HomeMy WebLinkAbout10 Revision District Code Agenda Item # 10
TRUCKEE DONNER
Public Utility District I
WORKSHOP
To: Board of Directors
From: Nancy Waters
Date: April 16, 2008
Subject: Discussion of the Proposed Revisions to District Code, Title 4
Personnel
1. WHY THIS MATTER IS BEFORE THE BOARD
The District Code should periodically be reviewed and updated to conform to District
Board policies and new applicable laws and regulations.
2. HISTORY
At the March 19, 2008 Board meeting, a draft revision of personnel policies included
in Title 4 of the District Code was presented to the Board for review and comments.
The Board members requested more time to read and review the changes.
3. NEW INFORMATION
The most current revisions to Title 4 area included in this packet as Attachment 1.
The minor changes that were recommended at the March 19th meeting, as well as a
few recommendations by management staff are included in this draft.
4. FISCAL IMPACT
There is no fiscal impact associated with this matter.
5. RECOMMENDATION
Review this report and provide comments. An action item on this matter is expected
to be brought to the Board at the meeting on May 7, 2008.
e� l {`mc
Mary Chain, ministrative Services Michael D. Holley, General Manager
Manager
TITLE 4
PERSONNEL
Table of Contents
Chapter 1 —GENERAL ADMINISTRATION
1.1 Introduction
1.2 Personnel Administration and Delegation
1.3 Personnel Records
1.4 Medical Records
1.5 Coordination with Memorandum of Understanding;,,.;
Chapter 2 — EMPLOYMENT NON-DISCRIMINATION
2.1 Equal Employment Opportunity Policy °
2.2 Discrimination, Harassment and Retaliation Policy
Chapter 3 —JOB DESCRIPTIONS
3.1 Job Descriptions
Chapter 4 — RECRUITMENT AND EXAMINATIONS
4.1 Recruitment of Department Heads
4.2 Recruitment of Management Employees
4.3 Bargaining Unit Employees
4.4 Application Forms
4.5 Examinations
Chapter 5 - APPOINTMENTS AND PROBATIONARY PERIOD
5:1 Pre-employment Physical Examinations
5.2 Pre-employment Background Investigations
5.3 Nepotism/Fraternization
5.4 Probationary Period
Chapter 6 — COMPENSATION
6.1 Compensation Plan
6.2 Payment of Salary
Chapter 7 — EMPLOYMENT BENEFITS, HOLIDAYS, AND LEAVES
7.1 General
7.2 Insurance Plans
7.3 Retirement Plan
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7.4 Supplemental Income Plans
7.5 Post-Retirement Benefits
7.6 Longevity
7.7 Holidays
7.8 Vacation Leave
7.9 Administrative Leave
7.10 Sick Leave
7.11 Family and Medical Leave
7.12 Pregnancy Leave
7.13 Unpaid Personal Leave
7.14 Military Leave
7.15 Jury Duty
7.16 Bereavement Leave
7.17 Industrial Disability Leave
7.18 Limitations
7.19 Return-to-work Physicals
7.20 Donation of Accrued Vacation Leave
Chapter 8 — PERFORMANCE APPRAISAL
8.1 Employee Performance Evaluations
8.2 Professional Development for Management Personnel
Chapter 9 — EMPLOYEE ACTIVITIES
9.1 Code of Business Conduct
9.2 ElectroniaData
9.3 Cellular TelOphones
9.4 Travel and Exp nse Reimbursement
9.5 fo,""W �Expens Reimbursement
District V fi It Use
Chapter 10- DISCIPLINARY ACTIONS
10 f € ciplinary Prdures
Chapter 11- GRfI�wVAN �
11.1 Grievance Procedure
Chapter 12 — EMPLOYEE SAFETY AND HEALTH
12.1 Safety and Loss Control
12.2 Injury and Illness Prevention Program
12.3 Safety and Loss Committee
12.4 Tobacco-Free Workplace
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12.5 Workplace Violence
12.6 Driver' License Policy
12.7 Drug and Alcohol Free Workplace
12.8 DOT Testing Policy
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1. GENERAL ADMINISTRATION
1.1 Introduction
It is the intent of the District to establish and maintain an equitable and uniform system
for dealing with personnel matters. It is also the intent of the District to comply with
applicable laws relating to the fair and equitable administration of a comprehensive
personnel system. The rules and polices contained in this Title of the District Code
reflect the principles and standards of the District's system,of employment. The
provisions of the personnel policies included in this title do trot constitute a contractual
right in District employment. Each employee is responsible for krtwledge of and
compliance with these rules.
The District reserves the right to change or modr"+the terms and conditon set forth in
this Title.
1.2 Personnel Administration and Delegation
The Board of Directors authorizes the General Manager to administer, interpret, and
implement the District personnel polio y. T66 General Nfar�ager may delegate any of
the personnel administration authority`to'other d pees }
1.3 Personnel Records
The District shall maintain a personnel file fo(each District employee, the contents of
which meet the customary standards of goodpersonnel practices and which fairly
represent the employee's worts history with the District. Such'records shall be accessible
to the Genets ger, Human Resources,the employee and such other persons as
may b eed to hy` a employee. Department heads and supervisors shall have
accessit" performanc � aluation records of subordinate employees in their
departmnt.
Upon the em0oyee's request, the District shall, at reasonable times and intervals,
permit that er6,go,ree to insect his or her file. The review will be conducted in the
presence of a won Rurces representative.
1.4 Medical Records
Human Resources shall maintain all employee medical information in separate,
confidential files. The District will not disclose employee medical information, except to
District management personnel with a legitimate personnel need for access, without
prior written authorization for the employee, or except as required by law, subpoena, or
Court order.
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1.5 Coordination with Memorandum of Understanding
Where an employee is within the bargaining unit covered by a Memorandum of
Understanding (MOU) in effect between the District and the Union, and the matter is
specifically addressed in the MOU, the terms of the MOU shall govern. In all other
cases, the policies included herein shall apply.
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2. EMPLOYMENT NON-DISCRIMINATION
2.1 Egual Employment Opportunity
It is the policy of Truckee Donner Public Utility District to provide equal employment
opportunity in all aspects of the employer-employee relationship, including recruiting,
hiring, upgrading and promoting, training, education assistance, social and recreational
programs, compensation, benefits, transfers, discipline, layoff, recall and all privileges
and conditions of employment. The District will not unlawfully-discriminate because of
race, color, religion, national origin, ancestry, sex, age (40.years and above), marital
status, physical disability, medical condition, sexual orientatiort,-,veteran status or on any
other basis made unlawful by applicable federal, state or local law, ordinance or
regulation.
The District provides employment-related reasonable accommodation ,, to qualified
individuals with disabilities within the meaning: of the California Fair Employment and
Housing Act and the Americans with Disabilities Act.
2.2 Harassment Discrimination and Retaliation
The Board of Directors of the Trucked Donner:Public Utility District (District) wishes to
provide a business environment that is,free of unlawful discrimination and harassment.
Therefore, this procedure is _established, by'Which, Oersons who are subjected to
discrimination or harassing behavior may h,,a "it addressed and corrected.
Government Code Section 12950.1 requires the District to conduct at least two hours of
training each year for supervisors so they und0stand the requirement of the law applied
to sexual harassment prevention.
Discrimination prohibited: It is the express policy of the District to conduct its business
such that no employee, applicant for employment, customer, supplier, contractor or any
other person who does lousiness with the District or interacts with the District in any
manner is subjected to discrimination on the basis of sex, race, religion, color, national
origin, age, disability, sexual orientation, marital status or any other factor prohibited by
law.
Harassment defined. Harassment is a form of employee misconduct which undermines
the integrity of the employment relationship or the relationship with the public.
Harassment is behavior which is unwelcome, which is offensive to a reasonable person,
or lowers morale or interferes with work.
Sexual harassment defined: Sexual harassment is defined as unwelcome sexual
advances, requests for sexual favors, and other verbal or physical conduct of a sexual
nature, when:
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• Submission to the conduct is made either explicitly or implicitly a condition of
employment;
• Submission to or rejection of the conduct is used as the basis for an employment
decision affecting the harassed employee;
• Such conduct has the purpose or effect of substantially interfering with the
employee's work performance or creates an intimidating, hostile or offensive
work environment.
Other forms of prohibited harassment: Harassment on the basis of race, religion,
national origin, citizenship, age, or disability deserves: special" mention as well and is
expressly prohibited. Harassment includes any verbal' written, or physical act in which
race, religion, national origin, citizenship, age, or, disability is used or implied in a
manner that would make another person uncomfortable in the work environment or that
would interfere with another person's ability to "perform his or her job.",,,, Examples of
harassment include inappropriate comments,: br jokes; the,display or use`of offensive
objects or pictures; use of offensive language,. or an ,,,other inappropriate behavior
which has the purpose or effect of discriminatingoh,the basis of race, religion, national
origin, citizenship, age, or disability.
How to report instances of harassmertt,or retaliation: The District cannot resolve matters
that are not brought to its attention. Arty employeaj regard ss of position, who has a
complaint of or who witnesses harassment or,retaliatloh at work by anyone, including
supervisors, managers,:employees or ever non-employees, has a responsibility to
immediately bring.th :m atter to the Districte�attention. If the complaint or observation
involves someone in" the employee's direct line of command, or if the employee is
uncomfortable discussing the mAtter, with his or, her direct supervisor, the employee is
urged to go to the General Manager or,the Human Resources Administrator.
How th =District wilt investigate complaints: The District will thoroughly and promptly
invote all claims fit,;,harassment or retaliation. The District will meet with the
compla g employee ;teas discuss the results of the investigation and, where
appropriet ,review the pro' sed resolution of the matter.
If an investigate„confirthat harassment or retaliation has occurred, the District will
take corrective ` on�, tncluding such discipline up to and including immediate
termination of emp' ent, as is appropriate.
Complaints of harassment and retaliation will be kept as confidential as possible.
Information will be released only on a "need to know" basis, and no employee will be
subject to retaliation by the District because he or she has reported what he or she
believes to be an incident or harassment.
No retaliation: it is strictly against District policy to retaliate against anyone who reports
or assists in making a complaint of prohibited harassment. Prohibited retaliation
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includes, but is not limited to, withholding pay increases, negative evaluations, onerous
work assignments, withdrawing friendly courtesies, demotion, discipline, or dismissal.
Irrespective of whether there is merit to the initial complaint of harassment, retaliation is
viewed as a major offense and will result in discipline up to and including termination.
Anyone who feels that retaliatory action has been taken because of his or her report or
assistance in General Manager's attention.
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3. JOB DESCRIPTIONS
3.1 Job Descriptions
The General Manager shall ascertain and record the duties, responsibilities, and
employment standards of all positions into written job descriptions. Each job description
shall outline the main characteristics and qualification requirements of positions and
give examples of duties which employees holding such positions may properly be
required to perform. The job description is illustrative and explanatory, but not
restrictive. Each job description shall contain minimum requments for position duties
and responsibilities including training, experience, knowledge;'licenses, skills, and
abilities and be approved and signed by the General Mopager.
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4. RECRUITMENT AND EXAMINATIONS
4.1 Recruitment of Department Heads
When a vacancy occurs in a department head position, the General Manager shall
review the job description to determine its continuing applicability and shall recommend
a salary range to the Board of Directors.
The Board of Directors shall adopt a salary range for the position. The position will be
publicized by such methods deemed appropriate by the General Manager or the Human
Resources Administrator.
The Human Resources Administrator shall appoint an interview committee. The
committee shall consist of the General Manager,ohb- member of the Board of Directors,
and three additional persons. The threa,"appointed persons should include a
department head of the District, an employea.,Qf the Distric who would b6-subordinate
to the new department head, and a peer professional oi?tnew department head from
outside the District organization.
The initial screening of applicants wile beperformed try the interview committee. The
committee may utilize various testing methods that they'deem appropriate in screening
applicants.
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The District shall reimburse the:,candidates for reasonable costs to attend the interview.
The committee shag recommen' ' the appointment of a successful candidate to the
General Manager or,ln the altemative,.may recommend that no candidate be hired and
that others be interview6d, o ' th'e� process: be initiated again. The committee shall set
forth its repopmodations rti writing.
They ""heral Manages shall a point a person to fill the vacancy. In making the
appoi�ent, the Gene W Manag6t,shall give due consideration to the recommendation
of the it iiew committee The General Manager is not bound by the decision of the
interview c ittee.
The General M report his decision to the Board of Directors.
4.2 Recruitment of M nagement Employees
Selection and placement of all management level employees will be through a
competitive and open process to select the most qualified candidate for the position.
The process shall include:
1. The hiring manager and Human Resources shall review the current job
description to ensure that it is current and meets the needs of the District. The
General Manager shall approve any changes to the job description.
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2. Advertise the open position for both internal and external candidates.
3. Invite top candidates to an initial panel interview. The panel shall consist of
one outside member and two District staff members other than the hiring
manager. A uniform set of questions shall be used for all candidates.
4. A second interview shall be conducted by the hiring manager.
5. Selection of the successful candidate shall be made by the hiring
manager/supervisor, subject to background and reference checks and
physical screening. Approval of the General Manager is required before an
offer of employment is made.
6. Any deviations from this process must be approved in advance by the
General Manager.
4.3 Bargaining Unit Employees
Bargaining Unit positions will be filled by the provisions of the MOU.
If the position is not filled by a current employee, the District shall follow the same
procedure as recruiting for management employees.without an outside member.
Any deviations from this process must be approved in advance by the General
Manager.
4.4 Application Forms
All applications for employment ;shall be made on forms provided by the District.
Application forms=shall require "i0formation covering training, experience, and other
pertinent information.';A!J,applications must be signed and dated by the person applying.
4.5 Examh
TheK ,ofection techn tars used in the examination process shall be impartial, of a
practice nature, and sh relate to.those subjects that fairly measure the capability of
applicant t? perform dutle �assigned to the position for which they seek appointment.
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5. APPOINTMENTS AND PROBATIONARY PERIOD
5.1 Pre-employment Physical Examinations
A physical examination, including appropriate drug testing, will be required for all
prospective employees after a contingent offer of employment is made and prior to
starting work. The District will select the health-care provider and the examination will
be at District expense.
5.2 Pre-employment Background Investigations
An applicant who has received a conditional offer of,employment shall be required
authorize the District to conduct a background check specifically related to the position
offered.
5.3 Nepotism/Fraternization
It is the purpose of the District to govern thei employment, assignment ofwork, and
placement of relatives, domestic partners, and employees involved in personal,
financial, or business relationships. It is in the District's best interest to avoid conflicts of
interest, favoritism or the appearance of: favoritism, 'and decrease the potential for
inappropriate or illegal conduct in thikworkolacq, includ g, but not limited to, sexual
harassment.
ss
No person will be considered for employment with the District if related to a member of
the District's Board or is closely related to An existing employee in positions that would
create a conflict of interest.
For purposes of this policy, , a close relative is defined as the Board member or
employee's spouse or domestic partner, children (stepchildren), parents (stepparents),
siblings (step-siblings), grandparents or grandchildren, and in-laws. Persons who
cohabitate, but are not married, are considered close relatives for purposes of this
policy and therefore subject to all restrictions and limitations the same as if they were
married.
In the event employees create a relationship as described above, the following
provisions apply:
• The employees cannot have a supervisory or reporting relationship;
• Neither employee can work in a position in which District information is privileged
or confidential and would present a conflict of interest on the part of either
employee.
If the relationship of two employees is determined to create a conflict of interest, one of
the employees will be required to terminate employment. If the affected employees
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cannot decide which of them shall resign, the employee with the shortest tenure with the
District shall be terminated.
5.4 Probationary Period
The probationary period shall be regarded as a part of the selection process. During the
probationary period, the employee shall be considered in-training, under careful
observation and evaluation by supervisory personnel. This period will be used to train
and evaluate the employee's effective adjustment to work tasks, conduct, observance of
rules, attendance, and job responsibilities. The probationary''period provides for the
release of any probationary employee whose performa cda does not meet required
standards of job progress or adaptation.
All original and promotional appointments shall be subject to a probationary period of
not less than six (6) months. The probationary period may be extended in
circumstances where further evaluation of the employee is necessary.
At the conclusion of the employee's probationary period and if the employee's
performance has been satisfactory, the employee shall be reclassified as a regular
employee.
Probationary employees may be rejected at' any, time during the probationary period
without cause and without the right of appeal.
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6. COMPENSATION
6.1 Compensation Plan
The General Manager shall prepare a compensation plan for all classes of positions.
The plan shall establish a salary range or rate of pay, showing minimum and maximum
rates for each class. The General Manager shall submit the compensation plan to the
Board of Directors for approval.
6.2 Payment of Salary
The pay period for all employees shall be based on a bi-weekly period and will be paid
not later than seven (7) days following the end of the pair period.
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7. EMPLOYMENT BENEFITS, HOLIDAYS, AND LEAVES
7.1 The policies in the chapter shall apply to all regular employees of the District not
covered by a Union Memorandum of Understanding.
7.2 Insurance Plans
Group Medical Insurance Plan: The District will pay 100% of the premiums for
employees and dependents. The NRECA Preferred Provider Organization (PPO) plan
agreed upon includes a $2,000/$4,000 out of pocket annual maximum for Out-of-
Network charges, a $400/$800/$1200 deductible, utilization review/cost containment
SHARE features, medical management provisions, genetic drugs at $10.00, brand
name drugs at $15.00, mail service prescription drug program.
Group Dental Plan. The District will furnish the NRECA R&C 80 Dental Plan. This plan
will pay 100% of the reasonable and customary charges for preventive aid diagnostic
services and 80% of the reasonable and customary charges for basic services. There
is no deductible. The plan will also pay 50% of the reasonable and customary charges
incurred for major services; however, each covered indl�idual must first satisfy a $50
annual deductible (the first $50 of reasonable and customary charges incurred for major
dental services during a calendar ye This plan will n+ t pay more than $2,000 per
person in a calendar year for all preveittiva, diagnostic, basic and major services
received. (No orthodontic benefits are included ihlhia,plan)
Vision Plan: The District will provide an anhual benefit up to $400 per covered
employee or depende5n't:The benefit will be`to cover the expenses of examination,
lenses, frames or contact lenses when recommended by a physician or optometrist.
Group Life Insurance Plan: The District will furnish "term insurance" equal to three (3)
times the annual salary for each employee.
Long-term Disability Plan: The District will furnish long-term disability coverage of a
monthly benefit equal to 66 2/3% of the employee's monthly salary, up to a maximum
benefit of$15,000 after the 13 week elimination period.
7.3 Retirement Plan
The District will provide and maintain membership in the California Public Employees
Retirement System (CalPERS) 2% C 60 Plan, with all the optional benefits adopted
8/24/2004.
7.4 Supplemental Income Plans
The District will provide a 401(a) or 457 plan with employer match of 100% up to 3% of
employee's wage.
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7.5 Post-Retirement Medical and Dental Benefits
The medical plan is the same as the active employees' medical plan except for a $500
deductible per person compared to a $400 deductible per person for employees. It is
based on the NRECA PPO medical plan with $500 deductible per person.
Percent of Premium Paid
Years of Service by District
10 50%
11 55%
12 60%
13 65%
14 70%
15 75%
16 80%
17 85%
18 9Q%
19 95%
20 100%
District will pay the percentages listed above of the "retiree and dependent medical and
dental premiums beginning. the retiree's age 60 based on years and months of
service at the District. [#,a perscjrl;pretires earlier than age 60 the benefit will be reduced
by 2% per year in thJ4 benefit p� by the employer. For example, a person retiring at
age 58 with 19 years of service.w uld have 91%° of the retiree and dependent premiums
paid by the District.
The be f paid t o Dis
t t is capped as listed below:
Monthly Caps
l vidual only $475
Souse only $475
C (ren) only $475
Spq child(ren)only $725
medicare Rate $375
If the premiums increase above the monthly cap, the retiree will pay the difference
between the new premium and their percent of benefit established upon retirement
multiplied by the cap. Example: A person retiring at age 58 with 19 years of service
would have 91% of the retiree and dependent premiums paid by the District. If initially
the premium for individual only was $340, the retiree would pay 340 — (91% x $340) =
$30.60. If the premium increases to $500 while the cap is $475, the retiree would pay
500 — (91% x $475) = $67.75.
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A retiree cannot leave the plan and then come back. Once time is broken on the plan,
the employee or retiree cannot come back on the medical plan.
If the retiree is paying for part of the medical coverage it will be collected through an
electronic fund transfer from the retiree's bank account on a monthly basis.
When the retiree is eligible for Medicare, it is mandatory that the retiree enroll for Part B
coverage.
Should the District change insurance plans or coverage, those changes will also apply
to retirees.
The vision benefit will remain the same without any monthly caps.
7.6 Loncievity
In recognition of an employee's years of service, employees will receive $250 after
completion of five (5) years of service. Continuing years of service shall qualify for a $20
per year addition to this figure for the entire term of employment.
Longevity payments will be made as soon as possible after the first pay period of the
calendar year, but not later than the last day of January of the calendar year for those
employees who are eligible.
The date from which the employee was employed full time (regular and continuous
employment) shall be the governing date.
7.7 Holidays
Following are the reoognized paid holidays for all regular management employees:
New Year Day January 1
Presidents Day third Monday in FebruaryWrno ial Day last Monday in May
Indepets4ance Day.,,, July 4
Labor D first Monday in September
Veterans Day° ,
November 11
" ° Thanksgivrng day fourth Thursday in November
Flay after Thartsgiving fourth Friday in November
Ch' mas Ev December 24
Chrfs as Day December 25
Employ o%'Birthday Employee's birthday
The Christmas Eve holiday shall be observed on the work day immediately prior to
the date of observing the Christmas Day holiday.
7.8 Vacation Leave
Full-time regular employees will accrue vacation leave from the date of hire. Regular
employees who work less than full time shall accrue vacation on a pro-rated basis.
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Eligible employees shall earn vacation leave as follows:
Rates of Accrual Number of Days per year
For the first five years of continuous service 10
After completing: 5 years of continuous service 15
10 years of continuous service 20
21 years of continuous service 2,1
22 years of continuous service 22
23 years of continuous service 23, .
24 years of continuous service 24
25 years of continuous service. ' 25
30 years of continuous servic " 30
Any employee who leaves District employment`before taking his regular scheduled
vacation will be entitled to receive frill pay for any accntxied, vacation.
Vacation leave must be scheduled by Mutua[agree,ment be Teen the Department Head
or his/her designee and the employee.
Employees may accumulate up to a maximum of 360 hours of vacation leave, at which
point the employee will( not accrue'additionaf vacation leave.
The District, at the employee's option, will compensate employees for accumulated
unused vacation leave'hours° equal to the number of vacation hours actually taken
during that calendar year. Vacation leave compensation will be paid at the employee's
current rate of pay.
7.9 Administrative Leave
Management employees shall be granted 8 days of administrative leave per calendar
year. Administrative leave must be used by the end of the calendar year or it is forfeited
without compensation, No Administrative leave shall be carried over the next calendar
year, nor shall unused Administrative Leave be converted to compensation.
Employees are to schedule administrative leave in the same manner as vacation leave.
Employees appointed to an exempt position after the first of the year may be granted
leave on a prorated basis. Administrative Leave balances shall be adjusted when
employees separate employment prior to the end of the calendar year.
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7.10 Sick Leave
The District provides paid sick leave to all regular employees for periods of temporary
absence due to injuries or illnesses. Regular eligible employees will accrue unlimited
sick leave benefits from the date of hire at the rate of one day per month for each month
the employee remains in a pay status (12 days per year maximum). When an employee
no longer is being compensated during the major portion of any month by regular pay,
paid vacation, or any other form of paid leave the employee will no longer accrue sick
leave.
Paid sick leave shall be allowed for a non-work related absence due to:
a. The inability of an employee to be present or perform duties because of personal
illness, off-duty injury, or medical treatments.
b. The medical needs of family members.
Employees may use their accrued sick leave,, up to a maximum of six (6) days in a
calendar year, to care for an ill child, spouse, domestic partner, or parent. Employees
can accumulate unused family sick leave not to exceed six.days.
If an employee is absent for three or more consecutive days due to illness or injury, a
physician's statement may, at the supervisor's discretion, be required verifying the
disability, its beginning and expected ending dates, and confirming the date that the
employee may safely return to work.
7.10.1 Sick Leave Incentive Plan
Employees with low sick-leave use who have worked a full payroll year can exchange
sick leave for its ca ,equivalent ainnually according to the following schedule:
Sick Leave Usage Sick Leave Conversion Credit
Zero 0 days Two (2) days
One (1) day, four (4) hours
771
Two (2) days 6f,$ess One (1) day
' 4 Four hours
`wee (3) days or 'Os ( )
7.11 Family and Medical Leave
Any eligible empldyee nay be granted a family and medical leave subject to the
provisions of the Cat#brnia Family Rights Act and the Family Medical Leave Act in effect
at the time the leave is granted. A family and medical leave may be granted for any of
the following reasons:
• Birth of a child; to care for a newborn child;
• For placement of a child for adoption or foster care;
• To care for a child, parent, spouse or domestic partner with a serious health
condition;
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The employee's own serious health condition that renders the employee unable
to perform one or more of the essential functions of his or her job.
An eligible employee shall be entitled to family and medical leave up to a total of 12
workweeks during the 12 month period that begins on the first day of the qualifying
leave. Health benefits will be continued under the same terms as prior to the leave.
7.12 Pregnancy Leave
Eligible employees will be granted pregnancy leave iect to the Rights Act (CFRA)n and the
of the
Family Medical Leave Act (FMLA), he California Family
California Pregnancy Disability Act (PDL).
7.13 Unpaid Personal Leave
An unpaid leave of absence may be granted to a regular employee for urgent
substantial personal reasons provided that adequate arrangements can be made to
perform the employee's duties without undue interference with the normal routine of
work. Such leave will not be granted if the purpose for which it is requested may lead to
the employee's resignation.
All applications for leave of absence shall be made in writing to the employee's
Department Head and include reasonable justification for approval of the request. The
Department Head and the General Manager will evaluate the request. Employees on an
unpaid leave of absence ,,ill become responsible for the full costs of District provided
benefits beginning on,,Jhe first;.ttay of unpaid leave. All District paid benefits will be
suspended during thi leave andvyiil resume upon return to active employment.
7.14 Military Leave
The District will provide military leaves of absence to employees who serve in the
uniformed services as required by the Uniformed Services Employment and
Reemployment Rights Act of 1994(USERRA) and applicable state laws.
7.15 Ju Du
A regular employee will be paid his or her regular rate of compensation when
summoned to jury duty or by a subpoena to appear as a witness, unless the employee's
testimony is against the District's interest. The employee shall submit to the District any
payment received for jury duty, except mileage reimbursement.
7.16 Bereavement Leave
Regular employees will be granted three days bereavement leave with pay in the event
of a death in their immediate families or to a member of the employee's immediate
household at the time of death. Immediate family consists of an employee's or
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registered domestic partner, or employee's spouse's or registered domestic partner's
mother, father, brother, sister, son, daughter, step-child, half-brother, half-sister, foster
parent or grandparent. In addition, such leave may be extended to cover the
employee's step-parent, foster child, or grandchild.
7.17 Industrial Disability Leave
The District will grant workers' compensation disability leave to employees with
occupational injuries or illnesses in accordance with state law.
• Notice Requirement
Employees must report all on-duty accidents, injuries' and illnesses-no matter how
small-to their immediate supervisor as soon as possible.
• Compensation During Leave
Workers' Compensation benefits will began vM'h the first day of absence following the
day of the disability. The combined aftunt of industrial disability'ah4 Workers'
Compensation benefits paid by the insurancarrier :Mall not exceed 85% of each
employee's daily basic wage.
• Modified Duty
Temporary light duties may be assigned t6,vmployeeS;1'*hen the District determines
that the work is available and such;vitork mriffti �ahe errloYee's ability to perform.
The duration of any suoh period of.,tern rary rd shall be determined by the
r
District.
7.18 Limitations
At no time shall the total combination of leave benefits, including payments from
Workers Compensation, State Disability Insurance, Social Security Disability, or any
other benefit to which the District contributes, exceed 100% of the normal straight-time
earnings for any employee.
7.19 Return to Work Phvsical
Prior to returning to work following any absence in excess of three days, the District
may, at its discretion, require a physicians release stating that the employee is
physically able to perform the duties of his or her job.
7.20 Donation of Accrued Vacation Leave
An employee may, upon approval of the General Manager, transfer all or any portion of
his or her accrued vacation leave to another employee of the District. Transfer of
vacation leave from one employee to another shall be permitted only in unusual
situations involving serious injury or illness of an employee or employee's family
member.
21
B. PERFORMANCE APPRAISALS
8.1 Employee Performance Evaluations
Performance evaluations are an inherent part of
expectations,o srvlsion processand periodically
which employees are informed of their performance
informed of their progress and any performance deficiencies.
The performance of every employee shall be formally in aevaluated classification,n writing
and at the
no lesend
than
the first three months and the first six months
annually thereafter. An employee's performance
may also be formally evaluated at
other than the scheduled times for specific reasons.
The formal evaluation process should include adequate time for discussion es and to the
before the
evaluation is finalized and the employee shall have an opportunity to p
supervisor's evaluation after it is finalized.
The employee's signature on the evaluation form indicates that theemployee ynecessarilyehas een
the form and had the opportunity to discuss it with his/her supervisor,of all forms with the
agreement with its contents. The employee shall be,given a copy
original being placed in the employee's personnel file.
An employee who is given a rating of less than satisfactory shall begiven a will havetten
five
Performance improvement,Plan (PIP) by their supervisor. The employee
t w
(5) working days to ery
re�t1 w"the PIP, and virrfi fee se auen�Y an �attached the pstatemeisor n
provide his or her _ m' ments. the employ Y provide
regarding the PIP'. `!'fie PIP shall then be signed by the supervisor and the employee.
Failure to comply with the PIP writ lead to disciplinary action.
8 2 P� Io� '� "nmt�for Management Staff
IGal v sw
Each Member of the ma�ement staff is encouraged to prepare a plan of professional
developm�,t aimed at eablishing and maintaining professional competence ha
General Mi er shall reytOw said plan with the relevant staff person and approve
plan of protj�4nal deyp
ment. If the approved professional development plan
includes pursuit ,a de at an accredited junior college, college or university, the
District shall pay 5 Vlhe costs of tuition, fees and books.
22
9. EMPLOYEE ACTIVITIES
9.1 Code of Business Conduct
The Truckee Donner Public Utility District (District) is committed to behaving in a fair,
honest and ethical manner for all activities conducted on behalf of the District. This
Code of Business Conduct is intended to be a constant reminder of that commitment
and a statement of how we will conduct ourselves
daily
sthatthesetvaluesna�e
our values and the procedures that will be followed to ensure
upheld, all employees are expected to know and understand the standards and
expectations set forth herein.
The District believes that ethical standards are achieved not just through the publication
and dissemination of this document, but through open and ongoing discussion about
ness and activities of this District. This District operates
ethical issues related to the busi
in an open-door climate where employees understand that they cart openly raise
questions and concerns without fear of retaliation. Further, this Code of Business
Conduct is not exhaustive but designed only to provide guidance to employees in how
they are expected to carry out their duties. When in doubt, employees are expected to
use good judgment and to raise questions.
Standards of Conduct Employees are expected to uphold the values of the District
any
are required to report any situation where the individuate reasonablysuspects
activity that may be in violation of the laws.=board; policies, the Memorandum of
Understanding (MOU), or this Code. Standards of conduct include:
Employees are required to deal honestly and fairly with customers, co-workers,
suppliers, public and others having dealings with the District.
Employees are required to conduct themselves in a professional, business-like manner
while performing their jobs or representing the District in any manner.
Employees are prohibited from offering or accepting bribes, kickbacks itother
the d forms
or
improper payment from anyone. They are prohibited from receiving gifts, paid parry is
favors of more than nominat value from customers or suppliers. If in doubt,
the required to ask the General Manager if the proposed gift or favor is of more than
"nominal value."
Employees are required to limit their reimbursable expenses to those that are
necessary, prudent and business-related.
Employees are prohibited from taking unfair advantage of customers, suppliers or other
third parties through manipulation, concealment, abuse of privileged information, or any
other unfair-dealing practice.
23
Conflicts of Interest A conflict of interest exists when an employee is called upon to
make or is involved in any decision that creates or appears to create a conflict between
their personal interests, including family members and the business interests of the
District.
Employees must not seek any personal or family member benefit through any
arrangement with vendors, suppliers or other parties that have a business relationship
with the District.
In any situation where it may reasonably be perceived that there is a conflict of interest,
the employee is required to report that potential conflict of interest to their supervisor or
the General Manager.
In addition to these general standards on conflicts of interests, employees shall abide by
the Conflict of Interest policy adopted by the Board of Directors of the Truckee Donner
Public Utility District, District Code Section 2 52 r
`� I�;entrusted with� confidential
Confidentiality of Information Employees ard'frequentiy
information. This may include technical or financial information, personnel information,
medical information, customer lists and records, and other information that, if disclosed,
might be a violation of personal privacy; HIPAA laws; ° could be potentially harmful to
suppliers, customers, Board members or employees. This information is the property of
the District.
Employees shall not discuss confidential information with or in the presence of
unauthorized persons,including family members and friends.
Employees shall use confidential information Only for the District's legitimate business
purposes and not for personal gain.`
Employees shall not disclose confidential information to third parties unless
such
disclosure is necessary for business purposes, the result of a court orderor is
ise
required and appropriate safeguards are put in place.
Employees shall not use District information or other property or resources for any
personal gain or for the gain of anyone else.
Customer Communications In communicating with our customers, the District is
committed that it shall`:
Provide all information to which customers have a legitimate right.
Provide information that is accurate and understandable.
Financial Reporting and Re cord keeping The District shall:
Follow generally accepted accounting principles and other prescribed rules and
regulations of other applicable regulatory bodies having jurisdiction.
24
controls that
reasonable
Maintain a system of internal accounting recorded and thatllmaterialenformation is
assurances that all transactions are properly
available to management when required.
Maintain books and records that accurately and fairly reflect the District's financial
health.
Maintain a record retention system that ensures the District's records and documents
are properly retained and secured.
Conduct an annual financial audit to provide an independent, objective review of
financial reports, and to identify any risks associated' with the system of internal
controls.
Legal and Re ulatory Com fiance The District'' will comply with all local,
tatetand
federal laws, rules and regulations applicable to the activities of the
Distric . will
maintain a safe and healthy work environment free from, harassment or discrimination
per the District's policy.
Reporting of Violations Every employee is responsible for ensuring that violations
addressed
of
laws, rules and regulations, the MOU ar this Code are, reported a
promptly. Reports of suspected violations may, be made>in person or in writing,
confidentially or anonymously, to the General Manager or Human Resources
sour es
Administrator. All such reports will be promptly investigated and appropriate
action will be taken<,.Any employee who mates a report in good faith and on reasonable
belief may do so without fear of harassment, retaliation or retribution.
Employee E cation All'employees will reCeap a copy
of the Code of Business Conduct
very
and will r+ �� tfing to ensure familiar with its contents and requirements. of the
employes requir 'tp signal form indicating that he/she has received a copy
Cod Business Con�t, read its contents, and understands his/her obligations under
the Cce,,
Monitorinc Enforcem i, Every employee is responsible for monitoring as disc
ussed
liance
with the Cocf b„y report's suspected violations in a timely manner
above) and coopxti iith investigations of suspected violations. Employees that
violate any laws, "ire "and regulations, the MOU or the Code may face appropriate,
case-specific disciplinary action. Additionally, on a periodic basis, this Code of
Business Conduct policy will be reviewed for effectiveness and appropriate
modifications and/or enhancements will be recommended as deemed necessary.
9.2 Electronic Data
It is the policy of the District that all electronic office data storage systems including, but
not limited to, voice mail, computers, electronic mail, and facsimiles are the property of
25
the District and are provided to employees for their us at all times conducting
ti gD ist ictt business.
The systems belong to the District and are access
ible tr
management for any business purpose.
Specific rules and procedures are detailed in the District's ,Computer & Information
Technology Standards of Practice.
9.3 rPnular Telephones
ployees to enhance the efficiency and effectiveness
the
c of
Cell phones may be issued to em
District communications. Department He dll le phone based on the businesl be responsible for s needs of the
cell employee's need for a District provided p
District. Employees who are issued cell phones are resp+cnsible far adhering to the
following standards:
Cell phones shall be used for appropriate business calls.
Personal calls should be kept to a minimum; employees
pl�e s shall D strict reimburse the
District for all personal calls that result in acharge
District cell phones may not be used for commercial profit or secondary
employment.
Use of cell phone while operating a vehicle
f cell
Effective July 1, 2008r California state lathe driver s) Prohibits the use o
using a hands-free device.
phones while operating a vehicle unless
Employees are responsible for adherence to this law.
9.4 PolicV for Travel and Expenses
I and District's, objective to establish a policy governing employee tr e envolvedhn
It is the Dint I
payment of travel and out-of-pocketttendance at authorized mee expenses incurred by tings ngs oWtraining.
official District business or while in
Policy Content
ct to enable employees
(a) It is the policy of the Truckee Don ner Pub stto travel ility lcomfortably and safely,
who are away from home on District bus ne
in an efficient and economical manner; roved by the
(b) Travel and expected business
a expenses are incurred;will
and pre-approved
department manager beforee
26
for
auth
rized travel
xpenses
(c) The District will reimburse employ�tee conduct olf District businesseand upontthe
hat
are reasonable and necessary in
submission of an expense report with receipts attached, and upon approval of
the appropriate supervisor. Employees should use good judgment when
incurring business expenses. The employee is expected to use a reasonably
economic means of lodging, meals and transportation that will meet the
traveler's requirements with due consideration to safety and comfort.
Personal Automobile Use
Employees shall utilize District owned vehicles for business travel whenever a p olmt he
a District owned vehicle is not available, employees must have pro pp
General Manager before using their personal automobile. Drivers must have a valid
driver's license and adequate liability insurance. Motorcycles will not be authorized for
business travel.
Personal automobiles used on District busine 'must be covered by liability insurance.
It is the employee's responsibility to have adequate automobile insurance. A copy of the
current Proof of Insurance will be furnished to then,District indicating coverage before
using a personal vehicle for District business. The Olstrict will not be responsible for any
damage incurred to or by the employee's automobile lathe course of conducting District
business.
Employees will be reimbursed at a rats per mife equal to the current coach b IRS standard
mileage allowance. Such reimbursemertt°.par' 1ot excee ,;the cost of airY
most direct route if plane service is availabiti,and practical.
Employees will be reimbursed for all parking-and tolls, but not for fines and penalties
imposed for the violation of traffic and other laws.
Out of Town Travel
When deciding on a mode of transportation, District staff should utilize the most cost
effective means of transportation, while considering the travel time associated with the
trip. Air travel must be by coach or standard class. Alternate routes or additional stops
for the employee's benefit will be at the employee's expense, prorated to the most cost
effective direct route.
Hotels selected should be those that are recognized as reputable, reasonable in price
for the area, and conveniently located in relation to the employee's work assignment.
Rooms should be at the government rate (where available) for a single, standard room.
The District will not reimburse for alcoholic beverages or any expense considered
personal entertainment, including in-room movies. While employees are traveling, the
District will consider a telephone call to the employee's immediate family (spouse,
children, parents) to be a business expense. These calls are expected to be of
27
reasonable length. Employees should use a cell phone or phone card, with the standard
hotel long distance service as the last resort.
Employees must use good judgment as to the reasonableness of costs for meals.
practices. Employees are
Gratuities should not exceed acceptable and customary p
encouraged to take advantage of meals included�eahe price of a e mbursementsnmust nclude a
or
conference, or in the cost of their hotel room.
detailed/itemized receipt.
Submitting Travel Expense Reports
responsibility of each employee to provide a complete and factualsaa{°�entg of
It is the resp tY
ll
funds through the travel expense report to the irmmediate supervisor and approved by
reports must be submitted within 30 y
the Department Manager.
Actual receipts showing itemized charges must be attached for all expenses, including
lodging, transportation, tolls, and meals.
District Issued Credit Cards The use of
ict
District credit cards have been issued to designated employees
personal charges are to rbe
credit cards is only for District business expenses. No P
placed on the District's credit card.
must be atteiehed to an, employee's monthly credit carl statement.
Itemized receiptsthe employee and approvedY
The monthly statem.9 must` b+ signed by
Department Manarr and Genera Manager.
9. 5 nnrnimnrnnse Reimbursement
s
The ffict shall reimburse moving expenses
nses shall ynclude actpat to newl hired �cos t toamove
propre y documented b - ceipts. Moving expe and members of
furnitur+ /apd household items and transportation for thi ea eprate� Costs associated
his/her im 00iate family based upon the CurrenIRS
Imileage
emporary storage of personal
with the salmi purchase f a home, lodging,
s di
necessitated by the move will not be included in the
items, or cost are.
costs subject ement.
9.6 Vehicle Use Policy
ot to be used for
District owned vehicles are provided for official use will be parked site
d are nat the District
private transportati n or
be oavai able to all nal business. Vehicles will
for any valid business-related
when not in use awill
purpose.
28
t of their
ties must
District employees who are required to drive to ees are requiredbmmed immediately advise
possess a valid driver's license. All such employees
District management of any driving violations, citations, or accidents resulting in a
suspension or revocation of their drivers license.
If possible, the District will provide a vehicle for transportation to and from business
meetings, conferences, or other events that employees attend located away from the
office. If an employee drives his or her own person e Service.
the District will pay the
current rate for mileage as set by the Internal Revenu
Smoking is prohibited in District owned vehicles.
Seat belts shall be worn while driving or riding in all vehicles used for District busines
s.
o being called outside o for
Employees that are subject t
emergencies or other District business will be assigned vehicles to be driven to and
from their place of residence. These employees Are:
• General Manager
• Assistant General Manager
• Electric Superintendent
• On-Call Lineman
• Electric Engineer
• Water Utility Manager
• Water Superintendent
• Water Engineer
• On-Call Water Technician
The General Manager can authorize any District employee, on occasion, the keep
a
es
vehicle at their residence overnight when the-situation arises that requemployee
to conduct District business before or after regular work hours.
No employee shall be allowed to use an assigned vehicle for personal
osan other
than commuting and de-minimis personal use, such as a stop for a personal
on
the way home. Once at the employee's residence, the vehicles shall only be used for
official District business or the return commute to place of business.
District vehicles shall be operated only by an authorized District employee.District's operations.
l
may occasionally have passengers that are a necessary part of the
The District will comply with Internal Revenue
Service statues in regards to reporting
employee vehicle use as a taxable fringe ben
The general manager is authorized to rule on any unforeseen situation that might arise
that is not covered in this policy.
Staff shall report to the Board annually of vehicle use and IRS compliance.
29
10. DISCIPLINARY ACTIONS
10.1 Disci)linary Procedures - The principal objectives of this policy are to promote
orderly job conduct and the longer range development of a goal-oriented and productive
personnel team, help ensure compliance with state and federal laws prohibiting
discriminatory practices relating to sex, race, etc., and to establish the procedural
means of protecting employment rights of employees.
The effect of this policy should be:
• The reduction of involuntary terminations.,.
• The avoidance or minimizing of misunderstandings between supervisory and
non-supervisory personnel.
• Ensuring that personnel are prmVi,ded with n6ttcc of unacceptable conduct in
sufficient time to permit self-cdrrecti6n'and'improvements.
• The ensuring that documentation is avaIilabie to support management's position
in the event of discriminatory charges t;
Whenever any personnel problem occurs with respect to unsatisfactory performance,
attendance, or any other matter affecting the orderly execution of job requirements, the
supervisor is expected to address the situation promptly, constructively, and in a tactful
manner.
It is recognized that this policy applies to all employees represented by IBEW Local
Union 1245 (bargaining unit employees) as well as management employees (non-
bargaining unit employees)r The coverage of non-bargaining unit employees by this
policy shall in no manner create any legal or other obligation of IBEW Local Union 1245
toward non-bargaining unit employees. IBEW Local 1245 shall have no obligation
whatsoever to provide a defense, provide advice, or otherwise represent non-bargaining
unit employees.
Definition -The term discipline will be understood as meaning "a state of orderliness"
such as in a "disciplined team or in a disciplined performance.,, Therefore, disciplinary
action is action taken to maintain an orderly way of doing negative actions or sanctions
to be invoked in the event of unacceptable employee performance. It is well to
recognize that they are no substitute for positive or constructive actions such as
counseling, goal-setting, and Performance Improvement Plans (PIP).
30
are
condut for which
Causes for Disciplinary Action - The following lusive and d spciplinef may be imposed for
discipline may be imposed. This list is not exc
conduct not set forth below:
1. Improper or unauthorized use or abuse of sick leave;
2. Excessive absenteeism;
3. Being absent without authorization; repeated tardiness or leaving without
authorization.
4. Willful or negligent violation of District policies, rules or procedures;
5. Insubordination, disobedience, or failure to carry out any reasonable order;
6. Acceptance of gifts or gratuities in connection with or relating to the
employee's duties;
7. Conviction of illegal conduct, the nature of which is clearly harmful to the
orderly conduct of business, the safety of employees or equipment, or which
adversely affects the employee's ability to perform his/her job;
8. Falsifying information related to employment.application, payroll or any work
related record or report;
9. Discourteous or inappropriate treatment of the public or District employees;
10.Conduct interfering with the,, reasonable management and discipline of the
District or any of its departments; practices;
11.Violation or negloct of safe rules or common safety p
12.Theft; ;
13.Physical altercations or,acts of aggression;
14.Engaging Ip discriminatory or harassing behavior in violation of state/federal
laws and/t pistrict policy'$
rs whch is
15 Other failure caf. good behavior either'during or outside ands ausesuty udiscreld t to
,a.serious,nature that it reflects directly upon
die Distrit,
C.Inefficiency, ;competence, or negligence in the performance of duties
including failure;fo perform assigned tasks of training, or failure to discharge
�duties in a promos competent, and reasonable manner;
17.isal or inab*(t` to improve job performance in accordance with written or
vertu direction `after reasonable trial period or inability to satisfactorily
complete pernance Improvement Plan;
18.RefusaI cept reasonable and proper assignment from an authorized
supervisor;`
19.Failure to abide by District Information Technology Policies, including e-mail
and internet usage;
20.Possession of, or intoxication, or incapacity on duty due to the use of alcohol
or drugs;
21.Driving under the influence of alcohol or drugs while on duty;
22.Smoking in smoke-free District premises;
23.Suspension, revocation, lapse or expiration of a driver's license required for
31
the job; equipment or funds,
24.Careless, negligent, or
including unauthorized Cemopalr District
or usefor property,
private or use involving
damage unreasonable
risk of damage to property;
25.Unauthorized re ease of conf dental information or official records.
Proaressive Discipline Procedures
identified below reflect a logical progression from the least serious
na s action
to the
The actions roach to matters requiring disc p ry
most serious. In general, a supervisor's app rocedure are to
will follow this progressive approach. The first steps of the disciplinary p e combined with appropriate
be regarded as corrective measwould make fudrthere to steps unnecessary. The seriousness
instruction which, if followed, would ma
of the offense shall be taken into account by the;supea�t,on upon r, and the repetition of the
not necessarily proceed uo ervisor to proceed..,,,
next level of d; Inary tb the next level of disciplinaryaction, the
offense. In order for a p
offense need not be a repetition of a prior offense
meeting as defined below) 'will generally precede disciplinary action
m volving a
ely
A Skelly g
loss of pay. However, suspensons of five days or less may b
implemented providing that the Skel pros®dare (as d n is then promptly
d act onelow)may immediately
followed. Under certain conditions more severe',, disc,p
occur.
Forms of Disciplinary,Action:
1. Verbap I Re rimand The verbal reprimand is Considered informal discipline arn and notifies
the employee that his/her performance or behavior must be improved.
defines the areas in which improvement is required, sets up goals leading to this
improvement and informs the employee that failure to improve will result in more serious
disciplinary action.
This is the first official step of disciplinary action. It should be used he todeal
I witthat minor he/she
infractions of rules and practices. It is, in effect, a statement toemployee
has (1) violated a District rule or work practice that he/she shou futureld .ave been aware of, (2)
that he/she will be expected to abide by all such rules
in The manager will summarize this action with written documentation concerning
copy is given
the
conversation. This document is placed in the employee's personnel file and a
to the employee. The employee shall be permitted filed
edefiln he written
employee's personnel lel
being directed to the department head and a copy
2. Written Reprimand —The written reprimand is an °The/ record of employee a' advised that h s/her
scipline, usually, but
not always, issued after a previous verbal reprimand.
behavior is seriously below standard and that continuation or repetition of that behavior
32
shall result in more serious disciplinary action. The written reprimand shall cite violations of
the District's Code, Policies and causes for Disciplinary Action.
The written reprimand is considered the first formal st in thein disciplinary
emp employee's personnel
copy shall be provided to the employee and a copy placed
file. The employee shall be permitted to file a written response, the originalge being directed
to the department head and a copy filed in the employee's personnel
3. Suspension — The suspension is an ordered absence from, duty without pay for a
sion without pay
is a serious action by management
specified period of time. Suspen ess
involving loss of pay and fringe benefits• An said employee loyee his/her l receives
perfo mlances svnot
discipline prior to a suspension advising Ployee that
satisfactory.
is a tem ra reduction in salary to a lower salary
4. Reduction in Pay — Reduction in pay pQ rY
step for a specified maximum period of trine. 'The employee does ncd performandce
stoppage of income and may be able to have th reduction
uollfted by An individual should have
The department does not lose the services of, the ,
been warned or reprimanded prior to taking this actionao advise him or her that his or her
performance is not acceptable.
5. Demotion — A demotion is a perm anent change in classification of m d oyee sc plinary
to a
position of lower responsibility and P`aY for unsati�factor g�performance o
reasons. No employee shall be demoted to,-a, pos it for which he or she does not
ions; the employee's nevi duties must be consistent with
possess the minimum qualificat
those described in the,job description.
6. Last Chance Agreement — At the discretion"Qf the General Manager,
a last chance
agreement may be entered into with the employee, the bargaining unit if ppr p
and the District. This agreement is an alternative tfor tihetemployee go continue his oion. The areement, r
by all parties, will state the steps that are necessary
her employment with the District.
7. Termination/Discharge
Termination is the most severe form of disciplinary action. This ons
course of action
o duebe
caused by a serious violation of the Districts Causes for Disciplinary
to
an accumulation of various violations. This
emption should only be loyee aeasonable
when
management is thoroughly satisfied that the p Ye has been given every
opportunity to meet performance or behavior standards and clearly failed to do so.
Pre-Disciplinary Proceedings:
The California Supreme Court's Skelly v State Personnel Board decision provides a
public employee with certain procedural protectionsbTheeforeSkelly Idec sionine (a suspension
requires res an
of
more than five (5) working days) may be imposed
33
h or
ut is/her
administrative meeting whereby the employee her nforma�onh which may notthalve
ve
may respond to the charges with facts and/or of
been considered.
The requirements of the Skelly procedure are satisfied as follows:
1. The employee receives advance notice of the
xmum punitive action imposed.
2. The notice states the reasons for the proposed action.
3. The notice contains the charges upon mat r a shich the pupon which the actioroposed action is ns based.
4. The employee is allowed access to t
5. The employee is afforded the right, either orally or in writing, or both, to respond
to the proposed charges.
Skelly Notice
The notice requirements of Skelly are as follows:
1. The Skelly notice should be in writing. to the
2. The letter should set a date, time and place for the employee
lem eo employee ti to me respond
seek
charges if he/she elects to do so. In order to allow t p Y
advice and to prepare any oral or written response he/she f ve work wosh to rking days from the
ke, the
date set for his/her response should be aproximately
date the letter is;$ent. The letter should contain a request that the employee give
notice if he/stye;elects to waive his/her right to respond orally.
3. The letter shld contain the maximum penalty, which may be imposed.
4. The reasons for he proposed action mush Which the employee is charged me set out in detail. The part of tust
he
Skelly l,etter settirto put the miscQrldur,,t,,W t
be fo .�
that any person reading the letter will be able to determine the
e # miscast charged.
die factual 0 tions' of ,misconduct must specifically cite violations of the
trict's "Causei,,J' Disciplinary Actions" as described in this policy.
6. Tom, otice must ad* the employee of his/her right to respond to the charges,
either Virally or in w*g.
e the employee of his/her right to representation if he/she
7. The nott must ad
elects to respond.,
8. The notice '- w vise the employee that discipline may be imposed whether or
not he/she responds to the charges.
Skelly Meeting
The Skelly meeting, if the employee elects to have a meeting, should be conducted as
follows:
1. The General Manager should chair the meeting.
2. The General Manager should establish that the employee has received the
34
Skelly notice and understands the charges set forth therein.
3. The General Manager should make available
and disciplinary is which were
charges considered in determining the proposed g given the opportunity to
4. The employee or his/her representative should be
respond to the proposed charges.
5. The meeting may be recorded.
6. The employee or his/her representative should be given the opportunity to make
final comments regarding the proposed actin
n.
7. The General Manager should close the meeting may bating eenhe/she
priilll
consider all statements and/or documents, w y hiveeen presented
to determining the final action.
The Ge
neral Manager will determine whether the charges have-been established and
the severity of the disciplinary action.
Action Letter
The General Manager should promptly pre a letter containing all of the following:
Pare for charges which have been
1. Factual Findings. This part of the letter may,
established, repeat the charged as set ro ti is inn�Skelly
Icharge's sett ousness have
er. If a charge
has not been established or if facts in g
been disclosed, the letter shouts so state.
2. The specific provision(s) of t� "Causes for: Disclp ary Action" which were
violated.
3. The discipline imposed may not exceed the maximum stated in the Skelly letter.
4. A statement that the employee may- appeal the action to arbitration consistent
with the provisions of to Union contract or other District procedures, if
applicable.
Appeal Process (Non-bargaining unit position)
If an employee wishes to appeal a disciplinary action, they may move the matter to
arbitration..by filing a request for arbitration in writing n�hm fourteen calendar days of to
the General Manager. To be
timely, the request for arbitration must be received
date of the Skelly decision.
As soon as reasonably possible after the matter has been referred„ itr iti , the t e
parties or their designated representatives shall confer regarding the se
arbitrator. If agreement cannot be reach aon and Conc Icti atlion Servicepanel The parties or
of seven
arbitrators from the California State Med
their representatives shall alternatively strike from the SMCS list until one name remains
and that person shall serve as the Arbitrator.
At the Arbitration hearing, both sides shall be represented by the person of their choice
and shall be solely responsible for the costs associated with the presentation of their
case including but not necessarily limited to the costs associated with their
35
representative and witnesses. The costs and fees ciated with the Arbitrator and
court reporter shall be divided evenly between the parties.
The decision of the Arbitrator shall be final and binding,ions of however,
the iict bitrr Ctodeh ill
have no authority to add to, modify or delete any p
policies.
11. GRIEVANCES
11.1 Grievance Procedure
The Boar
d of Directors will recognize the grievance procedure as outlined in Title 14
the Memorandum of Understand of
ing. In connection wits all grievances filed,
it shall be
the policy of the Board that:
• Prompt attention be given to all grievances;
• That there will be freedom from reprisal against those filing a grievance;
That eve effort be made t€,,resolve the gnevAnce at the lowest possible level
• ry
within the District.
36
12. EMPLOYEE SAFETY AND HEALTH
12.1 Safety and Loss Control
The purpose of this policy is to: and preserve property of the Truckee Donner
Protect human life from injury
Public Utility District and the general public.
To instill in the District's Directors, andent losstaff and contoapracticeseen the
s an
awareness of the importance of safe work
operation of District facilities, and to establish the desire and expectation in all
employees to work safely.
To educate and train District employees in proper job practices and procedures
through a continuing on-the-job training program.
To comply with applicable federal, state and local regulations.
hat
A comprehensive set of basic operating and safety rules and safe work pd dices t to
address all aspects of District op Eachn shall be employee shall developed,
signadopted
eceipt of acceptance
all employees of the District.
indicating they will follow and abide by the safety rules and work practices.
12.2 Iniury and Illness Pre ntign Program
nd
The Di
strict will Maintain a comprehensive and continuous occupation safetyal Injury
of the
Illness Prevention Program (IIPP) for icel tikes peecedence ovees. The lrhal other concerns.
individual, whether in the field. Q>�,:office,.,
Managements,_goal is to prevent accidents' and to eliminate personal injury and
occupat �and cop with all safety and health rules and standards.
To note the welt loyee
of ite employees, the District will isk raasals�and na�apety of
Wellne Program. The'prog kII Participation ItbyRemployees in this program is
health refed awareness seminars.
voluntary.
12.3 Safe
+. and t kgS"rir mittee
A Safety and Loss Control Committee shall meet
a steast mablisheon hlyt ThelCommittnclude Deetwi I
rict
management and union employees and will me
annually update the Safety and Loss Control program.
A program of regularly scheduled safety and job trainingmeetings
isafety.all be developed to
educate District employees and maintain an awareness
of job37
Supervisors shall be held accountable for implementation and enforcement of the safety
and loss control program.
The General Manager shall submit to the Board of Directors an annual report
summarizing the safety activities for the past year.
12.4 Tobacco-Free Workplace Policy
The purpose of this policy is to provide a healthful, comfortable
and customersuctive work
s
environment for all District employees, directors,
For
the reasons stated above and in compliance with California law, it is the thin all sicy tor ct
the District to prohibit smoking or use of tobacco products of any kind
controlled and operated facilities, as well as District vehicles and Wotksites.
Smoking is prohibited within twenty (20) feet fromri entrances, exits, air it ke vents,
stairwells, breezeways, garage doors or operable windows.
2Q -feet rule. Littering of matches,
Smoking is permitted only while following the o tw her en
is not permitted. Proper
cigarettes, cigars, chewing tobacco orany
containers must be used for disposal of these items.
Signs acknowledging "Smoke-Free Building" will be posted o „entrance doors of the
building and will as other locations deemed appropriate
All em to ees share in'the responsibility for adhering to and enforcing the
smoke oro
ploy
adverse action will be taken against any employee for complaining about
cco in the workplace. Any employee that violates this policy is
improper use of toba
subject to disciplinary action-
12.5 Wark�lace ThreatsNiolence
The District is committed to providing a safe and secure workplace behavior, foror employ
cts of vees,
customers, contractors and visitors. Threats, threDistrict ciongtrolled worksites or involved in
iolence
against any individual on District property,
the conduct of District business will not be tolerated.
including termination landborDrim nal
employees will lead to disciplinary action up erson making a report under this
prosecution. No retaliation will be taken against any p
policy.
Definition of Workplace Threats/Violence
Workplace Threats/Violence is any conduct that causes an individual to reasonably fear
for his or her personal safety or the safety �ors or her family,a hostile abusive ors and/or intimidating works
such that employment conditions are alto
environment is created for one or more District employees.
38
Specific examples of workplace violence include, but are not limited to:
• Threats or threatening behavior directed toward an individual or his/her family,
friends, associates, or property;
• Harassing or threatening phone calls, written messages, videos, photographs or
E-mails;
• Surveillance by any means
• Stalking
It is the responsibility of all District employees to immediately,, non District ing or
violent behavior they have witnessed or have knowledge of 9
property, worksites or connected to District employment,to their supervisor or
department head.
The incident will be investigated and documented by the appropriate management
ps taken to intervene in any,potentially hostile or
employee, with all necessary ste
dangerous situations.
12.6 Employee Driver's License PoIC
The purpose of this ployees and
policy is to maximize the safety othe District emnnected with
p P
minimize the liability exposures and D�Strict proper' t°,damag+ `potential co
t all
the operation of vehicles used in the course o businetrict ss meet aIAlicensing and drlso, to assure iving
employees employees operating vehicles whale on District
qualifications. `
It is the policy of the District arvd a requirement for continued e employment
icense and a DMV
employee4 9n with driving that every
duties sham indriver's
quire a valid motor vetu rd, (MVR)�:annual verification. This policy applies both to drivers of
comps owned v s as Well as employees using personal vehicles in the course of
Distr �� usiness.
The GerrI.Manager or h�� or herdesignee shall administer this policy. The following
are minimuri ,equirements
1. All employes p9si ns that include operation of a motor vehicle shall possess a
valid state isa 'drivers' license;
2. An employee shall not operate a District vehicle or a personal vehicle for District
business if that employee's MVR reveals a suspended, revoked, cancelled or
disqualified drivers' license; and,
All employees requiring operation of a motor vehicle shall:
Maintain the necessary license required by their job description;
39
Authorize the District to obtain a MVR from the Department of Motor Vehicles
from the state of the employee's drivers' license;
Immediately report to the General Manager or his or her designee the
suspension of driving privileges.
air
Failure to be able to operate a District vehicle with ob valid
Such conditions areysubpect to
employee's ability to satisfactorily perform their 1
review by the General Manager and corrective actions, including termination may occur.
12.7 Drug and Alcohol-Free Workplace
fe
The District is committed to establishing and maintaining a high-quality,alcohol-free
lic, and supports a drug a
environment for employees and the pub
workplace. The unlawful use, possession, distribution, dispensation, or manufacture of a
controlled substance in the workplace by District employees is be prohibited the d will nce ot
be tolerated. Further, employees are prohibited from using 9 under
of drugs or alcohol in the workplace.
District employees who violate the District's policy will be subject to disciplinary action
consistent with the District's Disciplinary Procedures.
The District will conduct, Oenod training for employees and supervisors on substance
abuse prevention and education
The District shall continue to offe �confidentiel Employee Assistance Program to aid
employees with substance abuse problem
Pre-ern "°ment ""I``e�41�g A , applicants, after receiving a conditional of aoffer p ref
ptoy
y
em ent, will be su ct to *,controlled substance screening test asp
emploent physical exination
Reasonable; spicion Tfiling of Current Empnocircumstances.
i es: Any current cu stances. When anyemployee's
subject to drt � ;testing r alcoho under ee may be
certa
observed behavior mvo6ment in an on-the'nobviolated,t the District or other lcmaytaequSeathe
reasonable suspici� ►at this Policy is being
employee to consent''to testing for controlled substances or alcohol when such testing is
job-related and consistent with business necessity.
Except in the case of involvement in an on-the-job accident, reasonable suspicion under
this Policy shall be based on specific, personal and
on observations employee.concerning the
appearance, behavior, actions, and speech o body odors
40
12.8 Drua and Alcohol Testing Policy
Applicable to Commercial Motor Vehicle Drivers (CDL) Only
purpose - It is the goal of the District to provide h healthy,nmeetingfying these goals,work
ronment its the
that promotes personal opportunities for growt
District's policy to do the following:
Assure that employees are not impaired by alcohol
eor pr Mailheal d drugs in manner, their
ability to perform assigned duties in a safe, pro
Create a workplace environment free from the adverse effects of alcohol and
substance abuse or misuse.
Encourage employees to seek professional assistance any time personal
problems, including alcohol or drug dependency, adversely affect their ability
perform their assigned duties.
Included Persons — This alcohol and drug testing`policy applies to all District employees
holding a commercial driver's license (CDL) and wha operate a commercial motor
vehicle (CMV) as defined below.
f j ly',` r owner-operator
This includes, but is not limited toy ull t�n1e regular employed drivers; casual,
intermittent or occasional drivers; leased dri�te by I o unn independent,
to District or who
contractors who are either directly empk'ryed
or with the consent of the District. For the purpose to th
of
operate a CMV at the direction of n applying
e
pre-employment/pro-duty testing only, the teem driver includes a perso
District for a position that entails the driving of CMV.
Prohibited conduct:
Alcohol: No driver shall:
Report for duty or remain on duty requiring the performance of safety-sensitive
functions while having an alcohol concentration of 0.04 or greater.
Be on duty or operate a CMV while he or she possesses alcohol.
• Use alcohol while performing safety-sensitive functions.
Perform safety-sensitive functions within 4 hours after using alcohol.
After being required to take a post-accident alcohol test, use alcohol for 8 hours
following the accident, or until he/she undergoes a post-accident alcohol test,
whichever occurs first.
41
Drugs: no driver shall report for duty or remain on duty requiring the performance of
safety-sensitive functions when the driver uses any drug, except when the use is
pursuant to the instructions of a physician ability has advised the driver the
substance does not adversely affect the driver's tY to safely operate a CMV.
The following drugs or other substances are prohibited: Any drug or other substance
identified in this chapter (Effects of Drugs and Alcohol); an amphetamine or any
formulation thereof; a narcotic drug or any
derivative sa hereof;operati ora CM any other substance, to
a degree which renders the driver incapableY
A driver must inform the District of any therapeutic drug use, including on-duty use and
off-duty use which may affect on-duty performance.
No driver shall report for duty, remain on duty or perform a safety€=sensitive function, if
the driver tests positive for controlled substances ;` "
Consent to alcohol and-or drug test: no driver shall refuse to submi� a follovV-uatestent
test, a random test, a reasonable suspicion test,.return-to-duty test o P
In addition, the Federal Department of Transportation (DOT) requires that DIDOT
implement an alcohol and drug testing program which complies with the applicable
rules under 49 Code of Federal Regulations Part 40.
Definitions -
Accident is an incident'rnvolving commercial motor vehicle if the incident ncidentived a anhe
d
loss of human life;° br the driver:,receives a, citation ansmg from the
individual suffers a bodily injury and immediately, receives medical treatment away from
the scene (e g taken to the hospital by ar`ib,tilance), or a vehicle is required to be towed
from the";
agent,
in beverage alcohol, ethyl alcohol or other low
Alcohol �
lis the intoxicl9 g g Y
molecules weight alcohor mcludin methyl and isopropyl alcohol.
Alcohol use i 1he consumption of any beverage, mixture, or preparation, including any
medication (pre�ibed n over-the-counter, intentional or unintentional), containing
alcohol.
Breath alcohol technician (BAT) is an individual who instructs and assists individuals in
the alcohol testing process and operates an evidential breath testing device (EBT).
Commercial motor vehicle is a motor vehicle or combintion of a vehicle:motor vehicles used in
commerce to transport passengers or property if the moto
Has a gross combination weight of 26,001 or than more pounds
pounds.inclusive of a towed
unit with a gross vehicle weight rating of more
42
• Has a gross vehicle weight rating of 26,001 or more pounds.
• Is designed to transport 16 or more passengers, including the driver; or
• is of any size and is used in the transportation of hazardous materials requiring
placards.
Confirmation test, for alcohol testing, is a second test that provides quantitative data of
of
alcohol concentration following a screening test with a result of 0.02 gram greater
alcohol per 210 liters of breath. For controlled substances testing, it is a second
analytical procedure to identify the presence of a specific drug or metabolite which is
independent of the screen test and which uses a`;different technique and chemical
principal from that of the screen test in order to ensure reliability and accuracy.
Controlled Substance, for the purpose of this program is marijuana, cocaine,
amphetamines, opiates, or phencyclidine (PCP). '
Covered employee is an employee subject to the requirements of applicable Federal law,
and this policy.
Driver is any person who operates a comImercial. mot€ vehicle, This includes, but is not
limited to: full time, regularly employed drives;:casual, intermittent or occasional drivers;
operator contractors who are either directly
leased drivers and independents owner=
employed by or under lease to the District or.who operate a CMV at the direction of or
with the consent of the District. For the purposes of pre-employment testing, the term
driver includes a person applying to drive a CMV
Employer is the District.
Evidential breath testing device (EBT) is 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) is a licensed physician (medical doctor or doctor
drug
osteopathy) responsible for receiving laboratory results generated by aemployer's appropriate
testing program who has knowledge of substance abuse disorders and has appr op
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.
On-duty time, as that phrase is defined by Federal regulations and this policy, means all
of the time from the time a covered employee begins to work, is required to be in
43
readiness to work, until the time he or she is relieved from work and all responsibility for
performing work.
Performing (a safety-sensitive function) is any period in which the driver is actually
performing, ready to perform, or immediately able to perform any safety-sensitive
functions.
Refusal to submit (to an alcohol or controlled substance test) is when a driver:
Fails to provide adequate breath for alcohol testing, without a
valid medical
breath
explanation, after he or she has received notice of the require
ment for testing in accordance with this policy;
Fails to provide adequate urine sample for controlled substances testing, without a
genuine inability to provide a specimen (as determined by a medical evaluation),
after he or she has received notice of the requirement for urine testing in
accordance with the provisions of this policy;,or
Engages in conduct that clearly obstructs the testing process.
Safety-sensitive function, for purposes of this policy, shall 'mean any of the functions
defined in Title 49 of the Code of Federal Regulations. More specifically, safety-sensitive
functions include all functions performed by a covered employee during on-duty time and
include:
• All time at the District or.work site, unless the driver has been relieved from duty
by the District.
• A dime rasp equipment or otherwise servicing or conditioning any CMV at
any time.
• All driving time.
• All time, oar thaii.-.friving time, in or upon any CMV.
•
All time loading or unloading a CMV, supervising or assisting in the loading or
unloading, attending a CMV being loaded or unloaded, remaining in readiness to
operate the CMV, or in giving or receiving receipts for shipments loaded or
unloaded.
• All time repairing, obtaining assistance, or remaining in attendance upon a
disabled CMV.
44
Screening test (a.k.a. initial test) in alcohol testing is an analytical procedure to determine
whether a driver may have a prohibited concentration of alcohol in his or her system. In
controlled substance testing, it is an immunoassay screen to eliminate negative urine
specimens from further consideration.
Substance abuse professional is a licensed physician (medical doctor or doctor of
osteopathy), or a licensed or certified psychologist, social worker, employee assistance
professional, or addiction counselor (certified by the National Association of Alcoholism
and Drug Abuse Counselors Certification Commission) with clinical experience in the
diagnosis and treatment of alcohol and controlled substances-related disorders.
Violation of the Policy
Immediate Consequences of Violating this Policy,
The driver shall not perform, not be permitted-t6 perform, a safety-sensitive function if any
of the prohibitions are violated. A driver rerriQved frorrr 'performing safety-sensitive
functions because of a rule violation occurring in a 26,001 pound or greater vehicle in
interstate or intrastate commerce, also, is prohibited .from driving a 10,001 pound or
greater vehicle in interstate commerco,, "
The driver must be advised by the D isthpt of the resources, available in evaluating and
resolving the problem. This must include the ryes, addresses, and telephone numbers
of substance abuse professionals and counseling and treatment programs. The District
is not required to provide referral, evaluations and treatment for applicants who refuse to
submit to or fail a pre-employment test.
The driver must be evaluated by a substance abuse professional (SAP) who shall
determine what assistance, if any, the employee needs in resolving problems associated
with alcohol misuse and drug use. The SAP who determines that a driver needs
assistance shall not refer the driver to his/her private practice or any organization in
which the SAP has a financial interest for assistance.
The driver may besubject to disciplinary action under the terms of the District's
disciplinary procedure. An employee who tests positive for alcohol or drugs for the first
time must comply with the administrative requirements of rehabilitation, but will not be
disciplined solely on the basis of the positive test result. Absent extenuating
circumstances, a second positive result within a five-year period will be grounds for
disciplinary action, up to and including termination.
Out of Service Order
Any driver who is found to be in violation of this policy shall be placed out-of-service
immediately for a period of 24 hours.
45
Out-of-service means that the employee shall not perform, and not be permitted to
perform, a safety-sensitive function.
The 24-hour out-of-service period will commence upon issuance of an out-of-service
order.
No driver shall violate the terms of an out-of-service order issued,under this section.
Condition of Returning to Work after a Violation of this Policy,-; Before returning to duty,
the driver must undergo a Return-To-Duty Test as set forth;in Sction IV-E.
Testing Circumstances
Pre-Employment/Pre-Duty Testing
This type of testing applies to:
• All applicants for a position requiring a CDL driv6e$jicense to operate a CMV, who
have not been part of a drug progr , that compfies with the Federal Highway
Administration (FHWA) regulation for the,prO''viuus 30 days; and
• District employees who usually drive vehicles for which a CDL is not required to
operate, but then is required'to obtain CDL and drive CMVs for the District.
Exceptions - A pre-employment drug test is no required if the following conditions are
met:
• The driver participated in,a drug testing program meeting the requirements of the
FHWA within the previous 30 days;
While participating in the program, the driver either was tested for controlled
substances in the,previous 6 months, or participated in a random drug testing
program for the previous 12 months; and
No prior employer of the driver has a record of violations of any DOT controlled
substance use rule for the driver in the previous 6 months.
The District must contact the testing program prior to using the driver and obtain the
following information:
46
• The name and address of the program, which is generally the driver's prior and/or
current employer.
• Verification that the driver participates or participated in the program.
• Verification that the program conforms to the required procedures.
• Verification that the driver is qualified, including that the driver has not refused to
submit to an alcohol or drug test.
• The date the driver was last tested for alcohol and drugs.
• The results of any drug or alcohol test administered in the previous 6 months, and
any violations of the alcohol misuse or drug'rules.
If the District uses a driver more than once a year, but does not employ the driver, it must
assure at least once every 6 months that the driver participated in a drug testing program
that meets the requirements of these regulations.
Post-Accident
Testing is required as soon ae practicable following an accident involving a CMV of each
surviving driver when either:
• The accident involved a fatality or
• The diver receives`a citation under state or local law for a moving traffic violation
ars g from th accid� and an individual suffers a bodily injury and immediately
receives medic af tatmen away from the scene; or
• The:Ctrfver receives a citation under state or local law for a moving traffic violation
and tf '; MV is requi ed to be towed from the scene of the accident.
Nothing in the reds should be construed as to require the delay of necessary
medical attention fay-injured people following an accident. Also, the driver is not
prohibited from leaving the scene of an accident for a period necessary to obtain
assistance in responding to the accident, or to obtain necessary emergency medical
care.
In lieu of administering a post-accident test, the District may substitute a test
administered by on-site police or public safety officials under separate authority. The
District may substitute a blood or breath alcohol test and a urine drug test performed by
such local officials, using procedures required by their jurisdictions. The District may
obtain a copy of the test results pursuant to an employee signing a preauthorized consent
form.
Random Testing
Alcohol Testing Rate: random alcohol testing shall be administered at a minimum annual
rate of 25 percent of the average number of driver positions, or as changed by the FHWA
and published in the Federal Register.
Drug Testing Rate: random drug testing shall be administered at a minimum annual rate
of 50 percent of the average number of driver positions, or as changed by the FHWA and
published in the Federal Register.
Appropriate time for random testing:
• Alcohol testing: A driver shall only be tested while the driver is performing safety-
sensitive functions, immediately prior performing or immediately after
performing safety-sensitive functions.
Drug testing: Drug testing may be pertbrmed at anytime while the driver is at work
for the District, regardless of whether such,duties are safety-sensitive or not.
Selection and Notification:
Selection of drivers shall be made by a scientifically valid method such as a random
number table or a computer-based random number generator that is matched with an
identification number assigned to each driver. Under the selection process, each driver
shall have an equal chance of being tested each time selections are made.
The random tests shall be announced and spread reasonably throughout the year. There
will not be a period of time during which random testing will be done for the year."
The District shall ensure that drivers selected for random tests proceed immediately to
the testing site upon notification of being selected.
For purposes of employee name selection for drug and alcohol testing, the District shall
use the services of the Sierra DOT Consortium administered by the St. Mary's Regional
Medical Center. By participating the
estab established by Consortium,
Fedethe
al District
Departmwill
ent meet
of
the minimum selection requirements
Transpiration.
In the event a driver, who is selected for a random test, is on vacation, lay-off, or an
extended medical absence, the District will select another driver for testing. The District
48
shall document that the driver was ill, injured, laid off, or on vacation and that the driver
was in the random selection pool for that cycle.
Reasonable Suspicion
Drivers must submit to an alcohol or drug test when the District has reasonable suspicion
to believe that the driver has violated the prohibition in Section 4.47.010.3(B) of this
policy. A trained supervisor or the General Manager are required to make the
observations necessary to substantiate a reasonable suspicion and the observations
must be further substantiated by the observations of a second trained supervisor unless
extenuating circumstances apply.
Reasonable suspicion:
The District's reasonable suspicion shag I* based on specific, contemporaneous,
articulable observations concerning the appearance_:,, behavior, speogh, or body
odors of the driver.
The reasonable suspicion determination shall b made by a trained supervisor or
the General Manager and substantiated by an 60nion from a second trained
supervisor.
The mere possession of alcohol".does,not c046tute a need for reasonable
suspicion testing, which must be teased on observations concerning the driver's
appearance, behavior, speech, or body,'odor.
Alcohol Test: reasonable suspicion must be determined during, just before, or just after
the driver performs safety-sensitive functions.
If reasonable suspicion is observed but a reasonable suspicion tstan alcohol ha not yet
tte st been
administered, a driver shall,not perform safety-sensitive functions until
is
administered,and the driver's alcohol concentration measures less than 0.02, or 24 hours
have elapsed following the determination of reasonable suspicion.
Drug Test: the documentation of the driver's conduct must be prepared a d signed the drugyt st he
witness within 24 hours of the observed behavior, or before the results
are released, whichever is earlier.
Return-To-Duty Testing
Alcohol Test: after engaging in prohibited conduct regarding alcohol misuse, the driver
shall undergo a return-to-duty alcohol test before performing a safety-sensitive function.
The test result must indicate a breath alcohol concentration of less than 0.02.
49
Drug Test: after engaging in prohibited conduct regarding drug use, the driver shall
undergo a return-to-duty drug test before performing a safety-sensitive function. The test
result must indicate a verified negative result for drug use.
In the event that a return-to-duty test is required, the driver must also be evaluated by a
SAP and participate in any assistance program prescribed and be subject to
unannounced follow-up alcohol and drug tests administered by the District following the
driver's return to duty.
The number and frequency of the tests are to be determined by the SAP, but must
consist of at lease six tests in the first 12 months following the driver's return to duty.
Follow-up testing may be done for up to 60 months.
If the SAP determines that a driver needs assistance with a poly-substance abuse
problem, the SAP may require an alcohol test to be performed along with the required
drug tests after the driver has violated the drug testing prohibition.
The cost of return-to-duty alcohol and drug tests shall be paid directly by the employee
and/or his or her insurance provider.
The cost of the services of the SAP for the initial evaluation and a return-to-duty
evaluation shall be paid by the,District.
An employee will bd allowed to take accumulated vacation leave and/or personal leave
time while participating in the prescribed treatment, rehabilitation services or assistance
program.
Follow-u t°estmg
If a SAS`determines that"k driverneeds assistance resolving problems associated with
alcohol br� rug use, the QWrict shall ensure that the driver is subject to unannounced
follow-up tes following th 1 6 driver's return to duty.
The number and ,fiecu�ancy of the tests are to be determined by the SAP, but must
consist of at least sik.t sts during the first 12 months following the driver's return to duty.
Follow-up testing may be done for up to 60 months. The SAP can terminate the
requirement for the follow-up testing in excess of the minimum at any time, if the SAP
determines that the testing is no longer necessary.
Follow-up tests need not be confined to the substance involved in the violation. If the
SAP determines that a driver needs assistance with a poly-substance abuse problem, the
SAP may require, for example, alcohol tests to be performed along with the required drug
tests after the driver has violated the drug testing prohibition.
50
Follow-up testing for alcohol shall only be performed when the driver is performing safety-
sensitive functions, or immediately prior to performing or immediately after performing
safety-sensitive functions.
Alcohol Testing Procedure
Preparation for Testing
• The employee is required to show positive identification when arriving at the test
site.
The employee may also request the Breath Alcohol Technician (BAT) to show
positive identification.
• The BAT shall then explain the testing procedure to the employee.
• The BAT must supervise only one employee`s;useof the Evidential Breath Testing
device (EBT) at a time.
The BAT is not to leave the testin6site while the,test'Is"in progress.
= j
Administration of the Initial Test
Steps 1 and 2 of the Breath Alcohol Testing Form are to be completed. A refusal by an
employee to sign the certification in Step 2 of the form shall be regarded as a refusal to
take the testa
• Non-evidential screening devices may be used for the alcohol screening test,
provided they are approved by the National Highway Traffic Safety Administration
(N'HTSA).
• Devices approved by the NHTSA are placed on the "Conforming Products List of
Alcohol Screening Devices."
• Confirmation tests must be done using an evidential breath testing device.
Depending on whether the result is less than 0.02, or 0.02 or greater, the following shall
be done:
• If the result is less than 0.02, the BAT shall date the form and sign the
certification in Step 3 of the form. The employee shall sign the certification and
fill in the date in Step 4 of the form.
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If the result is 0.02 or greater, a confirmation test must be performed. If the
confirmation test will be performed by a different BAT, the BAT who conducted
the screening test shall complete and sign the form and log book entry. The BAT
is to give the employee Copy 2 of the form. If the confirmation test will be
conducted at a different site, the employee must not drive there and must be
observed by District personnel en route.
Administration of the Confirmatory Test
Waiting Period:
The BAT shall instruct the employee not to eat, drink, put any object or
substance in his or her mouth, and, to the extent possible, not belch during a
waiting period before the confirmation test.
• This waiting time period begins with the completion of the screening test, and
shall not be less than 15 minutes.
The confirmation test shall be conducted within 30 minutes of the completion of the
screening test.
In the event that the; screening''"and confirmation test results are not identical, the
confirmation test result is deemed to be the final result upon which any action under
operating administration rules shall be,based.
Following the completion of the test, the BAT shall date the form and sign the
certification in Step 3 of the form. The employee shall sign the certification and fill in the
date in Step 4 of the fora.
The BAT shall transmit all results toAhe District in a confidential manner.
Drug Test Proc@dures
Urine Specimen Collection
The test shall be conducted at an independent medical facility which complies with the
DOT Guidelines.
The laboratory must be certified by the Department of Health and Human Services
of
Chain of Custody - The appropriate drug d that, form shall upon eceiptebytlthed from laboratorye an
collection to receipt by the laboratory
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appropriate laboratory chain of custody form(s) account(s) for the sample or sample
aliquot within the laboratory.
Preparation for Testing
Use of a clean, single use specimen bottle that is securely wrapped until filled with the
specimen.
Use of a tamper proof seal system designed in a manner that the specimen bottle top
can be sealed against undetected opening and the bottle allowing for identification of
the test subject, either by number or by some other confideritlai mechanism.
Use of shipping container in which one or more specimens and associated paperwork
may be transferred, and which can be sealed and initialed to prevent undetected
tampering.
Written procedures and instructions for collection site person.
Initial Screen - Every specimen is required to undergo an initial screen followed by
confirmation of all positive screen' results. The initial screen process must use
immunoassay.
Confirmatory Tests - All specimens identlfjad on'the initial,"`screen must be confirmed by
gas chromatography/mass spectrometry (G /MS) at the cut-off levels shown in the next
table. All confirmations must be quantitative in their analysis, which means that the
specific, scientific level of drug contained in they collected specimen must be know.
Reporting of Test Results
Both positive and negative test results must be reported directly to the District's Medical
Review Officer (MRO) within an average of 5 working days.
• The MRO must be a'licensed physician and possess knowledge of drug abuse
disorders. The MRO, who may be an employee of the District or one contracted
to provide the services required, principally services as an arbiter between the
laboratory and the District.
• It is the primary responsibility of the MRO to review and interpret positive results
obtained from the laboratory.
The report, as certified by the responsible laboratory individual, shall indicate the drug-
metabolites tested for, whether the results are positive or negative, the specimen
number assigned by the District and the drug testing laboratory identification number.
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• The MRO may require that the laboratory provide quantitation of test results.
• The laboratory must report as negative all specimens which are negative on the
initial test or confirmed negative by the GUMS.
• Only specimens confirmed by GUMS as positive are reported as positive.
The laboratory may transmit the test results to the MRO by various electronic means
such as facsimile or computer, so long as those methods are designed to maintain
confidentiality.
The MRO must assess and determine whether alternate medical explanations could
account for the positive test results.
• To accomplish this task, the MRO may conduct medical interviews of the
individual, review the individual's medical history,and review any other relevant
bio-medical factors.
• Additionally, the MRO must examine all medical records and data made available
by the tested individual, such as evidence of prescribed medications.
• The MRO must�;not cons'der any specimen results that arise from collection or
analysis whccl'46 not corn Po
rt with the FHWA regulations.
The MRO must give the individual tasting positive an opportunity to discuss the test
results prior to,making a final,'decision.
After A r al decisior" made, the MRO shall notify the District as prescribed in Section
4.47( ,6 of this policy'
«
If, during the,course of an ir iterview with an employee who has tested positive, the MRO
learns of a rr76ftal condtin which could, in the MRO's reasonable medical judgment,
pose a risk to sa t,t t "'MRO may, in his or her professional judgment, report that
information to the D rr to the District.
Positive Test Result
The MRO shall notify each employee who has a confirmed positive test that the
employee has 72 hours in which to request a test of the split specimen.
If the employee makes such a request, the MRO shall direct, in writing, the laboratory to
provide the split specimen to another certified laboratory for analysis.
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If the analysis of the split specimen fails to reconfirm the presence of the drug(s) or drug
metabolite(s) found in the primary specimen, or if the split specimen is unavailable,
inadequate for testing or un-testable, the MRO shall cancel the test and report
cancellation and the reasons for it to the DOT, the District, and the employee. A
canceled report is neither a negative nor a positive test. A sample that has been
rejected for testing by a laboratory is treated the same as a canceled test.
Notification of Test Results
If an MRO, after making and documenting all reasonable efforts, is unable to contact a
tested person, the MRO shall contact a designated management official of the District to
arrange for the individual to contact the MRO prior to going on duty. The MRO may
verify a positive test without having communicated with the driver about the results of
the test if:
• The driver expressly declines the opportunity to discuss the results of the test, or
• Within 5 days after a documented contact by a designated management official
of the District instructing the driver to contact the MRO, the driver has not done
so.
The MRO must report the results to the District using any communication device, which
maintains confidentiality, but in all instances, a signed, written notification must be
forwarded within three`business days of completion of the review.
Confidentiality and Record Keeping
Record keeping
The District must maintain records of its alcohol and drug programs.
Records must be kept in a secure location with controlled access. The records may be
included in personnel records that have controlled and secure access only by
authorized personnel.
All records, except those requiring a signature, may be maintained through the use of
computer technology. The District must be able to produce a computer printout of the
required data on demand by the appropriate agency or the employee himself or herself.
The records may be maintained anywhere, but the District must make them available at
the District's principal place of business within two days of a FHWA, or other authorized
agency, request.
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The following records, as summarized in 4.47.080, must be kept:
• Records related to the collection process: collection logbooks (if used);
documents related to the random selection process; calibration documentation
for EBTs; documentation of BAT training; documentation of reasoning for
reasonable suspicion testing; documentation of reasoning for post-accident
testing, documents verifying a medical explanation for the inability to provide
adequate breath or urine for testing; and, a consolidated' annual calendar year
summary.
• Records related to the driver's test results: Districts copy of the alcohol test form,
including results; District's copy of the drug:,test chain of custody and control
form; documents sent to the District by tho MRO; documentlon of any driver's
refusal to submit to a required alcohol or drug test; and, documents provided by a
driver to dispute the test results.
• Records including documentation of any ottrer,violations of drug use or alcohol
misuse rules.
• Records related to evaluations: records 0 aining the SAP's determination of
a driver's need for assistance a ,recordsocgrnin ''e driver's compliance with
SAP's recommendation.
• Records related to education and gaining: materials on drug and alcohol
awareness, including a copy of the District's policy on drug use and alcohol
misuse; documentation of compliance with requirement to provide drivers with
educational material; including driver's signed receipt of materials;
documentation of supervisor training; and, certification that training conducted
complies with all DOT requirements.
• Records related to drug testing: agreements with collection site facilities,
laboratories, MROs and consortia; names and positions of officials and their role
in the District's alcohol and controlled substance testing program; monthly
statistical summaries of urinalysis from certified laboratories; the Memorandum of
Understanding,with any unions representing District employees; and the District's
drug testing policy and procedures.
Retention Period:
• Five years: alcohol test results indicating a breath alcohol concentration of 0.02
or greater; verified positive drug test results; refusals to submit to required
alcohol or drug tests; required calibration of EBTs, SAP's evaluation and
referrals; and, annual calendar year summary.
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• Two years: records related to the collection process and training.
• One year: negative and canceled drug test results; and alcohol test results
indicating a breath alcohol concentration less than 0.02.
Confidentiality and Access to Records
Generally, the District shall maintain records under this policy with as much
confidentiality as possible, and not release any driver drug and/or alcohol program
information, except as required by law or authorized by the District policies.
An employee is entitled, upon written request, to any, records pertaining to his/her drug
or alcohol tests or other related matters. The records shall be provided promptly.
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The District is required to permit access to facilities and records upon request of a DOT
or other regulatory official with proper authority.
The District may disclose driver information to the decision-maker in a lawsuit,
grievance, or other proceeding initiated by or on behalf of the individual resulting from
an action taken under these regulations. This includes worker's compensation and
unemployment compensation proceedings.
Records must also be made available in the following instances.: .,
To a subsequent employer upon receipt of a written request from the driver, and then in
accordance with the terms of the request.
To an identified person as directed by a specific, written consent of the driver.
The release of employee information is allowedl,in the following instances:
• An employee shall have access to any of� hWhei alcohol testing records upon
written request.
• The District must allow any DOT-authorized agency" access to facilities and
records in connection„with the District's alcohot misuse prevention program.
• When requested, the District shall disclose post-accident testing information to
the National Transportativn;Safety Beard as part of an accident investigation.
• The (district shall ihake�.records available to a subsequent employer upon receipt
rr`rt erl request from the employee.
ay dl closinformation to the employee or to the decision-maker in
he District m
a: wsuit, grievacrtee, or other proceeding initiated by or on behalf of the
individual. This,,,,,,-;"may include worker's compensation, unemployment
compensation, or other proceeding relating to a benefit sought by the employee.
• The District ghat release information regarding a covered employee's records as
directed by the'specific, written consent of the employee authorizing release of
the information to an identified person.
MRO Record Retention
The MRO shall maintain all dated records and notification for verified positive drug test
results for five years.
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The MRO shall maintain all dated records and notifications for negative and canceled
drug test results for one year.
The MRO shall not release the individual drug test results of any driver to any person,
without a specific, written authorization from the tested driver. This does not prohibit the
MRO from releasing the results listed above to the District or regulatory officials with the
proper authority.
Annual Calendar Year Summary - Only if notified by FHWA,,;or upon request of an
official with proper authority, is the District required to prepare and maintain an annual
calendar year summary of its alcohol and drug testing program.
Retention of Records - This section explains how long controlled substance and alcohol
test records must be maintained, which records must be maintained, and where.
Required Period of Retention
Documents to Be Maintained
Five Years:
Alcohol test results indicating a breath alcohol concentration of 0.02 or greater
Verified positive controlled substance test results
Refusals to submit to_required alcohol or controlled substance tests
Required calibration of'Evidentia[Bireath Testing Devices (EBT's)
Substanc A s ,ProfessiIonal's (SAP's) evaluations and referrals
Anne calendar year summary,
Two Year
a
Records related to the cot tion process (except calibration) and required training
One Year:
Negative and canceled controlled substance test results
Alcohol test results indicating a breath alcohol concentration less than 0.02
Types of Records required to be maintained:
Records related to the collection process:
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➢ Collection logbooks (if used)
➢ Documents related to the random selection process
➢ Calibration documentation for EBT's
➢ Documentation of Breath Alcohol Technician (BAT) training
➢ Documentation of reasoning for reasonable suspicion testing
➢ Documentation of reasoning for post-accident testing
➢ Documents verifying a medical explanation for the inability to provide adequate
breath or urine for testing
➢ Consolidated annual calendar year summaries
Records related to the driver's test results:
➢ The District's copy of the alcohol test form, including results ;
➢ The District's copy of the drug test chain of custody and control form
➢ Documents sent to the District by the Medical Review Officer
➢ Documentation of any driver's refusal to submit to a required alcohol or controlled
substance test
➢ Documents provided by a driver to dispute results of test,
Documentation of any other violation of controlled substance use or alcohol misuse
rules.
Records related to evaluations and traftiing:
➢ Records pertaining to substance abuse professional's (SAP's) determination of
driver's need for assistance
➢ Records concerning a drivel's compliance with SAP's recommendations
Records related to education and training:
➢ Materials on drug and alcohol awareness, including a copy of the District's policy
on drug use and alcohol misuse
➢ Documentation of compliance with requirement to provide drivers with
educational material,;including driver's signed receipt of materials
➢ Documentation of supervisor training
➢ Certification that training conducted under this rule complies with all requirements
of the rule
Records related to drug testing:
➢ Agreements with collection site facilities, laboratories, MROs, and consortia
➢ Names and positions of officials and their role in the District's alcohol and
controlled substance testing program
➢ Monthly statistical summaries of urinalysis
➢ The District's drug testing policy and procedures
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Location of Records - All required records shall be maintained in a secure location with
limited access as selected by the District. Records shall be made available for
inspection at the District's principal place of business within two business days after a
request has been made by an authorized representative of the Federal Highway
Administration or other authorized agency.
For example: Specific records may be maintained on computer or at a regional or
terminal office, provided the records can be made available upon request from FHWA
within two working days.
Effects of Drugs and Alcohol
Marijuana - Marijuana is the common term used to describe this cannabis plant.
Marijuana (also called pot, grass or dope) is usually smoked. Marijuana is both a
narcotic and a hallucinogen. It produces increased heart rates, blood pressure, blood
shot eyes, dilated pupils and dry mouth. Marijuana impairs the short term memory and
the sense of time. It can reduce motor skills, coordination, reaction time and
concentration.
Cocaine: Cocaine is a stimulant and can be taken through the nose in powder form,
injected as a liquid or smoked. Cocaine is also found in a crystal form known as crack
cocaine. Both cocaine and crack cocaine are addictive narcotics which can also
produce hallucinogenic efledts,,with long-term use. It causes increased heart rates,
blood pressure, respiration, dilation of the, pupils, and result in anxiety, restlessness,
irritability and sleepleswess.
Opiates: - Opiates include narcotics such as opium, heroin, morphine and codeine.
They appear as solids: pastes `powders, liquids, and can be smoked, ingested, or
injected. , 0 � ire depressants and relaxants. Opiate users can become lethargic,
becomindrowsy or g to"sleep. Opiates are highly addictive and dangerous drugs.
Some p ysicaI signs c be runny eyes and noses, nausea, and fainting.
Phencycl%1rne - Often calf PCP or "angel dust" is a hallucinogenic. It is synthetically
made and climes as a power, tablet or capsule that can be ingested or smoked. The
effects of thd"use of PCP;include increased heart rates, blood pressure, dizziness,
numbness, and d orie to ion, slows reflex and body movements, and can impair vision
and speech.
Amphetamines - Also known as methamphetamines are stimulants which can be
ingested as tablets or capsules. They are also found in powder form that can be sniffed
or injected as a mixed liquid. Some signs are elevated heart rates, blood pressure,
respiratory rates, dilated pupils, sweating (with pungent odor), sleeplessness, mood
swings, talkativeness and anxiety.
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Metabolites from drug use can be found in urine for varying lengths of time after being
used. Generally speaking, except for marijuana, which collects in fatty tissues, the
above drugs stay in the body up to approximately one week.
Alcohol - Alcohol is a central nervous system depressant. Taken in large quantities it
causes not only the euphoria associated with "being drunk" but also adversely affects
the employee's judgment, his or her ability to think, and his or her motor functions.
Long term overuse of alcohol can cause liver damage, heart problems, sexual
dysfunction, and other serious medical problems. In some cases, alcohol use can lead
to physical and psychological dependence on alcohol. Alcoholism is a serious chronic
disease. Left untreated it will inevitably get worse.
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