 3. An employee failing to appear for work without notification, or agreement between supervisor and employee as to the use of any leave time set forth under these Personnel Rules; 4. An employee failing to keep their immediate supervisor apprised of disability status on a daily basis, unless otherwise directed by their supervisor. Where an employee fails to respond within five working days to the notice of abandonment of position, the employee may be considered to have abandoned their position of employment with the District. Abandonment of position shall constitute an automatic resignation from competitive service, and is grounds for disqualification from future employment with the District. Even if the employee responds within five working days to a notice of abandonment, nothing herein will preclude the District from taking disciplinary action for abuse of leave or unauthorized absence. 7.09 MEDICAL LEAVE The General Manager may place an employee on a medical leave of absence without pay when that employee is incapacitated to perform the regular functions of their position. This type of leave may be used pending the employee's anticipated recovery or pending the outcome of a medical evaluation of the employee's physical or mental health as it relates to the performance of their work. Before an employee is placed on such leave status, the employee shall utilize all accrued vacation and sick leave. A medical leave of absence may also be directed by the General Manager in cases where an employee is already off the job due to illness or injury and has exhausted all accrued sick leave and vacation credit. Under normal circumstances, no leave directed or granted under this Rule shall exceed 120 days at which time the General Manager may extend the leave for a definite period or terminate it. Leave taken under this Rule which extends 30 days beyond accrued vacation and sick leave constitutes a break in service and the employee's merit review and anniversary date will be adjusted accordingly. 7.10 MILITARY LEAVE Payment of employees on temporary military leave is governed by Section 395.1 of the Military and Veterans Code of the State of California. Any public employee who is on temporary military leave of absence, and who has been in the service of the District from which the leave is taken for a period of not less than one year immediately prior to the day on which the absence begins, shall be entitled to receive their salary compensation for the first thirty days of military leave in any one fiscal year. Employees must submit a copy of military orders to the Personnel Officer prior to the beginning of the military leave period, and as soon as the employee knows of the need to request such leave, except where military necessity dictates. Compensation received for military service shall be offset against compensation otherwise due from the District as authorized by law. If an employee's military leave of absence exceeds thirty days per fiscal year, their salary anniversary date shall be extended the same length of time as their leave of absence, minus the first thirty days. If an employee is required to perform military duties while on probation, their probationary period shall be extended the same length of time as their military leave. 7.11 LEAVE WITHOUT PAY AFFECT ON SENIORITY AND BENEFITS Except as provided under State Law for military leave, an employee on a leave of absence Yorba Linda Water DisA • page 29 Personnel Rules without pay exceeding thirty days shall not continue to accrue service or leave credits, nor shall the District be required to maintain contributions toward group insurance or retirement coverage. During the period of such leaves, all service and leave credits shall be retained at the levels existing as of the effective date of the leave. 7.12 ELIGIBILITY FOR BENEFITS TEMPORARY AND PART-TIME EMPLOYEES Employees holding temporary appointments shall not accrue service credits or be provided any benefit other than that required by State or federal law. Employees holding regular part-time positions in the competitive service shall accrue benefits pro-rated in accordance with their annual hours worked. 7.13 FAMILY LEAVE Employees may take up to a total of four months of unpaid family leave during a 24-month period, and up to a total of three months of unpaid family leave during a 12-month period. Family leave may be used for the rearing of a minor dependent child, to care for a newly adopted or born child, to care for a child requiring continuing medical treatment or confinement for at least a month, or to care for a parent, grandparent, parent-in-law, spouse or adult child with a serious health condition. An employee must have more than one year of continuous service to qualify for family leave; however, family leave may be refused if it would constitute an undue hardship to the District. A qualifying employee must provide advance notification of their intent to take family leave if the need for the leave is foreseeable. The employee may elect to substitute accrued vacation days for an equal number of family leave days; sick leave may be substituted if the District and employee mutually agree. An employee on family leave is eligible for all employee benefits on the same terms and conditions which apply to other unpaid leaves of absence. Family leave shall not constitute a break in service. Upon return from family leave, the employee will be reinstated to the same or comparable position as held prior to taking family leave. It is the intent of Rule 7.13 to conform to both the Federal and State Family Leave Acts. Where conflicts exist between provisions of these acts, this Rule shall be interpreted to provide the greater of the conflicting benefit provisions to the employee. Yorba Linda Water Dist Personnel Rules 8.01 ELIMINATION OF POSITION • page 30 Public interest may require elimination or curtailment of a public service activity by the Board of Directors. Such Board action may result in the layoff of one or more employees. The following procedure is intended to provide consideration to seniority of service and past performance. 8.02 LAYOFF PROCEDURE A. SENIORITY: Seniority is defined as the length of continuous service in the employee's present class or in higher or equal classes regardless of the department to which assigned When employees have equal seniority for retention in a class, the employee with the greatest amount of seniority credit with the District shall have the highest retention priority. Seniority credit with the District shall be defined as the length of continuous service from the last date of hire by the District. B . ORDER OF LAYOFF: When layoff is necessary, employees shall be subject to layoff by class in the following order: 1. Temporary employees shall be laid off in an order determined by seniority and past performance. 2. Probationary and provisional (acting) employees in the competitive service shall be laid off in an order determined by seniority and past performance. 3. Regular and promotional probationary employees in the competitive service shall be laid off in an order determined by seniority and past performance. C. SENIORITY LIST: Employees shall be subject to layoff as follows: 1. The names of all employees in a class shall be listed in order of seniority within the categories defined above. The procedure described below shall be applied to each category in order until it is exhausted before moving to the next category. 2. If one layoff is to be made, the three least senior employees will be considered. If more than one layoff is to be made, the number of employees lowest in seniority equal to the number of layoffs plus two will be considered. The General Manager shall base layoff decisions on seniority and performance reviews. 3. In order to avoid layoff, an employee laid off under the provisions of paragraph (2) above may, within three working days of receipt of the layoff notice, request demotion to a position in any lower class within the same series, or in an equivalent series, or in any class within the classified service in which the employee previously held regular status. The right to bump an incumbent shall be based upon seniority and past performance. 4. In the case of any question as to the equivalency of classes for purposes of paragraph (3) above, the decision of the Personnel Officer is final. D. WRITTEN NOTICE OF LAYOFF: Any employee to be laid off will be given written notice of layoff not less than fourteen calendar days prior to the effective date of such layoff. Yorba Linda Water Disc page 31 Personnel Rules 8.03 REEMPLOYMENT A. REEMPLOYMENT LIST: The names of persons laid off shall be placed on a reemployment list for each class in the same and any equivalent series at or below the level of the class from which laid off, and for each class in which regular status was previously held. These names will be placed on the reemployment list in reverse order of layoff. Last employee laid off is the first employee on the reemployment list, with other laid off employees in sequential order thereafter. Employees whose positions have been reallocated to a lower class but who have not been demoted for cause shall also have their names placed on the reemployment list for the class from which their position was reallocated Reemployment lists shall be certified by the Personnel Officer and shall be valid for one year from the date of layoff. B. APPOINTMENTS: The General Manager shall select from among the three highest available and qualified on the reemployment list. Qualifications shall be determined by the last performance evaluation. C. PRIOR SERVICE AND ANNIVERSARY DATE: For the purpose of computing total seniority with the District, an employee reemployed shall have the same prior service credited to them as they had at the time of layoff. Upon reemployment an employee shall be credited with the same portion of a year as that credited at the time of layoff for purposes of establishing a new anniversary date for merit increase eligibility. Yorba Linda Water Dist page 32 Personnel Rules RULE HARA5SNtM 9.01 PURPOSE The Yorba Linda Water District is committed to providing a work environment which is free of discrimination. In keeping with this commitment the District prohibits harassment of any form, including sexual harassment. 9.02 DEFINITION Harassment includes, but is not limited to: A. VERBAL HARASSMENT: Such as epithets, derogatory comments or slurs. B . VISUAL HARASSMENT: Such as derogatory posters, cartoons or drawings. C. SEXUAL HARASSMENT: Such as unwelcome sexual advances, request for sexual favors and other verbal or physical conduct of a sexual nature, such as name calling, suggestive comments or lewd talk and jokes, if. 1. Such conduct unreasonably interferes with an individual's work performance or has the purpose or effect of creating an intimidating, hostile or offensive work environment. 2. Submission to such conduct is made, directly or indirectly, as a term or condition of working for the District. 3. Submission to or rejection of such conduct is the basis for employment decisions. 9.03 REPORTING An employee believing they are being harassed by a fellow worker, supervisor or any person while on the job should take the following steps: Politely but firmly tell the person that the behavior is unwelcome and offensive, and that you want that behavior to stop. If the unwanted behavior does not stop, or if the offended employee feels particularly uncomfortable in discussing the matter with the person subject to the complaint, the the offended employee must report the facts of the incident or incidents to their supervisor, department head, Personnel Officer or the General Manager. Supervisors and Department heads must immediately report allegations of harassment to the Personnel Officer or General Manager. If the immediate supervisor is involved in the reported conduct, or if the employee feels uncomfortable about making a report to that supervisor, the report may be made to the General Manager or the Personnel Officer. 9.04 INVESTIGATION The Personnel Officer will investigate any report of harassment and prepare a report of findings and recommendations for the General Manager, who will take whatever corrective action is deemed appropriate, including disciplining or discharging any individual who is believed to have Yorba Linda Water DA' 0 page 33 Personnel Rules violated this prohibition against harassment. If the Personnel Officer is charged with harassment, the General Manager will conduct the investigation. If the General Manager is charged with harassment then the investigation shall be conducted by the Personnel Committee of the Board of Directors, with any disciplinary action taken by the Board of Directors. The District does not tolerate harassment of any kind and will take disciplinary action whenever such harassment is demonstrated. Any individual who engages in conduct contrary to this policy may be personally liable in legal action brought against them. 9.05 CONFIDENTIALITY Any investigation related to a complaint under this policy will be conducted with confidentiality and respect for the rights of all individuals involved. Information related to the investigation will be provided on a need-to-know basis only. 9.06 RETALIATION Any substantiated behavior which retaliates against any individual who seeks a review under this policy will be considered a violation of this policy and will result in serious disciplinary action up to and including immediate termination. Yorba Linda Water Dise page 34 Personnel Rules 10.01 CAUSE The tenure of every employee in the competitive service who has passed probation shall be conditioned by good behavior and satisfactory work performance. Any employee may be subject to disciplinary procedures for good cause. The extent of the disciplinary action taken shall be commensurate with the offense, provided that the prior employment history of the employee may also be considered pertinent. Cause may include violation of the Personnel Rules, or of any other policies and procedures, included but not limited to any of the following: A. FRAUD IN SECURING EMPLOYMENT: By making a false statement on an application for employment or on any supporting documents furnished with or made part of any application. B. INEFFECTIVENESS: Such as failure to meet or comply with minimum standards of a position. C. NEGLIGENT PERFORMANCE: Such as failure to perform duties required of an employee in that position. D. DISOBEDIENCE AND INSUBORDINATION: Such as a willful failure to conform to duly established orders or directions of persons in a supervisory position. E. DISHONESTY: F. SUBSTANCE ABUSE: Being under the influence of alcohol or illegal drugs while on duty. G . VIOLATION OF RULES: Violation of the District Personnel Rules, departmental rules, or professional standards. H. DISCOURTESY: Discourteous treatment of coworkers or members of the public. PROPERTY USE: Improper or unauthorized use of District property. J. MISCONDUCT: Any act of misconduct undertaken in bad faith, either during or outside of duty hours, of such a nature that it causes discredit to fall upon the District, or which impairs the employee's ability to effectively perform their job duties and responsibilities. K. ABUSE: Such as abuse of sick leave or other leave credits, or repeated lateness for work. L. CARELESSNESS/NEGLIGENCE: Careless or negligent behavior in the care or handling of District property. 10.02 TYPES OF ACTIONS The types of disciplinary actions included under this policy are: Verbal Reminders, Written Reminders, Contemplation Leave, Suspension Without Pay, Involuntary Demotion, Reduction In Pay, and Termination. Yorba Linda Water DA • page 35 Personnel Rules For each type of disciplinary action, certain steps and due process procedures must be followed A supervisor who is considering a disciplinary action beyond a verbal reminder should discuss the circumstances of the situation with the Personnel Officer before taking any action unless the particular situation requires immediate action. A supervisor is not required to take disciplinary action in sequential order. Depending upon the specific circumstances of the violation, the supervisor should determine which action (or actions) are appropriate. 10.03 PROGRESSIVE STEPS Disciplinary actions may, but are not required to, be taken in progressive steps as follows: A. VERBAL REMINDER: The supervisor holds a Verbal Reminder meeting with the employee. The purpose of the meeting is to explain the employee's conduct or acts which are in violation of District Rules, policies or practices, and to remind the employee of the behavior that is expected in the future, and the consequences of not meeting the performance expectations of the supervisor. B . WRITTEN REMINDER: The supervisor prepares a Written Reminder memo. The written reminder shall constitute notice of the infraction(s) including time and circumstances. The supervisor will hold a Written Reminder meeting with the employee. Employees who have received written reminders are entitled to the following due process: 1. A meeting with the supervisor to discuss the contents of the written reminders. 2. The opportunity to present a written response to the written reminder and to have their written response considered before the written reminder is placed in the employee's personnel file. The employee must submit any written response to the Personnel Officer, to be forwarded to the issuer of the written reminder for consideration. 3. The employee has ten business days from receipt of the written reminder in which to write a response to it, and/or request and informally meet with the person issuing the reminder to discuss its contents. The issuer of the reminder will then consider it and based on that consideration, either withdraw the written reminder or submit it to the Personnel Officer for placement in the employee's personnel file. The employee's written response, if any, will also be placed in the Personnel File. C. CONTEMPLATION LEAVE: An employee may be placed on a one-day Contemplation Leave with pay to allow that employee time to consider the expectations of their supervisor. In implementing a Contemplation Leave, the supervisor will follow all of the steps listed under the Written Reminder section of this Rule. In the memo to the employee the supervisor will include an explanation that the purpose of the Contemplation Leave is for the employee to consider the expectations of the supervisor. The employee may, at their option, prepare a written statement concerning the supervisor's expectations. When the employee returns from Contemplation Leave, the employee shall meet with the supervisor to discuss the expectations of the supervisor. The supervisor will review any statement prepared by the employee. The employee shall be warned that failure to comply with the reasonable expectations of the supervisor may be grounds for discipline up to and including termination. Yorba Linda Water Dio • page 36 Personnel Rules D. SUSPENSION WITHOUT PAY: An employee may be suspended without pay for up to thirty calendar days. When placing an employee on Suspension Without Pay, the supervisor shall follow all of the steps listed under the Notice of Intent to Impose Discipline (Section 10.04), Preliminary Hearing (Section 10.05), and Appeal Rights (Section 10.06). E. INVOLUNTARY DEMOTION: An employee may be demoted to a classification having an overall lower salary range. When demoting an employee, the supervisor shall follow all of the steps listed under the Notice of Intent to Impose Discipline (Section 10.04), Preliminary Hearing (Section 10.05), and Appeal Rights (Section 10.06). F. REDUCTION IN PAY: An employee may be reduced in pay. When reducing the salary of an employee, the supervisor shall follow all of the steps listed under the Notice of Intent to Impose Discipline (Section 10.04), Preliminary Hearing (Section 10.05), and Appeal Rights (Section 10.06). G. TERMINATION: When it is necessary to terminate an employee, the supervisor shall follow all of the steps listed under the Notice of Intent to Impose Discipline (Section 10.04), Preliminary Hearing (Section 10.05), and Appeal Rights (Section 10.06). 10.04 NOTICE OF INTENT TO IMPOSE DISCIPLINE A. REQUIREMENTS: A Notice of Intent shall be given to the employee whenever the District intends to discipline by: Suspension without pay; Reduction in pay; Demotion to a classification with a lower salary range; or Termination. B . CONTENTS: The Notice of Intent shall inform the employee of the disciplinary action intended and the effective date of the intended action. It shall set forth the nature of the infraction(s), any previous disciplinary actions taken, how the employee's conduct has had an adverse impact on the District's operations, and be accompanied by all materials upon which the action is based, and notification that the employee has the right to respond orally or in writing to the Personnel Officer within five business days from the date of issuance of the Notice of Intent if personally served, or ten calendar days if served by mail. Whether delivery is made in person or by mail, the Notice of Intent shall contain a "statement of delivery or mailing" indicating the date on which the Notice of Intent was personally delivered or deposited in the United States Mail. Such date of delivery or mailing shall be the "date of issuance" of the Notice of Intent. 10.05 RESPONSE TO NOTICE OF INTENT A. WRITTEN RESPONSE TO NOTICE: The employee shall be entitled to respond in writing to the Notice of Intent. Such response must be received by the Personnel Officer within five business days from the date of issuance of the Notice of Intent if personally served or ten days if served by mail. After review of an employee's timely response, if any, the Personnel Officer shall notify the employee of any action to be taken. Such action to be taken may not include discipline more severe that that described in the Notice of Intent; however, the District may reduce such discipline without issuing a further Notice of Intent. B . PRELIMINARY HEARING: An employee who receives a Notice of Intent may request a hearing on the Notice of Intent. The request for such a hearing shall be delivered to the Personnel Officer within five business days of the issuance of the Notice of Intent if personally served and ten calendar days if served by mail. Upon the receipt of a request for a hearing, the Yorba Linda Water Di*t • page 37 Personnel Rules Personnel Officer shall schedule an informal hearing to take place within five business days with the employee and supervisor to review the proposed action and allegations. C. SUSPENSION WITH PAY PENDING DETERMINATION OF DISCIPLINARY ACTION: An employee may be placed on suspension with pay pending an employee's response to the Notice of Intent and a determination by the Personnel Officer of the disciplinary action. D. PERSONNEL OFFICER'S DETERMINATION: Within five business days following the conclusion of the hearing the Personnel Officer shall issue and deliver to the employee a written statement of the decision to uphold, modify or reject the proposed disciplinary action. 10.06 APPEAL RIGHTS Suspension without pay, reduction of pay, demotion or termination may be appealed to the General Manager by filing a written request for a hearing within ten calendar days after notice of that action; or fifteen calendar days if served by mail. The General Manager may hear the matter or may appoint a hearing officer to hear the matter and make a recommendation to the General Manager. The hearing shall be conducted as soon as it can reasonable ye scheduled by the General Manager or appointed hearing officer. The hearing shall be conducted in a manner most conductive to determination of the truth, and technical rules of evidence shall not apply. Both the employee and the department head recommending the action may have representation at the hearing, and shall be given the opportunity to p[resent and challenge evidence. A written decision shall be prepared and given to the employee. In the event the appealable action involves a department head or other employee who reports directly to the General Manager, the Board of Directors shall conduct the hearing or appoint a hearing officer to hear the matter and make a recommendation to the Board of Directors in accordance with the provisions of this section. 10.07 PLACEMENT IN PERSONNEL FILE Official disciplinary action documents shall be placed in the employee's personnel file. 10.08 EMPLOYEE ACKNOWLEDGEMENT Whenever a disciplinary action is taken, the employee shall be asked to acknowledge the document by signing that it was received 10.09 INVESTIGATORY LEAVE An employee may be placed on investigatory leave with pay to allow their supervisor to fully review the facts of an alleged violation. 10.10 EMERGENCY SUSPENSION An employee may be removed from the work place immediately without pay pending an investigation because of their gross misconduct which has resulted in a potential emergency situation, including but not limited to, situations which may endanger life or property. Such removal shall not exceed 24 hours, at which time the employee shall be given a Notice of Intent to Impose Discipline, or returned to full-pay status. If no discipline is imposed, the employee Yorba Linda Water DA-6 Personnel Rules will be repaid for any time off without pay. 10.11 EXTENSION . page 38 Any time limitations or requirements as set forth under this policy may be extended or changed by mutual agreement of the parties. 10.12 DELIVERY OF NOTICE When Notice is required, the notice shall be given to the affected employee either by delivery of the notice to the employee in person; or if the employee is not available for personal delivery, by posting the Notice of Intent by Certified United States Mail, return receipt requested, addressed to the employee's last known home address. It shall be the responsibility of the employee to inform the Personnel Officer, in writing, of their current home address, and of any change in such address. The information provided shall constitute the employee's "last known address." Such personal delivery or mailing shall be presumed to provide actual notice to the affected employee. Yorba Linda Water Di* Personnel Rules • page 39 RULE 11. GRIEVANCE PROCEDURE 11.01 PURPOSE OF GRIEVANCE PROCEDURE The purpose of this section is to enhance communications between the District and its employees by providing a fair and impartial review and consideration of grievances at the level closest to their point of origin within a reasonable time period without jeopardizing the employees' position or employment. All levels of management and supervision are expected to inform and encourage employees to discuss matters affecting their employment. 11.02 DEFINITIONS A. GRIEVANCE: A claim by a regular employee in the competitive service that the District has violated, misrepresented or misapplied an obligation to the employee, as expressed in the Personnel Rules, Memorandum of Understanding or other administrative rules, procedures or regulations. Disciplinary actions, the content of performance evaluations, rejection from probation and merit adjustments are not subject to the grievance procedure. Improper treatment of an employee and violations of commonly accepted safety procedures and practices are within the scope of grievance procedures. However, the grievance procedure shall not be used to establish new policies or change any existing rules. B . GRIEVANCE PROCEDURE: The process by which the validity of a grievance is determined. C. REPRESENTATIVE: A person who at the request of the employee or management is invited to participate in the grievance conference. 11.03 GRIEVANCE PROCEDURE A. INFORMAL PROCEDURE: Whenever possible, an employee who has a complaint should try to solve the problem through informal discussion with their supervisor without delay. The supervisor shall make whatever investigation is deemed necessary and reply within five working days. Any matters for which the supervisor does not have the necessary authority to make a decision should be brought to the attention of the nearest level of management which has the requisite authority. If the employee is not satisfied with the decision reached through the informal discussion, they may bring the matter to the attention of the next level of authority. If the employee is still not satisfied with the decision, they may file a formal grievance within fifteen working days of the occurrence of the event or action giving rise to the grievance. B . FORMAL PROCEDURE: The formal grievance procedure may be followed only after failure to resolve a problem through informal grievance adjustment. If the employee is not in agreement with the decision reached, they may within fifteen working days of the occurrence of the event or action giving rise to the grievance, file a formal grievance in writing with the Personnel Officer with a copy to the General Manager. The Personnel Officer shall make whatever investigation is deemed necessary to allow fair consideration of the situation and shall present a written reply to the employee within ten working days after receipt of the grievance. A copy of the reply shall be forwarded to the General Manager. If the employee is not satisfied with the decision of the Personnel Officer, they may file a written Yorba Linda Water Diftt • page 40 Personnel Rules appeal to the General Manager within five working days after having received a reply from the Personnel Officer. Within ten working days, the General Manager shall make a written decision which shall be final and binding on all parties. The General Manager shall make whatever investigation is deemed necessary to allow fair consideration of the situation and shall present a written reply to the employee within ten working days after receipt of the grievance. 11.04 GENERAL PROVISIONS The Personnel Officer shall receive and retain copies of all written materials pertaining to the grievance. Employees may represent themselves, or select a representative. If an employee fails to proceed with a grievance within any of the time limits specified in this section, the grievance shall be deemed settled on the basis of the last decision reached. However, any of the time limits specified in this section may be extended when mutually agreed upon by all parties concerned. Either the grievant, the Personnel Officer or the General Manager may request a meeting to review the grievance prior to a decision. When it is necessary for a grievant or designated representative to attend a grievance meeting or hearing with management during the workday, they will be released without any loss of pay in order to permit participation in the foregoing activities, provided advance arrangements are made with the employee's Department Head. No retribution or prejudice shall be suffered by employees making use of the grievance procedure by reason of such use. Yorba Linda Water Ditt page 41 Personnel Rules RULE 12. EMPLOYEE REPRESENTATION ORGANIZATIONS 12.01 PURPOSE This Rule, authorized under the provisions of Sections 3500-3510 of the California Government Code (entitled the Meyers-Milias-Brown Act) is intended to establish procedures for recognition of employee organizations, and to promote communication between the District, its employees and recognized employee organizations so as to provide a reasonable and orderly method of resolving questions regarding wages, hours and other terms and conditions of employment. 12.02 DEFINITIONS Terms used in this rule will have the same meaning as they have in the Meyers-Milias-Brown Act, except that all terms defined in this section will construed, for purposes of this Rule, according to the definitions of this section. A. MANAGEMENT EMPLOYEE: Any member of the Board of Directors or of any commission or committee appointed by the Board of Directors; and any Administrative, Supervisory or Confidential employee, as those terms are defined in this section. The Personnel Officer shall designate all positions to be included within the categories of Administrative, Supervisory or Confidential employees for purposes of employer-employee relations. B. ADMINISTRATIVE EMPLOYEE: Any employee whose primary duty consists of the performance of office or non-manual work directly related to management policies or general business operations of the District; and who customarily and regularly exercises discretion and independent judgment; and who regularly and directly assists another Management employee, or who performs only under general supervision, work along technical lines requiring specialized training, experience or knowledge, or who executes under only general supervision special assignments and tasks. C. SUPERVISORY EMPLOYEE: An employee having authority to exercise independent judgment to hire, transfer, lay off, recall, promote, discharge, assign, reward or discipline other employees; or having the responsibility to direct them, or to adjust their grievances, or effectively recommend such action. As used in this section, "effectively" means that the exercise of such authority is not of a routine or clerical nature, but requires the use of independent judgment. D. CONFIDENTIAL EMPLOYEE: Any employee whose duties would give the employee access to confidential decisions or decision making processes of the District concerning any matter relating to employer-employee relations. E. RECOGNIZED EMPLOYEE ORGANIZATION: An employee organization that the District has formally acknowledged as representing the majority of the employees with an Employee Unit designated by the Personnel Officer. An employee organization so recognized shall be the only Recognized Employee Organization for the Employee Unit for purposes of employer-employee relations. F. EMPLOYEE REPRESENTATIVE: The authorized representative of an Employee Organization. No more than one Employee representative shall be permitted to communicate with the District Representative at any stage of employer-employee negotiations. A Recognized Employee Organization shall designate its Employee Representative in advance of any negotiation and shall notify the District of such designation. Yorba Linda Water Dio • page 42 Personnel Rules G. DISTRICT REPRESENTATIVE: The Personnel Officer shall be the District Representative in employer-employee relations. H. EMPLOYEE UNIT: A unit which has been established in accordance with Section 12.05. 1. NEGOTIATION: The process by which an Employee Representative and the District Representative meet a reasonable number of times and confer in good faith in an effort to agree upon joint recommendations for presentation to the Board of Directors regarding wages, hours and other terms and conditions of employment. The negotiation process does not obligate either party to accept a proposal or to make a compromise. J. IMPASSE: The point at which either the District Representative and an Employee Representative determines that they are unable to reach agreement concerning a subject over which the District is required to meet and confer in good faith, and so notifies the other parry in writing. K. DECERTIFICATION: The process of withdrawing recognition of a Recognized Employee Organization in accordance with Section 12.11 of this Rule. 12.03 DISTRICT RESPONSIBILITIES AND RIGHTS To insure that the District is able to carry out its statutory functions and responsibilities, the following matters will not be subject to the meet and confer process, but shall be within the exclusive discretion of the District% A. The right to direct the work force. B. The right to select and determine the number, qualifications and classification of employees required. C. The right to assign work to employees in accordance with the requirements determined by the District. D. The right to establish and change work schedules and assignments. E. The right to hire, transfer, and promote or lay off employees for lack of work or funds, and to suspend, discipline and discharge employees for proper cause. F. The right to expand or diminish service. G . The right to contract any work or operations of the District. H . The right to determine and change methods of operations. I. The right to determine salary ranges for new job classifications prior to appointment of any persons to fill such classifications. J. The right to determine and change, at its sole discretion, the number of locations, relocations and types of operations and the processes and material to be employed. Yorba Linda Water Dist • page 43 Personnel Rules K. The right and responsibility of final decisions regarding wages, hours, and other terms and conditions of employment. Such right and responsibility shall be within the exclusive discretion of the Board of Directors. 12.04 EMPLOYEE RIGHTS Employees shall have the right outside of their regular working hours to form, join and participate in the activities of employee organizations of their own choosing. They shall also have the right to refuse to join or participate in the activities of any employee organization and shall have the right to represent themselves individually in their employer-employee relations with the district. Neither the District nor any employee organization shall interfere with, intimidate,m restrain, coerce, or discriminate against employees who exercise their rights under this section. 12.05 DETERMINATION OF APPROPRIATE EMPLOYEE UNIT In order to be recognized for the purposes of meeting and conferring with the District, an employee organization must represent a majority of the employees in an employee unit to be designated by the Personnel Officer. The principal criterion to be used by the Personnel Officer for determining an appropriate employee unit shall be the largest feasible groups of employees having a community of interest. In addition, the following factors are to be considered by the Personnel Officer in making such determinations: A. Which employee unit will assure employees the fullest freedom in the exercise of rights set forth under this Rule. B . The history of employee relations in this unit and among other employees of the District and in similar public employment. C. The effect of the unit on the efficient operations of the District and sound employer-employee relations. D. The extent to which employees in the unit have common skills, working conditions, job duties or similar educational requirements. E. The effect on the existing job classification structure of dividing a single job classification among two or more units. F. No employee unit shall be established solely on the basis of the extent to which employees in the proposed unit have organized G . Management employees shall, as a condition of employment, not represent a Recognized Employee Organization on matters within the scope of representation, nor shall they serve on committees of a Recognized Employee Organization at the time such committee considers matters of wages, hours, and conditions of employment of the District, except in the case of an employee unit consisting solely of other Administrative, Supervisory or Confidential employees. 12.06 PROCEDURE FOR RECOGNITION OF EMPLOYEE ORGANIZATIONS An organization representing employees which seeks recognition as the majority representative of the employees in an employee unit shall file with the Personnel Officer a petition containing the Yorba Linda Water Dis9t Personnel Rules following information: A. Name and address of the organization B . Names and Titles of its officers. • page 44 C. Name of the authorized Employee Representative and any alternates. D. A statement that it is or is not a chapter or local if, or affiliated with, a regional or state or national or international organization, and if it is, the name and address of each such regional, state, national or international organization. E. A certified copy of the employee organization's constitution or by-laws, which shall contain a statement that the employee organization has, as one of its primary purposes, the representation of employees in their employment relations with the District. F. A statement that the organization includes employees of the District as its members who have designated such organizations to represent them in their employer-employee relations with the District and a list which demonstrates proof of such designation by at least thirty percent (30%) of the employees in each Employee Unit, sought to be represented, thorough signed membership cards or the means determined by the Personnel Officer. Such a list shall include each such employee's name, classification title and department where employed. Such signatures shall have been obtained within the 90 days prior to their submission to the District. G . A statement that it has no membership restrictions based on race, color, creed, national origin, sex, age or other status protected by law. The request for recognition, including the accompanying documents shall be verified under oath, by the executive officer of the petitioning organization. H. Petitions for recognition of employee organizations shall be considered by the Personnel Officer during the month of March. If the Personnel Officer finds a petition for recognition of an employee organization to be properly presented, he shall post a notice to such effect in a place where employees of the Employee Unit or Units sought to be represented shall have access for not less than fifteen working days. If a request challenging the representation of the unit by the petitioning organization is not filed as provided below, the Personnel Officer shall arrange for an election among employees in the Employee or Units sought to be represented at the earliest reasonable date. In such election the voting employees shall designate in writing whether they seek to be represented in their employer-employee relations by the organization in question. Ballots in such elections shall include the choice "No Organization." I. Within fifteen working days after the date that the notice to employees is posted, another employee organization may file a challenging request seeking to become the Recognized Employee Organization of the same Employee Unit or Units. If such challenging organization meets all the criteria outlined in this section, the Personnel Officer shall arrange for a secret ballot election conducted by the California State Conciliation Service or some other service agreed upon by the District and all petitioning employee organizations. Ballots in such an election shall include the choice "No Organization." The cost of such an election shall be borne equally among the participating employee organizations. J. An organization shall be designated as a Recognized Employee Organization for an Employee Unit if if receives favorable votes from more than fifty percent (50%) of the employees of the representation unit at such election. Yorba Linda Water Dis'Rrct page 45 Personnel Rules K. There shall be no more than one representation election in any twelve month period within the same Employee Unit. 12.07 SCOPE OF REPRESENTATION In the event there is a dispute over the scope of representation or whether a matter is subject to meeting and conferring in good faith and the parties do not voluntarily resolve that dispute, the matter will be submitted to the District Legal Counsel who shall make recommendations to the Personnel Officer for final determination. 12.08 TIMETABLE FOR SUBMITTING REQUESTS Requests for changes in wages, hours and other terms and conditions of employment shall be submitted to the District by Recognized Employee Organizations by May 1 of each year. 12.09 NEGOTIATIONS Upon request, a Recognized Employee Organization may meet and confer annually with the District Representative on wages, hours and other terms and conditions of employment unless the parties have agreed to a Memorandum of Understanding with a longer term. Agreements reached as a result of negotiations may be reopened only upon the agreement of both the District Representative and a Recognized Employee Organization. Negotiations shall conclude by June 1 of each year, unless extended beyond that date by the agreement of both parties. Negotiations shall not be required on any subject preempted by federal or state law, nor shall negotiations be required on employee or District rights defined in Sections 12.03 and 12.04 of these Rules. 12.10 DISPOSITION IF IMPASSE Upon Impasse, as defined in Section 12.02-J, the following procedure shall be followed. A mediator will be selected by mutual agreement between the District Representative and Employee Representative. If agreement is not reached within five days, the State Office of Mediation and Conciliation will be asked to provide a mediator. The mediator will meet with the parties in private to aid in the voluntary adjustment of the impasse. The mediator may also be authorized to make confidential, non-binding recommendations for the resolution of impasse. If the parties are unable to reach agreement after mediation, the matter shall be submitted to the Board of Directors for final determination. 12.11 DECERTIFICATION At any time after a period of 12 months following the date of recognition, requests for decertification or change of a Recognized Employee Organization may be submitted by employees in the Employee Unit to the Personnel Officer. Such decertification or change requests must be accompanied by a petition signed by at least thirty percent (30%) or those employees in the Employee Unit. Signatures on the petition must have been obtained within the ninety calendar days immediately preceding the date of submission to the Personnel Officer. The Personnel Officer shall determine whether decertification or change petitions meet the criteria provided in this section. If a petition is found to meet these criteria, the Personnel Officer shall arrange a secret ballot election to decide whether or not the Recognized Employee Organization Yorba Linda Water Die page 46 Personnel Rules continues to represent a majority of the total probationary and regular employees in the Employee Unit, or whether another employee organization should be recognized as the Recognized Employee Organization for that unit. The cost of such an election shall be borne equally by all participating parties. The Personnel Officer is authorized to establish procedures to carry out the intent of these rules.