HomeMy WebLinkAbout04-20-06 F&A Committee PacketOTAY WATER DISTRICT
FINANCE AND ADMINISTRATION
COMMITTEE MEETING
and
SPECIAL MEETING OF THE BOARD OF DIRECTORS
2554 SWEETWATER SPRINGS BOULEVARD
SPRING VALLEY,CALIFORNIA
BOARDROOM
MONDAY
April 20,2006
4:00 P.M.
This is a District Committee meeting.This meeting is being posted as a special meeting
in order to comply with the Brown Act (Government Code Section §54954.2)in the event that
a quorum ofthe Board is present.Items will be deliberated,however,no formal board actions
will be taken at this meeting.The committee makes recommendations
to the full board for its consideration and formal action.
AGENDA
1.ROLL CALL
2.PUBLIC PARTICIPATION -OPPORTUNITY FOR MEMBERS OF THE PUBLIC
TO SPEAK TO THE BOARD ON ANY SUBJECT MATTER WITHIN THE
BOARD'S JURISDICTION BUT NOT AN ITEM ON TODAY'S AGENDA
DISCUSSION ITEMS
3.APPROVE CHANGE OF HEALTH CARE PROVIDER NETWORK FROM PA-
CIFIC FOUNDATION FOR MEDICAL CARE TO BLUE CROSS AND ADD A $10
OFFICE VISIT CO-PAY IN PLACE OF A 90/10 CO-INSURANCE (SARNO)[10
minutes]
4.APPROVE THE IMPLEMENTATION OF A PAY-FOR-PERFORMANCE PRO-
GRAM AND ADOPT RESOLUTION NO.4073 TO SET COMPENSATION AND
BENEFITS FOR ALL DEPARTMENT CHIEFS (SARNO)[10 minutes]
5.APPROVE REVISIONS TO THE DEPARTMENT OF TRANSPORTATION HU-
MAN RESOURCES PROCEDURE AND DISCIPLINE HUMAN RESOURCES
POLICY AND PROCEDURE;RATIFY THREE MEMORANDUM OF UNDER-
TANDING SIDELETTERS;AND ADOPT RESOLUTION NO.4070 TO IMPLE-
MENT ADA/FEHA BOARD POLICY NO.48 (SARNO)[10 minutes]
6.ADJOURNMENT
1
All items appearing on this agenda,whether or not expressly listed for action,may be
deliberated and may be subject to action by the Board.
If you have any disability which would require accommodation in order to enable you to
participate in this meeting,please call the District Secretary at 670-2280 at least 24
hours prior to the meeting.
Certification of Posting
I certify that on April 17,2006 I posted a copy of the foregoing agenda near the
regular meeting place of the Board of Directors of Otay Water District,said time being at
least 24 hours in advance of the meeting of the Board of Directors (Government Code
Section §54954.2).
Executed at Spring Valley,California on April 17,2006.
2
AGENDA ITEM 3
STAFF REPORT
May 3,2006
DIV.NO.ALL
Pacific Foundation
$10 Office Visit Co-
MEETING DATE:
W.O.lG.F.NO:Kelli Williamson,~/.V0)?JiI\'
Human Resou ces Manager
Rom Sarno,V,
Chief A"YI L .strative Services
German Alvarez,J~~
Asst.GM,Fin~Administration
Change Health Care Provider Network from
for Medical Care to Blue Cross and Add a
Pay in Place of a 90/10 Coinsurance
SUBJECT:
APPROVED BY:
(Asst.GM):
APPROVED BY:
(Chief)
TYPE MEETING:Regular Board
SUBMITTED BY:
GENERAL MANAGER'S RECOMMENDATION:
That the Board:
1)Approve changing Health Care provider network from Pacific
Foundation for Medical Care to Blue Cross effective July 1,2006;
and
2)Approve adding a $10 office visit co-pay in place of a 90/10
coinsurance effective July 1,2006.
COMMITTEE ACTION:
See Attach~ent "Au.
PURPOSE:
To request that the Board approve changing Health Care provider
network to Blue Cross effective July 1,2006 and add a $10
office visit co-pay in place of a 90/10 coinsurance effective
July 1,2006.
ANALYSIS:
CHANGE IN PROVIDER NETWORK
The District has contracted with Pacific Foundation for Medical
Care (PFMC)since 1994.As part of a good faith effort to ensure
the District is receiving the best contracted provider rates for
our health care,our broker Bradawn Inc.,recommended analyzing
the District's current rates to other providers.Bradawn's
research concluded that the District and employees would see
significant cost-savings if we were to change our provider
network to Blue Cross.
One of the primary advantages of changing to Blue Cross is that
they offer larger discounted contracted rates for services
provided,therefore,the District and employees would
immediately see a cost savings.Blue Cross is able to offer
larger discounted contract rates because they have a larger
network of providers compared to PFMC.An example of how the
District would save on a claim can be seen in Attachment "Bu.
Overall,a conservative $131,192 would be saved in the first
year of changing to Blue Cross.
On a statewide average,Blue Cross contracted rates show a
savings of:
*60-70%for PPO Hospital Inpatient
*50-55%for PPO Hospital Outpatient
*40-50%for Professional PPO
District Employees would also see a cost-savings to their claims
especially·on the larger hospital or lab bills.An example of
how the employee would save on a claim can be seen in Attachment
"Bu.
As mentioned earlier,Blue Cross has a larger selection of
providers in California than PFMC.In fact,based on a review of
doctors used by our covered members,there are 105 additional
providers contracted with Blue Cross that are not contracted
with PFMC.Conversely,there were only three providers that
were contracted with PFMC that are not contracted with'Blue
Cross.These three providers impact only eight employees and
have been identified as one-time visits (not recurring claims).
Prior to changing providers,the Bradawn would contact these
employees and provide them with the Blue Cross directories so
they may identify new providers as necessary.
ADD $10 CO-PAY FOR OFFICE VISITS
Additionally,staff is recommending that we implement a plan
design change of instituting a $10 office visit co-pay for in-
network PPO providers.Currently we have a 90/10 co-insurance
payment structure for in-network provider office visits.with
the $10 co-pay,employees will see cost savings to their routine
appointments as well as have a more convenient way to pay for
their visits.Implementing a $10 co-pay would be a cost-neutral
benefit to the District.Please note the $10 co-pay would only
be applied to standard office visits and preventative care.The
other claims (e.g.hospital bills,lab work,emergency services,
chiropractic care)would still fall under the 90/10 co-insurance
structure for in-network and 70/30 for out-of-network
coinsurance.
To help alleviate any impact this transition may have on
employees,the District would hold another Benefit open
enrollment effective July 1,2006 for both Medical/Dental
benefits and the Flexible Spending Accounts.This will enable
employees to make any midyear adjustments necessary due to the
new cost savings Blue Cross and the $10 office visit co-pay
would provide.
Staff has met with the Employee Association to discuss this
matter and they support this change.
FISCAL IMPACT:~
A conservative estimate of $131,192 per year in cost savings is
projected.This was calculated by analyzing total claims in
2005 and applying the Blue Cross discounted rates compared to
the PFMC contracted rates.Additionally,the Blue Cross Network
Access fee ($14.18 per employee/month versus $3.50 per
employee/month for PFMC)was also factored in the cost savings
estimate.Although the Blue Cross Access fee is higher than
PFMC,the cost savings that we will receive from the Blue Cross
discounts outweigh the increased access fee.
Additional savings are anticipated under the District's stop
loss contracts.Stop loss vendors will see that we have lower
contracted rates with Blue Cross and therefore infer that it
will take the District longer to hit the stop loss amounts.
Stop loss vendors take these factors into consideration when
assessing their fees to provide stop loss coverage.
STRATEGIC GOAL:
FY'06 -Promote the value of the District's compensation and
benefits plan.
LEGAL IMPACT:
Non/ffiX~
Ge~ral Manager
Attachment A:Committee Action
Attachment B:Cost Savings Example for Otay and Otay Employees
ATTACHMENT A
Approve changing health care provider network from Pacific
Foundation for Medical Care to Blue Cross effective July 1,
2006 and approve adding a $10 office visit co-pay in place
SUBJECT/PROJECT:of a 90/10 co-insurance effective July 1,2006
COMMITTEE ACTION:
The Finance/Administration Committee met on April 20,2006 and
the Engineering/Operations Committee met on April 18,2006.Both
Committees support Staff's recommendations to approve changing
health care provider network from Pacific Foundation for Medical
Care to Blue Cross effective July 1,2006 and approve adding a
$10 office visit co-pay in place of a 90/10 co-insurance
effective July 1,2006.
NOTE:
The "Committee Action"is written in anticipation of the
Committee moving the item forward for board approval.This
report will be sent to the Board as a committee approved item,
or modified to reflect any discussion or changes as directed
from the committee prior to presentation to the full board.
Blue Cross
ATTACHMENT B
Cost Savings Example for Otay
Pacific Foundation for Medical Care
Blue Cross
The Cost Savings difference is $93.60
Anticipated annual cost savings to Otay is $131,192
Cost Savings Example for Employees
Pacific Foundation for Medical Care
John's lab claim was $200.He would only have to pay $4.80 using the Blue Cross Network versus
$15.20,using the PFMC network.
AGENDA ITEM 4
STAFF REPORT
AllDIV.NO.
May 3,2006
W.O.lG.F.NO:
MEETING DATE:Regular Board ~
Kelli Williamson,UJ
Human Resource Manager
Rom Sarno,~
Chief,Administrative ServO ~
German Alv~~,~
Assistant~Manager,Finance and Administration
Approve implementation of a Pay-for-Performance Program and
Resolution #4073 to Set Compensation and Benefits for All
Department Chiefs
APPROVED BY:
(Ass!. GM):
SUBJECT:
APPROVED BY:
(Chief)
TYPE MEETING:
SUBMITTED BY:
GENERAL MANAGER'S RECOMMENDATION:
That the Board approve implementation of a Pay-for-Performance
Program and Resolution #4073 to Set Compensation and Benefits
for All Department Chiefs
COMMITTEE ACTION
See Attachment "A".
PURPOSE:
To approve implementation of a Pay-for-Performance Program and
Resolution #4073 to set compensation and benefits for all
department chiefs.(Attachment B)
ANALYSIS:
The District's current compensation program allows for an annual
cost of living adjustment (COLA),with the salary ranges being
adjusted by the amount of the increase.Under the current
Memorandum of Understanding (for represented employees)and the
current Resolution (for unrepresented employees),employees will
receive a 3%COLA adjustment July 1,2006 and July 1,2007.In
addition,employees with salaries below the top of the salary
range,who meet or exceed performance expectations,and who have
no disciplinary actions within the past twelve months,receive a
3%"In-Range"adjustment each year.
The current Memorandum of Understanding (MOU)states that
employee recognition programs may be institituted by the
District and the purpose of such programs will be to recognize
"Star Performers"(exemplary employees)and improve public
service through enhanced motivation.Developing and implementing
a Pay-for-Performance ("Star PerformerU )program is an
outstanding item as a result of the MOU implemented in July
2003.
Human Resources conducted a county-wide survey of other water
agencies regarding pay programs in preparation to develop a
program and it was determined that San Diego County Water
Authority (SDCWA)had the most comprehensive program in the
County.Human Resources staff and the General Manager have
spoken with members of SDCWA to discuss particulars of the plan
and have used the information to design a plan that the District
is able to implement at this time.
After a thorough review of SDCWA's program,meetings were held
with Senior Management and the Management Team to further
discuss the program.Staff is recommending the following
program to the Board of Directors for consideration and
approval.
The program will include a category for all represented and
unrepresented employees (which includes supervisors,managers
and confidential staff from Human Resources,Finance and the
General Manager's office)and a category for Executives (which
includes Department Chiefs)as follows:
Represented/Unrepresented
•1-2%base pay increase or lump sum (if employee is at the
maximum of the salary range)if the employee's performance
is determined to exceed expectations
•2-4%base pay increase or lump sum (if employee is at the
maximum of the salary range)if the employee's performance
is determined to be exceptional
Executives
•The executives must at minimum meet expectations in order
to be considered for a COLA
•Base salary can be set within the salary range as
recommended by the supervisor and approved by the General
Manager
•1-2%lump sum if employee's performance is determined to
exceed expectations
•2-4%lump sum if the employee's performance is determined
to be exceptional
Executive Program
In order to implement a change to the application of the COLA
for executive staff,a revised resolution for Department Chiefs
is attached.(Attachment C)The resolution currently in place
states that Department Chiefs will receive a COLA regardless of
the level of performance.The revised resolution clarifies that
Department Chiefs must receive a performance evaluation rating
of meets expectations or greater on the performance evaluation
to be eligible to receive the COLA.
In addition to meeting with Senior Management and Management
staff,a copy of the pay-for-performance program was also
forwarded to the Otay Water District Employees Association
(OWDEA).Pursuant to the Memorandum of Understanding,the
implementation of this pay-for performance-program is at the
General Manager's discretion and not subject to meet and confer;
however,every effort will be made to implement the program to
maximize the benefit to the District by way of employee
understanding and participation in the program.
FISCAL IMPACT
The FY06 budget includes $100,000 that will not be utilized this
year.It is proposed to implement this program in the FY07 and
budget $200,000 for the implementation of the program.This
$200,000 will be included in the proposed FY07 budget.In future
years,funding for this program will be included as a part of
the annual budget process.
STRATEGIC GOAL:
Finalize and Implement the District's Recognition and Reward
Program
LEGAL IMPACT:
NOlJi uJi{
General Manager
Attachment A,Committee Action
Attachment B,Pay-for-Performance Program
ATTACHMENT A
Approve Implementation of a Pay for Performance Program and
Resolution #4073 to Set Compensation and Benefits for All
SUBJECT/PROJECT:Department Chiefs
COMMITTEE ACTION:
The Finance/Administration Committee met on March 24 and April
20,2006,and the Engineering/Operations Committee met on April
18,2006.Both Committees support Staff's recommendations to
approve implementation of a Pay for Performance Program and
Resolution #4073 to set compensation and benefits for all
Department Chiefs.
NOTE:
The "Committee Action"is written in anticipation of the
Committee moving the item forward for board approval.This
report will be sent to the Board as a committee approved item,
or modified to reflect any discussion or changes as directed
from the committee prior to presentation to the full board.
Otay Water District
Human Resources
Policy and
Procedures
Section Title:
PAY-FOR-PERFORMANCE POLICY
AND PROCEDURES
PURPOSE
Effective Date:
July 1,2006
ATTACHMENT B
Page 1 of 6
The purpose of the Otay Water District's Pay-for-Performance Program is to utilize incentive pay
to motivate performance and creativity that result in high productivity for the benefit of both the
employee and the District.By linking incentive pay to the District's Strategic Plan,Performance
Measures,Statement of Values,and organizational performance,employees are encouraged to
take a personal interest in the overall success of the organization.Thus,employee motivation to
work harder and smarter is enhanced and efforts directed at continuous improvement are
maintained.
POLICY
·It is the policy of the Otay Water District to acknowledge and reward employees for competent
and meritorious performance of the full range of duties assigned to an employee.It is a reflection
of an employee's experience,continuing growth and development in the classification recognizing
the value of developing experience within the District.The Pay-for-Performance Program is
designed for meritorious performance.The program is also designed to recognize employees
who have made a significant contribution to the District by initiating or providing assistance in the
completion of a program(s}or project(s}and whose performance is consistent.No Pay-for-
Performance increase is warranted nor should it be awarded if there is no growth and
development after completion of the qualifying time period.The program includes:
•Star Performer Program
•Executive Pay-for-Performance Program
ELIGIBILITY
A.The Pay-for-Performance Program is available to all Regular Full-Time and Part-Time
employees.The Star Performer Program is specific to the Represented,Confidential,
Supervisors and Managers;and the Executive Pay-for-Performance Program is specific to
Department Chiefs.
B.Star Performer Program Eligibility:Eligible employees include Represented,Confidential,
Supervisors and Managers.
1.An employee who,based on his/her most recent annual evaluation,is eligible to
receive an In-Range Adjustment,is also eligible for consideration for the Star
Performer Program.An employee whose salary is at the maximum of the salary
range for his/her classification,but who otherwise would have been eligible for an
In-Range Adjustment,based on his/her most recent annual evaluation,is eligible
for consideration for the Star Performer Special Pay.An employee who is
promoted on or before January 1 of the fiscal year for which the Star Performer
Program is being considered will be eligible for consideration for the Star Performer
Program.An employee who has just completed a probationary period as a newly-
hired employee is not eligible for the Star Performer Program but may become
eligible in all subsequent years.
2.Eligibility for the Star Performer Program is not a guarantee that the employee will
receive a Star Performer Increase or Star Performer Special Pay.These are
granted only as an award for meritorious performance.Star Performer Increases or
Special Pay shall be recommended and shall be reviewed by the Department Chief
and Assistant General Manager in conjunction with the employee performance
evaluation.
C.Executive Pay-for-Performance Program Eligibility:
Department Chiefs.
Eligible employees include
1.The employee's most recent annual overall evaluation rating will be considered in
determining eligibility to the Executive Pay-for-Performance Program.A minimum
of Meets Expectations is needed in the overall evaluation rating in order to be
eligible for consideration for the Executive Pay-for-Performance Program.An
employee whose salary is at the maximum of the salary range for his/her
classification,but who otherwise would have been eligible for Base Pay Salary
Increase,based on his/her most recent annual evaluation is eligible for
consideration for the One-Time Bonus Payment program.An employee who is
promoted or hired on or before January 1 of the fiscal year for which the Executive
Pay-for-Performance Program is being considered will be eligible for consideration
for the Executive Pay-for-Performance Program.
2.Eligibility for the Executive Pay-for-Performance Program is not a guarantee that
the employee will receive a Cost of Living Increase,Base Pay Salary Increase or
One-Time Bonus Payment.These are granted only as an award for meritorious
performance.Cost of Living Increases,Base Pay Increases or One-Time Bonus
Payments shall be recommended and shall be reviewed by the Assistant General
Manager and/or General Manager in conjunction with the employee's performance
evaluation.
2
PROCEDURE
A.Star Performer Program
The Star Performer Program consists of the following:
•Star Performer Increase
•Star Performer Special Pay (Lump Sum)
1.Qualifying Time Period and Performance Goals
At the beginning of each fiscal year,every Division must set performance goals
consistent with the District's Strategic Plan and Performance Measures with each
employee for the upcoming fiscal year (July 1 through June 30).Goals will be set
so that each goal is difficult enough to present a challenge to employees,but not to
the extent that the goal is perceived as impossible to achieve.Goals can also be
created in an effort to support and pursue other priorities of the District,Department
and Division.
2.Cost of Living Adjustment and In-Range Adjustment
Pursuant to the MOU for represented employees and Board Resolution for
Managers and Supervisors,employees may be eligible for a Cost of Living
Allowance (COLA).In addition,the above mentioned employees may also be
eligible for an In-Range Adjustment of up to 3%.
3.Star Performer Increase
a.The District encourages employees to perform their jobs to the fullest
potential.As a reward for Exceeding Expectation on performance,a Star
Performer increase of 1%-2%may be granted to an employee who has
clearly exceeded expectations in his/her performance and whose most
recent annual overall performance rating is Exceeds Expectations,in
addition to the In-Range Adjustment increase of 3%,resulting in an overall
increase of 4%-5%.The additional 1%-2%may be awarded in September
of each fiscal year with the General Manager's approval.
Performance Rating
Exceeds Expectations
Recommended Increase
1%-2%
b.As a reward for Exceptional performance,a Star Performer increase of 2%-
4%may be granted to an employee who has clearly demonstrated
sustained exceptional performance and whose most recent annual overall
performance rating is Exceptional,in addition to the In-Range Adjustment
increase of 3%resulting in an overall increase of 5%-7%.The additional
2%-4%may be awarded in September of each fiscal year with the General
3
Manager's approval.
Performance Rating
Exceptional
Recommended Increase
2%-4%
c.An employee may not receive a Star Performer Increase that would place
his/her salary above the maximum of the salary range for his/her
classification.
3.Star Performer Special Pay (Lump Sum)
a.An employee who has reached the maximum of his/her salary range,but
who has demonstrated performance that would otherwise merit a Star
Performer Increase,may receive a one-time lump sum as a percentage of
his/her base annual salary,in September of each fiscal year:
Performance Rating
Exceeds Expectations
Exceptional
Recommended Lump Sum
1%-2%
2%-4%
b.The standards for determining whether an eligible employee will receive Star
Performer Special Pay are the same as those that are applied to the
consideration of Star Performer Increases.
c.Conditions:The following conditions are applicable to Star Performer
Special Pay.
•Special Pay shall not be included in base pay.
•Sp'ecial Pay shall not be cumulative.
•An employee may receive Special Pay in each annual evaluation cycle
that he/she is eligible for the Star Performer Program and remains at the
maximum of his/her salary range.
•An employee who is hired at or promoted at the maximum of the salary
range may receive Special Pay in each annual evaluation cycle that
he/she is eligible for the Star Performer Program and remains at the
maximum of his/her salary range.
4.Performance Review and COLA For Supervisors and Managers
a.In addition to the employee's annual performance evaluation a 3600
Review may be implemented in the upcoming performance assessment
and be part of the eligibility criteria for Supervisors and Manager for the
Star Performer Program.The 3600 Review would require the immediate
supervisor to solicit input regarding working relationships and performance
from the employee's peers and subordinates as appropriate,utilizing the
3600 Review form.
4
b.In subsequent years,the Cost of Living Allowance may be implemented
similar to the Executive Pay-for-Performance Program in which an
employee must receive a performance evaluation rating of Meets
Expectation or greater on his/her annual performance evaluation to be
eligible to receive a Cost of Living Allowance on July 1 of each fiscal year.
B.Executive Pay-for-Performance Program
The Executive Pay-for-Performance Program includes:
•Cost of Living Increase
•Base Pay Salary Increase
•One-Time Bonus Payment (Lump Sum)
1.Qualifying Time Period and Performance Goals
At the beginning of each fiscal year,every Division must set performance goals
consistent with the District's Strategic Plan and Performance Measures with each
employee for the upcoming fiscal year (July 1 through June 30).Goals will be set
so that each goal is difficult enough to present a challenge to employees,but not to
the extent that the goal is perceived as impossible to achieve.Goals can also be
created in an effort to support and pursue other priorities of the District,Department
and Division.
2.Cost of Living Allowance
An employee that receives a performance evaluation rating of Meets
Expectations or greater on his/her annual performance evaluation shall be
eligible to receive a Cost of Living Allowance on July 1 of each fiscal year.The
Cost of Living Allowance shall be determined by the agreed upon resolution
established for unrepresented staff.
3.Base Pay Salary Increase
a.The District encourages employees to perform their jobs to the fullest
potential.As a reward for Meeting Expectation,Exceeding Expectation or
receiving an Exceptional rating on a performance evaluation,a Base Pay
Salary Increase within the employee's salary range with recommendation
from the supervisor may be granted.The Base Pay Salary Increase may be
awarded on July 1 of each fiscal year with the General Manager's approval.
b.An employee may not receive a Base Pay Salary Increase that would place
his/her salary above the maximum of the salary range for his/her
classification.
5
4.One-Time Bonus Payment (Lump Sum)
a.An employee that receives an Exceeds Expectation or an Exceptional
performance rating on their most recent performance evaluation may receive
a one-time lump sum payment as a percentage of his/her base annual
salary,in September of each fiscal year.Eligible employees include those
that are within their salary range and those that are at the maximum of their
salary range.
Performance Rating
Exceeds Expectations
Exceptional
Recommended Lump Sum
1%-2%
2%-4%
b.Conditions:The following conditions are applicable to One Time Bonus
Payment.
•Bonus Pay shall not be included in base pay.
•Bonus Pay shall not be cumulative.
•An employee may receive Bonus Pay in each annual evaluation cycle
that he/she is eligible for the Base Pay Salary Increase program.
•An employee who is hired at or promoted at the maximum of the salary
range may receive a One-Time Bonus Payment in each annual
evaluation cycle that he/she is eligible for the Pay-for-Performance
Program.
5.Performance Review
In addition to the employee's annual performance evaluation a 3600 Review may
be implemented in the upcoming performance assessment and be part of the
eligibility criteria for Executive Staff for the Pay-for-Performance Program.The
3600 Review would require the immediate supervisor to solicit input regarding
working relationships and performance from the employee's peers and
subordinates as appropriat~1 utilizing the 3600 Review form.
6
ATTACHMENT C
RESOLUTION NO.4073
RESOLUTION OF THE BOARD OF DIRECTORS OF THE
OTAY WATER DISTRICT
TO SET COMPENSATION AND BENEFITS FOR ALL
DEPARTMENT CHIEFS
WHEREAS,The Board of Directors set compensation and
benefits for Department Chiefs;and
WHEREAS,the District has developed a Pay-for-Performance
Program to provide incentive pay to motivate performance and
creativity that result in high productivity for the benefit of
both the employee and the District;and
WHEREAS,the Otay Water District board desires to implement
a Pay-for-Performance program for department chiefs;and
WHERAS,This resolution supersedes any previous resolutions
setting compensation and benefits for Department Chiefs;and
WHEREAS,the purpose of this resolution is to provide
recognition and to maintain the ability to recruit and retain
qualified candidates for Department Chiefs.
NOW,THEREFORE,BE IT RESOLVED by the Board of Directors of
the Otay Water District as follows:
1.That the Board of Directors approve the same across-
the-board increases each year for Department Chiefs that are
provided to the represented employees pursuant to the negotiated
1
ATTACHMENT C
Memorandum of Understanding,July 1,2003 -June 30,2008
provided that the Department Chief receives a performance
evaluation rating of Meets Expectations or greater on his/her
annual performance evaluation.If the Department Chief is
performing below expectations,no across-the-board increase will
be granted.
2.That the same health care plan design changes,cost-
sharing,and retiree health care coverage implemented for
represented employees will apply to unrepresented employees.
4.That the General Manager will have the authority to
provide salary adjustments within the approved salary ranges
based on performance.
PASSED,APPROVED AND ADOPTED by the Board of Directors of
the Otay Water District at a regular meeting held this 3rd of
May,2006.
President
ATTEST:
Secretary
2
AGENDA ITEM 5
STAFF REPORT
AllDIV.NO.
May 3,2006
W.O.lG.F.NO:
MEETING DATE:Regular Board
Kelli Williamso~~
Human Resources Manager
Rom Sarno,~V
Chief,dministrative S:2fS~s
Germ Alvarez,
As General Manager,Finance and Administration
1.Approve Revisions to the Department of Transportation (DOT)
HR Procedure and Discipline HR Policy and Procedure;
2.Ratify Three Memorandum of Understanding (MOU)Side
Letters;and
3.Adopt Resolution #4070 to Implement ADA/FEHA Board Policy
#48.
APPROVED BY:
(Asst.GM):
APPROVED BY:
(Chief)
SUBJECT:
TYPE MEETING:
SUBMITTED BY:
GENERAL MANAGER'S RECOMMENDATION:
To request the Board:
1.Approve Revisions to the Department of Transportation (DOT)
HR Procedure and Discipline HR Policy and Procedure;
2 Ratify the Memorandum of Understanding (MOU)Side Letters
for Shift Pay,Vacation/Sick Leave Payout at Termination
within 1st Year of Employment,and Performance Evaluation;
and
3.Adopt Resolution #4070 to Implement ADA/FEHA Board Policy
#48.
COMMITTEE ACTION:
See Attachment "Au.
PURPOSE:
That the Board approve revisions to policies and procedures,
ratify MOU side letters,and adopt a resolution to implement a
Board Policy.
ANALYSIS:
Human Resources staff (HR)has been working on developing and/or
revising several District policies,procedures,programs,and
Memorandum of Understanding (MOU)provisions.
During the process of developing and revising various policies,
HR has gone through an extensive process to ensure employee buy-
in and understanding at all levels of the District,which has
included reviews with the General Manager and Assistant General
Managers,Senior Management level,managers and supervisors
level,and finally to either or both (depending on the policy)
the Labor/Management Committee and/or the Employee Association.
We are pleased to have completed this process for the following
Policies thus far:
Department of Transportation (DOT)Human Resources Procedure
(Attachment B)
The last revision to this procedure was 1994.HR worked to
ensure the District will be in compliance with any revisions to
the DOT regulations and to more clearly define the District's
zero tolerance for drugs and/or alcohol in the workplace for
employees required to drive District vehicles and are covered by
this DOT regulation.In addition to this procedure,HR is
working on revising the District's Drug Free Workplace Policy
and is currently reviewing this policy with the Employee
Association.This policy will be brought forward at a future
Board meeting after completing the review process.
Discipline HR Policy and Procedure (Attachment C)
This policy and procedure required some minor revisions to be in
line with the District's fingerprinting HR procedure that went
into effect in July 2004.
MOU Side Letter -Shift Pay (Attachment D)
The Shift Pay language was increased from $0.75 per hour to
$1.50 per hour to address scheduling issues with the Water
System Operators and Treatment Plant employees.Other clean up
includes removing "second"and "third"shift language and
replacing with "night shift"as the District has no "third"
shift employees and updating the hours to fit the current
schedules of the operators affected.
MOU Side Letter -Vacation/Sick Payout at Termination within 1 st
Year of EmploYment (Attachment E)
The revision to this provision in the MOU will allow employees
who terminate (either voluntarily or involuntarily)in the first
12 months of emploYment to "cash out"their unused sick and
vacation leave upon termination of employment with the District.
This was a new provision with the last MOU and has been
difficult to administer.Currently,employees with more than
one year of employment are able to "cash out"unused sick and
vacation leave upon termination from employment.The-revision
to this provision will treat all employees the same with regard
to cashing out leave accruals upon termination.
MOU Side Letter -Performance Evaluation (Attachment F)
The District is reviewing and updating our performance
management system to include updating the performance evaluation
form and supervisor manual.The minor updates to this MOU
provision bring the MOU provision in line with our current
process.
Americans with Disabilities Act/Fair Employment and Housing Act
Board Policy #48 {Attachment G)
To clearly communicate the District's position of being
supportive of employees and applicants with disabilities,HR
worked with Legal Counsel to develop this Board Policy
Resolution #4070 (Attachment H)
To implement the ADA/FEHA Board Policy,it is requested that the
Board of Directors adopt Resolution #4070 in support of the
Policy.
HR is currently finalizing several other policies,procedures
and programs and will bring these forward to your Board as the
review process is completed.
FISCAL IMPACT:
None
LEGAL IMPACT:
ATTACHMENTS
Attachment A,
Attachment B,
Attachment C,
Attachment 0,
Attachment E,
Attachment F,
Attachment G,
Attachment H,
Committee Action
Department of Transportation (DOT)Human Resources
Procedure
Discipline HR Policy and Procedure
MOD Side Letter -Night Shift
MOD Side Letter -Vacation/Sick Payout at
Termination within 1st Year of Employment
MOD Side Letter -Performance Evaluation
Americans with Disabilities Act/Fair Employment
and Housing Act Board Policy #48
Resolution #4070 to Implement Americans with
Disabilities Act/Fair Employment and Housing Act
Board Policy #48
SUBJECT/PROJECT:
ATTACHMENT A
1.Approve Revisions to the DOT HR Procedure and
Discipline HR Policy and Procedure;
2.Ratify Three MOU Side Letters;and
3.Adopt Resolution #4070 to Implement AOA/FEHA Board
Policy #48 -AOA/FEHA Policy
COMMITTEE ACTION:
The Finance/Administration Committee met on April 20,2006
supports Staff's recommendations to:
1.Approve Revisions to the DOT HR Procedure and Discipline HR
Policy and Procedure;
2.Ratify the MOU Side Letters for Shift Pay,Vacation/Sick
Leave Payout at Termination within 1st Year of Employment,
and Performance Evaluation;and
3.Adopt Resolution #4070 to Implement ADA/FEHA Board Policy
#48.
NOTE:
The "Committee Action"is written in anticipation of the
Committee moving the item forward for board approval.This
report will be sent to the Board as a committee approved item,
or modified to reflect any discussion or changes as directed
from the committee prior to presentation to the full board.
Otay Water District
Human Resources Procedures
ATTACHMENTB
Effective Date:07/01/95
Revised:05/03106
Page
1 of 15
Section Title:
DEPARTMENT OF TRANSPORTATION (DOT)
DRUG AND ALCOHOL TESTING POLICY
A.Purpose
This policy establishes guidelines in compliance with the Federal Omnibus
Transportation
Employee Testing Act of 1991 (Omnibus Act),the U.S.Department of Transportation
Federal
Highway Administration (FHWA)Regulations of 1994 (49 CFR parts 40 and 382 et al.),
and
Section 34520(a)of the California Vehicle Code.Each of these measures requires that
regular drug and alcohol testing be performed on employees in safety-sensitive
positions who operate specified commercial vehicles.
Otay Water District's objectives in establishing this policy are to:
1.Provide a safe working environment for District employees.
2.Protect the safety of the public at large.
3.Ensure the highest quality of public service possible.
4.Encourage employees who are concerned about their drug
and/or alcohol use to voluntarily seek assistance.
B.Definitions
Following are the definitions of terms related to the
Omnibus Transportation Employee Testing Act and referenced
in this policy:
Alcohol -The intoxicating agent in beverage alcohol,ethyl
alcohol or other low molecular weight alcohols including
methyl and isopropyl alcohol.
Alcohol Use -The consumption of any beverage,liquid mixture,or
preparation,
including any medication containing alcohol.
Breath Alcohol Technician (BAT)-An individual who instructs and
assists employees or applicants in the alcohol testing process and
operates
ATTACHMENT B
an evidential breath testing device (EBT).
Commercial Motor Vehicle -A motor vehicle or combination of motor vehicles
which:
1.has a gross combination weight of 26,001 or more pounds inclusive of a
towed unit with a gross vehicle weight rating (GVWR)of more than 10,000
pounds;or
2.has a gross vehicle weight rating of 26,001 or more GVWR;or
3.is designed to transport 16 or more passengers,including the driver;or
4.is of any size and is used in the transportation of hazardous materials which
require the vehicle to have placards.
Confirmation Test (alcohol)-A second alcohol test that follows a screening test
by BAT with an EBT after a 15 minute deprivation period.The confirmation test
controls over the screening test (if a different result).
Confirmation Test (controlled substance)-A second analytical procedure to
identify the presence of a specific drug or metabolite which is independent of the
initial test and which uses a different technique and chemical principle from that of
the initial test in order to ensure reliability and accuracy.
Driver -Any person who operates a commercial motor vehicle.For the purposes
of pre-employment testing,"driver"includes a person applying for a position that
requires the driving of a commercial motor vehicle and current District employee
transferring into a position which requires the driving of a commercial vehicle.
Covered Employee -Any employee of the District who occupies or is applying for
transfer to a covered position.Applicants who are offered employment,trainees
learning the duties of covered positions,and employees temporarily performing
such duties are also "covered employees."
Covered Position -A position that requires the incumbent to perform safety-
sensitive functions as defined by the U.S.Department of Transportation and as
described herein.Covered positions include but are not limited to those
classifications which may require Class A or B California Driver's Licenses and/or
Class C California Driver's License with a hazardous materials or tanker
endorsement.Positions which perform safety-sensitive functions include but may
not be limited to the following:
Equipment Mechanic I
Equipment Mechanic II
Equipment Shop Supervisor
2
ATTACHMENT B
Pump Mechanic I
Pump Mechanic II
Utility Maintenance Crew Leader
Utility Worker I
Utility Worker II
Senior Utility/Equipment Operator
Welder I
Welder II
Employer -Any person or entity who owns or leases a commercial motor vehicle or
assigns persons to operate such a vehicle,includingagents,officers and
representatives of the employer.
Evidential Breath Testing Device (EBT)- A device approved by the National
Highway Traffic Safety Administration (NHTSA)for the evidential testing of breath
and placed on NHTSA's "Conforming Products List of Evidential Breath
Measurement Devices"(CPL).
Medical Review Officer (MRO)- A licensed physician (medical doctor or doctor of
osteopathy)responsible for receiving laboratory results generated by the District's
drug testing program or his/her designee who has knowledge of substance abuse
disorders and has appropriate medical training to interpret and evaluate an
individual's confirmed positive test result together with his or her medical history
and any other relevant biomedical information.
Performing a Safety-Sensitive Function -Any period in which the driver is
actually performing,ready to perform,or immediately able to perform any safety-
sensitive functions.
Reasonable Suspicion -Reasonable suspicion or cause means that a trained
supervisor believes that the actions,appearance,speech,body odors,or conduct
of an on-duty employee is indicative of the use of drugs or alcohol.Reasonable
suspicion may be conducted before,during,or after an employee performs safety-
sensitive functions.
The determination that a reasonable suspicion exists to require an employee to
undergo a drug or alcohol test must be based on specific,objective,and
contemporaneous facts concerning the behavior,appearance,speech,or body
odors of the employee.The determination must also be based on the supervisor's
direct observations of the behavior(s)and not on hearsay.The supervisor(s)
witnessing the impairment must document the specific observations upon which the
reasonable suspicion is based.
3
ATTACHMENT B
Where there is a reasonable suspicion that the employee is under the influence of
drugs or alcohol,the supervisor shall arrange for the employee to be transported to
the testing facility and then driven home.The employee shall not be permitted to
transport him or herself.
Safety-Sensitive Function -Any activity described in U.S.Department of
Transportation regulations as a "safety-sensitive"function."On-duty"time for
safety-sensitive functions commences at the time covered employees begin to work
or are required to be in readiness for work until the time they are relieved of work
responsibilities."On-duty"time includes the following safety-sensitive functions:
1.Driving a commercial motor vehicle.
2.Performing maintenance on any vehicle.
3.Inspecting any vehicle.
4.Loading or unloading any vehicle.
5.Supervising or assisting the loading or unloading of any vehicle.
6.Waiting to load or unload any vehicle or to be dispatched in a commercial
motor vehicle.
Screening Test (initial test)-In alcohol testing this means an analytical procedure
to determine whether a driver may have prohibited concentration of alcohol in his or
her system.In controlled substance testing it means an immunoassay screen to
eliminate "negative"urine specimens from further consideration.
Substance Abuse Professional (SAP)- A licensed physician (medical doctor or
doctor of osteopathy),or a licensed or certified psychologist,social worker,
employee assistance professional,or addiction counselor with knowledge of and
clinical experience in the diagnosis and treatment of alcohol and controlled
substances-related disorders.
C.Prohibitions and Other Related Conduct
Covered employees are prohibited from engaging in the following acts:
1.Alcohol use or possession
a.Reporting for duty or remaining on duty to perform safety-sensitive
functions while having an alcohol concentration of 0.04 or greater..
b.Performing safety-sensitive job duties within four hours after using
alcohol.
4
ATTACHMENT B
c.When required to take a post-accident alcohol test,using alcohol within
eight hours following the accident or prior to undergoing a post-accident
alcohol test,whichever occurs first.
d.Refusing to submit to a alcohol test required by pre-employment,
promotional,post-accident,random,reasonable suspicion or follow-up
testing requirements.
2.Controlled Substance (drug)use or possession
a.Reporting for duty or remaining on duty,requiring the performance of
safety-sensitive functions,when the driver uses any controlled
substance.Prescription drugs may be allowed,as needed,provided that
the employee produces to his/her supervisor the written advice of a
licensed medical examiner that such drugs will not impair the employee's
ability to drive a motor vehicle prior to performing safety-sensitive
functions while using the drug,so that the supervisor may determine
whether the employee is fit to perform duties.
b.Refusing to submit to controlled substance testing required by pre-
employment,promotional,post-accident,random,reasonable suspicion
or follow-up testing requirements."Refusing to submit"includes any
instance of adulterating or substituting a test specimen for controlled
substances.
D.Types of Testing
1.Pre-Employment Controlled Substance Testing (Including Reassignment
or Transfer-Voluntary and Involuntary)
No candidate for District employment or current District employee involved in a
transfer to a position designated to perform safety-sensitive functions shall be
deemed qualified for appointment or transfer until he/she has received a
controlled substance test result indicating a verified negative result and a
blood alcohol test indicating a blood alcohol level of less than .04.
Each applicant who is conditionally offered a position covered by this policy
will be drug tested and submit to a blood alcohol test before being employed.
Pre-employment job applicants who test positive for controlled substance use
or who have a blood alcohol level of .04 or greater at the time of testing will
not be hired.An employee transferred or reassigned into a position requiring
drug/alcohol testing,and a job applicant who tests positive for controlled
substance use (Le.,above the cutoff concentrations specified by the U.S.
Department of Transportation)has the right to request retesting of the second
split specimen at his/her expense.If the retest result is negative,the
5
ATTACHMENT B
employee will be reimbursed by the District for the cost of the retest.Failure to
pass the test shall be deemed a basis upon which employment or assignment
to a safety-sensitive position shall be denied.
An employee working in a covered position who transfers to another covered
position will not be required to take a pre-employment test.
2.Random Testing
a.All covered employees are subject to unannounced testing based on
random selection.This includes trainees and employees temporarily
performing work in a covered position.
b.Random alcohol testing shall be administered to the percentage of the
average number of commercial driver positions specified by the Federal
Motor Carrier Safety Administration Administrator.If no percentage has
been specified,the percentage shall be that which is specified in the U.S.
Department of Transportation regulations.
c.Random controlled substances testing'shall be administered to the
percentage of the average number of commercial driver positions
specified by the Federal Motor Carrier Safety Administration
Administrator.If no percentage has been specified,the percentage shall
be that which is specified in the U.S.Department of Transportation
regulations.
d.To assure that the selection process is random,the names of all covered
employees will be placed in a common pool.This random common pool
may,by election of the District for convenience of testing,be comprised
of individuals subject to both drug and alcohol testing if the testing occurs
at the same time.This is intended to allow as few covered employees as
possible off work for testing.
e.The District shall ensure that random alcohol and/or controlled
substances tests are unannounced and spread reasonably throughout
the calendar year.It is possible under this random testing program that
one qualified employee could be tested more than once during a
calendar year,while other employees may not be tested at all during the
same time.
f.The procedure will select sufficient additional numbers/names to be
used to reach the appropriate testing level of employees during each test
period.These alternate numbers/names will be tested in order of
selection only if persons selected are unavailable for testing due to
vacations,medical leave,leave of absence,business travel,or other
justifiable reason.
6
ATTACHMENT B
g.The District shall ensure that commercial drivers selected for random
alcohol and/or controlled substance tests proceed immediately to the
designated point of testing upon written notification of being selected.
h.Under this section,the employee shall only be tested for alcohol while
he/she is performing safety-sensitive functions,immediately prior to
performing,or immediately after performing safety-sensitive functions.
3.Reasonable Suspicion Testing
A covered employee is required to submit to an alcohol or controlled
substance test when there is reasonable suspicion to believe such employee
has violated the alcohol or controlled substances prohibitions and the
observation is made by an appropriately-trained supervisor or other trained
person just before,during,or just after the employee is on duty in a covered
position.
a.Alcohol
1.A breath alcohol test must be administered as soon as possible.If the
test is not administered within two hours of the observation,the
supervisor or other appropriate person making the observation must
prepare and maintain records stating why testing was not completed.
Every effort should be made to ensure that a breath alcohol test is
performed within eight hours.If testing has not occurred within eight
hours,attempts to test should be discontinued,and the supervisor/other
appropriate person must record why the required test was not
administered.
2.The employee shall not be allowed to perform covered functions unless
the results of the alcohol screening and,if indicated,confirmation test
(taken within 20 minutes of a screening test)indicates an alcohol
concentration less than 0.02,or 24 hours has elapsed following the
determination of reasonable suspicion
b.Controlled Substances
1.A urinalysis test for controlled substances must be administered as soon
as possible.If the urinalysis is not performed within 32 hours of the
observation,the supervisor or other appropriate person making the
observation must prepare and maintain records stating why testing was
not completed within such time.However,the employee must still submit
to the urinalysis even if it was not performed within 32 hours.
7
ATTACHMENT B
2.The employee shall not be allowed to perform safety-sensitive functions
pending the results of the urinalysis from the MRO.
c.The employee will not be allowed to proceed alone to or from the
collection site.The supervisor or other appropriate person making the
observation shall arrange to transport the employee to the testing site.
d.Documentation to support the determination to conduct reasonable
suspicion testing should be prepared and signed by the person who
made the determination within 24 hours of the determination or before
the results of the test are released,whichever is earlier,if possible.
4.Post-Accident Alcohol and Controlled Substances Testing
As soon as practicable following an accident involving a commercial motor
vehicle,the District shall test the covered employee involved for alcohol and
controlled substances when:
a.The accident involved a fatality,bodily injury to persons requiring medical
care away from the scene of the accident,or disabling damage to any of
the vehicles involved;or
b.If the accident resulted in injury to a person or disabling damage to a
vehicle such that it had to be towed,and the employee receives a citation
under state or local law for a moving traffic violation arising from the
accident (within eight hours of the accident for an alcohol test,within 32
hours for a controlled substances test).
The following criteria apply when conducting drug and alcohol tests due to an
accident:
a.A breath alcohol test must be administered as soon as possible.If not
within two hours following the accident,the employer/supervisor must
prepare and maintain records stating why testing was not completed.At
that time,every effort should be made to ensure that a breath alcohol
test is performed within eight hours following the accident.If testing has
not occurred within eight hours,attempts to test should be discontinued,
and the employer/supervisor must record why he was unable to
administer the required test.
b.A drug screening test must be initiated prior to the 32nd hour following an
accident.If the test is not administered as required,the
employer/supervisor must document the reasons testing was not
performed.
8
ATTACHMENT B
c.The employee must remain readily available for testing or he or she will
be deemed to have refused the test (see Refusal to Consent).This rule
does not require the delay of necessary medical attention for injured
persons following the accident nor prohibit the employee from leaving the
scene to obtain assistance or necessary emergency medical care.
d.An employee subject to post-accident testing may not use alcohol within
eight hours following the accident or before an alcohol test,whichever
comes first.
e.Testing will not be conducted on any deceased employee.
f.The results of a breath or blood test for the use of alcohol or a urine test
for controlled substances,conducted by Federal,State,or local officials
having independent authority for the test,shall be considered to meet the
requirements of this policy provided such results are obtained by the
employer,and conform to the applicable Federal,State or local
requirements.
g.The potentially affected employee will not be allowed to proceed alone to
or from the collection site.Time spent in complying with post-accident
testing is compensable.
h.After returning from the collection site,the driver shall not be allowed to
perform safety-sensitive functions pending the results of both the alcohol
breath test and the drug test.
i.Documentation of the activity being performed by the employee that
supports the determination to conduct post-accident testing should be
prepared and signed by the supervisor requesting the test within 24
hours of the accident or before the results of the drug test are released,if
possible..
5.Return to Duty Test
Because of the District's zero tolerance for alcohol abuse and use of
controlled substances,it is expected that covered employees who test positive
for alcohol or controlled substances will be discharged and will not be afforded
the opportunity to return to duty or to complete follow-up testing (see Section
6).To the extent that the District may be lawfully required in some
circumstances to accommodate a disability by permitting such testing,the
District specifies return-to-duty and follow-up standards.
a.Alcohol Misuse
9
ATTACHMENT B
The District shall ensure that before a covered employee returns to duty
requiring the performance of a safety-sensitive function,after engaging in
prohibited conduct regarding alcohol misuse,such employee shall
undergo a return-to-duty alcohol test indicating a breath alcohol
concentration of less than 0.02.
b.Controlled Substances Abuse
The District shall ensure that before a covered employee returns to duty
requiring the performance of a safety-sensitive function,after engaging in
prohibited conduct regarding controlled substance ul?e,the employee
shall undergo a return-to-duty controlled substances test with a verified
negative result for controlled substances use.A verified negative result
is the amount of controlled substances below the cutoff levels
established by the U.S.Department of Transportation.
6.Follow-Up Testing
Any covered employee identified by the Substance Abuse Professional as
needing assistance will be subject to follow-up testing upon returning to duty.
A minimum of six unannounced tests will be performed over the following
twelve month period.Follow-up testing may be extended for up to 60 months
following return-to-duty.The same criteria used for return-to-duty testing will
be used for any follow-up testing.Moreover,follow-up testing may include
tests for other substances beyond the employee's initial positive test of drug
and/or alcohol use when the Substance Abuse Professional has reason to
believe that additional testing is warranted.If follow-up testing is required,the
employee assumes full responsibility for paying the follow-up testing
expenses.The employee may select the laboratory to administer the follow-
up tests provided the laboratory is certified by the Department of Health and
Human Services (DHHS)and the methods and procedures used are in
compliance with U.S.Department of Transportation regulations.
E.Employee Consent
Before a drug or alcohol test is administered,the covered employee will be asked
to sign a consent form authorizing the test and permitting release of the test results
to the appropriate District representative.The consent form shall provide a space
to acknowledge that the employee being tested has been advised of the drug and
alcohol testing policy.
F.Refusal to Consent
An employee who refuses to submit to drug or alcohol testing required by the
District shall be prohibited from performing or continuing to perform safety-sensitive
functions.An employee's refusal to submit to drug or alcohol testing required by
10
ATTACHMENT B
the District for any reason may also result in disciplinary action,up to and including
termination.Refusal to consent shall include,but is not limited to:
a.Failing to provide adequate breath for alcohol testing,without valid medical
explanation,after being notified of the requirement for breath testing;
b.Failing to provide an adequate urine sample for testing,without a genuine
inability to provide a sp.ecimen (as determined by medical evaluation),after
being notified of the requirement for urine testing;and
c.Engaging in conduct that clearly obstructs the testing process.
d.Refusing to consent to the release of test results to the District.
G.Procedure
1.Alcohol Testing
Alcohol testing will be conducted using evidential breath testing devices (EBT)
approved by the National Highway Traffic Safety Administration.A screening
test must be conducted first.If the result is an alcohol concentration level of
less than 0.02,the test is considered a negative test.If the alcohol
concentration level is 0.02 or more,a second confirmation test must be
conducted.Alcohol testing shall be accomplished by a laboratory certified by
the U.S.Department of Health and Human Services.
2.Controlled Substance Testing
a.The test must be conducted by analyzing the employee's urine.
b.The urinalysis shall be done at a laboratory certified by the U.S.
Department of Health and Human Services.
c.The urine specimen must be split into two bottles labeled as "primary"
and "split"specimen.Both bottles must be sent to the laboratory.
d.If the urinalysis of the primary specimen tests positive for the present of
illegal,controlled substances,the employee has 72 hours from time of
notification to request that the split specimen be analyzed by a different
certified laboratory.
e.The urine sample shall be tested for the following:marijuana
metabolites,cocaine metabolites,opiates,amphetamines and
phencyclidine (PCP).
11
ATTACHMENT B
f.If the test is positive for one or more the drugs listed in "e"above,a
confirmation test must be performed using gas chromatography/mass
spectrometry analysis.
g.All drug test results will be reviewed and interpreted by the Medical
Review Officer before they are reported to the District.
h.With all positive drug tests,the Medical Review Officer will contact the
employee to determine if there is a medical explanation for the positive
test result.If documentation is provided and the Medical Review Officer
determines that there is a legitimate medical use for the prohibited drug,
the test result may be reported to the District as negative.
H.Consequences to Employees Engaging in Conduct Prohibited by the Federal
Highway Administration's Drug Use and Alcohol Misuse Rules
1.Covered employees who engage in behavior prohibited by this policy are
subject to disciplinary action in accordance with the the District's zero-
tolerance policy stated in its Drug-Free Workplace Policy and the District's
Employee Discipline Procedures.
2.The District shall immediately remove any covered employee who has
engaged in prohibited drug or alcohol use from his or her safety-sensitive
functions.The District may,at its option,assign the employee to non-safety-
sensitive functions,at the pay level of the position to which the employee
has been reassigned,or place the employee on unpaid leave for the period
during which the employee is prohibited from performing safety-sensitive
functions.If placed on unpaid leave,the employee may use accrued sick,
vacation,and/or compensatory time.
3.If the alcohol concentration level is greater than 0.02,but less than 0.04,the
employee may not return to his or her safety-sensitive function for a
minimum of 24 hours and until another breath alcohol test is administered,
and the result is less than a 0.02 concentration.The covered employee will
also be subject to provision of the District's Drug-Free Workplace Policy
concerning an alcohol concentration of greater than 0.02,and any
disciplinary consequences arising therefrom.
4.The District shall make arrangements for alternative transportation when test
results are positive for drugs or an alcohol concentration of 0.02 or greater.
12
ATTACHMENT B
5.General Information Regarding Substance Abuse
a.Effects of Alcohol &Controlled Substances
Abuse of alcohol or the illegal use of controlled substances may have one or more of
the following effects on an individual's health,personal life,and work:
•Decreased or increased appetite
• Impaired sexual function
•Depression,irritability
•Shallow breathing,clammy skin,sweating
•Drowsiness,insomnia
•Convulsions,tremors,chills
•Cramps,nausea
•Increased alertness,rapid pulse,hyperactivity
•Panic,anxiety,delirium,hallucinations,euphoria,disorientation
•Increase/decrease in body temperature
•Slurred speech
•Coma,weakened pulse
•Death
•Impaired personal relationships
•Impaired work relationships/performance
b.Signs &Symptoms of Alcohol or Controlled Substances Problem
Problems with the abuse of alcohol or illegal use of controlled substances may be
indicated by one or a combination ofthe following:
•Inattentiveness to work
•Sudden mood swings
•Excessive absenteeism or tardiness,particularly after off-duty days
•Paranoia
•Unreasonably defensive behavior
•Depression
•Intoxication while on duty.
•Persistent sleeping while on duty
•Persistent inattention to hygiene or dress
•Hallucinations
•Unexpected changes in physical appearance,such as profuse sweating not
attributable to the tasks being performed
c.Available Methods of Intervention
When a manager,supervisor,or coworker suspects that an employee may have a
problem with controlled substances or abuse of alcohol,the District has several
available methods of intervention:
13
ATTACHMENT B
•Referral to employee assistance program
•Voluntary participation in employee assistance program
•Referral to management for disciplinary action
•Direct confrontation of employee
The District does not guarantee that an employee will not ~eceive disciplinary action
even though the employee may be participating in an employee assistance program,if
that employee is found to be illegally using controlled substances at any time,using
alcohol while on duty,or reporting for duty while under the influence of either.
I.Substance Abuse Professional
The District will only provide an assessment by a Substance Abuse Professional.
Under this policy,the District has no obligation to provide or pay for further
treatment,as this is the responsibility of the employee.
J.Training
1.Informational Material
As required by the U.S.Department of Transportation,the District will provide
information on drug use and treatment resources to safety-sensitive
employees.In addition,the District will provide an orientation to the policy for
all covered employees.
2.Mandatory Supervisory Training
All supervisors of covered employees shall attend at least one hour of training
on alcohol abuse and at least one hour of training on controlled substances
use.These trainings shall·cover the physical,behavioral,speech and
performance indicators of probable alcohol misuse and the use of controlled
substances,and is intended to assist supervisors and other designated District
employees in making appropriate reasonable suspicion determinations.
K.Testing Records
The District shall maintain records of test results,prevention programs,
policies,training,drug use and alcohol misuse,refusals to submit to testing,
employee evaluations,and annual summary of the District testing program in
accordance with the District's Records Retention policy.
14
ATTACHMENT B
L.Access to Records
The following agencies shall have access to all test results without the verbal or
written consent of covered employees:
\
a.Otay Water District management in proceedings initiated either by the District
or the employee as a result of testing.
b.The U.S.Department of Transportation or any state or local official with
regulatory authority over the District or any of its employees.
c.The National Transportation Safety Board when conducting an investigation of
an accident where drug and/or alcohol testing was performed.
M.Notice to Employees
The District shall provide a copy of this policy to each employee who is currently
employed in a covered position.The District shall provide a copy of this policy to
each employee who is newly hired or promoted into a covered position,at the time
he/she commences employment in the covered position.
N.Compliance with Federal Law
At all times,the District will comply with the current applicable federal law
concerning drug and alcohol testing.Issues or inconsistencies that are not
addressed in this policy will be determined by referring to the law and official
regulations outlining policies and procedures,etc.relative to the law.Due to the
complexities involving the law and this type of policy,not all of the particulars may
necessarily be covered in this policy.The District reserves the right to make
changes to this policy to remain in compliance with applicable Federal and State
laws and regulations.
15
Otay Water District
Human Resources Procedures
ATTACHMENTB ..
Effective Date:7/1/95
Revised:2J10/04
05/03/06
Page
1 of 15
...-··1 ormatted:Not Shadow
Section Title:
DEPARTMENT OF TRANSPORTATION (DOTl
DRUG AND ALCOHOL TESTING POLICY
A.Purpose
This policy establishes gUidelines in compliance with the Federal Omnibus
TransportationIEmployeeTesting Act of 1991 (Omnibus Act),the U.S.Department of Transportation
Federal
Highway Administration (FHWA)Regulations of 1994 (49 CFR parts 40 and 382 et al.),
and
Section 34520(a)of the California Vehicle Code.Each of these measures requires that
regular drug and alcohol testing be performed on employees in safety-sensitive
positions who operate specified commercial vehicles.
Otay Water District's objectives in establishing this policy are to:
1.Provide a safe working environment for District employees.
2.Protect the safety of the public at large.
3.Ensure the highest quality of public service possible.
4.Encourage employees who are concerned about their drug
and/or alcohol use to voluntarily seek assistance.
B.Definitions
Following are the definitions of terms related to the
Omnibus Transportation Employee Testing Act and referenced
in this policy:
Alcohol -The intoxicating agent in beverage alcohol,ethyl
alcohol or other low molecular weight alcohols including
methyl and isopropyl alcohol.
Alcohol Use -The consumption of aflY beverage,liquid mixture,or
preparation,
including any medication containing alcohol.
Breath Alcohol Technician (BAT)-An individual who instructs and
-ATTACHMENT B
assists individualsemployees or applicants in the alcohol testing process and
operates
an evidential
breath testing -device (EBT).
Commercial Motor Vehicle - A motor vehicle or combination of motor vehicles
which:
1.has a gross combination weight of 26,001 or more pounds inclusive of a
towed unit with a gross vehicle weight rating (GVWR)of more than 10,000
pounds;or
2.has a gross vehicle weight rating G¥9FOf 26,001 or more GVWR;or
3.is designed to transport 16 or more passengers,including the driver;or
4.is of any size and is used in the transportation of hazardous materials
requiringwhich require the vehicle to have placards.
Confirmation Test (alcohol)- A second alcohol test that follows a screening test
by BAT with illLEBT after a 15 minute deprivation period.The confirmation test
controls over the screening test (if a different result).Results of alcohol
concentration less than 0.02 are reported as negative.Results of 0.02 O.OaQ
require the employee to be removed from the safety sensitive function for 24 hours.
Result of 0.04 or more is a violation of the DOT rules and requires removal until
further evaluation by Substance Abuse Professional.
Confirmation Test (controlled substance)- A second analytical procedure to
identify the presence of a specific drug or metabolite which is independent of the
initial test and which uses a different technique and chemical principle from that of
the initial test in order to ensure reliability and accuracy.Gas chromatography/mass
spectrometry (GS/MC)is the only authorized confirmation method for cocaine,
marijuana,opiates,amphetamines,and phencyclidine (PCP).
Driver -aAY:Any person who operates a commercial motor vehicle.For the
purposes of pre-employment testing,the term :drive(includes a person applying te
€lfivefor a position that requires the driving of a commercial motor vehicle and
current District employee transferring into a position which requires the driving of a
commercial vehicle.
Covered Employee -Fel=-Any employee of the purposes of this section,cOl,'ered
employee refers to any employee of Otay '.'Vater District who occupies or is
applying for transfer to a covered position performing safety sensitive functions as
defined by the Department of Transportation and described herein.~Applicants
who are -offered employment,trainees learning the duties of covered positions,and
2
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ATTACHMENTB ....
employees temporarily -performing such duties are also &YbjeGt"covered
employees."
Covered Position - A position that requires the incumbent to perform safety-
sensitive functions as defined by the U.S.Department of Transportation and as
described herein.Covered positions include but are not limited to DOT testin§
re§lliations.Thosethose classifications which may require Class A or B California
Driver's Licenses and/or Class C California Driver's License with a hazardous
materials or tanker endorsement inslllEle,ellt are not lirniteEl,to the follo'....in§hose
f}ositions.Positions which perform safety-sensitive functions include but may not
be limited to the following:
Assistant Disinfestion Teshnisian
Disinfestion Teshnisian
Equipment Mechanic I
Equipment Mechanic II
Equipment Shop Supervisor
Pump Mechanic I
Pump Mechanic II
Utility Maintenance Crew Leader
Utility Worker I
Utility Worker II
Senior Utility/Equipment Operator
Welder I
Welder II
Employer -Any person or entity who owns or leases a commercial motor vehicle or
assigns persons to operate such a vehicle,includingagents,officers and
representatives of the employer.
Evidential Breath Testing Device (EST)- A device approved by the National
Highway Traffic Safety Administration (NHTSA)for the evidential testing of breath
and placed on NHTSA's "Conforming Products List of Evidential Breath
Measurement Devices"(CPL).
Medical Review Officer (MRO)- A licensed physician (medical doctor or doctor of
osteopathy)responsible for receiving laboratory results generated by the District's
drug testing program or his/her designee who has knowledge of substance abuse
disorders and has appropriate medical training to interpret and evaluate an
individual's confirmed positive test result together with his or her medical history
and any other relevant biomedical information.
3
-bTTACHM:ENTB
Performing a Safety-Sensitive Function -Any period in which the driver is
actually performing,ready to perform,or immediately able to perform any safety-
sensitive functions.
Reasonable Suspicion -Reasonable suspicion or cause means that a trained
supervisor believes that the actions,appearance,speech,body odors,or conduct
of an on-duty employee is indicative of the use of drugs or alcohol.Reasonable
suspicion may be conducted before,during,or after an employee performs safety-
sensitive functions.
The determination that a reasonable suspicion exists to require an employee to
undergo a drug or alcohol test must be based on specific,objective,and
contemporaneous facts concerning the behavior,appearance,speech,or body
odors of the employee.The determination must also be based on the supervisor's
direct observations of the behavior(s)and not on hearsay.The supervisor(s)
witnessing the impairment must document the specific observations upon which the
reasonable suspicion is based.
Where there is a reasonable suspicion that the employee is under the influence of
drugs or alcohol,the supervisor shall arrange for the employee to be transported to
the testing facility and then driven home.The employee shall not be permitted to
transport him or herself.
Safety-Sensitive Function -Any activity described in U.S.Department of
Transportation regulations as a "safety-sensitive"function."On-duty"time for
safety-sensitive functions commences at the time covered employees begin to work
or are required to be in readiness for work until the time they are relieved of work
responsibilities."On-duty"time includes the following safety-sensitive functions:
1.Dri't'ing the vehicle.
2.Performing maintenance on the vehicle.
1.Driving a commercial motor vehicle.
d.Ins(3octing the2.Performing maintenance on any vehicle.
4.boading or I:Inloading tho3.lnspecting any vehicle.
5.SI:I(3el¥ising or assisting the loading4.Loading or unloading ef.----a§llY
vehicle.
e.VVaiting to load or I:Inload the 5.Supervising or assisting the loading or
unloading of any vehicle.
6.Waiting to load or unload any vehicle or to be dispatched in a commercial
motor vehicle.
4
ATTACHMENTB
Screening Test (initial test)-In alcohol testing this means an analytical procedure
to determine whether a driver may have prohibited concentration of alcohol in his or
her system.In controlled substance testing it means an immunoassay screen to
eliminate "negative"urine specimens from further consideration.
Substance Abuse Professional (SAP)- A licensed physician (medical doctor or
doctor of osteopathy),or a licensed or certified psychologist,social worker,
employee assistance professional,or addiction counselor with knowledge of and
clinical experience in the diagnosis and treatment of alcohol and controlled
substances-related disorders.
C.Prohibitions and Other Related Conduct
Covered employees are prohibited from engaging in the following acts:
1.Alcohol use or possession
a.Reporting for duty or remaIning on duty to perform safety-sensitive
functions while having an alcohol concentration of O.~4 or greater.
b.Performing safety-sensitive job duties within four hours after using
alcohol.
c.Boins on dl,lty or oporatins a sommorsial motor vehisle or performins
safety sensitive fl,lnstions whilo tho dri...er possesses alsohol.This
insll,ldos tho possossion of medisines sontainins alsohol,l,lnless tho
pasl<asins seal is l,lneroken.
9,-When required to take a post-accident alcohol test,using alcohol within
eight hours following the accident or prior to undergoing a post-accident
alcohol test,whichever occurs first.
eg.Refusing to submit to a alcohol test required by pre-employment,
promotional,post-accident,random,reasonable suspicion or follow-up
testing requirements.
2.Controlled Substance (drug)use or possession
a.Reporting for duty or remaining on duty,requiring the performance of
safety-sensitive functions,when the driver uses any controlled
substance.Prossription drl,lSs may eo allowed,as noodod,pl,lrsl,lant to
ad...anse notifisation to tho appropriate sl,lpelvisor,alons with the
sl,lpervisor's prior review of the modisal al,lthori~ation,instrl,ldions,and
possiele side effeds.Prescription drugs may be allowed,as needed,
provided that the employee produces to his/her supervisor the written
5
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ATTACHMENTB __
advice of a licensed medical examiner that such drugs will not impair the
employee's ability to drive a motor vehicle prior to performing safety-
sensitive functions while using the drug,so that the supervisor may
determine whether the employee is fit to perform duties.
b.PossessiR§or sORsYmiR§aRy sry§while OR SYty.
GQ..Refusing to submit to controlled substance testing required by pre-
employment,promotional,post-accident,random,reasonable suspicion
or follow-up testing requirements."Refusing to submit"includes any
instance of adulterating or substituting a test specimen for controlled
substances.
D.Types ofTesting
1.Pre-Employment Controlled Substance Testing (Including Reassignment
or Transfer-Voluntary and Involuntary)
Prior to the employmeRt of aRy iRsi'/isYal who ",,,ill OSSypy a slassifisatioR
sesi§Rates to perform safety seRsiti'/e fuRstioRs (as lisles iR B,DofiRitioRs),
aRS prior to the traRsfer of aRy SyrreRt Distrist employoo iRto a positioR whish
performs safoty seRsitive fYRstioRS,that iREliviElYal myst sybmit to tostiR§for
alsohol aREl sORtrolleEl SybstaRses.
No candidate for District employment or current District employee involved in a
transfer to a position designated to perform safety-sensitive functions shall be
deemed qualified for appointment or transfer until he/she has received a
controlled substance test result indicating a verified negative result and a
blood alcohol test indicating a blood alcohol level of less than .04.
No saRsisate for Distrist employmeRt or SyrreRt Distrist employee iRvolveEl iR a
traRsfer to a positioR Elesi§RateEl to perform safety seRsitive fYRstioRS as
ElefiReEl iR SestioR B above shall be EleemeEl qYalifieEl fer appoiRtmeRt or
traRsfer YRW he/she has rosoiveEl~a sORtrolleEl SYbstaRse test resylt iRElisatiR§
a 'JerifieEl Re§ati't'e roSY It.
Each applicant who is conditionally offered a position covered by this policy
will be drug tested and submit to a blood alcohol test before being employed.
Pre-employment job applicants who test positive for controlled substance use
or who have a blood alcohol level of .04 or greater at the time of testing will
not be hired.An employee transferred or reassigned into a position requiring
drug/alcohol testing.and a job applicant who tests positive for controlled
substance use (i.e..above the cutoff concentrations specified by the U.S.
Department of Transportation)has the right to request retesting of the second
split specimen at his/her expense.If the retest result is negative,the
employee will be reimbursed by the District for the cost of the retest.Failure to
pass the test shall be deemed a basis upon which employment or assignment
to a safety-sensitive position shall be denied.
6
m_.J
ATTACHMENTB ...
Applicants '....ho are conditionally offered a An employee working in a covered
position covered ey this policy will ee dr\,l€j tested eofore eein€j employed.Pre
employment joe applicants '....ho test positive for controlled s\,lestance \,lse who
transfers to another covered position will not be hired.Employees transforred
or reassi€jned inw a position reEj\,lirin€j dr\,lg testing,and joe applicants,who
tost positi'w'e for controllod s\,lestance \,lse have the right to reEj\,lost retostin€j of
the second split specimen at their expense.Ifthe retest ros\,llt is nogative,the
employee will ee reime\,lrsed the cost ey the District.Fail\,lrorequired to ~
the test shall ee deemed a easis \,lpon '....hich employment or assignment to a
safety sensitivo position shall ee donied.
An employee who transfers from one position covered ey this policy to another
covered ey this policy does not req\,lire pre employment testin€j.
Employees worldn€j in a position covered ey this policy on the effecti\'e date
who contin\,le to work in a covered position do not req\,liretake a pre-
employment test.
2.Random Testing
a.All covered employees covered ey this policy are subject to unannounced
testing based on random selection.This includes trainees and
employees temporarily performing work in a covered position.
b.Random alcohol testing shall be administered to the percentage of the
average number of commercial driver positions specified by the Federal
Motor Carrier Safety Administration Administrator.If no percentage has
been specified.the percentage shall be that which is specified in the U.S.
Department of Transportation regulations.
c.Random controlled substances testing shall be administered to the
percentage of the average number of commercial driver positions
specified by the Federal Motor.Carrier Safety Administration
Administrator.If no percentage has been specified.the percentage shall
be that which is specified in the U.S.Department of Transportation
regulations.
e.Random alcohol testin€j shall ee administered at a minim\,lm ann\,lal rate
of 25 percent of the a'w'era€je n\,lmeer of commercial driver positions.
c.Random controlled s\,lestances testing shall ee administered at a
minim\,lm ann\,lal rate of 50 percent of tho average n\,lmeer of commercial
driver positions.
7
ATTACHMENTB
d.To assure that the selection process is random,the names of all covered
employees covered by the fJolicy will be placed in a common pool.This
random common pool may,by election of the District for convenience of
testing,be comprised of individuals subject to both drug and alcohol
testing if the testing occurs at the same time.This is intended to allow as
few covered employees as possible off work for testing.
e.The District shall ensure that random alcohol and/or controlled
substances tests are unannounced and spread reasonably throughout
the calendar year.It is possible under this random testing program that
one qualified employee could be tested more than once during a
calendar year,while other employees may not be tested at all during the
same time.
f.The procedure will select sufficient additional numbers/names to be
used to reach the appropriate testing level of employees during each test
period.These alternate numbers/names will be tested in order of
selection only if persons selected are unavailable for testing due to
vacations,medical leave,leave of absence,business travel,or other
justifiable reason.
g.The District shall ensure that commercial drivers selected for random
alcohol and/or controlled substance tests proceed immediately to the
designated point of testing upon written notification of being selected.
h.Under this section,the employee shall only be tested for alcohol while
he/she is performing safety-sensitive functions,immediately prior to
performing,or immediately after performing safety-sensitive functions.
3.Reasonable Suspicion Testing
APrA covered employee is required to submit to an alcohol or controlled
substance test when there is reasonable suspicion as defined herein to
believe such employee has violated the alcohol or controlled substances
prohibitions~and the observation is made by an appropriately-trained
supervisor.or other trained person just before.during,or just after the
employee is on duty in a covered position.
a.Alcohol
1.A breath alcohol test must be administered as soon as possible.If the
test is not administered within two hours of the observation.the
supervisor or other appropriate person making the observation must
prepare and maintain records stating why testing was not completed.
Every effort should be made to ensure that a breath alcohol test is
performed within eight hours.If testing has not occurred within eight
8
.[.~~~~~~.~.:..~?~..~.~~~?~m •••••••••••••••J
A1;TACHMENTB
hours,attempts to test should be discontinued,and the supervisor/other
appropriate person must record why the required test was not
administered.
a.A breath alcohol test mblst 2.The emplovee shall not be administered
as soon as possible.If not within two hOblrs,allowed to perform covered
functions unless the employer/sblpervisor mblst prepareresults of the
alcohol screening and maintain records statin€)why testin€)was not
completed.At that time,every effort shoblld be made to ensblre that a
breath alcohol,if indicated,confirmation test (taken within 20 minutes of
a screening test is performed within ei€)ht hOblrs.If testin€)indicates an
alcohol concentration less than 0.02,or 24 hours has not occblrred ",lithin
ei€)ht hOblrs,attempts to test shoblld be discontinbled,and the
employer/sblpervisor mblst record why he was blnable to
administerelapsed following the reqblired test.determination of reasonable
suspicion
b.''.fier retblrnin€)from the testin€)location,the employee shall not be
aIlO'.,,'ed to perform co\'ered fblnctions binless the resbllts of the alcohol
screen in€)and,if indicated,confirmation test (taken within 20 minbltes of
a screenin€)test)indicates an alcohol concentration less than 0.02,or 24
hOblrs has elapsed followin€)the sblpervisor's determination there is
reasonable sblspicion to belie';e the dri';er has violated the prohibitions of
blse of alcohol.
b.Controlled Substances
1.c.The potentially affected employee will not be allowed to proceed
alone to or from the collection·site.A urinalysis test for controlled
substances must be administered as soon as possible.If the urinalysis is
not performed within 32 hours of the observation,the supervisor or other
appropriate person making the observation must prepare and maintain
records stating why testing was not completed within such time.
However,the employee must still submit to the urinalysis even if it was
not performed within 32 hours.
d.Qocblmentation to Sblpport the determination to condblct reasonable
sblspicion testin€)shoblld be prepared and si€)ned by the sblpervisor within
24 hOblrs of the determination or before the resbllts of tho test are
released,'""hiche';er is earlier,if possible.
2.The employee shall not be allowed to perform safety-sensitive functions
pending the results of the urinalysis from the MRO.
e.After retblrnin€)from the collection site,the employee shall not be allowed
to perform safoty sensitive fblnctions pendin€)the resbllts of the drbl€)test
from the MRO.
9
ATTACHMENTB.
c.The employee will not be allowed to proceed alone to or from the
collection site.The supervisor or other appropriate person making the
observation shall arrange to transport the employee to the testing site.
d.Documentation to support the determination to conduct reasonable
suspicion testing should be prepared and signed by the person who
made the determination within 24 hours of the determination or before
the results of the test are released,whichever is earlier,if possible.
4.Post-Accident Alcohol and Controlled Substances Testing
As soon as practicable following an accident involving a commercial motor
vehicle,the District shall test eaGRthe covered employee involved for alcohol
and controlled substances each emplo]'ee when:
a.The accisent invol'/es a fatalit]',bosil]'injury to persons,or sisabling
samage to an]'of the '/ehicles involves;or
eg.The accident involved a fatality.bodily injury to persons requiring medical
care away from the scene of the accident,or disabling damage to any of
the vehicles involved;or
b.If the accident resulted in injury to a person or disabling damage to a
vehicle such that it had to be towed,and the employee receives a citation
under state or local law for a moving traffic violation arising from the
accident (within eight hours of the accident for an alcohol test,within 32
hours for a controlled substances test).
The following criteria apply when conducting drug and alcohol tests due to an
accident:
a.A breath alcohol test must be administered as soon as possible.If not
within two hours following the accident,the employer/supervisor must
prepare and maintain records stating why testing was not completed.At
that time,every effort should be made to ensure that a breath alcohol
test is performed within eight hours following the accident.If testing has
not occurred within eight hours,attempts to test should be discontinued,
and the employer/supervisor must record why he was unable to
administer the required test.
b.A drug screening test must be initiated prior to the 32nd hour following an
accident.If the test is not administered as required,the
employer/supervisor must document the reasons testing was not
performed.
10
ATTACHMENT B
c.The employee must remain readily available for testing or he or she will
be deemed to have refused the test (see Refusal to Consent).This rule
does not require the delay of necessary medical attention for injured
persons following the accident nor prohibit the employee from leaving the
scene to obtain assistance or necessary emergency medical care.
d.An employee subject to post-accident testing may not use alcohol within
eight hours following the accident or before an alcohol test,whichever
comes first.
e.Testing will not be conducted on any deceased employee.
f.The results of a breath or blood test for the use of alcohol or a urine test
for controlled substances,conducted by Federal,State,or local officials
having independent authority for the test,shall be considered to meet the
requirements of this policy provided such results are obtained by the
employer,and conform to the applicable Federal,State or local
requirements.
g.The potentially affected employee will not be allowed to proceed alone to
or from the collection site.Time spent in complying with post-accident
testing shall beis compensable.
h.After returning from the collection site,the driver shall not be allowed to
perform safety-sensitive functions pending the results of both the alcohol
breath test and the drug test.
i.Documentation of the activity being performed by the employee that
supports the determination to conduct post-accident testing should be
prepared and signed by the supervisor requesting the test within 24
hours ofthe accident or before the results of the drug test are released,if
possible.
5.a..-Return to Duty Test
Because of the District's zero tolerance for alcohol abuse and use of
controlled substances,it is expected that covered employees who test positive
for alcohol or controlled substances will be discharged and will not be afforded
the opportunity to return to duty or to complete follow-up testing (see Section
6).To the extent that the District may be lawfully required in some
circumstances to accommodate a disability by permitting such testing,the
District specifies return-to-duty and follow-up standards.
a.Alcohol Misuse
11
ATTACHMENTB ..
The District shall ensure that before aRa covered employee returns to
duty requiring the performance of a safety-sensitive function,after
engaging in prohibited conduct regarding alcohol misuse,such employee
shall undergo a return-to-duty alcohol test indicating a breath alcohol
concentration of less than 0.02.
b.Controlled Substances Abuse
The District shall al8e---ensure that before SYGRa covered employee
f8tI:Im.returns to duty requiring the performance of a safety-sensitive
function,after engaging in prohibited conduct regarding controlled
substance use,the employee shall undergo a return-to-duty controlled
substances test with a verified negative result for controlled substances
use.A verified negative result is the amount of controlled substances
below the cutoff levels established by the U.S.Department of Health and
Hl:lman aervisesTransportation.
6.Follow-Up Testing
Any covered employee identified by the Substance Abuse Professional as
needing assistance will be subject to follow-up testing upon returning to duty.
A minimum of six unannounced tests will be performed over the following
twelve month period.Follow-up testing may be extended for up to 60 months
following return-to-duty.The same criteria used for return-to-duty testing will
be used for any follow-up testing.Moreover,follow-up testing may include
tests for other substances beyond the employee's initial positive test of drug
and/or alcohol use when the Substance Abuse Professional has reason to
believe that additional testing is warranted.If follow-up testing is required,the
employee assumes full responsibility for paying the follow-up testing
expenses.The employee may select the laboratory to administer the follow-
up tests provided the laboratory is certified by the Department of Health and
Human Services (DHHS)and the methods and procedures used are in
compliance with U.S.Department of Transportation regulations.
E.Employee Consent
Before a drug or alcohol test is administered,the covered employee will be asked
to sign a consent form authorizing the test and permitting release of the test results
to the appropriate District representative.The consent form shall provide a space
to acknowledge that the employee being tested has been advised of the drug and
alcohol testing policy.
F.Refusal to Consent--
An employee who refuses to submit to drug or alcohol testing required by the
District shall be prohibited from performing or continuing to perform safety-sensitive
12
ATTACHMENTB
functions.An employee's refusal to submit to drug or alcohol testing required by
the District for any reason may also result in disciplinary action,up to and including
termination.Refusal to consent shall include,but is not limited to:
a.~Failing to provide adequate breath for alcohol testing,without valid
medical explanation,after being notified ofthe requirement for breath testing;
b.~Failing to provide an adequate urine sample for testing,without a
genuine inability to provide a specimen (as determined by medical evaluation),
after being notified of the requirement for urine testing;and
c.Engaging in conduct that clearly obstructs the testing process.
d.Refusing to consent to the release of test results to the District.
G.Procedure
1.Alcohol Testing
Alcohol testing will be conducted using evidential breath testing devices (EBT)
approved by the National Highway Traffic Safety Administration.A screening
test must be conducted first.If the result is an alcohol concentration level of
less than 0.02,the test is considered a negative test.If the alcohol
concentration level is 0.02 or more,a second confirmation test must be
conducted.Alcohol testing shall be accomplished by a laboratory certified by
the Federal GO't'ernrnont'sU.S.Department of Health and Human
Rosol:lrsesServices...
2.Controlled Substance Testing
a.The test must be conducted by analyzing the employee's urine.
b.The urinalysis shall be done at a laboratory certified by the Fodoral
Govornrnont'sU.S.Department of Health and Human
Rosol:lrsosServices.
c.The urine specimen must be split into two bottles labeled as "primary"
and "split"specimen.Both bottles must be sent to the laboratory.
d.If the urinalysis of the primary specimen tests positive for the present of
illegal,controlled substances,the employee has 72 (Chan§o hOl:lrs?)
hours from time of notification to request that the split specimen be
analyzed by a different certified laboratory.
13
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ATTACHMENT B
e.The urine sample shall be tested for the following:marijuana
metabolites,cocaine metabolites,opiates,amphetamines and
phencyclidine (PCP).
f.If the test is positive for one or more the drugs listed in "e"above,a
confirmation test must be performed using gas chromatography/mass
spectrometry analysis.
g.All drug test results will be reviewed and interpreted by the Medical
Review Officer before they are reported to the District.
h.With all positive drug tests,the Medical Review Officer will contact the
employee to determine if there is a medical explanation for the positive
test result.If documentation is provided and the Medical Review Officer
determines that there is a legitimate medical use for the prohibited drug,
the test result may be reported to the District as negative.
H.Consequences to Employees Engaging in Conduct Prohibited by the Federal
Highway Administration's Drug Use and Alcohol Misuse Rules
An employee '""ho takes the initiative of vohmtarily aevising management that
he/she has an alcohol or erl:Jg problem,before tal<ing a test which resl:Jlts in a
violation of this poliey,shall be reql:Jiree to enroll in a rehabilitation program.Sl:Jch
an employee actively involved in a rehabilitation problem recognizee by the
MRO/SI\P,may l:Jse accl:Jml:Jlatee paie leave time el:Jring this perioe of absence,or
the employee may reql:Jest al:Jthorizee lea\'e of absence withol:Jt pay.
Employees who are l<Rown to ha'/e engagee in prohibitee beha'/ior with regare to
alcohol misl:Jse or l:JSO of controllee sl:Jbstances are sYbject to the prOCeeyFOS
statee in the Boare of Directors Poliey "Drl:Jg Free Worl<place Poliey and
Proceel:Jre",'""hich may incll:Jee disciplinary action l:JP to ane incll:Jeing termination.
The District shall also:
1.Immediately remove any employee who has engagee in prohibitee drl:Jg or
alcohol l:Jse from his or her safety sensitive fl:Jnctions.The District may,at its
option,assign the employee to non safety sensitive fl:Jnctions,at the pay le\'el
of the position to which the employee has been reassignee.If not reassignee,
the employee shall remain on l:Jnpaid leave and may l:Jse accrl:Jed sicl<ane/or
vacation ane/or compensatory time.
If the alcohel concentratien level is greater than 0.02,bl:Jt less than 0.04,the
employee may not retl:Jrn to his or her safety sensitive fl:Jnction fer a
miniml:Jm of 24 hOl:Jrs ane l:Jntil another breath alcohol test is aeministeree,
ane the resl:Jlt is less than a 0.02 concentration.1.Covered employees
who engage in behavior prohibited by this policy are subject to disciplinary
action in accordance with the the District's zero-tolerance policy stated in its
14
ATTACHMENTB
Drug-Free Workplace Policy and the District's Employee Discipline
Procedures.
d.If tAe alcoAol concentration level is greater tAan 0.04 or a drl:lg screening test
is l30sitive for any of tAe l3FoAibited controlled sl:lbstances,tAe eml3loyee will be
reme\'ed from his or her safety sensitive l3osition I:Intil:
2.The District shall immediately remove any covered employee who has
engaged in prohibited drug or alcohol use from his or her safety-sensitive
functions.The District may.at its option,assign the employee to non-safety-
sensitive functions,at the pay level of the position to which the employee
has been reassigned,or place the employee on unpaid leave for the period
during which the employee is prohibited from performing safety-sensitive
functions.If placed on unpaid leave,the employee may use accrued sick,
vacation,and/or compensatory time.
a.He er sAe I:Indergees e't'ah:latien and,where necessary,reAabilitation.
TAe District is not roql:lired te l3ay for tAis treatment,and SI:lCA treatmont
shall be coml3leted ol:ltside of tAeeml3loyee's regl:llarly sCAedl:lled work
hOl:lrs.TAe eml3loyoe's may I:Itili;z:e any medical coverage l3Fovided by tAo
District for whicA tAe eml3leyee is eligible at tAe time ef treatment.
3.Ifthe alcohol concentration level is greater than 0.02,but less than 0.04,the
employee may not return to his or her safety-sensitive function for a
minimum of 24 hours and until another breath alcohol test is administered,
and the result is less than a 0.02 concentration.The covered employee will
also be subject to provision of the District's Drug-Free Workplace Policy
concerning an alcohol concentration of greater than 0.02,and any
disciplinary consequences arising therefrom.
b.A Sl:Ibstanco Abl:lse Professional determines that tAo eml3loyeo Aas
sl:lccossfully coml3lied with any reql:lired rohabilitation;and
4.The District shall make arrangements for alternative transportation when test
results are positive for drugs or an alcohol concentration of 0.02 or greater.
c.The eml3loyeo I:Indorgeos a retl:lFA to dl:lty test with a resl:llt of a blood
alcohol concentration of less than 0.02 if the eml3loyoe initially tested
130sitive for alcoAol,and/or '....itA a negative test resl:llt for controlled
sl:lbstancos if tAe oml3loyee initially tested 130sitive for controlled
sl:lbstances.
4.If tAe eml3loyee is l3ormittod to retl:lrn to worl<,Ae or SAO ml:lst Aave a negative test
rosl:llt on the retl:lrn to dl:lty tost.
e.The District sAall l3erform I:Inannol:lncod follow 1:113 testing on any eml3loyeo
retl:lFAed to Ais or Aer safety sensitivo dl:lties asdescribod in Section 07.
15
hTTACHMENT B ....
7.The Distrist shall R'lal<o arrangeR'lonts for alternati't'e transportation whon tost
rosijlts are positivo for drijgs or an alsohol eonsentration of 0.02 or groater.
7.Tho oR'lployoo shall 130 Sijl3joet to furthor diseiplino if tho oR'lployoo fails any
follow ijp tosting or Sijl3soqijont randoR'l tosting following tho rotijrn to work,or
refuses to sijl3R'1it to sijeh tosting.
5.General Information Regarding Substance Abuse
a.Effects of Alcohol &Controlled Substances
Abuse of alcohol or the illegal use of controlled substances may have one or more of
the following effects on an individual's health,personal life,and work:
Decreased or increased appetite
Impaired sexual function
•Depression,irritability
•Shallow breathing,clammy skin,sweating
•Drowsiness,insomnia
•Convulsions,tremors,chills
•Cramps,nausea
•Increased alertness,rapid pulse,hyperactivity
•Panic,anxiety,delirium,hallucinations,euphoria,disorientation
Increase/decrease in body temperature
•Slurred speech
•Coma,weakened pulse
•Death
•Impaired personal relationships
Impaired work relationships/performance
b.Signs &Symptoms of Alcohol or Controlled Substances Problem
Problems with the abuse ofalcohol or illegal use of controlled substances may be
indicated by one or a combination of the following:
•Inattentiveness to work
•Sudden mood swings
•Excessive absenteeism or tardiness,particularly after off-duty days
• Paranoia
Unreasonably defensive behavior
Depression
•Intoxication while on duty
•Persistent sleeping while on duty
Persistent inattention to hygiene or dress
•Hallucinations
16
ATTACHMENTB ....
•Unexpected changes in physical appearance,such as profuse sweating not
attributable to the tasks being performed
c.Available Methods ofIntervention
When a manager.supervisor.or coworker suspects that an employee may have a
problem with controlled substances or abuse of alcohol.the District has several
available methods of intervention:
•Referral to employee assistance program
•Voluntary participation in employee assistance program
•Referral to management for disciplinary action
•Direct confrontation of employee
The District does not guarantee that an employee will not receive disciplinary action
even though the employee may be participating in an employee assistance program,if
that employee is found to be illegally using controlled substances at any time,using
alcohol while on duty.or reporting for duty while under the influence of either.
I.Substance Abuse Professional
The District will only provide an assessment by a Substance Abuse Professional.
Under this policy,the District has no obligation to provide or pay for further
treatment,as this is the responsibility ofthe employee.
J.Training
1.Informational Material,
As required by the U.S.Department of Transportation,the District will provide
information on drug use and treatment resources to safety-sensitive
employees.In addition,the District will provide an orientation to the policy for
all covered employees.
2.Mandatory Supervisory Training
All supervisors of safety seRsitivecovered employees shall attend aat least twe
Aoofsone hour of training on the sigRsalcohol abuse and symptomsat least
one hour of Grl,Jg abl,Jse.This training on controlled substances use.These
trainings shall cover the physical,behavioral,speech and performance
indicators of probable alcohol misuse and the use of controlled substances,
and is intended to assist supervisors and other designated District employees
in making appropriate GetermiRatioRs for reasonable suspicion
tsstiRggeterminations.
K.Testing Records
17
AITACHMENT B
Records The District shall bo R'laintained on maintain records of test results,
prevention programs,policies,training,drug use and alcohol misuse,refusals to
submit to testing,employee evaluations,and annual summary of the District testing
program.Tho rotontion l3eriod for in accordance with the records is as follows:
1.Five Yoar District's Records Retention P-efiGQQQ!i.gy"
This 130rtains to tho rosl:llts of alcohol tosts of 0.02 or hiQhor,confirR'lod 130sitivo drl:lQ tosts,
docl:lR'lentation of any OR'll3loyoo who has refl:lsed to Sl:lbR'lit to L.Access to
Records
The following agencies shall have access to all test results without the verbal or
written consent of covered employees:
a rOfll:lirod drl:lQ or alcohol tost,OFAl3loyoo assossR'lonts and roferrals by the
al:lbstanco Abl:lso Professionals,and oach calonear yoar sl:lR'lR'lary..Otay
Water District management in proceedings initiated either by the District or the
employee as a result of testing.
b.The U.S.Department of Transportation or any state or local official with
regulatory authority over the District or any of its employees.
c.The National Transportation Safety Board when conducting an investigation of
an accident where drug and/or alcohol testing was performed.
M.Notice to Employees
2.Two Year Retontion Period
This l3ertains to recores eocl:lR'lentinQ the collection I3rocess for the erl:lQ ane
alcohol tests and traininQ of sl:ll3orvisors.
d.Ono Yoar Retention Poriod
This 130rtains to any alcohol tost rosl:llts which aro loss than 0.02 ane the
docl:lR'lontation of any nOQativo or cancolod drl:lQ tost.
All rocores are confidential;howover,the reQl:llations refll:lire that they be
R'lade available for insl3ection within two bl:lsiness eays foliowinQ a refll:lest by
an al:lthorized porson.The recores are kel3t in a sOl3arato filo and will not be
R'laeo a l3art of the OR'll3loyoo's 130rsonnol filo.An oxcol3tion to this is '""hon
eiscil3linary action resl:llts froR'l tho incidont.'Nhon thore is discil3linary action,
discil3linary noticos and related docl:lR'lents '....i11 bo I3laced in tho oR'lployoe's
130rsonnel file.
18
.b1'1'ACIUvtENTB ....
The results ef any testin§Elono t3ursuant to this t30licy shall be useEl for
eFAt3loYFAent t3urt30ses only anEl shall not be FOleaseEl for use in the criFAinal
justice systeFA,unless cOFAt3elleEl by court orEler.
b.Access to Records
Tho followin§a§oncios shall havo accoss te all tost results without the verbal or
writton consent of co',<eroEl oFAt3loyoes:
a.Otay '."later District FAana§oFAont in t3FOcoeElin§s initiatoEl eithor by the District
or the OFAt3loyoo as a result of testin§.
b.Tho Det3artFAont of Transt30rtation or any state or local official with re§ulator)'
authority oyer tho District or any of its eFAt3loyoes.
c.Tho ~Iational Transt30rtation gafoty Beard when conEluctin§an in',<esti§ation of
an acciElent 'Nhoro Elru§anEl/or alcohol testin§'Nas t3ooorFAeEl.
M.Effectj'/e Date and Notice to Emplovees
EFAt3loyees "",ho are hiFOEI to t30sitions coveFOEI by this t30licy shall bo §iyen a c0t3y
at the time thoy commonco emt3laymont with the District.
The District shall provide a copy of this policy to each employee who is currently
employed in a covered position.The District shall provide a copy of this policy to
each employee who is newly hired or promoted into a covered position,at the time
he/she commences employment in the covered position.
N.Compliance with Federal Law
At all times,the District will comply with the current applicable federal law
concerning drug and alcohol testing.Issues or inconsistencies that are not
addressed in this policy will be determined by referring to the law and official
regulations outlining policies and procedures,etc.relative to the law.Due to the
complexities involving the law and this type of policy,not all of the particulars may
necessarily be covered in this policy.The District reserves the right to make
changes to this policy to remain in compliance with applicable Federal and State
laws and regulations.
19
ATT}\<:t:t~Ef'lT<:m .'(Formatted:Font:12 pt
Effective Date:Page 1 of7
July 1,
2003MarchJanu
ary 2006
~December
14,2004
Section Title:
DISCIPLINE POLICY AND
PROCEDURES
PURPOSE
The purpose of this policy is to present a progressive approach to employee discipline which
uses consistent and equitable procedures for reflecting employee jobperformance and general
conduct.
POLICY
It is the policy of Otay Water District to maintain an atmosphere of positive motivation and
discipline with its employees;to treat all employees fairly;and to administer disciplinary action,
when necessary,in a manner that is both fair and corrective.
Disciplinary action is primarily intended to be corrective and progressive,directed at obtaining
compliance with District rules,orders,procedures,standards of conduct,and expected job
performance.However,disciplinary action may also serve a punitive purpose,particularly in
the case of severe or repetitive misconduct.The District may impose discipline,including a
first disciplinary action,commensurate with the nature and circumstances of an employee's
misconduct.Appropriate disciplinary action may include counseling,oral warning,written
reprimand,suspension,reduction in pay,demotion,and/or dismissal.
STANDARDS OF CONDUCT
All employees are expected to act in a positive and professional manner in performing their
duties and in their relationships with other employees and the public.
Individual departments may adopt rules specifically based on the needs of the department.In
such cases,these rules must be written,approved by the Assistant General Manager,and
distributed to all affected employees.
Employees may be informally or formally disciplined for the following misconduct:
1.Fraud in securing employment or promotion;
ATTACHMENT C...
2.Incompetence,including loss or revocation of a license or certificate that is a condition
of the position or the uninsurability of an employee to drive a District vehicle when
driving is a condition of the position;
3.Failure to perform the duties ofthe position;
4.Inefficiency;
5.Insubordination;
6.Discourteous conduct;
7.Violation of safety rules,policies,standards,and/or regulations,or failure to promptly
report the same;
8.Violation of the general rules,regulations,aR4-policies,and practices of the District or
the employee's department;
9.Dishonesty;
10.Absence or tardiness without leave;
11.Working while intoxicated or illegally under the influence of controlled substances;
12.Consuming alcoholic beverages or illegally using controlled substances while on duty
or during breaks;
13.:Conviction of a felony;
14.:Conviction of a misdemeanor involving moral turpitude and/or crimes involving
firearms,explosives,violence,dishonesty and/or requiring registration under Penal
Code 290;
15.Gambling on District property or while on duty;
16.Bringing or possessing firearms on District property;
17.Unauthorized use or removal of District property,or willful or reckless damage to or
destruction of District property;
18.Fighting with or assaulting,harassing,threatening,or intimidating any person during
working hours or on District property;
19.Immoral conduct;
20.Unlawful discrimination;
21.Membership in any organization that advocates the overthrow of the government of
the United States or that State of California by force,violence,or other unlawful
means.
2
Formatted:Font:12 pt )
ATTA.c:'::ItvtEf'.JT <;:m __-IFormatted:Font:12 pt
*A "conviction"includes any sentence,suspended sentence,probation or other resolution following a
verdict.plea (including a no contest plea)orother finding ofguilt.C~_(l~!"-':l_'!ll.~:!~~~~t:~:f~:m~:?~n _..J
LEVELS OF DISCIPLINE
A.Informal Discipline
Counseling -Counseling includes any informal discussion with an employee designed to
assist the employee to fully develop skills and abilities,The counseling discussion may
clarify standards,evaluate the employee's strengths and weaknesses,or seek information.
Counseling is normally given by the immediate supervisor,but it may be given by any
departmental supervisory staff up to and including the General Manager.
Oral Warning -An oral warning notifies the employee that his/her performance or behavior
must be improved.
An oral warning defines the areas in which improvement is required,sets up goals leading
to improvement,and notifies the employee that failure to improve will result in more serious
action.
An oral warning is normally given by the immediate supervisor,but it may be given by any
departmental supervisory staff up to and including the General Manager.This action shall
only be imposed upon review and approval ofthe Department Chief in consultation with the
Human Resources Manager or designee.
A written summary of an oral warning is kept by the supervisor,given to the employee,and
placed in the supervisor's file and retained for a period of 18 months after which it is
removed at the employee's request,unless other disciplinary problems have occurred
within that time.However,if the oral warning is for violation of the Violence in the
Workplace Policy,the Drug and Alcohol Policy,or Sexual Harassment Policy,it shall be
permanently retained in the file.
B.Formal Discipline
Letter of Reprimand -A written reprimand is a formal notice to the employee that further
disciplinary action may be taken unless performance or behavior improves.
A written reprimand admonishes an employee for misconduct and advises him/her ofthe
consequences of failing to improve his/her performance or behavior.It should contain the
following information:
a.What occurred.
b.Date and time of the event which is the cause of the reprimand.
c.Specific rule or policy broken or violated.
3
A,TTAC:Hi\1Er-.JT <::......(Formatted:Font:12 pt
d.Reference to previous conversations and/or oral warnings regarding the problem.
e.What the employee is expected to do to correct the situation.
f.An outline of subsequent meetings or assignments to ensure that the employee has
followed the directions for corrective action.
A written reprimand is normally given by the immediate manager,but it may be given by
any departmental supervisory staff up to and including the General Manager.This action
shall only be imposed upon review and approval of the Department Chief in consultation
with the Human Resources Manager or designee.
Copies of written reprimands are kept by the supervisor,given to the employee,and placed
in the employee's permanent personnel file and retained for a period of 3 years after which
it is removed at the employee's request,unless other disciplinary problems have occurred
within that time.However,if a reprimand is for a violation of the Violence in the Workplace
Policy,the Drug and Alcohol Policy or Sexual Harassment Policy,it shall be permanently
retained in the file.
Suspension -Suspension is the temporary removal of an employee from his/her duties
without pay.Suspensions are normally taken in cases involving serious misconduct or
chronic behavioral problems for which there seems to be no other appropriate response.
A suspension is usually given by the Department Chief,but may be given by any
departmental supervisory staff up to and including the General Manager.This action shall
only be imposed upon review and approval of the Department Chief,in consultation with
the Human Resources Manager or designee,and finalized as a written notice of discipline
approved by the Assistant General Manager.
Copies of suspension notices are kept by the supervisor,given to the employee,and
placed in the employee's permanent personnel file.
Suspensions for 3 days or less shall be retained for a period of 3 years after which it is
removed at the employee's request,unless other disciplinary problems have occurred
within that time.However,if a suspension is for a violation of the Violence in the Workplace
Policy,the Drug and Alcohol Policy or Sexual Harassment Policy,it shall be permanently
retained in the file.
Suspensions for more than 3 days shall be retained in the employee's permanent
personnel file.
Demotion or reduction in pay -Demotion to a position with a lower salary range or a
reduction in salary within the current salary range.This type of discipline is normally
imposed in response to an employee's failure to maintain minimum job requirements,
incompetence or an inability to perform the essential duties of a position.However,it may
be used for any other form of misconduct if deemed appropriate.
A demotion or reduction in pay is usually given by the Department Chief,but may be given
by any departmental supervisory staff up to and including the General Manager.This action
shall only be imposed after review and approval by the Assistant General Manager,
4
·.ATTACHMENT C
Department Chief,in consultation with the Human Resources Manager or designee,and
finalized as a written notice or discipline approved by the General Manager.
Copies of demotions and reductions in pay are kept by the supervisor,given to the
employee,and placed in the employee's permanent personnel file.
Dismissal -Action to permanently terminate an employee's employment with the District.
A dismissal is usually given by the Department Chief,but may be given by any
departmental supervisory staff up to and including the General Manager.This action shall
only be imposed after review and approval by the Assistant General Manager,Department
Chief,in consultation with the Human Resources Manager or designee,and finalized as a
written notice of discipline approved by the General Manager.
Copies of dismissal notices are kept by the supervisor,given to the employee,and placed
in the employee's permanent personnel file.
PRE-DISCIPLINE DUE PROCESS
ELIGIBILITY
These procedures apply to any person holding regular status as a District employee."Regular
status"includes all District employees except probationary employees,at-will employees,part-
time employees working less than 20 hours per week,and temporary employees.
A.Notice Of Intent To Discipline
When a recommendation that a suspension of more than five (5)days,demotion,reduction in
pay,or dismissal be imposed on an employee has been approved by the General Manager or
designee,a Notice of Intent to Discipline shall be prepared and delivered to the employee at
least five (5)working days before the date on which the proposed disciplinary action will
become effective.
The Notice of Intent to Discipline shall include the following information:
1.A description of the proposed disciplinary action;
2.The date on which that action will become effective;
3.A statement of the charge(s)upon which the proposed action is based,including a
description of the events constituting the alleged misconduct and reference to or
description of the specific District rule or policy violated;
4.A statement that the employee has a right to meet with the General Manager or
designee,and respond to the charges either orally or in writing,at any time before
the proposed disciplinary action is to become effective;
5.Copies of any known written materials,reports,or documents upon which the
proposed action is based.
B.Notice Of Discipline
5
IFormatted:Font:12 pt
ATTAc:~~ENT c:..._-_.IFormatted:Font:12 pI
If the employee elects not to meet with the General Manager or designee or respond to the
charges before the effective date,the proposed action shall be imposed on the effective date.
If the employee meets with the General Manager or designee or submits a response to the
charges and the General Manager or designee decides that the proposed action or modified
disciplinary action should be imposed,the General Manager or designee shall issue a Notice
of Discipline to the employee.
The Notice of Discipline shall include the following information:
1.A description of the disciplinary action to be taken.
2.The date on which that action will become effective.
3.A statement whether any of the charges,descriptions of events,or alleged violations
of District rule or policy in the Notice of Intent to Discipline were not sustained.
APPEAL
Represented Employees
Represented employees shall have the right to appeal disciplinary action taken against them in
accordance with and to the extent provided by an applicable collective bargaining agreement.
A "represented employee"is an employee who is a member of a bargaining unit for which
there is a recognized employee organization.
ADMINISTRATIVE LEAVE
Leave Pending Investigation -The District may place an employee on paid Administrative
Leave pending investigation of an alleged violation of law,policy,regulation,or standard of
conduct.
Leave Pending Disciplinary Action -The District may place an employee on paid
Administrative Leave,pending an employee's response to a Notice of Intent to Discipline and
determination whether disciplinary action will be imposed.
EMERGENCY
In extraordinary circumstances,where an emergency situation exists that has the potential to
harm District property,employees or members of the public or can result in harm to the
employee,the District may remove the employee from the workplace immediately.An
investigation will be conducted as soon as possible.After the emergency is passed,and if
disciplinary action against the employee is contemplated,the guidelines for disciplinary action
set forth herein shall be followed.If no discipline is imposed,the employee will be repaid for
any time offwithout pay.
6
.ATTACHMENT C
AUTOMATIC RESIGNATION
An employee is considered to have resigned his/her employment when the employee fails to
report to work for two (2)or more consecutive work days without leave to be absent,whether
such absence is voluntary or involuntary.Such resignation shall be effective as of the last day
actually worked by the employee.The District shall notify the employee his/her resignation.
Although the District's acceptance of an employee's automatic resignation is not a disciplinary
action,the District shall include the following in the notice of resignation:
a.A description of the facts upon which the resignation is based;
b.A statement that the employee has the right to meet with the General Manager or
designee,and respond to the description of facts either orally or in writing,within five
days of receiving the notice of resignation.
c.A statement that if the employee does not provide sufficient justification for his/her
absence within five days of receiving the notice of resignation,his/her resignation
shall be effective as of his/her last day actually worked.
If the General Manager or designee concludes that the employee's absence was justified,
he/she shall order the employee reinstated without back pay.
TIME EXTENSIONS
Any time limitations or requirements,as set forth in this Policy and Procedure,may be
extended or changed by mutual agreement of all parties.
EMPLOYEE ACKNOWLEDGEMENT
The District may require an employee to sign a document indicating the date on which the
employee received a Notice of Intent to Discipline or a Notice of Discipline.If the employee
refuses to sign the document,the person serving the document on the employee should note
the date of service and that the employee declined to sign.
7
{Formatted:Font:12 pt
ATTACHMENT D
SIDE LETTER AGREEMENT
The current five-year Memorandum of Understanding (MOU)for the period from July 1,
2003 through June 30,2008,between the Otay Water District (District)and the Otay
Water District Employees Association (Association)is hereby amended.Management
and employee representatives have met and agreed to the following additional
provisions which,upon approval of the Board of Directors at the May 3,2006 Board
meeting,shall constitute an amendment to the MOU,as follows:
1.The District and the Association hereby enter into this side agreement,which
shall be considered an amendment to the Memorandum of Understanding in
effect from July 1,2003 to June 30,2008.This side agreement shall expire with
the Memorandum of Understanding.
2.The District submits the following proposal for Article 5,Section 5:ASSIGNMENT
PREMIUMS:
ARTICLE 5,SECTION 5:ASSIGNMENT PREMIUMS
Application of Premium Rates.Premium rates for all assignment premiums are
paid only for hours actually worked in the specific assignment and are not
applicable to vacation or sick leave buyout or to terminal pay.
Shift Pay.Shift pay is for an assigned shift other than the regularly scheduled
day shift.Shift pay shall be paid to employees for working ongoing non-routine
shifts outside the hours of 6:00 a.m.to 6:00 p.m.
1.Compensation for Shift Pay.
One dollar and fifty cents ($1.50)per hour in addition to the employee's
regular salary.
2.An employee who works on an assigned shift other than the regularly
scheduled day shift shall be paid salary during his/her lunch break,at a rate
equal to his/her rate of shift pay,in an amount not to exceed 30 minutes'pay.
3.No shift pay will be paid for overtime work performed as an extension of a day
shift between 6:00 a.m.-6:00 p.m.If overtime is being paid as a result of a
continuation of a regularly scheduled shift,shift pay will not be paid.
Association:
Rob Scholl,President
OWDEA
1
District:
Mark Watton,General Manager
Otay Water District
ATTACHMENT D
ARTICLE 5,SECTION 5:ASSIGNMENT PREMIUMS
Application of Premium Rates.Premium rates for all assignment premiums are paid only for hours
actually worked in the specific assignment and are not applicable to vacation or sick leave buyout or to
terminal pay.
It Shift Payl'tight Duty.Shift pay is for an assigned shift other than the regularly scheduled day shift.
Shift pay shall be paid to employees for working ongoing non-routine shifts outside the hours of 6:00
a.m.to 6:00 p.m.Second shift night Ektty is defined as time 'i'{orked by employees scheduled between
3:00 pm and 11 :00 pm.Third shift night dl:lty is defined as time 'i'{orked by employees scheduled
between 11 :00 pm and 7:00 am.
1.Compensation for Shift PayNight Dl:lty.
•Second shift:se'lenty fi'lo cents ($0.75)per hOHr.
•Third shift:eOne dollar and fifty cents ($1.50)per hour in addition to the employee's
regular salary.
2.An employee who :works on an assigned shift other than the regularly scheduled day shift shall
be paid salary during his/her lunch break,at a rate equal to his/her rate ofshift pay,in an
amount not to exceed 30 minutes'pay.
2
ATTACHMENT E
SIDE LETTER AGREEMENT
The current five-year Memorandum of Understanding (MOU)for the period from July 1,2003
through June 30,2008,between the Otay Water District (District)and the Otay Water District
Employees Association (Association)is hereby amended.Management and employee
representatives have met and agreed to the following additional provisions which,upon
approval of the Board of Directors at the May 3,2006 Board meeting,shall constitute an
amendment to the MOU,as follows:
1.The District and the Association hereby enter into this side agreement,which shall be
considered an amendment to the Memorandum of Understanding in effect from July 1,
2003 to June 30,2008.This side agreement shall expire with the Memorandum of
Understanding.
2.Summary:
a.Allow employees who terminate during the first twelve (12)months of
employment to be paid out vacation and sick leave accruals.
b.Delete language regarding meeting and conferring on implementing a 401 a Plan
since this has been completed.
3.The District submits the following proposal for Article 8,Sections 2 and 3,PAID
LEAVES:
ARTICLE 8,SECTION 2:VACATION
A.Eligibility.Vacation is paid time off earned by eligible full-time employees.Regular
part-time employees shall earn fifty percent (50%)of the vacation credits earned by full-
time employees.Temporary employees shall not be eligible to accrue vacation credits.
An employee's vacation credits earned become available for use as it is accumulated on a
daily basis for actual hours paid in the payroll period and may be used in the payroll period
following the payroll period within which it was earned.
F.Terminal Payment of Vacation.An employee,at the time he/she terminates
employment with the District,shall be paid for any unused vacation credits at the
employee's rate of pay at the time of leaving employment.Employees shall not be allowed
to take vacation to extend their date of termination.
ARTICLE 8,SECTION 3:SICK LEAVE
A.Eligibility.Sick leave is paid time offfor use as described herein,earned by eligible
full-time employees.Regular part-time employees shall earn fifty percent (50%)ofthe sick
leave credits earned by full-time employees.Temporary employees shall not be eligible to
accrue sick leave credits.
ATTACHMENT E
An employee's sick leave credits earned become available for use as it is accumulated on
a daily basis for actual hours paid in the payroll period and may be used in the payroll
period following the payroll period within which it was earned
H.Terminal Payment of Sick Leave.An employee,at the time he/she terminates
employment with the District, shall be paid for any unused sick leave credits at the
employee's rate of pay at the time of leaving employment.Employees shall not be allowed
to take sick leave to extend their date of termination.
All remaining subsections of Article 8,Section 2 (B-E and G)and Article 8,Section 3 (8-G and
I)will remain intact.
Association:
Rob Scholl,Association President
OWDEA
Otay Water District:
Mark Watton,General Manager
Otay Water District
ATTACHMENT E
ARTICLE 8,SECTION 2:VACATION
A.Eligibility.Vacation is paid time off earned by eligible full-time employees.Regular
part-time employees shall earn fifty percent (50%)of the vacation credits earned by full-
time employees.Temporary employees shall not be eligible to accrue vacation credits.
An employee's vacation credits earned become available for use as it is accumulated on a
daily basis for actual hours paid in the payroll period and may be used in the payroll period
following the payroll period within which it was earned.However,no vacation credits shall
be eligible for terminal payment until the employee has completed a minimum of one year
(12 months)of continuous paid service with the District.
F.Terminal Payment of Vacation.Provided that the An employee,has completed a
minimum twelve (12)months of continuous service at the time he/she terminates
employment with the District,he/she shall be paid for any unused vacation credits at the
employee's rate of pay at the time of leaving employment.Employees shall not be allowed
to take vacation to extend their date of termination.
Commencing September 1,2003,the District and the Association \'lill meet and confer to
investigate and implement,if feasible,a 401 (a)or similar plan to provide options to
employees age 55 or older in the management of their vacation payout.
ARTICLE 8,SECTION 3:SICK LEAVE
A.Eligibility.Sick leave is paid time off for use as described herein,earned by eligible
full-time employees.Regular part-time employees shall earn fifty percent (50%)ofthe sick
leave credits earned by full-time employees.Temporary employees shall not be eligible to
accrue sick leave credits.
An employee's sick leave credits earned become available for use as it is accumulated on
a daily basis for actual hours paid in the payroll period and may be used in the payroll
period following the payroll period within which it was earned.However,no sick leave
credits shall be eligible for terminal payment until the employee has completed a minimum
of one year (12 months)of continuous paid service INith the District.
H.Terminal Payment of Sick Leave.Provided that aAn employee,has completed
PNelve (12)months of continuous service at the time he/she terminates employment with
the District,an employee shall be paid for any unused sick leave credits at the employee's
rate of pay at the time of leaving employment.Employees shall not be allowed to take sick
leave to extend their date of termination.
Commencing September 1,2003 the District and the Association will meet and confer to
investigate and implement,if feasible,a 401(a)or similar plan to provide options to
employees age 55 or older in the management of their sick leave payout.
SIDE LETTER AGREEMENT
The current five-year Memorandum of Understanding (MOU)for the period from July 1,2003
through June 30,2008,between the Otay Water District (District)and the Otay Water District
Employees Association (Association)is hereby amended.Management and employee
representatives have met and agreed to the following additional provisions which,upon
approval of the Board of Directors at the May 3,2006 Board meeting,shall constitute an
amendment to the MOU,as follows:
1.The District and the Association hereby enter into this side agreement,which shall be
considered an amendment to the Memorandum of Understanding in effect from July 1,
2003 to June 30,2008.This side agreement shall expire with the Memorandum of
Understanding.
2.Summary:
a.Update Performance Evaluation section.
3.The District submits the following proposal for Article 12,Section 5,PERFORMANCE
EVALUATION:
ARTICLE 12,SECTION 5:PERFORMANCE EVALUATION
The performance of regular employees is generally evaluated once in each twelve (12)-
month period for regular employees.An evaluation shall be also be prepared at the
time a regular employee is promoted to a different classification for the time the
employee served in his/her former classification unless an evaluation was completed
within thirty (30)days prior to the promotion.A District-generated Performance
Evaluation may be issued at any time.The employee shall be furnished with a copy of
his/her completed Performance Evaluation form.
,"i Formatted:Font:11 pt,Bold
Association:
Rob Scholl,Association President
OWDEA
Otay Water District:
Mark Watton,General Manager
Otay Water District
ARTICLE 12,SECTION 5:PERFORMANCE EVALUATION
ATTACHMENT F~'.,..~:.f::t=:~:f~t;~f~~i~,..•.•.•••.•j
,.{Formatted:Font:11 pt,Bold ::-J
The performance ofregular employees is generally evaluated once in each twelve (12)-month period for
regular employees aflEi OHee every ShE (6)HlomHs fer j'lroaatiollary eHlj'lIoyees.An evaluation shall be
also be prepared at the time an employee is promoted to a different classification for the time the
employee served in his/her former classification unless an evaluation was completed within thirty (30)
days prior to the promotion.A District-generated Performance Evaluation may be issued at any time.III
aElElitioll,ghE MOllth PerferHlaflCe Progress Reports Hlay ae j'lreJ3areEi ay tfle eHlJ3Ioye@'s iHlffi@E1iat@
SHj'lspi'isor or Illay ae re!jl:lsstsEi ay tfle eHlj'lIoyss.The employee shall be furnished with a copy ofhis/her
completed Performance Evaluation form.
ATTACHMENT G
OTAY WATER DISTRICT
BOARD OF DIRECTORS POLICY
Subject Policy Date Date
Number Adopted Revised
ADA/FEHA Disability Policy 48 05/03/06
PURPOSE
To provide policies to encourage a bias free environment for disabled
employees or for disabled persons who seek employment with the Otay
Water District (the "District").
STATEMENT OF POLICY
It is the policy of the District not to discriminate on the basis of
disability for employment or the provision of services.It is the
intent of the District to provide disabled employees a bias free work
environment.The District will provide reasonable accommodation in
compliance with the Americans with Disabilities Act ("ADA")and the
Fair Employment and Housing Act ("FEHA"),including prompt and
equitable resolution of complaints alleging discrimination on the basis
of a disability.
POLICY
General Provisions
The District has a commitment to ensure equal opportunities for
disabled District employees.Every reasonable effort will be made to
provide an accessible work environment.The District will not
discriminate against disabled employees or applicants in its employment
practices (e.g.hiring,training,testing,transfer,promotion,
compensation,benefits,termination).
Interactive Process
The District will engage in the interactive process,as defined by the
ADA and the FEHA,to determine whether an applicant or employee is able
to perform his/her essential functions.If the employee or applicant
cannot perform the essential functions of his/her position,the
District will examine possible reasonable accommodations that will make
it possible for the employee or applicant to so perform.Such
interactive process will include a meeting with the employee or
applicant,the District,and,if necessary,the employee or applicant's
health care provider.
Reasonable accommodation can include,but is not limited to job
restructuring,reassignment to a vacant position for which the employee
is qualified,and making facilities accessible.
Page 1 of 1
ATTACHMENT H
RESOLUTION NO.4070
RESOLUTION OF THE BOARD OF DIRECTORS OF THE
OTAY WATER DISTRICT
TO ADOPT POLICY 48 CONCERNING COMPLIANCE
WITH ADA/FEHA PROVISIONS REGARDING NON-
DISCRIMINATION ON THE BASIS OF DISABILITY
WHEREAS,the Board of Directors of Otay Water District
wishes to clearly communicate the District's position of being
supportive of employees and applicants with disabilities;and
WHEREAS,it is the policy of the District not to
discriminate on the basis of disability for employment or the
provision of services;and
WHEREAS,the District is committed to ensure equal
opportunities for disabled District employees and applicants;and
WHEREAS,it is the intent of the District to provide
reasonable accommodation in compliance with the Americans with
Disabilities Act ("ADA")and the Fair Employment and Housing Act
("FEHA");and
WHEREAS,the Otay Water District Board of Directors desires
to adopt Board Policy 48,the ADA/FEHA Disability Policy;and
WHEREAS,the purpose of Policy 48 is to provide a bias-free
environment for disabled employees or for disabled persons who
seek employment with the Otay Water District.
NOW,THEREFORE,BE IT RESOLVED that the Board of
Directors of the Otay Water District adopts Policy 48,the
ADA/FEHA Disability Policy,in the form presented to the Board at
this meeting;and
1
ATTACHMENT H
BEING FURTHER RESOLVED that the Board directs the staff of
the District to comply with the provisions of Policy 48 and with
the provisions of the ADA and FEHA concerning non-discrimination
on the basis of disability.
PASSED,APPROVED AND ADOPTED by the Board of Directors of
the Otay Water District at a regular meeting held this 3rd of
May,2006.
President
ATTEST:
Secretary
2