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Reso 2016-882 RESOLUTION NO. 2016-882 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE COSTA MESA SANITARY DISTRICT ADOPTING AN ADMINISTRATIVE POLICIES MANUAL TO SUPERSEDE THE ADMINISTRATIVE REGULATIONS PREVIOUSLY IN EFFECT AND SUPPLEMENTING THE PERSONNEL RULES SET FORTH IN THE EMPLOYEE HANDBOOK WHEREAS, the Board of Directors adopted an Operations Code and Personnel Rules that provided the General Manager with authority to adopt Administrative Regulations to supplement that Code and those Regulations; and WHEREAS, the Operations Code provided at Section 3.03.060 that the General Manager is authorized to make revisions to the Employee Handbook and Administrative Regulations provided no increases or decreases in compensation are made; and WHEREAS, the Board of Directors Ad Hoc Committee reviewed the District's ordinances, handbook and administrative regulations and determined that the Administrative Regulations should henceforth be known as the Administrative Policies and that the District would have the same authority to make minor revisions to those Policies; and WHEREAS, the Board of Directors has therefore adopted an Administrative Policies Manual to supplement Personnel Rules that are set forth in the Employee Handbook pursuant to District Operations Code Section 3.02.060 (the Manual); and WHEREAS, Section 3.02.060, as recently amended, provides that the General Manger, who is the District's Personnel Officer, the authority to issue Administrative Policies to further clarify Personnel Rules; and WHEREAS, otherwise, the Board is to amend the Administrative Policies by Board action; and WHEREAS, the Board does hereby desire to readopt the Administrative Policies Manual including changes made by the Board and those made by the General Manger within his authority; and WHEREAS, the Board does intend to periodically update the Manual by resolution; NOW, THEREFORE, the Board of Directors does hereby RESOLVE as follows: 1. That the foregoing recitals are true and correct 2. That the Manual attached hereto and incorporated herein by reference is adopted as the latest version of the Administrative Policies and shall bear the date of this resolution. PASSED and ADOPTED this 26th day of May, 2016. ATTEST: Secretary, Costa Mesa Sanitary District Pre ',:ent, Costa -sa Sanitary District Board of Directors Boar.fof Directors 4 STATE OF CALIFORNIA) COUNTY OF ORANGE ) SS CITY OF COSTA MESA ) I, Noelani Middenway, Clerk of the Costa Mesa Sanitary District, hereby certify that the above and foregoing Resolution No. 2016-882, was duly and regularly passed and adopted by said Board of Directors at a regular meeting thereof held on the 26th day of May, 2016 by the following vote: AYES: Scheafer, Perry, Ooten, Schafer, Ferryman NOES: None ABSENT: None ABSTAIN: None IN WITNESS WHEREOF, I have hereunto set my hand and affixed the seal of the Costa Mesa Sanitary District, this 26th day of May, 2016. Noel.ni Mi•den (y Clerk of the Costa - a Sanitary District COSTA MESA SANITARY DISTRICT ADMINISTRATIVE POLICIESREGULATIONS 2013 CMSD STAFF MaySe kef 2016 TABLE OF CONTENTS Administrative Subject Page Policy No. No. 10.00 PURPOSE 3 20.10 CUSTOMER RELATIONS 5 20.20 PAPERLESS AGENDA 6 20.30 EMERGENCY RESPONSE FOR HOSTILE OR VIOLENT 8 INCIDENTS 20.40 REWARDING IDEAS PROGRAM 13 20.50 SAFETY AWARD FOR EXCELLENCE 17 30.00 PERSONNEL 19 40.10 CONTRACT ADMINISTRATION 20 40.20 REAL PROPERTY ACQUISITION 22 40.30 PETTY CASH 25 40.40 PURCHASING POLICY 29 50.00 LIABILITY CLAIM PROCEDURES 30 '$ 2IPage gANIT,��i\ g = qA ,1 �`- ORAIV Costa Mesa Sanitary District Administrative Policy No. 10.00 Date Approved: May 12, 2005 Date Updated: , 2016 SUBJECT: PURPOSE PURPOSE: To assist in interpreting various administrative policies I. Purpose The purpose of this policvregulation is to establish a manual to assist all District personnel in interpreting various administrative policies that will be periodically issued by the General Manager ".tee in accordance with Section 3.02.060 of the District's the Operations Code Section 3.02.060. II. Policy A. The Costa Mesa Sanitary District Staff will propose recommended Administrative Policies to the General Manager for approval and implementation. The General Manager shall be responsible for issuing and distributing all Administrative Policies. B. Approved policies will apply to and be binding on all District employees. The District will issue said Administrative Policies to each District employee. C. Administrative Policies will not supersede the District Operations Code, the District Employee Handbook or any memoranda of understanding that may be in effect. D. The Administrative Policies exist in the following categories: No. 20 General Administrative No. 30 Personnel No. 40 Finance and Payroll 3 ' Page ti No. 50 Safety and Accident Reporting These categories may be revised to meet changing needs. III. Effective Date The effective date of this Administrative Policy shall be the date first written above. 4IPage / �gt�SAIVIT,�Rj=\ cel to yr yti0RPORAT Costa Mesa Sanitary District Administrative Policy No. 20.10 Date Reviewed , 2016 SUBJECT: CUSTOMER RELATIONS PURPOSE: Establish proper procedures for positive customer relations. I. Purpose The purpose of this policy is to outline best practices for positive customer relations. II. Policy Costa Mesa Sanitary District employees are expected to be polite, courteous, prompt, and attentive to every customer. Never regard a customer's question or concern as an interruption or an annoyance. All employees must make every effort to achieve complete, accurate, and timely communications - responding promptly and courteously to all proper requests for information and to all complaints. Never place a telephone caller on hold for an extended period. Direct incoming calls to the appropriate person and make sure the call is received. Through your conduct, show your desire to assist the customer in obtaining the help he or she needs. If you are unable to help a person requesting assistance, find someone who can. All correspondence and documents, whether to customers or others, must be neatly prepared and error-free. Attention to accuracy and detail in all paperwork demonstrates your commitment to those with whom we do business. When an employee encounters an uncomfortable situation that he or she does not feel capable of handling, the General ManacerAdministrativc Scrvicc Manager should be called immediately for assistance. Employees should never argue with a customer. If a problem develops, or if a customer remains dissatisfied, ask your supervisor to assist in a resolution. 5IPage 1 44'. SANIT,��f O o � Costa Mesa Sanitary District `'! V RA v-v- Administrative Policy No. 20.20 Date Approved: November 7, 2012 Date Updated: , 2016 SUBJECT: PAPERLESS AGENDA PURPOSE: To improve operational efficiencv+es and reduce cost for printing paper I. Purpose The primary purpose of this policy is to reduce the amount of paper needed to disseminate agenda packets to the Board of Directors and staff. In doing so, the District will improve operational efficiencies, reduce costs, and move the organization towards achieving zero waste strategies. II. Scope This policy applies to District staff for preparing and disseminating agenda packets to the Board of Directors meetings as well as• Board• of. Directors Study Session - --- • -- - - - -- •• •• -- - -• - •- •- - - • - - -. III. Policy In recognition of the large amount of paper used to prepare and disseminate agenda packets to the Board of Directors, the following guidelines shall be used by staff when preparing agenda packets. 1. When the agenda packet is complete, the entire packet will be uploaded on the District website using NovisAgenda 2. - -- - - - - -- - - __ - -, • - - --- • -- - - - -- - - - - - 3. The District Clerk of the Board or his/her designee will send an electronic notification to subscribing members of the public and message to the Board of Directors and staff that the agenda is available to download from the District s website. The message will include a direct link to download the agenda packet online. 4. Before a Bboard meeting begins, District staff will download the agenda packets on designated iPads for the Board of Directors and following staff members: Wage a. General Manager b. District Counsel c. District Engineer d. District Treasurer e. Deputy District Clerk f. Financ Manager g. 5. When meetings are ready to begin, the agenda packet will be available to view on said iPads. 6. At the end of the meetings, the iPads will be stored in a safe that is specifically designated to store iPads and the devices will be charged while not in use. 7. The iPads are to be used for public meeting purposes only. They are not to leave District premises or to be used for personal and/or private uses. 8. Board members shall decide individually if he/she prefers to receive hard copies of the agenda packet. 7IPage �gt�SANIT y\ irk t:' F. 121 ° y1 Costa Mesa SanitaryDistrict \• PoRpativ Administrative Policy No. 20.30 Date Updated: , 2016 SUBJECT: EMERGENCY RESPONSE FOR HOSTILE OR VIOLENT INCIDENTS PURPOSE: Establish procedures addressing the response to a potential hostile or violent event. I. Purpose To provide direction for the Costa Mesa Sanitary District Board of Directors and staff regarding responses to hostile or violent incidents including possible armed intruders or related threats on District facilities or properties. J II. Background The potential for hostile or violent incidents on Costa Mesa Sanitary District facilities or operational locations always exists. In recent time frames, incidents involving armed intruders have occurred in increasing frequency involving injuries and deaths at government institutions, offices and educational facilities. Often, an intruder is a person who is an ex-employee, customer or person known to the agency involved. The person often is upset at an event or person who works at the facility. However, armed intruders can be any variety of persons who have an anger situation affecting one or more staff members or other related persons to the District. Often, incidents involving armed intruders escalate to include multiple persons and potentially taking of hostages, including District customers. Threats of these types and risks are to be considered extreme emergencies and the safety and well-being of employees and/or customers is the highest priority. III. Policy Any evidence of the exposure to a hostile or violent person or situation on District facilities or operating areas should be taken seriously for safety purposes. Any Director or staff employee observing or sensing that a violent or hostile situation is occurring should consider taking precautionary and safety actions. A. Any event resulting in awareness of a possible violent act including possible gunfire, explosion, fighting, scuffling could indicate an incident of violent potential. Any staff person observing such potential activities 8jPage I should take steps to protect themselves and others on the District premises including but not limited to: 1. Attempt to communicate the situation to everyone in the facility by means of telephone, texting, email and/or radio system including basic information that a potential incident is occurring. If a perpetrator(s) is seen or known, information on the person(s) should be provided. 2. Since different types and levels of workplace violence may require various responses, establishing basis information on the type of event is essential. Examples are: a. Gunfire Awareness of gunfire in the facility should result in evacuation to the extent that is possible. If not possible, securing of rooms or offices and notification of others by phone or email is encouraged. Calling emergency resources via 911 is imperative once safe to call. Remain in the most secure location possible until contacted by public safety personnel or a facility supervisor, etc. b. Explosion An explosion could occur naturally or by violent intention. Awareness of an explosion or fire in the facility should result in immediate evacuation in accordance with the established evacuation plan. Response to a planned location is important to make known who is out of the facility. c. Physical or bomb threat Awareness of a telephone or in person threat to facility or staff should be met with action to evacuate and clear staff from the threatened area. Calling 911 as soon as possible is imperative. 9IPage d. Situations involving hostages If a possible hostage incident is known, evacuation of the facility is paramount to safety of persons in the area. Contact 911 immediately. e. Irate customer/threat at counter or meeting In cases where any person acts to threaten a staff person or customer at a District facility in a manner causing fear for safety, action to summon public safety personnel by 911 should be taken. In no way should steps be taken to challenge or subdue such a person except in defense of life for self or immediate others at the facility. f. Volatile Situation at public meeting In the event that a volatile situation occurs at a Board of Directors or other public meeting, the person chairing/hosting the meeting should take steps to control the situation or adjourn the meeting to abate the confrontation, if possible. In event of threatening or hostile situation, call 911 immediately and proceed with evacuation or other appropriate actions. The Brown Act allows the meeting to be cleared in the event of disruption. Penal Code Section 403 makes it a misdemeanor to willfully disrupt a public meeting. IV. Planning for Emergency Incidents A. Steps should be taken to plan response capabilities for emergencies in addition to fires, earthquakes, etc. that may involve hostile situations. These include but are not limited to: 1. Preparation of a facility evacuation plan from each room. Post the plan at each doorway and hallway exit. Have a safe area zone for staging established. 2. Lock down procedures to secure the facility in a hostile or violent incident for both exterior and interior doors. 10IPage 3. Develop an emergency notice code for texting, email and telephone to facility and District staff. Use of a Code: Mr. Blue, is recommended. 4. Training of all personnel in dealing with customers, employees and other persons in aggravated situations and how to identify and assess potential threats or volatile situations. All employees assigned or expected to serve at the front desk or counter shall receive web based (Target Solution)susfh training regularly. B. All employees and members of the Board of Directors shall receive training on response to violent or hostile incidents. In the event of a potential incident, notify a supervisor or the General Manager as may be possible or call 911 when an active incident is occurring. If assessment of a possible threat is needed, the General Manager or ranking staff person shall be notified for considering validity of the threat or safety risk. Public safety agency shall be contacted by 911 whenever a perceived threat is considered valid. V. Actions for Violent or Armed Threat Situation The existence or potential for an event involving a violent person or armed intruder at a District facility should be considered an emergency condition. Actions could include up to and all of: A. Notify your supervisor or General Manager and other staff immediately if a threat is received but not actively in process. If validated, contact public safety by calling 911 immediately. B. The General Manager or ranking staff member shall evaluate the situation and consider appropriate actions including shutting down operations and evacuation and/or locking down the facility until public safety response abates the threat. C. Initiate notification of other facility staff of active threat by emergency code procedure. For instance, "Code blue" means contacting the Costa Mesa Police Department immediately. Evacuate the facility wherever possible. Secure money or computer equipment if time allows. D. Upon sighting an armed intruder, an alert to all employees should be made by page, email or telephone. 111Page Ilk E. Secure your work area or evacuate if safely possible. If not able to evacuate, find a safe hiding place and stay put until contacted by public safety personnel. F. Once outdoors after an evacuation, proceed to planned staging area to report in for identification. Inform public safety personnel of any information on the incident. G. Attempt to remain calm and assist others; wait for instructions from public safety or supervisory personnel. H. Do not attempt to look around to see what is happening. Evacuate whenever possible and with others in areas you see directly. Do not confront or attempt to apprehend a violent perpetratoretrator unless directly attacked for self-defense. Do not assume someone already called 911, call them immediately. VI. Post Event Actions A. Following the clear announcement of ending of a violent or hostile person situation, contact public safety or supervisory personnel for instructions. Report any knowledge or firsthand observations of the incident. Contact your family and immediate friends so they will not take any actions to respond unnecessarily. Await direction as to return to work or other steps dependent on level of the incident. If not able to do so, consult with your supervisor or notify the ranking person on-site. B. An Emergency Response Coordinator shall evaluate and debrief any major incident and to take needed steps to abate the conditions after the event and prepare as necessary for continued operations. Planning and actions to address conditions are expected and your input is important via your supervisor. There may be the potential to lock-down or close the facility from operating for some time or corrective steps. If deemed needed, seek direction on what actions you should take to assist in procedure. 12IPage 1 i��S�SANIT,�Yi O� iy` 71 i yi r- \ Costa Mesa Sanitary District A ' �� A \o1bRAto Administrative Policy No. 20.40 Date Updated: , 2016 SUBJECT: REWARDING IDEAS PROGRAM PURPOSE: To encourage employees to generate ideas for organization improvements A. Purpose To establish District procedures for an employee suggestion program encouraging employees to generate ideas for organizational improvements and providing a system for answering and recognizing adopted ideas. B. Policy Costa Mesa Sanitary District supports a work environment that encourages participation, innovation, and organizational improvement. The District encourages the use of the Rewarding Ideas Program which furnishes a process for submitting cost saving ideas to District Management. The program is designed to encourage employees to take an increased interest in District operations and to generate cost saving ideas. The Rewarding Ideas Program is I administered by the District's PecseRr4e144aRagefManagement Analyst II. The General Manager will provide recommendations to the Board of Directors for monetary awards to employees. The General Manager has the exclusive right to establish award policy and structure of the suggestion system. This includes the right to amend the system at any time with due notice of change. All suggestions become the exclusive property of the District and shall not form the basis of a future claim upon the District by the suggester/employee, his/her heirs, successors or assigns, including suggestions that are subsequently patented. C. Authority and Responsibility Every District employee on active payroll status at the time of submission of a suggestion will be eligible to receive awards with the exception of the following: Members of the Board of Directors, the General Manager, Administrative Services Manager, Finance Manager contract staff, temporary employees, and interns. D. Procedures 1. Suggester 13IPage Suggestion forms may be obtained from the District's personnel managerManagement Analyst II. The suggester should read the instructions on the suggestion form, fill the form out completely and carefully, and then return it to the Personnel ManagerManagement Analyst II through interoffice mail. The suggester should retain a copy for his or her own records. 2. Management Analyst II (HR & Risk Management)Persennti: Manage*Management Analyst Il A. The Management Analyst IlPersonnel ManagerManagement Analyst II will date stamp the suggestion form when received. The Por onnol Manag .Management Analyst H will prepare in advance all information required to expedite processing of the suggestion. In addition, the Management Analyst II will assure that each suggestion is fairly and thoroughly investigated and reported upon. The Personnel ManagerManagement Analyst II will also request further information and investigation if rejection of a suggestion is questioned the General Manager. B. To be eligible for an award, the suggestion must be adopted and implemented to accomplish one or a combination of the following: • Save material, supplies, money, space, time, or labor; • Improve service, safety conditions, or morale; • Improve methods, procedures, or equipment, resulting in increased output and/or efficiency; or, • Eliminate unnecessary procedures, records and forms. Suggestions not eligible for award are: • Propositions which call attention to a problem but do not propose an acceptable solution. • Those dealing with normal maintenance, unless such suggestions contribute to a solution of maintenance problems. • Those dealing with salary adjustments, employee benefits and job classification. • Those not original with the suggester, or those submitted for an ineligible suggester. • Those which are duplications of suggestions submitted within the last 24 month period. • Those submitted over 90 days after implementation of the suggestion. • Those that contain an idea already under active consideration by the District. • Those which are within the job responsibility of the suggester. • Those that deal with hours and other terms and conditions of employment. • Suggestions that do not relate to District nor fall within the authority or responsibility of the District or would require statutory change in the law. C. The Personnel Manag .Management Analyst II will be responsible for internal marketing and administration of the Rewarding Ideas Program. The Personnel ManagerManagement Analyst II brings the suggestion to the attention of the General Manager for review and provides linkage between the suggester and the evaluation 14IPage process. In addition, the Manaqement Analyst II monitors the evaluation process to ensure completion within 45 days of receipt of the suggestion. D. The Personnel ManagerManagement Analyst II shall ensure the fair and careful review of suggestions submitted by employees in a timely manner. The Personncl ManagerManagement Analyst II shall call upon additional resources from other departments, Finance, as needed. Evaluation of the suggestion will begin with initial determination that it is legal and safe. The Personnel MenagerManagement Analyst II will then determine whether the suggestion has the potential to save money, generate revenue, reduce or eliminate waste, provide better customer service, save time, improve morale and/or productivity. E. Based upon this analysis, the Management Analyst II will complete a Suggestion Evaluation form with a recommendation to accept or decline the suggestion. The form shall indicate whether or not the suggestion is feasible and cost effective, has been adopted, any actual or estimated reduction of expenditures made possible by the suggestion, or reason for its rejection. The Personnel ManagerManagement Analyst II will return the Evaluation form to the General Manager within 22 days of receiving the suggestion. If the suggestion is deemed not feasible for implementation, the suggester will receive a copy of the evaluation. 3. Finance Manager The Manaqement Analyst II will forward the suggestion to the Finance Manager who will analyze any tangible savings in light of the current budget. The Finance Manager will attest to the accuracy of amounts saved by signing the Suggestion Evaluation form. The Finance Manager will then return the completed form to the Personnel ManagerManagement Analyst II. Note: All evaluations must have the signatures of the Manaqement Analyst II and the Finance manager along with the reward recommendation. 4. General Manager The General Manager will review the Management Analyst II's evaluation and determine if an award should be made. If the suggestion is acceptable and meets the criteria for an award, the General Manager will recommend to the Board ietat steeaPersonnel gement AnalystofDrcors II will thnotifythe ugges the suggesterrrceive an that awtherd. The suggestion and awardManagerManahas been recommended for approval. 5. Board of Directors A. Upon receiving a recommendation from the General Manager, the Board of Directors shall consider the recommendation and approve it unless, after investigating the operation of the suggestion, the Board determines the recommendation is not in accordance with the provisions of the Program in which event the Board shall direct the General Manager to reanalyze the suggestion and make a new recommendation. Upon approval by the Board of Directors, the award, if any is recommended, shall be made at a Formal Board Meeting. 15IPage B. Suggestions will be determined "closed" but not "declined" if the I rs e agecManagement Analyst II is unable to determine an approximate implementation/adoption date within 12 months of evaluation of the suggestion (i.e., due to budgetary constraints). The suggester may retain ownership of the suggestion by resubmitting the idea within one year and thirty days of notification. The suggestion must be resubmitted on a new form referencing the original suggestion control number. E. Reward Levels If a suggestion is determined to provide a tangible benefit from either additional revenues or savings in materials, equipment, overhead or deleted positions, a cash award of 20% of the first year's revenues/savings may be awarded to the suggester. In no event will the monetary award to any one suggestion exceed $1,000 or be less than $25. If a suggestion provides intangible benefits to a department, a certificate of commendation or a cash award up to $100 may be awarded to the suggester. These intangible benefits may include time savings, improved morale, improved customer service, etc. for which monetary values cannot be determined. 16 ' Page fS SANIT',Lty\ A-1 Costa Mesa Sanitary District PO4, 9)/ Administrative Policy No. 20.50 Date Reviewed: , 2016 SUBJECT: SAFETY AWARD FOR EXCELLENCE PURPOSE: To celebrate employees who excel in creating and maintaining a safe and healthy workplace A. Purpose To establish a District recognition program celebrating employees who excel in creating and maintaining a safe and healthy workplace by encouraging peers to recognize one another for a job well done. B. Policy Costa Mesa Sanitary District is committed to safety. This commitment is largely dependent on the willingness of every individual to pursue a safe, healthful, and environmentally sound work place. C. Authority and Responsibility Every District employee on active payroll status at the time of nomination will be eligible to receive awards with the exception of the following: Members of the Board of Directors, the General Manager, contract staff, temporary employees, and interns. D. Procedures 1. Employee Nomination Nomination forms may be obtained from the District's Management Analyst II. The nominator should read the instructions on the nomination form, fill the form out completely and carefully, and then return it to the Personnel MaaagerManagement Analyst II through interoffice mail. 2. Personnel-Manage-Management Analyst II 17 ' Page immomiimisommillimmr A. The P-£4643FIFIel4AaciagerManaciement Analyst II will compile all nominations and evaluate them against the eligibility criteria. The Management Analyst II will also request further information and investigation if rejection of a nominee is questioned the General Manager. B. To be eligible for an award, the nominee must satisfy at least 1 or more of the 5 criteria listed below: • Implementing a safety program for their division • Taking an active role and being a strong advocate of safety and health • Demonstrating significant improvement over previous conditions • Consistently maintaining a good safety program over a number of months • Making an extra effort to improve or correct a specific aspect of safety within the workplace C. The Management Analyst II will be responsible for internal marketing and administration of the Safety Award For Excellence Program. The Management Analyst II will compile a list of eligible nominees and an award recipient will be chosen at the monthly staff meeting. D. The award recipient for the month will be automatically eligible for the annual Safety Person of the Year drawing. E. Reward Levels The monthly Safety Award For Excellence winner will receive recognition at the monthly staff meeting and a small gift from the District. The annual Safety Person of the Year award winner will receive recognition at the annual awards banquet and a plaque or trophy. 18IPage rr► �gl�SANIT,�4).\ t-- :g g A. %RPoRATti9\ Costa Mesa Sanitary District Administrative Policy No. 30.00 Date Reviewed: , 2016 SUBJECT: PERSONNEL PURPOSE: To direct staff to the appropriate document related to personnel matters I. Purpose The purpose of this regulation is to establish a manual to assist in interpreting various personnel rules, regulations, and policies the General Manager will issue in accordance with the Operations Code Section 3.023.060. II. Policy A. The Costa Mesa Sanitary District Staff will propose recommended Personnel Policies to the General Manager for approval and implementation. The General Manager shall be responsible for issuing and distributing all Personnel Policies. B. Approved policies will apply to and be binding on all District employees. The District will issue said Personnel Policies to each District employee through regular updates of the adopted Employee Handbook. C. The Employee Handbook will not supersede any memoranda of III. Effective Date 19IPage The effective date of this Administrative Policy shall be the date first written above. 20IPage 4,s$ANIT�Ry hA``' Costa Mesa Sanitary District Administrative Policy No. 40.10 Date Approved: May 12, 2005 Date Updated: , 2016 SUBJECT: CONTRACT ADMINISTRATION PURPOSE: To establish consistent procedures for administration of all contracts/agreements Purpose: The purpose of this regulation is to establish consistent procedures for administration of all contracts/agreements (Professional Services, Consultant Services, Architect and Engineer Services) between the District and all private, public and non-profit agencies. This policy does not include sewer projects, which are governed by the "State of California Public Contract Code." II. Procedure: A. All contracts/agreements for services rendered will be in writing and approved "as to form" by the District Counsel. District Risk Manager will verify contractor provided proof of insurance in compliance with CMSD Operations Code 7.05.030(i). Each contract/agreement will identify the name and classification of the Project Manager. B. The General Manager will assign projects to appropriate staff, designated as the Project Manager, responsible for contract/agreement preparation, execution, renewal, performance evaluation, progress reporting and contract payment. The project manager will have a working knowledge of all applicable rules and regulations pertaining to contract procedures. C. All contract agreements will require prior authorization from the General Manager or Board of Directors depending on the dollar value of the agreement. Purchasing, Exceptions, Signatures, Change Orders and Ratification requirements and thresholds are established in Chapter 4.04 of the CMSD Operations Code. D. The Clerk of the District or his/her designee shall file the originals of all duly executed agreements/contracts, including approved insurance certificates and all Exhibits. Originals of all duly executed agreements/contracts, including approved insurance 21 ' Page certificates, are to be filed with the Clerk of the District and a copy attached to the initiating Purchase Requisition. E. The Project Manager shall manage assigned agreements/contracts and recommend appropriate performance progress payments consistent with contract payment milestones, renewals, revisions, bond or insurance renewals or change orders or terminations at least 60 days prior to the expiration date (unless specified otherwise in the contract) and within the terms of the agreement/contract. Notification as to the changed status of the agreement/contract will be in writing to the Treasurer F. The District or the Contractor may initiate Change Orders. 1. In the case of Contractor initiated requests for Change Orders, the Project Manager shall verify whether the contract prerequisites have been met for justification of the Change Order. 2. The project manager will verify availability of funds with the Financ Manager prior to submitting a change order. The change order shall identify the reason for the change order and a recommendation, source of funds and a budget adjustment when funds are not available. 3. The General Manager shall have the authority to approve change orders in compliance with Operations Code Section 4.04.060(e) 4. Following General Manager or Board approval, Finance will issue a written Purchase Order for the Change Order to the agreement/contract, which shall be proccsvcd in the same III. Effective Date a. The effective date of this Administrative Policy shall be the date first written above. 22IPage s , 8 _ y; Costa Mesa Sanitary District ��PoRATE%/ Administrative Policy No. 40.20 Date Approved: May 12, 2005 Date Updated: , 2016 SUBJECT: REAL PROPERTY ACQUISITION PURPOSE: To establish uniform guidelines for the purchase of District property I. Purpose: This procedure establishes uniform guidelines for the purchase of District property subsequent to approval in the annual budget. This procedure applies to properties purchased for public facilities, and other Capital Improvement projects. This procedure also applies to property the Board approves outside of the normal budgetary process. II. Policy: a. General: A. The General Manager or his/her designee Manager to all projects this policy covers. The Project Manager will be responsible for developing a comprehensive schedule for design, appraisal and acquisition of right of way, award of bid, manpower, potential issues and construction. B. The General-Pr-elect Manager or his/her designee will determine the property to be acquired, rationale for the acquisition and financial limitations for the acquisition and fully coordinate the `rE project with the District Treasurer and FinanceAsset ►g Manager. The GeneralProject Manager will submit a recommendation schedule, budget and funding source(s) to the Board of Directors for approval. C. The GeneralProject Manager will determine the availability of the Real Property subject to Board of Directors the General Manager's approval. The GeneralProject Manager will notify the Real Property Agent of the property to be acquired and provide the budget limitations. The GeneralProject Mmanager will submit all pertinent correspondence regarding the progress of real property negotiations to the Board of Director .. D. The GeneralProject Manager will be responsible for selecting the appraiser to be used and for approval of all appraisal contracts. Once the appraisal report is accepted, the GeneralProjcct Manager and Real Property Agent will establish an acceptable 23IPage time schedule for negotiations (typically 30-45 days maximum, unless the Board of Directors approve a time schedule longer than 45 days). b. Acquisition by Negotiation: A. Under the direction of the GeneralProject Manager, the Real Property Agent will negotiate for the purchase of the project. B. The District Counsel will be responsible for legal advice, opinions and documents as required for the acquisition. All requests and responses will be fully documented. C. The GeneralProject Manager will submit the negotiated price and support documents to the General Manager for presentation to the District Board of Directors in a publicly noticed closed session meeting. D. The Board of Directors deject-Manager, in coordination with the General Manager, -District Counsel, Finance Manager and District Treasurer, will determine the escrow terms and escrow closing date after considering cash availability and will notify the General Manager-and Real Property Agent of the approved escrow closing date. Following District Counsel review, the General-Project Manager shall provide written authorization approving the terms of each escrow. E. The Board of Directors will approve a warrant for Pre' to obtain a warrant. The Treasurer will approve the warrant request and recommend it to the General Manager for approval. The General Manager will approve the warrant request and warrant for deposit in escrow no sooner than two days before escrow closes. F. Following District Board of Directors approval, the Real Property Agent will transmit the warrant, District obligations under the terms of the escrow agreement and ensure all necessary documents are recorded. c. Acquisition by Condemnation Lawsuit: A. Under Board of Director direction, the Real Property Agent will submit all necessary documentation to the District Counsel and the General Manager. B. The District Counsel will prepare or approve all documentation necessary for public hearings. The GeneralProject Manager or his/her designee will ensure all required documentation is available for the public hearing. 24IPage ilia C. The District Board of Directors shall delegate the specific authority to the District Counsel to culminate the acquisition of the property when the District Board adopts the Resolution of Necessity to Condemn. D. After the condemnation lawsuit is filed, the District Counsel will keep the Generaleject Manager and the Real Property Agent advised on: 1. Any changes in District appraisal of the property, and 2. the amount of all demands by the property owner and any other persons entitled to payment. E. Under direction of the GeneralPrejeGt Manager and following judgment or settlement in the condemnation lawsuit, the Real Property Agent will be responsible for recording the necessary document, obtaining title insurance if required, and taking any other steps needed to effectuate transfer of title to the District. d. Relocation: The GeneralProject Manager or his/her designee will be responsible for coordinating any relocation assistance as applicable and adhere to all applicable City, State and Federal relocation assistance guidelines. III. Effective Date a. The effective date of this Administrative Policy shall be the date first written above. 25IPage 40 *5AM11T�� q' Costa Mesa Sanitary District Administrative Policy No. 40.30 Date Approved: May 12, 2005 Date Updated: , 2016 SUBJECT: PETTY CASH POLICY PURPOSE: To establish a policy and procedure for the process by which petty cash can be obtained, used, replenished, and audited I. Purpose The purpose of this policy/procedure is to describe the process by which petty cash can be obtained, used, replenished, and audited. II. Scope Petty cash may be required to pay for incidental services and purchases. This policy defines the petty cash request and approval process and the process by which funds shall be maintained and replenished. Ill. Responsibility Assignments A. Primary responsibility for updating this policy rests with the General Manager. B. The Department managers hold primary responsibility for approving petty cash requests and for implementing and assuring compliance with this policy/procedure. C. Each employee is accountable for accurately completing the petty cash request, obtaining proper approval, safeguarding the obtained cash, and providing documentation (such as a receipt)for the use of funds. D. Finance is responsible for authorizing the replenishment of petty cash funds and overseeing audits of petty cash. 26IPage E. Finance is responsible for processing the transactions through Accounts Payable and posting to the general ledger account indicated on the petty cash receipt. F. Petty Cash Custodian is accountable for safeguarding the petty cash he/she control, properly distributing the petty cash, and requesting reimbursements. VI. Procedure A. General 1. Petty cash box shall be protected from misappropriation and theft by keeping it locked when not in use and stowing it in a secure area such as locked drawer. Physical access to the cash and cash receipt records shall be limited to the Petty Cash Custodian. 2. Petty cash funds will not be given to persons who are not employees of the District. B. Disbursements 1. Petty cash disbursements are limited to $100.00 or less. 2. The District employees in need of petty cash funds must: a) Accurately & completely fill out a Petty Cash Request in ink. The Petty Cash forms can be found in the District Public drive in the Petty Cash file. b)Obtain an approval and general ledger Account (charge-to- account) on the Petty Cash Request from the employee's department manager. c) Attach documentation of expenditures (receipts) to the Petty Cash Request, if the request is a reimbursement. d) Present the Petty Cash Request to the Petty Cash Custodian, and sign the Petty Cash Request upon receipt of monies. 3. Petty Cash Custodian will sign on the Petty Cash Request after the employee has received the funds to which he/she is entitled. 4. General Manager and department managers need dual signatures and cannot approve their own petty cash request. 27IPage 5. After receiving a cash advance, employees are responsible for providing documentation (such as a receipt) and returning the change within five (5) business days of the receipt of the funds. Petty Cash Custodian shall inform the employee's department manager whenever an employee fails to turn in receipt(s) or change within the required period. 6. Under no circumstances will additional funds be given to any employee who has failed to turn in receipt(s) and change from a previous cash advance. Failure to turn in receipts may result in disciplinary action, including loss of the privilege of using petty cash. 7. Petty Cash may be obtained for ultimate distribution to another authorized party (such as a seminar attendee). The employee receiving the cash from the Petty Cash Custodian signs the petty cash request as he/she receives the funds from the Custodian. The ultimate recipient of the funds must sign a receipt as proof he/she received the funds. The receipt, which could be a duplicate petty cash request, must be given to the Petty Cash Custodian within five (5) business days. C. Petty Cash Control Sheet The Petty Cash Custodian shall maintain records of the use of petty cash by keeping the Petty Cash requests and recording all transactions on the Petty Cash Control Sheet Immediately upon receipt or disbursement of petty cash. The amount of cash in the Petty Cash Box should always equal the current balance on the Petty Cash Control Sheet. D. Replenishment 1. The Request for Petty Cash Replenishment, Petty Cash requests (includes cash register receipt or other documents) Petty Cash Control Sheet and Petty Cash Drawer are turned-in by the Petty Cash Custodian to Finance for review, audit of petty cash drawer funds, and approval at the end of each month or when the balance of cash in drawer falls below $100. jx 2. The approved Petty Cash Replenishment Request is forwarded to Accounts Payable for processing as part of the next regularly scheduled cash disbursement. Finance will present the check to the bank for payment and deliver the cash funds to the Petty Cash Custodian. The Petty Cash Custodian will acknowledge receipt of 28IPage funds with his/her signature on the Request for Petty Cash Replenishment form. E. Audits 1. Any Discrepancy in daily balancing must be reported to the General Manager immediately, who shall investigate and take appropriate action. 2. Finance shall audit the petty cash via the Petty Cash Control Sheet at his/her discretion, but not less than twice a year. The amount of cash in the cash box should always equal the amount on the Petty Cash Control Sheet. 29IPage �1 SANIT,�Ry /4 ,4---m 4, 418 y; Costa Mesa Sanitary District otc 'tom R�'O RATi`/ Administrative Policy No. 40.40 Date Updated: , 2016 SUBJECT: PURCHASING POLICY PURPOSE: To provide District staff and consultants with policies and procedures to be used in the purchase of supplies, services, and equipment I. Purpose The purpose of this regulation is to establish a manual to provide District staff and consultants with policies and procedures to be used in the purchasing of supplies, services, and equipment while maintaining fiscal responsibility in the procurement process. All policies and procedures set forth in this manual are designed to insure that procurements are being accomplished in a timely, efficient manner at the most economical cost to the taxpayers. II. Policy A. The District Board of Directors adopted the purchasing policies and procedures as set forth in Title 4, Chapter 4.04 of the District's Operations Code on October 26, 2010. The Purchasing Ordinance begins on page 35 of the Operations Code. B. Finance is responsible for periodic updates to the Purchasing Policy. C. Approved policies will apply to and be binding on all District employees. III. Effective Date The effective date of this Administrative Policy shall be the date first written above. 30IPage %S SAI�jT�,4-\ § y Costa Mesa Sanitary District �c--'ePORATE%9 Administrative Policy No. 50.00 Date Approved: May 12, 2005 Date Updated: 2016 SUBJECT: LIABILITY CLAIM PROCEDURES PURPOSE: To provide District staff procedures to promptly process, evaluate, and resolve third party claims I. Purpose: The District is a member of the Special District Risk Management Authority (SDRMA). This regulation establishes procedures to promptly process, evaluate and resolve claims in the most effective and efficient manner. II. Conduct After an Accident: Employees should not make statements about fault to parties involved in the accident, but should only present identification and insurance information. Employees should also avoid making "gratuitous remarks" such as "we've been meaning to fix that pothole" or"this always happens." III. Loss Reporting: Effective claims management relies on the prompt reporting and thorough investigation of losses to avoid needless litigation and unnecessary costs. a. Incidents occurring on District property or involving District employees from which a claim could result, or in which the District could be held liable, must be reported promptly to the General Manager and labeled "CONFIDENTIAL for District's claims adiuster/attornev "with a copy to the Administrative Service Manager, acting as the District Safety Officer (Management Analyst II, HR and Risk). All report fields should be completed, include the following: A. Name, address and phone number of reporting party; B. Date and time of the incident; C. Exact location of the incident; D. Name of person(s) sustaining injury; E. Description of the injuries and complaints; F. Description of property involved (if vehicle: make, model and year); G. Description of property damage; H. Description of how the incident occurred; I. Names, addresses and phone numbers of witnessesi- 31IPage hJ.Pictures of the accident. b. All reports shall be completed and submitted immediately for reporting to SDRMA. "Immediately" is defined as any time, day or night, within minutes of such accident, regardless of whether the incident occurs during or outside of standard working hours. c. In all traffic collision incidents involving District vehicles, the official or employee shall immediately notify the Police Department and request the presence of an officer for the purpose of filing an Accident Report. A "District vehicle" is defined as any vehicle the District owns, leases or rents. d. After the initial reporting, any documents, police reports, correspondence, telephone call, inquiries from interested parties or other information bearing upon the incident should be documented and reported to the Management Analyst II (HR & Risk Management)Administrat' Manager for reporting to SDRMA, noting sources, dates, times and other relevant information. e. All forms are available from the_Management Analyst II (HR & Risk Mane•ement - - - - and as provided in the District SDRMA Property and Liability Coverage's notebook. IV. Claim Presentation: A claimant, or their attorney, is required to file a claim with the Costa Mesa Sanitary District and SDRMA shall review the claim for appropriate action. V. Claim Investigation: a. The Management Analyst II A - ••••• - ' _ -• _- - •- _ - will coordinate investigation requirements with SDRMA, providing all reported information and any additional information including but not limited to photographs, diagrams and other applicable reports on file. b. Requests for information, District records, or the taking of statements from District employees from outside sources should be referred to SDRMA. District employees are instructed to give information concerning accidents or claims only to the Management Analyst I I^d' ict;a+v-Sevice Manager, General Manager, SDRMA, District Counsel, or their authorized representatives. VI. Lawsuits: Upon service of Summons and Complaint (by mail or personal service), the Management Analyst II A - ••' - ' • - • •-- '- •- _ - and/or individual employee receiving it must immediately transmit these papers to the District Counsel and SDRMA with details as to date, time, place and how served. VII. Effective Date The effective date of this Administrative Policy shall be the date first written above. 32IPage rr. 33IPage