08 - Administrative Regulations
Costa Mesa Sanitary District
&an Independent Special District
Memorandum
To:
Board of Directors
Via:
Scott Carroll, General Manager
From:
Anna Sanchez, Administrative Service Manager
Date:
April 15, 2014
Subject:Administrative Regulations
Summary
The District is in the process of compiling information to submit to the Special District
Leadership Foundation in an effort to renew the District’s District of Distinction certification.
A part of the renewal process requires the District submit a copy of Board action as it
pertains to the review of all District policies and procedures.The Administrative
Regulations are a set of policy developed and approved by the General Manager or the
Board of Directors that outlines the standards,principles, and policiesby which the District
operatesas an organization.
Staff Recommendation
The Board of Directors receive and file this report.
Analysis
The General Manager is responsible for policy development and implementation of the
Administrative Regulations. Administrative Regulations serve to provide guidance for staff
regarding the District’s internal operations.
The existing Administrative Regulationswerelast reviewed and approved in September
2013.The only policy within the Administrative Regulations that has gone before the
Board of Directors for approval, has been the Rewarding Ideas Program, as the nature of
that particularpolicy serves to increase benefits and/or compensation to employees, thus
requiring Board approval. All other policies are administrative in nature.
Protecting our communitys health and the environment by providi
www.cmsdca.gov
Board of Directors
April 15, 2014
Page 2 of 3
Since the initial approvalin June 2012, the following changes have been made to the
Administrative Regulations:
Rewarding Ideas Programeligibilitychange
-went to the Board for approval
September2013. The Board of Directors directed staff to eliminate the
Administrative Service Managerand the Finance Manager, in addition to the
General Manager,from being eligible to participate in the Rewarding Ideas
Program.
Added Safety Award for Excellence
. This policy was added in an effort by the
General Manager to recognize and celebrate employees who excel in creating and
maintaining a safe and healthy workplace.
As part of the submittal package to the Special District Leadership Foundation, the District
is required to submit District Board action on the District’s policies and procedures, within
the last year. As such, staff believed it would be necessary to bring theupdated
AdministrativeRegulations, before the Board for review prior to submitting the District of
Distinction application.
Strategic Plan Element & Goal
This item complies with the objective and strategy of Strategic Element 5.0, Administrative
Management, which states:
“Objective:To create, maintain and implement policies and procedures to ensure
sound management of the District.”
“Strategy:We will conduct periodic reviews, refine and implement policies and
procedures, and assure the General Manager has the direction and tools necessary for
successful District operations.”
Legal Review
Not applicable
Environmental Review
Updating the administrative regulationsis exempt from the requirements of the California
Environmental Quality Act (CEQA) (Public Resources Code Section 21000 et. seq.).
Section 15300.4 of CEQA allows an agency while establishing its own procedures “to list
those specific activities which fall within each of the exempt classes”, and the District has
adopted “CEQA Guidelines and Implementing Procedures” that state on page 6 “”Projects”
does not include …. C. Continuing administrative or maintenance activities.”
Board of Directors
April 15, 2014
Page 3 of 3
Financial Review
Not applicable
Public Notice Process
Copies of this report are on file and will be included with the entire agenda packet for the
April 15, 2014Board of Directors study sessionat District Headquarters and on District's
website.
Alternative Actions
1.Refer the matter back to staff.
AttachmentA:Administrative Regulations
COSTA MESA SANITARY DISTRICT
ADMINISTRATIVE REGULATIONS
2013
CMSD STAFF
September2013
TABLE OF CONTENTS
Administrative
SubjectPage
Policy No.No.
10.00PURPOSE
3
5
20.10CUSTOMER RELATIONS
6
20.20PAPERLESS AGENDA
8
20.30EMERGENCY RESPONSE FOR HOSTILE OR VIOLENT
INCIDENTS
13
20.40REWARDING IDEAS PROGRAM
17
20.50SAFETY AWARD FOR EXCELLENCE
19
30.00PERSONNEL
20
40.10CONTRACT ADMINISTRATION
22
40.20REAL PROPERTY ACQUISITION
25
40.30PETTY CASH
29
40.40PURCHASING POLICY
30
50.00LIABILITY CLAIM PROCEDURES
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Costa Mesa Sanitary District
Administrative Policy No. 10.00
Date Approved:May 12, 2005
Date Updated: June 28, 2012
SUBJECT:PURPOSE
PURPOSE:To assist in interpreting various administrative policies
I.Purpose
The purpose of this regulation is to establish a manual toassist in interpreting
various administrative policiestheGeneral Managerwill issuein accordance with the
Operations Code Section 3.02.060.
II.Policy
A.The Costa Mesa Sanitary District Staff will propose recommended
Administrative Policiesto the General Managerfor approval and
implementation.The General Managershall 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 issuesaid Administrative Policiesto each District
employee.
C.Administrative Policies will not supersedethe District Operations Code,
the District Employee Handbookor any memoranda of understanding that
maybe in effect.
D.The Administrative Policiesexist in the following categories:
No. 20General Administrative
No. 30Personnel
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No. 40Finance and Payroll
No.50Safety 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.
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Costa Mesa Sanitary District
Administrative Regulations No.20.10
Date Approved June 28,2012
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 Administrative Service 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.
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Costa Mesa Sanitary District
Administrative Policy No. 20.20
Date Approved:November 7, 2012
Date Updated: June 28, 2012
SUBJECT:PAPERLESS AGENDA
PURPOSE:To improve operational efficies 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 preparingand disseminating agenda
packets to the Board of Directors meetings as well as Board appointed standing
committees such as the OperationsCommittee.
III.Policy
In recognition of the large amount of paper used to prepare and disseminate
agenda packets to theBoard 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 scanned in a
pdf format.
2.After the agenda packet is scanned, the document will be uploaded onthe
home page of the District’s website.
3.The Clerk of the Boardor his/her designeewill send an electronic message to
the Board of Directors and staff that the agenda is available to download.
The message will include a direct link to download the agenda packet online.
4.Before a board and/or committee meeting begins, District staffwill download
the agenda packets on designated iPads for the Board of Directors and
following staff members:
a.General Manager
b.District Counsel
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c.District Engineer
d.District Treasurer
e.Deputy District Clerk
f.Administrative Service Manager
g.Accounting Manager
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.
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Costa Mesa Sanitary District
Administrative Regulations No. 20.30
Date Approved:June 28,2012
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.
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 armedintruders 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
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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 evacuationplan.
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.
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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.
IV.
Planning for Emergency Incidents
A.
Steps shouldbe 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.
3
.Develop an emergency notice code for texting, email and
telephoneto 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
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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 such 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 personor 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 untilpublic safety response abates
the threat.
C.
Initiate notification of other facility staff of active threat by emergency code
procedure. 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.
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.
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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 perpetrator 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, consultwith 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.
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Costa Mesa Sanitary District
Administrative RegulationsNo. 20.40
DateUpdated:September 26, 2013
SUBJECT:REWARDING IDEAS PROGRAM
PURPOSE:To encourage employees to generate ideas for organization improvements
A. Purpose
To establish Districtprocedures for an employee suggestion program encouraging employees
to generateideas 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 organizationalimprovement. The Districtencourages the use of the Rewarding
Ideas Program which furnishes a processfor submitting cost saving ideas to District
Management. The program is designed to encourageemployees to takean increased interest
in Districtoperations and to generate cost saving ideas. TheRewarding Ideas Program is
administered by the District’s Personnel Manager.
The General Managerwill provide recommendations to the Board ofDirectorsfor monetary
awards to employees. The General Managerhas the exclusive right to establishaward policy
and structure of the suggestion system. This includes the right to amend the system at anytime
with due notice of change.All suggestions become the exclusive property of the Districtand
shall not form the basis of a future claimupon the Districtby the suggester/employee, his/her
heirs, successors or assigns, includingsuggestions that are subsequently patented.
C. Authority and Responsibility
Every Districtemployee 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 ofthe Board of
Directors, the General Manager, Administrative Services Manager, Finance Manager contract
staff, temporary employees, and interns.
D. Procedures
1. Suggester
Suggestion forms may be obtained from the District’s personnel manager. The
suggester should read the instructions on the suggestion form, fill the form out
completely and carefully,and then return it to the Personnel Managerthrough interoffice
mail. The suggestershould retain a copy for his or her own records.
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2. Personnel Manager
A.The Personnel Managerwill date stamp the suggestion form when received. The
Personnel Managerwill prepare inadvance all information required to expedite
processing of the suggestion. In addition, the Personnel Managerwill assure that each
suggestion is fairly and thoroughly investigated and reported upon.The Personnel
Managerwill 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 mustbe adopted and implemented to
accomplish one or acombination 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 outputand/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 ofmaintenance 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 Districtnor fall within the authority or responsibility
of theDistrictor would require statutory change in the law.
C.The Personnel Manager will be responsible forinternal marketing and
administration of the Rewarding IdeasProgram. The Personnel Managerbrings the
suggestion to the attention of the General Managerfor review and provides linkage
between the suggester and the evaluation process. In addition, the Personnel Manager
monitors the evaluation process to ensure completion within 45 days of receipt of the
suggestion.
D.The Personnel Managershall ensure the fair and careful review of suggestions
submitted by employees in a timelymanner. The Personnel Managershall call upon
additional resources from other departments, Finance, as needed. Evaluation of the
suggestion will begin with initial determinationthat it is legal and safe. The Personnel
Managerwill then determine whether the suggestion has the potential tosave money,
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generate revenue, reduce or eliminate waste, provide better customer service, save
time,improve morale and/or productivity.
E.Based upon this analysis, the Personnel Managerwill complete a Suggestion
Evaluation form with a recommendationto accept or decline the suggestion. The form
shall indicate whether or not the suggestion is feasibleand cost effective, has been
adopted, any actual or estimated reduction of expenditures made possiblebythe
suggestion, or reason for its rejection. The Personnel Managerwill return the Evaluation
form to theGeneral Managerwithin 22 days of receiving the suggestion. If the
suggestion is deemed notfeasible for implementation, the suggester will receive acopy
of the evaluation.
3.Finance Manager
The Personnel Manager will forward the suggestion to the FinanceManager who will
analyze any tangible savings in light of the current budget. The FinanceManager will
attest to the accuracy of amounts saved by signing the Suggestion Evaluation form. The
Note:
FinanceManager will then return the completed form to the Personnel Manager.
must have
All evaluations the signaturesof the personnel manager and the Finance
reward recommendation
manager along with the .
4.General Manager
The General Managerwill review the Personnel Manager’sevaluation and determine if
an award should be made.If the suggestion is acceptable and meets the criteria foran
award, the General Managerwillrecommend to the Board ofDirectorsthat the
suggester receive an award. The Personnel Managerwill notify the suggester thatthe
suggestion and award has been recommended for approval.
5.Board of Directors
A.Upon receiving a recommendation from the General Manager, the Board of
Directorsshall consider therecommendation and approve it unless, after investigating
the operation of the suggestion, the Boarddetermines the recommendation is not in
accordance with the provisions of the Program in which event the Board shall direct the
General Managerto reanalyze the suggestion andmake a new recommendation. Upon
approval by the Board of Directors, the award, if any isrecommended, shall be made at
a Formal Board Meeting.
“closed” but not “declined”
B.Suggestions will be determined if the Personnel
Manageris unable todetermine 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 resubmittingthe ideawithin 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
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year’s revenues/savings may be awardedto 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, improvedmorale, improved customer service, etc. for which monetary values
cannot be determined.
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Costa Mesa Sanitary District
Administrative RegulationsNo. 20.50
Date Approved: August 20, 2012
SUBJECT:SAFETY AWARD FOR EXCELLENCE
PURPOSE:To celebrateemployees who excel in creating and maintaining a safe and
healthy workplace
A. Purpose
To establish a Districtrecognition 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 Districtemployee on active payroll status at the time of nominationwill be eligible to
receive awards with the exception of the following: Members ofthe Board of Directors, the
General Manager, contract staff, temporary employees, and interns.
D. Procedures
1. Employee Nomination
Nominationforms may be obtained from the District’s personnel manager. The
nominatorshould read the instructions on the nominationform, fill the form out
completely and carefully,and then return it to the Personnel Managerthrough interoffice
mail.
2. Personnel Manager
A.The Personnel Managerwillcompile all nominations and evaluate them against
the eligibility criteria.The Personnel Managerwill also request further information and
investigation if rejection of anominee is questioned the General Manager.
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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 Personnel Manager will be responsible forinternal marketing and
administration of the Safety Award For Excellence Program. The Personnel Managerwill
compile a list of eligible nominees and an award recipient will be chosen atthe 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.
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Costa Mesa Sanitary District
Administrative Policy No. 30.00
Date Approved:June 28, 2012
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, andpolicies the General Manager will issue in
accordance with the Operations Code Section 3.03.060.
II.Policy
A.The Costa Mesa Sanitary District Staff will propose recommended
PersonnelPolicies to the General Manager for approval and
implementation. The General Manager shall be responsible for issuing
and distributing all PersonnelPolicies.
B.Approved policies will apply to and be binding on all District employees.
The District will issue said PersonnelPolicies to each Districtemployee
through regular updates of the adopted Employee Handbook.
C.The Employee Handbookwill not supersede any memoranda of
understanding that may be in effect.
III.Effective Date
The effective date of this Administrative Policy shall be the date first written
above.
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Costa Mesa Sanitary District
Administrative Policy No. 40.10
Date Approved:May 12, 2005
Date Updated: June 28, 2012
SUBJECT:CONTRACT ADMINISTRATION
PURPOSE:To establish consistent procedures for administration of all
contracts/agreements
Purpose
I.: 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.”
Procedure
II.:
A.All contracts/agreements for services rendered will be in writing
and approved “as to form” by theDistrictCounsel. District Risk
Managerwill 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 GeneralManager 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
GeneralManager or Board of Directors depending on the dollar
Purchasing, Exceptions, Signatures,
value of the agreement.
Change Orders and Ratification requirements and thresholds
are established in Chapter 4.05 of the CMSD Operations
Code.
D.The Clerk of the Districtor his/her designeeshall file the originals
of all duly executed agreements/contracts, including approved
insurance certificatesand all Exhibits.Originals of all duly
executed agreements/contracts, including approved insurance
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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 ofContractor 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 availabilityof funds with the
Accounting Managerprior 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 GeneralManager shall have the authority to approve
change orders in compliance with Operations Code Section
4.05.045
4.Following General Manager or Boardapproval, Financewill
issue a written Purchase Order for the Change Order to the
agreement/contract, which shall be processed in the same
manner as a regular Purchase Order.
III.Effective Date
a.The effective date of this Administrative Policy shall be the date first written
above.
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Costa Mesa Sanitary District
Administrative Policy No. 40.20
Date Approved:May 12, 2005
Date Updated: June 28, 2012
SUBJECT:REAL PROPERTY ACQUISITION
PURPOSE:To establish uniform guidelines for the purchase of District property
Purpose
I.: 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.
Policy
II.:
a.General:
A.The General Managerwill assign a Project 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 Project Manager will determine the property to be acquired,
rationale for the acquisition and financial limitations for the
acquisition and fully coordinate the project with the District
Treasurerand Accounting Manager. The Project Manager will
submit a recommendation schedule, budget and funding
source(s) to the General Managerfor approval.
C.The Project Manager will determine the availability of the Real
Property subject to the General Manager’sapproval. The Project
Manager will notify the Real Property Agent of the property to be
acquired and provide the budget limitations. The Project manager
will submit all pertinent correspondence regarding the progress of
real property negotiations to the General Manager.
D.The Project 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 Project Manager and
Real Property Agent will establish an acceptable time schedule
for negotiations (typically 30-45 days maximum).
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b.Acquisition by Negotiation:
A.Under the direction of the Project Manager, the Real Property
Agent will negotiate for the purchase of the project.
B.The DistrictCounsel will be responsible for legal advice, opinions
and documents as required for the acquisition. All requests and
responses will be fully documented.
C.The Project Manager will submit the negotiated price and support
documents to the General Managerfor presentation to the District
Board of Directors.
D.The Project Manager,in coordination with the DistrictCounsel
and DistrictTreasurer,will determine the escrow terms and
escrow closing date after considering cash availability and will
notify the General Managerand Real Property Agent of the
approved escrow closing date. Following DistrictCounsel review,
the Project Manager shall provide written authorization approving
the terms of each escrow.
E.The Project Manager will request approval from the Treasurerand
Accounting Managerto obtain a warrant. The Treasurer will
approve the warrant request and recommend it to the General
Managerfor approval. The General Managerwill approve the
warrant request and submit it for District Board action. The
Treasurer will release the 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 Project Manager direction, the Real Property Agent will
submit all necessary documentation to the DistrictCounsel and
the General Manager.
B.The DistrictCounsel will prepare or approve all documentation
necessary for public hearings.The ProjectManager will ensure all
required documentation is available for the public hearing.
C.The District Board of Directors shall delegate the specific authority
to the DistrictCounsel 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 DistrictCounsel will
keep the Project Manager and the Real Property Agent advised
on:
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1.Any changes in District appraisal of the property, and
2.the amount of all demands bythe property owner and any
other persons entitled to payment.
E.Under direction of theProject 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 Project Manager 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.
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Costa Mesa Sanitary District
Administrative Policy No. 40.30
Date Approved: May 12, 2005
Date Updated: June 28, 2012
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.
III. 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 forimplementing 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.Financeis responsible for authorizing the replenishment of petty cash
funds and overseeing audits of petty cash.
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E.Financeis 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 protectedfrom 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
$100.00
1.Petty cash disbursements are limited to or less.
2.The District employees in need of petty cash funds must:
a)Accurately & completely fill out a Petty Cash Request
in ink. ThePetty 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 afterthe
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.
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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 amountof 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 Financefor 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.
2.The approved Petty Cash Replenishment Request is forwarded to
Accounts Payable for processing as part of the next regularly
scheduled cash disbursement. Financewill 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
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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.Financeshall 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.
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Costa Mesa Sanitary District
Administrative Policy No. 40.40
Date Approved: February 28,2011
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
29 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.
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Costa Mesa Sanitary District
Administrative Policy No. 50.00
Date Approved: May 12, 2005
Date Updated: June 28, 2012
SUBJECT:LIABILITY CLAIM PROCEDURES
PURPOSE:To provide District staff procedures to promptly process, evaluate, and
resolve third party claims
Purpose
I.: 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.
Conduct After an Accident
II.: 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.”
Loss Reporting
III.: 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 Managerand labeled
“CONFIDENTIAL” with a copy to the Administrative Service Manager,
acting as the District Safety Officer. Allreport 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 witnesses.
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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 notifythe Police Department and request the
presence of an officer for the purpose of filing anAccident 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
Administrative Service Managerfor reporting to SDRMA, noting sources,
dates, times and other relevant information.
e.All forms are available from the Administrative Service Managerand as
provided in the District SDRMA Property and Liability Coverage’s
notebook.
Claim Presentation
IV.: A claimant, or their attorney, is required to file a claim with
the Costa Mesa Sanitary District andSDRMA shall review the claim for
appropriate action.
Claim Investigation
V.:
a.The Administrative Service Managerwill 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 Administrative Service Manager,General Manager,
SDRMA, District Counsel, or their authorized representatives.
Lawsuits
VI.: Upon service of Summons and Complaint (by mail or personal
service), the Administrative Service Managerand/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.
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