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HomeMy WebLinkAbout05. Board-Approved Policies and Administrative Procedures5. Central Contra Costa Sanitary District June 25, 2014 TO: CHAIR MCGILL AND MEMBER WILLIAMS ADMINISTRATION COMMITTEE FROM: ELAINE BOEHME, SECRETARY OF THE DISTRICT VIA: ROGER S. BAILEY, GENERAL MANAGERe`_LJ SUBJECT: BOARD - APPROVED POLICIES AND ADMINISTRATIVE PROCEDURES Member Williams has stated his opinion that policies and procedures should be separate documents, and the Board should focus on policies rather than procedures. He has asked to see a list of Board policies /procedures. The District's various policies and procedures are listed on OTIS, the District's intranet. They have been identified and sorted into three categories: Board Policies, Administrative Procedures, and Departmental Instructions. Each Department has reviewed and sorted its own list of documents, and these were reviewed by the General Manager. Board Policies (BP) are either stand -alone documents or are embedded in the following documents adopted by the Board: • Capital and Operations and Maintenance Budgets (adopted annually) • District Code (updated by Board as needed) • Memoranda of Understanding (adopted by Board in 2012) • Purchasing Policies and Procedures Manual (adopted by Board in 2003 and updated by Board in 2009 and 2011) Other documents not formally adopted by the Board that contain policies and procedures are: • Human Resources Procedures Manual (contains requirements set forth in the MOUs and required by State and Federal laws) • Safety Directives Manual (presented to the Board as an informational item and contains requirements and policies as set forth by CalOSHA and Federal OSHA). In addition, there are stand -alone Board Policies as listed below: • BP 001 Employee Computer Purchase Assistance Program • BP 002 Cultural Diversity • BP 003 Hiring District Retirees • BP 004 Integrated Pest Management (IPM) • BP 005 Investment Policy • BP 006 Records Retention Schedules • BP 007 Teleconferencing Policy • BP 008 Travel and Expense Reimbursement • BP 009 Manager Cell Phone Reimbursement • BP 010 Contractual Assessment District (CAD) Policy • BP 011 Proposition 218 Protest Policy • BP 012 Parliamentary Procedure Policy • BP 013 Standing Committee Charters • BP 014 Mobile Computing Devices for Board Members • Conflict of Interest Code Administrative Procedures (AP) set forth general administrative policies set by the General Manager, or provide clarification and procedures on Board Policies contained in the MOUs, District Code and other documents listed above, or as required by State or Federal laws. These Administrative Procedures and any revisions must be approved by the General Manager. They are revised as needed as source documents change or as internal administrative policies are revised. Examples include "Petty Cash," "Meetings with Union Representatives," "Use of Meeting Rooms," or "Recruitment Procedures." Departmental Instructions (DI) are basically "how to" documents or procedures prepared by departments for internal processes and to implement Board Policies or Administrative Procedures. These Departmental Instructions may be changed by appropriate staff as processes change. An example would be "Position Paper Deadlines" or "Operator Certificate Payment Request." Numbers have been assigned to the existing stand -alone Board Policies. As any new or existing Board Policies are scheduled for approval, revision or update, any administrative /procedural aspects will be excised and managed by staff. Attached: Board Policies 001 -014 Purchasing Policies and Procedures Manual Index Department/Division Master Lists Number: BP 001 Central Contra Costa Sanitary District Authority: Board of Directors Effective: July 1, 1995 Revised: January 24, 2013 Reviewed: August 4, 2011 Initiating Dept. /Div.: Administration BOARD POLICY EMPLOYEE COMPUTER PURCHASE ASSISTANCE PROGRAM PURPOSE This policy will provide employees with a low cost resource to purchase a personal computer and /or other authorized hardware or software for the purpose of improving employee computer skills. POLICY The District will provide loans to District employees under the Employee Computer Purchase Assistance Program to purchase a personal computer and /or other authorized hardware or software in accordance with the parameters set forth in this policy. 2. The annual funding limit for the program is $30,000. 3. The maximum computer loan per employee under the program is $2,000, with a minimum of $600. 4. Staff shall provide the Board of Directors with an annual report including the status of participation and outstanding loans under the program. 5. The program shall be administered by the Accounting Department. PROCEDURES Below are the conditions and necessary steps to receive a computer loan. (These steps also appear on the District's intranet.) BP 001 Page 2 of 2 Employee Computer Loan Program The program is administered by the Accounting Department ( "Program Administrator "). 2. The employee must be non - probationary. 3. The employee must contact Accounting to initiate the loan process. 4. The computer system /technology being purchased must be pre- approved by the Information Technology (IT) Administrator to ensure it meets the District's current standards. This approval process is accomplished by submitting a quote from the vendor to the IT Administrator. 5. Allowable purchases under the program include desktops, laptops, tablets, printers, software, and /or related equipment of any brand. 6. An employee may borrow up to $2000, with a minimum of $600. 7. Only one loan can be outstanding at any one time per employee. 8. Once the quote from a vendor has been approved, Accounts Payable will produce a check to the employee. 9. Upon receiving the check from the District, the employee must sign a promissory note, which allows the District to deduct $100 from their monthly paycheck to reimburse the District for the loan. The interest rate the employee pays the District is tied to that of the most current Local Agency Investment Fund (LAIF). 10. The original purchase receipt must be submitted to the Program Administrator and will be kept in the Accounting Department. 11. The loan must be repaid to the District in full. Should an employee terminate before the loan is paid, any outstanding amount will be withheld from the employee's final paycheck. When inquiring about a computer loan, please contact Accounting, extension 325. Number: BP 002 Authority: Board of Directors Effective: December 18, 2008 Revised: Reviewed: Initiating Dept. /Div.: Administration BOARD POLICY DIVERSITY STATEMENT PURPOSE To establish a policy recognizing cultural and workforce diversity. POLICY i www.centralsan.org At the Board meeting of December 18, 2008, the Board adopted the following statement: "The Central Contra Costa Sanitary District believes that diverse perspectives foster innovation and creativity, enhance effective customer service and support processes and practices that ensure all viewpoints are understood, respected and appreciated. CCCSD will strive to recruit, retain and advance men and women of all backgrounds so that our workforce reflects the diversity of our customers and our communities." Number: BP 003 Authority: Board of Directors, CCCERA Effective: May 18, 2006 Revised: September 14, 2010 Reviewed: Initiating Dept. /Div.: Human Resources BOARD POLICY Central Contra Costa Sanitary District 1 HIRING OF DISTRICT RETIREES PURPOSE To establish a policy for the hiring back of District retirees. POLICY The District occasionally may hire a retired employee for legitimate business reasons. The District may wish to hire or contract with former District employees after retirement for the overall benefit of the organization, such as to retain special knowledge or expertise until a replacement is hired, to provide training to another employee, to complete specific short -term tasks or projects, or to provide a short -term service normally contracted for by the District. The intent of the District in hiring any District retiree is to address a short -term need in a method beneficial and cost - effective to the District, and not as a means for providing on -going employment or income. Hiring or contracting with a retired District employee requires Board of Directors' notification through an announcement from the General Manager prior to such action. The Contra Costa County Employee Retirement Association (CCCERA) and the State of California dictate many of the rules governing the hiring of District retirees. The District may hire District retirees under one of the following procedures: District Temporaries -The District policy for hiring District retirees as temporaries is based on a CCCERA policy for member agencies. The policy permits the District to hire retirees who receive pensions from the CCCERA for one hundred and twenty days or nine hundred and sixty hours in a fiscal year. It is District practice to hire retirees on a temporary basis only when a position is vacant within the hiring Department. The retiree is paid the hourly base salary of the step and range at which he /she was assigned upon retirement from the District. Note that the base salary excludes longevity pay or other contractual benefits accorded to regular, full -time employees. BP 003 Page 2 of 2 When employment may last more than one hundred and twenty days or nine - hundred and sixty hours per fiscal year and /or the retiree wishes to continue employment in a capacity other than as a District temporary, the retiree has the following two options: Independent Contractor — The retiree may become an independent contractor under the laws of the State, i.e. establish her /his own working hours, provide his /her own vehicle, equipment, and tools, not be supervised by District staff, contract for a project or number of hours, etc. (The District retains oversight of the final work product); also under the District Purchasing Policy and Procedures s /he must have evidence of personal liability insurance, unless waived, or Contract Employee — Retirees who do not wish to meet the requirements of self - employment may work for a private firm that contracts for work with the District. For example, a retiree may be hired by a consulting firm that would assign the employee to provide services to the District but not be a District employee. The CCCERA only limits the amount of time a District retiree may work for any of the CCCERA member agencies. A retiree may supplement his /her income by working for himself or herself, or any private corporation or public institution not affiliated with the CCCERA without any restriction on working hours or income. Number: BP 004 Authority: Board of Directors Effective: September 15, 2011 Revised: Reviewed: Initiating Dept. /Div.: Engineering /Env. Svcs. BOARD POLICY Central Contra Costa Sanitary District INTEGRATED PEST MANAGEMENT PURPOSE The purpose of this policy is to promote the combined use of physical, cultural, biological, and chemical control methods to effectively manage pests with minimal risk to humans and the environment. POLICY In support of the District's mission to protect public health and the environment, it will be the policy of Central Contra Costa Sanitary District (District) to manage pests on District properties and facilities using Integrated Pest Management (IPM) principles and techniques. Definitions IPM: A science -based strategy and decision - making process that provides effective, long -term pest control while emphasizing pest prevention and the use of non - chemical pest management practices. IPM includes the following activities: Inspection, monitoring, and record - keeping are used to determine if thresholds for acceptable pest levels have been exceeded and to select the location, timing, and type of management strategies needed to successfully manage pests. Appropriate and site - specific treatments are selected from educational, cultural, manual, mechanical, physical, biological, and chemical strategies. They are used within an integrated program to achieve long -term solutions that minimize hazards to human health and the environment. Reduced -risk chemical controls are included in the treatment program when non - chemical methods are insufficient to solve the pest problem in an effective and affordable manner. BP 004 Page 2of3 Pest: A general term that includes problem insects, mites, arachnids, birds, mammals, weeds, and other organisms. Organisms become "pests" when their numbers are high enough to be damaging or to be a serious nuisance. Threshold Level: The point at which pest populations or environmental conditions indicate that a pest control action must be taken. Threshold levels are decided by the implementing agency and can be expressed quantitatively (five yellow jackets at a trash can, 10 percent feeding damage to a plant, three flies in a classroom) or qualitatively (light or no infestation vs. heavy infestation). Goals of this Polic 1. Minimize risks to human health, water quality, and the environment as a result of pest control activities conducted by CCCSD staff and contractors. 2. Create awareness and education of IPM techniques to staff and the public. 3. Encourage our customers to follow our example. Require Compliance with CCCSD's IPM Policy All District staff and contractors, as appropriate, will be required to comply with this IPM Policy. District Departments will be required to help create, implement, and periodically review the IPM Program. Designate an IPM Coordinator In recognition that the development, implementation, and oversight of an IPM Program requires a lead person and a coordinated effort, the role of IPM Coordinator shall be established and designated by the General Manager. The IPM Coordinator will chair the IPM Committee, lead the development, implementation and oversight of the IPM Program, work with Safety & Risk Management staff to maintain appropriate pest control records, serve as a resource for Departments, assist Departments in identifying priorities, acquire data to properly evaluate pest control needs and appropriate solutions, and maintain a database of the best - available information on IPM techniques for employee reference. Create an IPM Committee An IPM Committee will be created consisting of the IPM Coordinator and liaisons from each Department. The IPM Committee will serve as a resource to help Departments review and improve the process of making pest management decisions, consistent with the goals of this Policy. Each Department will designate a liaison to the IPM Committee. At the discretion of the General Manager, the IPM Committee may use technical assistance to develop information regarding pest control decisions. Information regarding preferred pest control solutions could include data regarding BP 004 Page 3 of 3 comparative efficacy, cost, environmental impact, and hazards to employees, the public, and the applicator. Require Annual Reporting The District shall provide, as a method of tracking success, an annual reporting of pesticide use along with other measures of progress toward the development and implementation of the IPM Program in the Annual Pollution Prevention Report to the San Francisco Regional Water Quality Control Board. Incorporate IPM in CCCSD Contracts The IPM Coordinator will work with District Purchasing & Materials Manager and the Capital Projects Division to develop specifications for District contracts that include pest control and that are consistent with this Policy and the IPM Program. Provide IPM Training The IPM Coordinator will work with the District Safety Officer and the IPM Committee to develop education and training programs to ensure that CCCSD staff understand IPM techniques and comply with the IPM Policy. Number: BP 005 Authority: Board of Directors Effective: September 1, 2011 Revised: November 7, 2013 Reviewed: Initiating Dept. /Div.: Finance BOARD POLICY Central Contra Costa Sanitary District 1 STATEMENT OF INVESTMENT POLICY PURPOSE The investment policy of the Central Contra Costa Sanitary District governs the District's temporary investments. A separate investment policy governs the District's GASB 45 Trust. This investment policy is embodied in the following eleven sections: POLICY Statement of Objectives The temporary investment portfolio of the District will be managed to ensure that normal cash needs, as well as scheduled extraordinary cash needs can be met. Therefore, adequate liquidity will be the first priority. Second priority will be the safety of the portfolio ensuring that the investments could be readily converted to cash if needed without causing a material change in the value of the portfolio. Lastly, the portfolio will be invested to attain a market average rate of return, after meeting the first two previously stated objectives. Permissible Investments Within the constraints prescribed by the Government Code of the State of California for permissible investments, the District's investment portfolio will only be invested in the following instruments: • United States Treasury Bills and Notes, and obligations of government agencies for which the full faith and credit of the United States are pledged. • Bankers Acceptances, drawn on and accepted by a commercial bank, which are eligible for purchase by the Federal Reserve System. BP 005 Page 2 of 4 • Collateralized Certificates of Deposit issued by a Federal or State chartered bank or a Federal or State chartered savings and loan association. • Negotiable Certificates of Deposit issued by a Federal or State chartered bank or a Federal or State chartered savings and loan association. • Commercial Paper of prime quality limited to corporations with assets over $500,000,000. • Medium Term Notes of a maximum of five years maturity issued by U. S. corporations or any Federal or State depository institution. • Local Agency Investment Fund of the State of California. III. Bank and Dealers The District will use the services of the Treasurer's Office of the County of Contra Costa which will transact the District's investment decisions in compliance with the requirements described in this investment policy. The County Treasurer's Office will execute the District's investments through such brokers, dealers and financial institutions as are approved by the County Treasurer, and through the State Treasurer's Office for investment in the Local Agency Investment Fund. IV. Maturities The maximum maturity for investments of the District is one year. Prior approval of the Board of Directors must be obtained to acquire investments with maturities beyond one year. However, investments in Treasury Notes and the Local Agency Investment Fund would not be subject to the one -year maximum maturity. V. Diversification To minimize the risk of loss through default, the total amount invested in a single issuer will not be greater than 10 percent of the District's investment portfolio value, except that the 10 percent limitation will not apply to United States Treasury Bills and Notes and investment in the Local Agency Investment Fund. BP 005 Page 3of4 VI. Risk Credit and market risks will be minimized through adherence to the list of permissible investments, a limit on maximum maturities, and the limitation on the total investment in a single issuer. VII. Delegation and Authority The District Finance Manager will be responsible for investment transactions which should be made in accordance with this investment policy and within the internal controls described in Section IX. Vlll. Prudence Prudent judgment must be exercised by the District Finance Manager responsible for investment transactions undertaken in accordance with this investment policy. IX. Controls The District Finance Manager will establish subsidiary accounting records of each investment which will enable the determination of income earned monthly and through maturity, and the balancing of the principal amounts to a control account in the general ledger. Internal control procedures require the Finance Manager to sign all transactions, which are then countersigned by the General Manager. Such internal controls are to be reviewed by the District's independent auditors annually. X. Reporting The District Finance Manager will annually render a statement of investment policy to the Board of Directors. Also, annually, the GASB 45 Trust Investment Policy will be brought before the Board. The Finance Manager will submit a monthly report to the District's General Manager and Board of Directors showing the type of investment, issuer, date of maturity, par (or face), dollar amount invested, current market value of all securities, and the source of this same valuation, and a statement of compliance of the portfolio with the investment policy. XI. Performance Evaluation A performance evaluation will be completed by the District's independent auditors every year, commencing with the 2004 -2005 fiscal year, to determine whether the investment objective of achieving a market - average rate of return is being realized. In determining the market - average rate of return, the average return, of three -month U.S. Treasury Bills will be used as a BP 005 Page 4 of 4 comparison. The weighted average of the portfolio will be calculated each month and compiled to determine the annual yield. Results of the comparison between the District's portfolio and the three -month Treasury-Bill benchmark will be reported to the Board annually. .11 Number: BP 006 Authority: Board of Directors /State Law Effective: Revised: November 18, 2011, March 1, 2012 Reviewed: Initiating Dept. /Div.: Secretary of the District BOARD POLICY Central Contra Costa Sanitary District 1 RECORDS RETENTION SCHEDULES PURPOSE To establish appropriate requirements for the retention and destruction of District records in compliance with State law. POLICY The Records Retention Schedules are reviewed and revised as needed to comply with State law and District operational needs. See attached for latest Schedules. Number: BP 007 Authority: Board of Directors Effective: May 5, 2011 Revised: Reviewed: Initiating Dept. /Div.: Secretary of the District BOARD POLICY Central Contra Costa Sanitary District TELECONFERENCING POLICY PURPOSE To provide guidelines whereby a member of the Central Contra Costa Sanitary District Board of Directors may participate in a meeting using electronic communications devices for teleconferencing. POLICY It is the purpose of this policy to encourage physical attendance by all members of the Board of Directors at all meetings. However, with prior Board approval or approval by the Board President as set forth in D., a Board member may participate in a Board meeting via teleconferencing in accordance with state law, when the member is unable to resolve a scheduling conflict. A. California Government Code Section 54953 provides that in connection with a meeting, "....the legislative body of a local agency may use teleconferencing for the benefit of the public and the legislative body." The Code requires that: 1. A quorum of the members of the legislative body shall participate from locations within the agency's jurisdiction. 2. Agendas shall be posted identifying all locations where members of the legislative body will be present during the meeting, and posted as required by law at all such locations. 3. All such locations shall be accessible to the public and the public shall be given an opportunity to address the legislative body directly at all such locations. 4. All votes taken during a teleconferenced meeting shall be by roll call. B. The requirement in the Code for public accessibility at all locations is generally interpreted to mean that all locations must be fully accessible to handicapped BP 007 Page 2 of 2 persons, and that a speakerphone or similar amplification device be used so that members of the public can hear both sides of telephonic conversations. C. A member wishing to arrange for teleconferencing for a meeting shall request that an item be placed on a Board agenda prior to the date in question, formally requesting approval for the teleconference. Orally and /or in writing the member shall outline to the Board the circumstances and reasons for the request. The member requesting the teleconference shall be permitted to vote on the question. D. In emergencies, special meetings called at short notice, and unforeseen circumstances, when the member is unable to make a timely request of the Board, the Board President (or President Pro Tern if the President is not available) shall approve or deny the request. E. Approval shall not be granted unless conditions set forth in Section A are met. F. If a member anticipates being absent from a Board meeting at which an item of significance is being discussed, he /she may ask that the matter be moved to a meeting at which he /she will be in attendance. Staff will take into account any planned absences when scheduling matters for Board action when the matter is not time - sensitive and District business will not be hindered by such action. G. Requests by a Committee Member to teleconference shall be addressed as described in Sections A - F above. Number: BP 008 Authority: Board of Directors Effective: November 21, 2008 Revised: December 20, 2012 Reviewed: Initiating Dept. /Div.: Administration BOARD POLICY Central Contra Costa Sanitary District TRAVEL AND EXPENSE REIMBURSEMENT PURPOSE To establish a policy for appropriate reimbursement of expenses and costs incurred by elected officials, appointed officials, District Counsel and staff for travel activities that are necessary, legitimate, permissible, and actually incurred when traveling on authorized District business, provided they are itemized, fully explained and approved on the Travel Expense Reimbursement Report. PnI ICY All District travel must be approved in advance, excepting urgent or emergency travel benefiting the District. Board member travel is approved by budget approval and /or public report, by the General Manager, with Board majority concurrence. The General Manager's report will allow for Board consideration and approval, or denial, as well as meet AB 1234 intent for public disclosure. General Manager, District Counsel and Secretary to the District travel is approved by Board majority through budget approval, report, or position paper. Employee travel is approved through the budget by the appropriate Division Managers, and Division Managers travel will be approved by the General Manager. 2. Travel approval is to be consistent with the budget guidelines for travel. 3. Board Members and the General Manager are authorized to travel without prior approval for compelling reasons, provided reasonable effort has been made to obtain prior approval. Review of such travel will occur consistent with the approval process identified in item 7 below. 4. While traveling on District business, it is the responsibility of the elected officials, appointed officials and employees to use sound judgment to ensure reasonable expenditure of District funds. If there is no receipt for any given expenditure, the Supervisor's signature on the Travel Expense Reimbursement Report will act as authorization of the charge. District Board members whose expenses do not fall within this policy may be submitted to the Board of Directors for approval, in a public meeting, before the expense is incurred. 5. Board Members' attendance at conferences will be approved by the Board in advance for the fiscal year on a Board agenda. BP 008 Page 2 of 5 I 6. Travelers are responsible for the timely preparation and submission of their Travel Expense Reimbursement Reports (instructions for completion are on the reverse side of the form) to the Accounting Office for payment. Reports must be submitted within 30 days of the event or trip completion. Travelers should retain copies of the Report and receipts for their personal records. 7. The President of the Board of Directors shall approve travel reimbursement documents for all Board Members, District Counsel, the General Manager and the Secretary of the District. The Board President Pro Tem, or in his /her absence another designated Board member, shall have authority to approve travel reimbursement for President of the Board. The General Manager shall approve all travel reimbursement documents for his /her direct reports, and in certain instances, other staff. Division Managers shall approve all travel reimbursement documents of those in their charge. PROCEDURE 1. Making Travel Arrangements: All District travel arrangements are to be booked through department related support staff. Staff will follow the approved District Travel Policy and parameters when making travel arrangements for District employees. Staff will make sure that requesting staff has received prior budget approval and /or Division Manager approval before making arrangements (via email, memo, etc.) 2. Transportation: a. Commercial Airline Travel: Elected officials, appointed officials and District employees will travel at the lowest reasonable coach class airfare within the following guidelines: (1) In order to obtain low airfares, a two -hour window policy will be used in searching for a low fare. This window policy involves searching for fares one hour prior to and after the requested departure /arrival time. The lower fare quoted within this two - hour window must be taken unless time constraints make it impossible. (2) Direct flights (one -stop) and connections (change of planes), rather than non - stops, may represent substantial savings to the District. Non -stop flights, if more expensive, cannot be taken if lower direct/ connecting fares are available and does not place an unreasonable burden on the traveler. (3) Early departures and late returns are encouraged to avoid lodging for an additional night. Travel arrangements should allow for full attendance at the subject event. (4) Air travel arrangements should be reserved as far in advance of travel date as possible. Advance planning, rather than last- minute reservations, allow for the opportunity to obtain lower fares. Travel arrangements should be booked a minimum of seven days prior to departure. (5) Reimbursable expenses shall be limited to the actual dates of travel, which shall be as near the event as practical, allowing for timely arrival and departure and the carrier's schedule. If the extension of travel time would achieve lower airfare and BP 008 Page 3 of 5 would result in a net cost savings to the District, the District will pay for actual costs incurred for hotel and meals only, subject to the other limitations of this policy, provided they do not exceed the costs which would have been incurred without an extension, and the extension is approved in advance. Any additional time (exceeding the above) taken prior to or after the event will be at the employee's time and expense. The District will not reimburse for excess baggage fees if not related to District business. (6) Use of penalty or non - refundable airfares should be considered, depending on the nature of travel, and the certainty that the trip will take place as planned. These lower- cost fares shall be selected at the traveler's discretion. If a change results in penalties, the Department Directors shall have the authority to include these charges as reimbursable, if appropriate. (7) If there is a significant difference between the cost of the flight used and a less expensive flight that was available, or if the traveler uses first -class or business class instead of an available coach -class airfare without approval from the appropriate supervisor, the traveler will be required to pay the difference in expense. (8) Use of a specific airline for the purpose of obtaining Frequent Flyer miles will not be authorized, unless the airfare is among the lowest available. b. Car Rentals: The use of a rental car must be authorized in advance. When a car rental is authorized, the elected official, appointed official or employee shall be limited to a compact or mid -size vehicle. A larger vehicle may be rented if for the purpose of transporting a group of District elected officials, appointed officials or employees. A rental car may be authorized only for a business necessity or if it is the most economical means of transportation available. The employee should be prepared to show a cost savings to the District by the use of a rental car as compared to other modes of transportation. When traveling in groups, sharing of cars is encouraged to minimize costs. Collision and liability insurance offered by the rental company should be accepted. Employees should refuel cars before returning them to the rental agency to avoid the large refueling mark -up, when economical. Officials and employees are required to notify the District's Safety and Risk Administrator and the employee's supervisor within 24 hours of any event, incident or accident related to the rental vehicle. C. Taxi and Other Local Transportation: The use of a taxi is authorized when more economical services are not available, or in cases when valid business reasons, such as timing limitations, warrant use of such transportation. If available and practical, public or courtesy limousine transportation to and from airports should be used. Use of private limousines or chauffeured cars hired solely to transport District Board Members and /or staff is prohibited. d. Travel in District Vehicles: District vehicles are available for local seminars. District vehicles shall not be used for personal use when attending seminars. BP 008 Page 4 of 5 e. Travel in Personal Vehicles: When use of a privately -owned vehicle is authorized in lieu of a common carrier, reimbursement will be based on the prevailing mileage rate, but will not exceed air coach rate to and from the destination plus local transportation costs. When travel is to a local seminar, mileage reimbursement will be calculated based on the shortest distance to the seminar from home or from work. Reasonable costs for parking and tolls will be reimbursed. 3. Lodging/Telephone: a. Lodging: Employees should limit their stay to a minimum number of nights. Reimbursement for the daily cost of lodging includes only the single occupancy room rate and applicable taxes unless shared by more than one District employee. When making reservations for lodging, attempts should be made to obtain a discounted or governmental agency rate. District travelers are expected to use good quality, but reasonably priced hotels or motels wherever practical. (The conference hotel, or its equivalent, at the conference rate, is acceptable lodging for District business.) When attending conferences, a block of hotel rooms may be offered at a reduced rate. Nevertheless, travelers should check to see if a lower rate, at the same facility, is available. Hotels will be paid for by personal credit card or by acquiring a cash advance for the hotel before the conference. (Make sure when checking out of hotels that they do not charge for any nights that the District has paid for in advance such as first nights deposit to hold room). If the traveler requires a cash advance and possesses a procurement card, they may be allowed to pay for the hotel costs on that card once they check out at the end of the conference if prior approval by their Division Manager is given in order to avoid the need for a cash advance. b. Telecommunication: On authorized travel, necessary business- related telephone calls, faxes and modem connections incurred may be reimbursed. The cost of personal telephone calls made while attending a seminar will be borne by the employee. However, employees are allowed one personal call of reasonable length and cost per day at District expense. The District's Controller shall make the final determination of reasonable duration and cost on a case -by -case basis. 4. Meals: The cost of each meal is to be reported separately on a daily basis and covers the District traveler only. Receipts for all claimed meals should be included with the travel expense report. The cost of meals includes taxes and tips or service charges as applicable. Purchases of alcoholic beverages shall not be reimbursed. The maximum reimbursement for meals is $64 per day, given proper documentation by providing receipts. In cases where the individual signs up for meals that have a separate cost in addition to the conference registration, that meal would be excluded from the daily allowance. If a District traveler is accompanied by a spouse or guest and the District or a District staff person covers the cost, the District traveler will be billed for the cost of his /her spouse /guest's meal or other related costs. If the guest is a business associate, the cost may be reimbursable. See criteria and requirements in Paragraph 6, Special Expenses Paid by Employee, below. BP 008 Page 5 of 5 5. Travel Advances: A request for a travel advance must be made at least two weeks prior to travel by submitting a completed Payment Authorization Request form to Accounting. There will be no travel advances for the cost of airline travel due to the District's payment for the ticket in advance. Advances must be utilized immediately and accounted for within two weeks after completion of a trip. No additional advances will be granted before settlement of an outstanding advance. In the event an advance remains open beyond 30 days, the District may elect to deduct the amount advanced from the employee's next regular paycheck. 6. Special Expenses Paid by Employee such as Meals for Business Associates: Report only expenses paid by cash, personal check, or credit card. Meal expenses, to be reimbursable, must be an expenditure necessary for the transaction of District business. The Internal Revenue Code requires that specific details showing names of guests and employees, cost, date and place, business purpose, and the business relationship of individuals be supplied. Attach receipts whenever possible. Receipts for expenditures of $25 or more are required. 7. Travel Expense Reimbursement Reports: Travel Expense Reimbursement Reports must be legible and in all cases be signed in ink by both the employee and the Division Manager. Each expense shall be clearly and accurately identified and shown on the Report on the day the expense was actually incurred. Report all expenses paid by cash, personal check, credit card, and those paid directly by the District. Auditing and control procedures of the District require that receipts substantiating travel expenses be provided by the traveler whenever possible. Original receipts, including hotel statements, airline ticket stubs, car rental invoices, credit card receipts, paid invoices, or any receipt, which shows the date, location, nature and amount of the expenditure, shall be attached to the Report. When a receipt is not available and the expense is more than $25.00, the traveler shall provide a statement detailing the expenditures and explaining the reason for the lack of a valid receipt. However, in accordance with Government Code 53232.3 and Assembly Bill 1234, elected and appointed officials are required to submit receipts documenting each expense claimed. All documents related to reimbursable agency expenditures are public records, subject to disclosure under California Public Records Act. In addition, AB 1234 requires Board members to provide a report, written or verbal, to the Board in open session on the event, conference, seminar or training attended, to be agendized within 30 days of the event. Number: BP 009 Authority: Board of Directors Effective: December 3, 2009 Revised: Reviewed: Initiating Dept. /Div.: Administration BOARD POLICY Central Contra Costa Sanitary District MANAGER CELL PHONE REIMBURSEMENT POLICY PURPOSE To establish a cell phone policy to reimburse Managers for the use of their personal cell phone to conduct District business, with the goal of providing an efficient method of enhancing District communications and improving productivity, and to facilitate the establishment and maintenance of a key component of the District communications network in the event of an emergency. POLICY All Managers will be eligible for cell phone reimbursement in accordance with the terms of the Management MOU in effect at the time. 2. Effective January 1, 2010, until further change, Managers who have cell phones will have two options: a. If the Manager has a regular cell phone, the prior policy of reimbursement of up to $50 for the monthly service fee is.still available. The Manager must give Accounting a copy of their annual service contract and a copy of their billing statement, which will be kept on file by Accounting. b. If the Manager wishes to purchase a smart phone (e.g. Blackberry, iPhone, etc), they will be reimbursed half the cost of the purchase price of the phone (up to $150) and up to $100 per month for the monthly service fee. The Manager must give Accounting a copy of the receipt for the purchase of the smart phone, and a copy of their billing statement, which will be kept on file by Accounting. Smart phones purchased on or after June 18, 2009 would be eligible for reimbursement. BP 009 Page 2 of 2 Managers may purchase new smart phones not more frequently than every two years and receive half the purchase price (up to $150). If, in the interim, the phone is lost or damaged, the Manager is fully responsible for its replacement. 3. The monthly allowance will be included in the paycheck, and is taxable income. The Manager will be taxed according to the regulations contained in the IRS Code. 4. The Manager is responsible for the cost of any technical support on the cell phone. The phone service provider should be contacted for instructions on use, not IT. It is strongly recommended that the insurance plan for the phone be purchased. 5. The Department Director must notify the appropriate departments within three days of any changes to a Manager's status that would affect their eligibility to continue to receive a cell phone allowance. 6. The Manager must sign an agreement with the District stating that they will be reimbursed monthly through payroll, and will notify the District immediately if the service agreement is terminated. 7. It is a requirement to set up a password to block access to the District e -mail account should the phone be lost or stolen. 8. Software required for two -way synchronization between Groupwise and the smart phone will be paid annually by the District. 9. Additional long- distance business - related calls will be reimbursed through petty cash. 10. Employees who are not assigned a cell phone may request reimbursement for any actual expenses incurred resulting from the use of their personal cell phone for District business upon approval of their Department Director. 0 Number: BP 010 Authority: Board of Directors Effective: January 7, 1999 Revised: February 1, 2001, September 5, 2002, October 4, 2012 Reviewed: Initiating Dept. /Div.: Engineering /Env. Services BOARD POLICY • r r r � r r � ! l — CONTRACTUAL ASSESSMENT DISTRICT POLICY STATEMENT PURPOSE The purpose of the Contractual Assessment District (CAD) program is to provide financial assistance to small groups of homeowners with inadequate septic tank systems so that they may extend the public sewer system to serve their properties. The intent of the CAD program is to assist single family homeowners with failing or inadequate septic tanks who might not otherwise have the means to finance the cost of extending the public sewer. The CAD program is intended for residential properties, primarily owner - occupied, and not commercial properties. POLICY Introduction This policy statement for the CAD program establishes the criteria for formation of CAD projects, the process for the CAD program and methodology for allocating costs and assessments among CAD participants. CADs are small assessment districts formed pursuant to Streets and Highways Code Section 5898, et seq. to extend sewer facilities to residential areas currently served by septic tank and leachfield systems. The District Board of Directors first approved a CAD Policy Statement in January 1999. Also, at that time, the Board authorized $1,000,000 per fiscal year for three fiscal years beginning July 1998 and ending June 2001. This funding level continues to be evaluated each year and a suggested level of funding is approved by the Board and included in the Capital Improvement Budget. The Board also evaluates the effectiveness of the CAD program from time to time. While the CAD policy is intended to treat similar properties in a similar fashion, applicants may appeal to the Board of Directors to consider exceptions if they believe there is a benefit to the environment or to the District that would warrant such an exception. r BP 010 Page 2 of 8 CAD Program Fundinq The District will continue with the policy of a $1,000,000 per year budgetary ceiling for CADs during the fiscal years 2001 -02 and 2002 -03. This ceiling amount is to be calculated based on the total allocation to CAD projects receiving Board approval during each fiscal year. The Board of Directors, in their discretion, may modify this program, including increasing or decreasing the budgetary ceiling, at anytime. Nothing in this policy is intended to bind the District to continue with the program for any predetermined time period, nor does it create any right or entitlement in favor of potential program participants. In the absence of any intervening action of the Board of Directors, it will review the effectiveness of the CAD program at or near the end of Fiscal Year 2002 -03. Definitions • A Contractual Assessment District (CAD) is a legal entity established pursuant to Streets and Highways Code Chapter 5898 for the purpose of financing the construction of sewers in residential areas currently being served by septic tanks. • Parcel or property denotes in this policy a piece of residential real estate, including land and anything permanently affixed to the land, including buildings. The terms "parcel" and "property" have the same meaning herein and shall refer to the divisions of property as indicated on County Assessor's Parcel maps. • Participants are owners of properties directly tributary to the proposed facilities who voluntarily agree to enter into a CAD contract. • Non - participants are owners of properties directly tributary to the proposed facilities who do not to enter into a CAD contract. Non - participants will not be assessed for their share of the sewer improvement costs until the time of connection. • Non - participant reimbursement fees are fees collected from owners of non- participant parcels at the time of connection to the sewer to reimburse current participant parcel owners for the non - participant parcel's share of the cost of sewer improvements installed under the CAD. Criteria for Formation In order to be eligible for participation in the District's CAD assessment financing program, the proposed sewer extension project must meet the CAD formation criteria. District staff will make a threshold eligibility determination and will provide proponents with a written determination of eligibility. The criteria are as follows: A minimum of five properties must be directly tributary to the proposed CAD facilities. BP 010 Page 3 of 8 2. A minimum of 60 percent of the properties directly tributary to the proposed CAD facilities must have existing homes served by the septic tank systems. 3. A participant parcel may not have more than two (2) dwellings to participate in a CAD. Notwithstanding the above - listed criteria, the District's decision as to whether to form a CAD will be determined on a case -by -case basis and is at the sole discretion of the Board of Directors. The Board may consider technical, economic, staffing, budgetary, environmental and other factors in its consideration of whether to form a CAD. CAD Formation Process There are several staff -level actions and three Board approval steps in the CAD process. The District Board of Directors will consider approval of individual CAD projects which staff has determined meet the formation criteria. The following Board actions are required: (1) initiation of a CAD; (2) approval of the Engineer's Report and assessments, ordering of the improvements, and approval of the CAD election; and (3) approval and levying of final assessments. Initial Actions Small groups of property owners may be eligible for a CAD if (1) they occupy houses served by septic tanks, and (2) they seek a sewer main extension to provide for connection to the District system. District staff will work with the owners to explain the CAD process. If a sufficient number of property owners and the District remain interested in proceeding with a CAD and the criteria for CAD formation appears to be met, the District will consider initiation of a CAD. Property owners will be requested to submit letters indicating their interest in formation of a CAD. Property owners will also be requested to submit annexation petitions if their properties are not already part of the District. Staff will issue a letter setting forth its initial determination of eligibility for the CAD program. 2. If District staff determines that a proposed CAD does not meet the formation criteria, staff will notify the property owners in the proposed CAD of the staff decision in writing. Property owners may appeal this staff decision to the District Board of Directors in accordance with Chapter 1.16 of the District Code except as modified by this policy. This policy allows property owners 30 days to request an appeal of a staff decision. The Secretary of the District will schedule the matter for a hearing before the Board of Directors and provide written notice of the time and place of that hearing to the affected property owners. BP 010 Page 4 of 8 Creation of Assessment District Participants are required to retain an engineer to design and solicit bids for the private work (the sewer facilities). 2. An Engineer's Report estimating project costs and assessment levels will be prepared by the District in accordance with state law. Residents will have 18 months from when the District initiates formation of a CAD to submit sewer plans, construction bids and other information necessary for the District to prepare an Engineer's Report. 3. The District will distribute Notices of Proposed Assessment and conduct an election in accordance with state law by which property owners may indicate their approval of or opposition to the proposed assessment. 4. The Board of Directors will conduct a public hearing to announce the outcome of the election and receive public comment about the proposed assessment. In addition, the public hearing will be to receive comments on annexation of properties in a CAD if a public hearing is required as part of the annexation process. 5. Following the public hearing, Board of Directors will determine the election results and consider approval of the Engineer's Report, preliminary assessments, and the CAD improvements. 6. If the proponent property owners do not provide all necessary information, including approved plans and construction bids, within 18 months of District's initiation of CAD proceedings, the CAD process will be terminated. Assessment Contract and Construction Following approval by the Board of Directors of the Engineer's Report and CAD improvements, the participants must enter into a written contract with the District which describes the responsibilities of the parties, the work, and the provisions for payments. 2. The District will undertake the procedural requirements to form the CAD, and will review the plans for compliance with District standards, finance the work, and establish the assessments. 3. Participants are required to hire a contractor and to supervise the construction of the private works CAD facilities. The District will have no contractual relationship with the contractor and will not provide construction management or site supervision; however, the District will inspect the project consistent with prevailing District inspection procedures. BP 010 Page 5 of 8 4. The District will accept the work if the work is done in accordance with District standards. 5. Participants shall be required to provide all project cost records and related information. District staff will review project costs, evaluate eligible project costs, and determine the proposed final assessments. The Board of Directors will then consider approval and levying of the final assessments. Payments and Assessments 1. Unless limited by other provisions of this policy, each participant shall have the option to pay for his share of CAD expenses after the work is completed by either (1) lump sum cash payment or (2) by contractually subjecting his property to an annual assessment, including interest, over the term of the CAD. Regardless of the payment option chosen, participants pay all costs of the sewer main extension and other appurtenant facilities required to bring service to the participants' parcels. The existence or non - existence of potential non - participant connectors shall not affect the obligation of the participants to pay for all costs associated with the project. 2. The term of the participants' assessment (payback period) shall be ten years. The interest rate shall be fixed when the contract between the participants and the District is signed for the District by the General Manager. The annual interest rate for assessments shall be one percent (1 %) above the current average interest rate on District temporary investments or an interest rate of six percent (6 %), whichever is greater.' 3. Participants are limited to use of the ten -year annual assessment payment option for a single parcel at any given time. If a person(s) owns two or more parcels in the same CAD or different CADs, that person(s) may be a participant for more than one parcel, but will be eligible for the annual assessment option for a single parcel. The shares of the CAD expenses for the other parcels must be paid by the lump sum payment option. 4. In the event a participant is not eligible for the CAD assessment financing option, the participant shall make a full lump sum payment prior to initiation of contract based on the preliminary assessment figures set forth in the Engineer's Report. Return of any excess payment or additional required payments shall be made at the time of fixing of final assessments. 5. The assessments shall be equal for each participant's parcel unless otherwise provided for in the contract and documents creating the CAD. If an existing participant's parcel can be legally subdivided, there are two dwellings currently The language regarding the minimum 6% interest resulted from an amendment adopted September 5, 2002 via Resolution No. 2002 -071. BP 010 Page 6 of 8 existing on a single parcel, or other cost -of- service related factors justifying differing assessments are present, said parcel may be assigned more than one assessment. 6. The costs of the work associated with sanitary sewer mains, manholes, rodding inlets and private sewer laterals within public streets or rights of way may be included as eligible costs of the CAD. Eligible CAD costs may also include costs for other appurtenances within public streets or rights of way necessary to bring the sewer service to the participants. The cost of septic tank abandonment, installation of the private sewer laterals (not within a public street or public right of way), and District fees and charges customarily due upon connection to the public sewer shall be excluded from CAD financing. For purposes of this paragraph, "rights of way" shall include public or private roads providing legal ingress and egress to multiple parcels. 7. The CAD assessments will be imposed on each participant's parcel and recorded as a lien against the parcel. The assessment will include the principal and interest and will be collected on the property tax bill as an assessment along with taxes and other assessments and charges on the subject parcel. CAD Non - Participant Reimbursement Fees 1. CAD non - participant reimbursement fees will be established by the District Board of Directors in accordance with District practice and the CAD contract if District staff determines that there are non - participant parcels which could connect to the CAD facility. The District will collect CAD non - participant reimbursement fees for a period of 20 years from the date of the CAD formation. The obligation of a non- participant parcel owner to pay a reimbursement fee upon connection to a CAD sewer will expire after the 20 -year period. 2. CAD non - participant reimbursement fees will be established by the Board after a public hearing and after final assessments have been established. 3. For purposes of calculating the amount of a CAD non - participant reimbursement fee to be applied to a subsequently connecting parcel, a non - participant parcel will be treated as a participant parcel for the purposes of calculation and distribution of subsequently collected reimbursement fees. 4. CAD non - participant reimbursement fees will be calculated by dividing the total CAD cost by the current number of participants. The number of participants for this purpose shall include the total of the original and subsequent connectors, and the current non - participant reimbursement fee payor. The following example illustrates this calculation process. BP 010 Page 7 of 8 Assume: Total assessments to be paid = $80,000; there are 4 original participants and 4 non- participants. Each of the 4 original participants assumes a $20,000 assessment. REIMBURSEMENT FEE CALCULATION Non - Participant Fee Credit to Each Prior Net Cost to All Connection Participant Participants First $80,000 - 5 = $16,000 - 4 = $20,000 - 4,000 $16,000 $4,000 $16,000 Second $80,000 - 6 = $13 333 - 5 = $16,000 -2,667 $13,333 $2,667 $13,333 Third $80,000 - 7 = $11,429 - 6 = $13,333 -1,904 $11,429 $1,904 $11,429 Fourth $80,000 T 8= $10,000 T 7= $111,4 9 $10,000 $1,429 $10,000 6. As non - participating owners connect their homes to the sewer extension, District staff will collect a CAD non - participant reimbursement fee from each newly connecting non - participant parcel owner. Each newly received CAD non- participant reimbursement fee will be divided uniformly among the current owners of participant parcels. The owner(s) of the participant parcel at the time of the distribution shall receive any excess amount of a reimbursement share over that needed to extinguish any remaining CAD assessment, such amount to be limited to the total amount of CAD assessments or lump sum payment paid by the then current parcel owner(s), reduced by other excess reimbursement amounts previously paid to this same parcel owner(s). The District will forward a notification of available funds and a verification form to the current participant parcel owner(s) at the address reflected in the then current Assessor's records. Upon receipt of a properly completed verification form by the District, the District will forward a check to the then current participant parcel owner in the amount of the participant parcel owner's share as determined herein. 7. The District shall have no affirmative responsibility to locate the eligible participant parcel owner(s), other than to mail notice to the Assessor's address 2 After a non - participant parcel owner pays their reimbursement fee, the non - participant parcel owner becomes a participant for the purpose of further reimbursement fee calculations. BP 010 Page 8 of 8 for the parcel owner; nor shall the District be required to attempt to contact an eligible owner's estate, or heirs, nor to locate or protect other potential interest holders. Any proceeds from collections of CAD non - participant reimbursement fees which are held by the District for over three years due to inaction on the part of an eligible owner, or excess proceeds from CAD non - participant reimbursement fees accumulated pursuant to the procedures set forth herein, will become the property of the District. T Number: BP 011 Authority: Board of Directors Effective: March 17, 2011 Revised: Reviewed: Initiating Dept. /Div.: Administration BOARD POLICY Central Contra Costa Sanitary District 1 POLICY FOR THE SUBMISSION AND TABULATION OF PROPOSITION 218 NOTICE PROTESTS PURPOSE The purpose of the Policy for the Submission and Tabulation of Proposition 218 Notice Protests is to clarify the District's process for handling protests of Proposition 218 Notices. POLICY This policy statement for handling protests establishes the criteria for handling written protests of Proposition 218 Notices. According to Article XIIID of the California Constitution and California Government Code section 53755, an owner or tenant of a parcel receiving a property- related service may, after receiving notice (Proposition 218 Notice) of a proposed increase in a fee or charge, submit a written protest to the proposed increased fee or charge. This policy was established to adopt more detailed guidelines for the submission and tabulation of the written protests. The validity of written protests that are signed by the owner or tenant would allow validation in the event of a challenge or suspected irregularity. PROCEDURES Submittal of Protests Any property owner and /or tenant of a parcel may submit a written protest to the Secretary of the District. 2. To be valid, a written protest must bear the signature of the record owner or tenant with respect to the property identified and may not have been altered by anyone who did not sign the protest. Each protest must identify the affected property by Assessor's Parcel Number or street address. 1% BP 011 Page 2 of 3 3. Protests may be delivered to the Secretary of the District or submitted at the public hearing. Protests may be delivered by personal delivery, mail, fax, or e- mail (pdf). Preferably, mailed protests will note on the envelope, "Sewer Service Charge Protest." Protests must be received by the end of the public hearing. No postmarks will be accepted. 4. Only one protest will be counted per parcel. If a signed written protest is received from both the property owner and tenant, only one protest will be counted. If a parcel served by the District is owned by more than a single record owner, either or both owners may submit a protest, but only one protest will be counted per parcel and any one protest submitted in accordance with these rules will be sufficient to count as a protest for that property. 5. Any person who submits a protest may withdraw it by submitting to the Secretary of the District a writing requesting that the protest be withdrawn. The withdrawal of a protest shall contain sufficient information to identify the affected parcel and the name of the record owner or tenant who submitted both the protest and the request that it be withdrawn. 6. The Board welcomes input from the community at any time, including during the public hearing on the proposed charges, but only written protests will be counted as formal protests. Other electronic means of communication which are not fully compliant with the signature and informational requirements set forth herein shall not be considered as valid protests. 7. To ensure transparency and accountability in the protest process, protests shall be maintained in confidence from their receipt until disclosure of the number of protests at the public hearing, at which time they shall become disclosable public records. Tabulation of Protests The Secretary of the District shall determine the validity of all protests. The Secretary shall not accept as valid any protest if the Secretary determines that any of the following conditions exist: a. The protest does not identify a property served by the District; b. The protest does not bear a signature of a record owner or tenant of the parcel identified on the protest; C. The protest does not clearly state its opposition to the proposed charges; d. The protest was not received by the Secretary before the close of the public hearing on the fee increase; e. A request to withdraw a previously- submitted protest is received prior to the close of the public hearing on the proposed charge; f. The protest was altered by one other than the owner or tenant who signed it. 7 BP 011 Page 3of3 2. The Secretary of the District's decision that a protest is not valid or does not apply to a specific charge shall constitute a final action of the District and shall not be subject to any internal appeal. 3. A majority protest exists if written protests are timely submitted and not withdrawn by the record owners or tenants of a majority of the properties subject to the proposed charge. Number: BP 012 Authority: Board of Directors Effective: January 9, 2014 (Resolution 2014 -005) Revised: Reviewed: Initiating Dept. /Div.: Administration BOARD POLICY I � 1 PARLIAMENTARY PROCEDURES POLICY PURPOSE To adopt a set of parliamentary procedures to assist in conducting meetings of the Board of Directors in an orderly fashion with rules that establish order, are easy to understand, and preserve the will of the majority while protecting the rights of the minority. POLICY The proceedings of the Board shall be governed by the provisions of law applicable thereto and by Rosenberg's Rules of Order, as modified and incorporated herein by reference. RESOLUTION NO. 2014 -005 A RESOLUTION OF THE CENTRAL CONTRA COSTA SANITARY DISTRICT ADOPTING ROSENBERG'S RULES OF ORDER, WITH MODIFICATIONS, AS THE PARLIAMENTARY PROCEDURE FOR THE CONDUCT OF BOARD MEETINGS WHEREAS, the Board of Directors requested that the Policy Development and Internal Operations Committee look at options for possible adoption of a set of parliamentary procedures to assist with the conduct of District Board meetings; and WHEREAS, staff obtained information on the three most commonly -used sets of procedures: Roberts Rules of Order, Sturgis, and Rosenberg's Rules of Order; and WHEREAS, at its meeting of October 15, 2013, the Policy Development and Internal Operations Committee reviewed and compared the three options; and WHEREAS, the Policy Development and internal Operations Committee recommended adoption of Rosenberg's Rules of Order as the most suitable for District Board meetings; and WHEREAS, District Counsel has amended the rules to clarify voting requirements and how abstentions are counted. NOW, THEREFORE, BE IT RESOLVED by the Board of Directors of the Central Contra Costa Sanitary District as follows: The Board hereby adopts Rosenberg's Rules of Order, as amended, as the set of parliamentary procedures that will govern the conduct of Board meetings. PASSED AND ADOPTED this 9th day of January, 2014, by the Board of Directors of the District by the following vote: AYES: Members: Causey, McGill, Nejedly, Pilecki, Williams NOES: Members: None ABSENT: Members: None David R. Williams President of the Board of Directors Central Contra Costa Sanitary District County of Contra Costa, State of California COUNIEFBSIGNED: Elaine R. Boehme, CMC Secretary of the District Central Contra Costa Sanitary District County of Contra Costa, State f Califor ig Approved as to form: , ) (C U-A-- 11 Kenton L. AI r fffq- . Counsel for the District Rosenberg's Rules of order REVISED 2011 Simple Rules of Parliamentary Procedure for the 21st Century As revised by District Counsel By Judge Dave Rosenberg As adopted by Central Contra Costa Sanitary Board 1/9/14 TABLE OF CONTENTS About the Author ........................ ............................... ii Introduction ............................. ............................... 2 Establishing a Quorum ................. ............................... 2 The Role of the Chair .................. ............................... 2 The Basic Format for an Agenda Item Discussion ................ 2 Motions in General ..................... ............................... 3 The Three Basic Motions ............... ............................... 3 Multiple Motions Before the Body ... ............................... 4 To Debate or Not to Debate ........... ............................... 4 Majority and Super - Majority Votes .. ............................... 5 CountingVotes .......................... ............................... 5 The Motion to Reconsider ............. ............................... 6 Courtesy and Decorum ................. ............................... 7 Special Notes About Public Input .... ............................... 7 1 L LEA'GU Ee CITIES MISSION AND CORE BELIEFS To expand and protect local control for cities through education and advocacy to enhance the quality of life for all Californians. VISION To be recognized and respected as the leading advocate for the common interests of California's cities About the t ague of California Cities Established in 1898, the League of California Cities is a member organization that represents California's incorporated cities The League strives to protect the local authority and automony of city government and help California's cities effectively serve their residents. In addition to advocating on cities' behalf at the state capitol, the League provides its members with professional development programs and information resources, conducts education conferences and research, and publishes Western City magazine. O 2011 Leagne of California 0hei All nghta reserved. ABOUT THE AUTHOR Dave Rosenberg is a Superior Court Judge in Yolo County. He has served as presiding judge of his court, and as presiding judge of the Superior Court Appellate Division. He also has served as chair of the Trial Court Presiding Judges Advisory Committee (the committee composed of all 58 California presiding judges) and as an advisory member of the California Judicial Council. Prior to his appointment to the bench, Rosenberg was member of the Yolo County Board of Supervisors, where he served two terms as chair. Rosenberg also served on the Davis City Council, including two terms as mayor. He has served on the senior staff of two governors, and worked for 19 years in private law practice. Rosenberg has served as a member and chair of numerous state, regional and local boards. Rosenberg chaired the California State Lottery Commission, the California Victim Compensation and Government Claims Board, the Yolo -Solano Air Quality Management District, the Yolo County Economic Development Commission, and the YoIo County Criminal Justice Cabinet For many years, he has taught classes on parliamentary procedure and has served as parliamentarian for large and small bodies. INTRODUCTION The rules of procedure at meetings should be simple enough for most people to understand. Unfortunately, that has not always been the case. Virtually all clubs, associations, boards, councils and bodies follow a set of rules - Robert's Rules of Order — which are embodied in a small, but complex, book. Virtually no one I know has actually read this book cover to cover. Worse yet, the book was written for another time and for another purpose. If one is chairing or running a parliament, then Robert's Rules of Order is a dandy and quite useful handbook for procedure in that complex setting. On the other hand, if one is running a meeting of say, a five- member body with a few members of the public in attendance, a simplified version of the rules of parliamentary procedure is in order. Hence, the birth of Rosenberg's Rules of Order. What follows is my version of the rules of parliamentary procedure, based on my decades of experience chairing meetings in state and local government These rules have been simplified for the smaller bodies we chair on in which we participate, slimmed down for the 21st Century, yet retaining the basic tenets of order to which we have grown accustomed. Interestingly enough, Rosenberg's Rules has found a welcoming audience. Hundreds of cities, counties, special districts, committees, boards, commissions, neighborhood associations and private corporations and companies have adopted Rosenberg's Rules in lieu of Robert's Rules because they have found them practical, logical, simple, easy to learn and user friendly. This treatise on modern parliamentary procedure is built on a foundation supported by the following four pillars: I. Rules should establish order. The first purpose of rules of parliamentary procedure is to establish a framework for the orderly conduct of meetings. 2. Rules should be clear. Simple rules lead to wider understanding and participation. Complex rules create two classes: those who understand and participate; and those who do not fully understand and do not fully participate. 3. Rules should be user friendly. That is, the rules must be simple enough that the public is invited into the body and feels that it has participated in the process. 4. Rules should enforce the wilt of the majority while protecting the rights of the minority. The ultimate purpose of rules of procedure is to encourage discussion and to facilitate decision making by the body. In a democracy, majority rules. The rules must enable the majority to express itself and fashion a result, while permitting the minority to also express itself, but not dominate, while fully participating in the process. Establishing a Quorum The starting point for a meeting is the establishment of a quorum. A quorum is defined as the minimum number of members of the body who must be present at a meeting for business to be legally transacted. The default rule is that a quorum is one more than half the body. For example, in a five- member body a quorum is three. When the body has three members present, it can legally transact business. If the body has less than a quorum of members present, it cannot legally transact business. And even if the body has a quorum to begin the meeting, the body can lose the quorum during the meeting when a member departs (or even when a member leaves the dais). When that occurs the body loses its ability to transact business until and unless a quorum is reestablished. The default rule, identified above, however, gives way to a specific rule of the body that establishes a quorum. For example, the rules of a particular five- member body may indicate that a quorum is four members for that particular body. The body must follow the rules it has established for its quorum. In the absence of such a specific rule, the quorum is one more than half the members of the body. The Role of the Chair While all members of the body should know and understand the rules of parliamentary procedure, it is the chair of the body who is charged with applying the rules of conduct of the meeting. The chair should be well versed in those rules. For all intents and purposes, the chair makes the final ruling on the rules every time and the chair states an action. In fact, all decisions by the chair are final unless overruled by the body itself. Since the chair runs the conduct of the meeting, it is usual courtesy for the chair to play a less active role in the debate and discussion than other members of the body. This does not mean that the chair should not participate in the debate or discussion. To the contrary, as a member of the body, the chair has the full right to participate in the debate, discussion and decision - making of the body. What the chair should do, however, is strive to be the last to speak at the discussion and debate stage. The chair should not make or second a motion unless the chair is convinced that no other member of the body will do so at that point in time. The Basic Format for an Agenda Item Discussion Formal meetings normally have a written, often published agenda. Informal meetings may have only an oral or understood agenda. In either case, the meeting is governed by the agenda and the agenda constitutes the body's agreed -upon roadmap for the meeting. Each agenda item can be handled by the chair in the following basic format: First, the chair should clearly announce the agenda item number and should clearly state what the agenda item subject is. The chair should then announce the format (which follows) that will be followed in considering the agenda item. Second, following that agenda format, the chair should invite the appropriate person or persons to report on the item, including any recommendation that they might have. The appropriate person or persons may be the chair, a member of the body, a staff person, or a committee chair charged with providing input on the agenda item. Third, the chair should ask members of the body if they have any technical questions of clarification. At this point, members of the body may ask clarifying questions to the person or persons who reported on the item, and that person or persons should be given time to respond. Fourth, the chair should invite public comments, or if appropriate at a formal meeting, should open the public meeting for public input. If numerous members of the public indicate a desire to speak to the subject, the chair may limit the time of public speakers At the conclusion of the public comments, the chair should announce that public input has concluded (or the public hearing, as the case may be, is closed). Fifth, the chair should invite a motion. The chair should announce the name of the member of the body who makes the motion Sixth, the chair should determine if any member of the body wishes to second the motion The chair should announce the name of the member of the body who seconds the motion. It is normally good practice for a motion to require a second before proceeding to ensure that it is not just one member of the body who is interested in a particular approach. llswevef, a seeend i not an abselut and the Chia: 'W. seeend T1.: is a ..uef 1 ft •1 di ti of t ehair- Seventh, if the motion is made and seconded, the chair should make sure everyone understands the motion. This is done in one of three ways: 1. The chair can ask the maker of the motion to repeat it; 2. The chair can repeat the motion; or 3. The chair can ask the secretary or the clerk of the body to repeat the motion. Eighth, the chair should now invite discussion of the motion by the body. If there is no desired discussion, or after the discussion has ended, the chair should announce that the body will vote on the motion. If there has been no discussion or very brief discussion, then the vote on the motion should proceed immediately and there is no need to repeat the motion. If there has been substantial discussion, then it is normally best to make sure everyone understands the motion by repeating it. 3 Ninth, the chair takes a vote Simply asking for the "ayes" and then asking for the "nays" normally does this. If members of the body do not vote, then they "abstain " Unless the rules of the body provide otherwise (or unless a super majority is required as delineated later in these rules), then a simple majority (as defined in law or the rules of the body as delineated later in these rules) determines whether the motion passes or is defeated. Tenth, the chair should announce the result of the vote and what action (if any) the body has taken. In announcing the result, the chair should indicate the names of the members of the body, if any, who voted in the minority on the motion. This announcement might take the following form: "The motion passes by a vote of 3 -2, with Smith and Jones dissenting. We have passed the motion requiring a 10 -day notice for all future meetings of this body." Motions in General Motions are the vehicles for decision making by a body. It is usually best to have a motion before the body prior to commencing discussion of an agenda item. This helps the body focus Motions are made in a simple two -step process. First, the chair should recognize the member of the body. Second, the member of the body makes a motion by preceding the member's desired approach with the words "I move ..." A typical motion might be: "I move that we give a 10 -day notice in the future for all our meetings." The chair usually initiates the motion in one of three ways: 1. Inviting the members of the body to make a motion, for example, "A motion at this time would be in order." 2. Suggesting a motion to the members of the body, "A motion would be in order that we give a 10 -day notice in the future for all our meetings." 3. Making the motion. As noted, the chair has every right as a member of the body to make a motion, but should normally do so only if the chair wishes to make a motion on an item but is convinced that no other member of the body is willing to step forward to do so at a particular time. The Three Basic Motions There are three motions that are the most common and recur often at meetings: The basic motion. The basic motion is the one that puts forward a decision for the body's consideration. A basic motion might be: "I move that we create a five - member committee to plan and put on our annual fundraiser." The motion to amend. If a member wants to change a basic motion that is before the body, they would move to amend it. A motion to amend might be: "I move that we amend the motion to have a 10- member committee." A motion to amend takes the basic motion that is before the body and seeks to change it in some way. The substitute motion. If a member wants to completely do away with the basic motion that is before the body, and put a new motion before the body, they would move a substitute motion. A substitute motion might be: "I move a substitute motion that we cancel the annual fundraiser this year." "Motions to amend" and "substitute motions" are often confused, but they are quite different, and their effect (if passed) is quite different. A motion to amend seeks to retain the basic motion on the floor, but modify it in some way. A substitute motion seeks to throw out the basic motion on the floor, and substitute a new and different motion for it. The decision as to whether a motion is really a "motion to amend" or a "substitute motion" is left to the chair. So if a member makes what the member calls a "motion to amend," but the chair determines that it is really a "substitute motion," then the chair's designation governs. A "friendly amendment" is a practical parliamentary tool that is simple, informal, saves time and avoids bogging a meeting down with numerous formal motions. It works in the following way: In the discussion on a pending motion, it may appear that a change to the motion is desirable or may win support for the motion from some members. When that happens, a member who has the floor may simply say, "I want to suggest a friendly amendment to the motion." The member suggests the friendly amendment, and if the maker and the person who seconded the motion pending on the floor accepts the friendly amendment, that now becomes the pending motion on the floor. If either the maker or the person who seconded rejects the proposed friendly amendment, then the proposer can formally move to amend. Multiple Motions Before the Body There can be up to three motions on the floor at the same time. The chair can reject a fourth motion until the chair has dealt with the three that are on the floor and has resolved them. This rule has practical value. More than three motions on the floor at any given time is confusing and unwieldy for almost everyone, including the chair. When there are two or three motions on the floor (after motions and seconds) at the same time, the vote should proceed first on the last motion that is made. For example, assume the first motion is a basic "motion to have a five - member committee to plan and put on our annual fundraiser." During the discussion of this motion, a member might make a second motion to "amend the main motion to have a 10- member committee, not a five - member committee to plan and put on our annual fundraiser." And perhaps, during that discussion, a member makes yet a third motion as a "substitute motion that we not have an annual fundraiser this year." The proper procedure would be as follows: First, the chair would deal with the third (the last) motion on the floor, the substitute motion. After discussion and debate, a vote would be taken first on the third motion. If the substitute motion passed, it would be a substitute for the basic motion and would eliminate it. The first motion would be moot, as would the second motion (which sought to amend the first motion), and the action on the agenda item would be completed on the passage by the body of the third motion (the substitute motion). No vote would be taken on the first or second motions. Second, if the substitute motion failed, the chair would then deal with the second (now the last) motion on the floor, the motion to amend. The discussion and debate would focus strictly on the amendment (should the committee be five or 10 members). If the motion to amend passed, the chair would then move to consider the main motion (the first motion) as amended. If the motion to amend failed, the chair would then move to consider the main motion (the first motion) in its original format, not amended. Third, the chair would now deal with the first motion that was placed on the floor. The original motion would either be in its original format (five- member committee), or if amended, would be in its amended format (10- member committee). The question on the floor for discussion and decision would be whether a committee should plan and put on the annual fundraiser. To Debate or Not to Debate The basic rule of motions is that they are subject to discussion and debate. Accordingly, basic motions, motions to amend, and substitute motions are all eligible, each in their turn, for full discussion before and by the body. The debate can continue as long as members of the body wish to discuss an item, subject to the decision of the chair that it is time to move on and take action. There are exceptions to the general rule of free and open debate on motions. The exceptions all apply when there is a desire of the body to move on. The following motions are not debatable (that is, when the following motions are made and seconded, the chair must immediately call for a vote of the body without debate on the motion): Motion to adjourn. This motion, if passed, requires the body to immediately adjourn to its next regularly scheduled meeting. It requires a simple majority vote. Motion to recess. This motion, if passed, requires the body to immediately take a recess. Normally, the chair determines the length of the recess which may be a few minutes or an hour. It requires a simple majority vote. Motion to i"ix the time to adjourn. This motion, if passed, requires the body to adjourn the meeting at the specific time set in the motion. For example, the motion might be: "I move we adjourn this meeting at midnight." It requires a simple majority vote. Motion to table. This motion, if passed, requires discussion of the agenda item to be halted and the agenda item to be placed on "hold." The motion can contain a specific time in which the item can come back to the body. "I move we table this item until our regular meeting in October." Or the motion can contain no specific time for the return of the item, in which case a motion to take the item off the table and bring it back to the body will have to be taken at a future meeting. A motion to table an item (or to bring it back to the body) requires a simple majority vote. Motion to limit debate. The most common form of this motion is to say, "I move the previous question" or "I move the question" or "I call the question" or sometimes someone simply shouts out "question." As a practical matter, when a member calls out one of these phrases, the chair can expedite matters by treating it as a "request" rather than as a formal motion. The chair can simply inquire of the body, "any further discussion ?" If no one wishes to have further discussion, then the chair can go right to the pending motion that is on the floor. However, if even one person wishes to discuss the pending motion futther, then at that point, the chair should treat the call for the "question" as a formal motion, and proceed to it. When a member of the body makes such a motion ( "I move the previous question "), the member is really saying: "I've had enough debate. Let's get on with the vote." When such a motion is made, the chair should ask for a second, stop debate, and vote on the motion to limit debate. The motion to limit debate requires a two- thirds vote of the body. NOTE: A motion to limit debate could include a time limit. For example: "I move we limit debate on this agenda item to 15 minutes." Even in this format, the motion to limit debate requires a two- thirds vote of the body. A similar motion is a motion to object to consideration of an item. This motion is not debatable, and if passed, precludes the body from even considering an item on the agenda. It also requires a two- thirds vote. Majority and Super Majority Votes In a democracy, a simple majority vote determines a question. A tie vote means the motion fails. So in a seven- member body, a vote of 4 -3 passes the motion. A vote of 3 -3 with one abstention means the motion fails. If one member is absent and the vote is 3 -3, the motion still fails. All motions require a simple majority, but there are a few exceptions. The exceptions come up when the body is taking an action which effectively cuts off the ability of a minority of the body to take an action or discuss an item. These extraordinary motions require a two - thirds majority (a super majority) to pass Motion to limit debate. Whether a member says, "I move the previous question," or "I move the question," or "I call the question," or "I move to limit debate," it all amounts to an attempt to cut off the ability of the minority to discuss an item, and it requires a two- thirds vote to pass. Motion to close nominations. When choosing officers of the body (such as the chair), nominations are in order either from a nominating committee or from the floor of the body. A motion to close nominations effectively cuts off the right of the minority to nominate officers and it requires a two - thirds vote to pass. Motion to object to the consideration of a question. Normally, such a motion is unnecessary since the objectionable item can be tabled or defeated straight up. However, when members of a body do not even want an item on the agenda to be considered, then such a motion is in order. It is not debatable, and it requires a two - thirds vote to pass. Motion to suspend the rules. This motion is debatable, but requires a two- thirds vote to pass. If the body has its own rules of order, conduct or procedure, this motion allows the body to suspend the rules for a particular purpose. For example, the body (a private club) might have a rule prohibiting the attendance at meetings by non -club members. A motion to suspend the rules would be in order to allow a non -club member to attend a meeting of the club on a particulate date or on a particular agenda item. Counting Votes The matter of counting votes starts simple, but can become complicated. Usually, it's pretty easy to determine whether a particular motion passed or whether it was defeated. If a simple majority vote is needed to pass a motion, then one vote more than 50 percent of the body is required. For example, in a five - member body, if the vote is three in favor and two opposed, the motion passes. If it is two in favor and three opposed, the motion is defeated. If a two - thirds majority vote is needed to pass a motion, then how many affirmative votes are required? The simple rule of thumb is to count the "no" votes and double that count to determine how many "yes" votes are needed to pass a particular motion. For example, in a seven - member body, if two members vote "no" then the "yes" vote of at least four members is required to achieve a two - thirds majority vote to pass the motion. What about tie votes? In the event of a tie, the motion always fails since an affirmative vote is required to pass any motion. For example, in a five- member body, if the vote is two in favor and two opposed, with one member absent, the motion is defeated. Vote counting starts to become complicated when members vote "abstain" or in the case of a written ballot, cast a blank (or unreadable) ballot. Do these votes count, and if so, how does one count them? The starting point is always to check the statutes. In California, for example, for an action of a board of supervisors to be valid and binding, the action must be approved by a majority of the board. (California Government Code Section 25005.) Typically, this means three of the five members of the board must yote affirmatively in favor of the action. A vote of 2- 1 would not be sufficient. A vote of 3 -0 with two abstentions would be sufficient. In general law cities in California, as another example, resolutions or orders for the payment of money and all ordinances require a recorded vote of the total members of the city council. (California Government Code Section 36936.) Cities with charters may prescribe their own vote requirements. Local elected officials are always well- advised to consult with their local agency counsel on how state law may affect the vote count. "these After- eeftsultifirg ., state swees, step numbeF two is to ebeek mler, ef the body. if the rules ef the bedy say that yeti eouatvetes ef ,) if the rules a f!b bed, .�. ..t r these vetes '!present Md J o+ And if the mles-ef&ew subjeet; then vetes #at are "present and setiff,—" Aeeerdinglj, Where there is a no statutory super majority requirement, the eeneral rule and the default rule is to proceed under the `present and voting rule" with regard to how to count abstentions. Uender the "present and voting" system, you would NOT count abstention votes on the motion Members who abstain are counted for purposes of determining quorum (they are "present "), but you treat the abstention votes on the motion as if they did not exist (they are not "voting "). , ' abstention « Holy does this rvo)k in practice? Here are a few examples. Assume that a five- member city council is voting on a motion that requires a simple majority vote to pass, and assume further that the body has no specific rule on counting votes. Accordingly, the default rule kicks in and we count all votes of members that are "present and voting." If the vote on the motion is 3 -2, the motion passes. If the motion is 2 -2 with one abstention, the motion fails. Assume a five- member city council voting on a motion that requires a two- thirds majority vote to pass, and further assume that the body has no specific rules on counting votes. Again, the default rule applies. If the vote is 3 -2, the motion fails for lack of a two - thirds majority. If the vote is 4 -1, the motion passes with a clear two - thirds majority. A vote of three "yes," one "no" and one "abstain" also results in passage of the motion. Once again, the abstention is counted only for the purpose of determining quorum, but on the actual vote on the motion, it is as if the abstention vote never existed - so an effective 3 -1 vote is clearly a two - thirds majority vote. .< „ _- r.._......., Now, exactly how does a member cast an "abstention" vote? Any time a member votes "abstain" or says, "I abstain," that is an abstention. However, if a member votes "present" that is also treated as an abstention (the member is essentially saying, "Count me for purposes of a quorum, but my vote on the issue is abstain. ") In fact, any manifestation of intention to vote either "yes" or "no" on the pending motion may be treated by the chair as an abstention. If written ballots are cast, a blank or unreadable ballot is counted as an abstention as well. Can a member vote "absent" or "count me as absent ?" Interesting question. The ruling on this is up to the chair. The better approach is for the chair to count this as if the member had left his /her chair and is actually "absent." That, of course, affects the quorum. However, the chair may also treat this as a vote to abstain, particularly if the person does not actually leave the dais. The Motion to Reconsider There is a special and unique motion that requires a bit of explanation all by itself; the motion to reconsider. A tenet of parliamentary procedure is finality. After vigorous discussion, debate and a vote, there must be some closure to the issue. And so, after a vote is taken, the matter is deemed closed, subject only to reopening if a proper motion to consider is made and passed. A motion to reconsider requires a majority vote to pass like other garden- variety motions, but there are two special rules that apply only to the motion to reconsider. First, is the matter of timing. A motion to reconsider must be made at the meeting where the item was first voted upon- A motion to reconsider made at a later time is untimely. (The body, however, can always vote to suspend the rules and, by a two - thirds majority, allow a motion to reconsider to be made at another time.) Second, a motion to reconsider may be made only by certain members of the body. Accordingly, a motion to reconsider may be made only by a member who voted in the majority on the original motion. If such a member has a change of heart, he or she may make the motion to reconsider (any other members of the body - including a member who voted in the minority on the original motion - may second the motion). If a member who voted in the minority seeks to make the motion to reconsider, it must be ruled out of order. The purpose of this rule is finality. If a member of minority could make a motion to reconsider, then the item could be brought back to the body again and again, which would defeat the purpose of finality. If the motion to reconsider passes, then the original matter is back before the body, and a new original motion is in order. The 6 0 thiFds majefity veie ie pass, but Row assuffle- dh_;& 1-he h-04 DOES- have a speeifia r .1. sy. ..b i : h • F mew�bm K 11 r ifie ,i., Y r - .< „ _- r.._......., Now, exactly how does a member cast an "abstention" vote? Any time a member votes "abstain" or says, "I abstain," that is an abstention. However, if a member votes "present" that is also treated as an abstention (the member is essentially saying, "Count me for purposes of a quorum, but my vote on the issue is abstain. ") In fact, any manifestation of intention to vote either "yes" or "no" on the pending motion may be treated by the chair as an abstention. If written ballots are cast, a blank or unreadable ballot is counted as an abstention as well. Can a member vote "absent" or "count me as absent ?" Interesting question. The ruling on this is up to the chair. The better approach is for the chair to count this as if the member had left his /her chair and is actually "absent." That, of course, affects the quorum. However, the chair may also treat this as a vote to abstain, particularly if the person does not actually leave the dais. The Motion to Reconsider There is a special and unique motion that requires a bit of explanation all by itself; the motion to reconsider. A tenet of parliamentary procedure is finality. After vigorous discussion, debate and a vote, there must be some closure to the issue. And so, after a vote is taken, the matter is deemed closed, subject only to reopening if a proper motion to consider is made and passed. A motion to reconsider requires a majority vote to pass like other garden- variety motions, but there are two special rules that apply only to the motion to reconsider. First, is the matter of timing. A motion to reconsider must be made at the meeting where the item was first voted upon- A motion to reconsider made at a later time is untimely. (The body, however, can always vote to suspend the rules and, by a two - thirds majority, allow a motion to reconsider to be made at another time.) Second, a motion to reconsider may be made only by certain members of the body. Accordingly, a motion to reconsider may be made only by a member who voted in the majority on the original motion. If such a member has a change of heart, he or she may make the motion to reconsider (any other members of the body - including a member who voted in the minority on the original motion - may second the motion). If a member who voted in the minority seeks to make the motion to reconsider, it must be ruled out of order. The purpose of this rule is finality. If a member of minority could make a motion to reconsider, then the item could be brought back to the body again and again, which would defeat the purpose of finality. If the motion to reconsider passes, then the original matter is back before the body, and a new original motion is in order. The 6 matter may be discussed and debated as if it were on the floor for the first time. Courtesy and Decorum The rules of order are meant to create an atmosphere where the members of the body and the members of the public can attend to business efficiently, fairly and with full participation. At the same time, it is up to the chair and the members of the body to maintain common courtesy and decorum. Unless the setting is very informal, it is always best for only one person at a time to have the floor, and it is always best for every speaker to be first recognized by the chair before proceeding to speak. The chair should always ensure that debate and discussion of an agenda item focuses on the item and the policy in question, not the personalities of the members of the body. Debate on policy is healthy, debate on personalities is not The chair has the right to cut off discussion that is too personal, is too loud, or is too crude. Debate and discussion should be focused, but free and open In the interest of time, the chair may, however, limit the time allotted to speakers, including members of the body. Can a member of the body interrupt the speaker? The general rule is "no." There are, however, exceptions. A speaker may be interrupted for the following reasons: Privilege. The proper interruption would be, "point of privilege." The chair would then ask the interrupter to "state your point." Appropriate points of privilege relate to anything that would interfere with the normal comfort of the meeting. For example, the room may be too hot or too cold, or a blowing fan might interfere with a person's ability to hear. Order. The proper interruption would be, "point of order." Again, the chair would ask the interrupter to "state your point." Appropriate points of order relate to anything that would not be considered appropriate conduct of the meeting. For example, if the chair moved on to a vote on a motion that permits debate without allowing that discussion or debate. Appeal. If the chair makes a ruling that a member of the body disagrees with, that member may appeal the ruling of the chair. If the motion is seconded, and after debate, if it passes by a simple majority vote, then the ruling of the chair is deemed reversed. Call for orders of the day. This is simply another way of saying, "return to the agenda." If a member believes that the body has drifted from the agreed -upon agenda, such a call may be made. It does not require a vote, and when the chair discovers that the agenda has not been followed, the chair simply reminds the body to return to the agenda item properly before them. If the chair fails to do so, the chair's determination may be appealed. Withdraw a motion. During debate and discussion of a motion, the maker of the motion on the floor, at any time, may interrupt a speaker to withdraw his or her motion from the floor. The motion is immediately deemed withdrawn, although the chair may ask the person who seconded the motion if he or she wishes to make the motion, and any other member may make the motion if properly recognized. Special Notes About Public Input The rules outlined above will help make meetings very public. friendly. But in addition, and particularly for the chair, it is wise to remember three special rules that apply to each agenda item. Rule One: Tell the public what the body will be doing Rule Two: Keep the public informed while the body is doing it Rule Three: When the body has acted, tell the public what the body did. 2217941.1 t AI Number: BP 013 Authority: Board of Directors Effective: March 6, 2014 Revised: Reviewed: Initiating Dept. /Div.: Administration BOARD POLICY STANDING COMMITTEE CHARTERS PURPOSE The purpose of this Board Policy is to adopt charters for the District's Standing Committees. POLICY The Board has determined that it is beneficial to adopt charters for each of the District's Standing Committees below: Administration Finance Engineering & Operations Real Estate, Environmental & Planning These charters define the mission and goals of the Committees, list key staff liaisons, and set forth the Committee scope with an emphasis on policy rather than operational matters. They provide a framework within which the Committees and staff can operate. They can be revised as needed by the Board. The General Manager will determine to which Committee items are assigned as they arise, and, in cases where certain topics may span two Committees, the General Manager may confer with the Board President for guidance. [Original Retained by the Secretary of the District] Number: BP 013 STANDING COMMITTEE CHARTERS Page 2 of 6 CHARTER ADMINISTRATION COMMITTEE s Chair Committee Member Members: Meeting Monthly (subject to rescheduling or cancellation) Schedule: Primary Staff General Manager Liaison: Secretary of the District Director of Administration Human Resources Manager Communication Services Manager Risk Management Administrator Information Technology Administrator Committee The Mission of the Administration Committee is to provide input and Mission/ Goals: recommendations to the Board regarding administrative policy matters, including District policies on Human Resources matters, internal operations, outreach, information technology, and legislation that support the District's Mission, Vision and Values and Strategic Plan Goals: • Policy development and review • Oversight of Human Resources policies /matters • Internal operations • Effective public outreach • Review of information technology policies • Legislative review • Oversight of Risk Management • Transparency Committee The Committee may review and make recommendations to the full Board. Scope: The Committee may direct the General Manager to conduct additional research on policy issues within the Committee Charter. The Committee may concur with General Manager recommendations when within General Manager authority, which will be reported to the Board as appropriate. • Develops new, or reviews and revises existing, District policies for Board consideration • Reviews and makes recommendations on Human Resources matters • Reviews and advises on internal operating issues that fall within the Committee Charter • Ensures adequate public outreach of District services and s Number: BP 013 STANDING COMMITTEE CHARTERS Page 3 of 6 programs • Reviews District information technology policy matters • Reviews legislation affecting the District • Oversees Risk Management and associated legal matters Accepted by March 6, 2014 Board: Number: BP 013 STANDING COMMITTEE CHARTERS Page 4 of 6 CHARTER ENGINEERING & OPERATIONS COMMITTEE Chair Committee Members: Member Meeting Schedule: Monthly subject to rescheduling or cancellation Primary Staff Liaison: General Manager Secretary of the District Director of Engineering Director of Operations Capital Projects Division Manager Collection System Operations Division Manager Environmental Services Division Manager Plant Operations Division Manager Plant Maintenance Division Manager Committee Mission/ The Mission of the Engineering & Operations Committee is Goals: primarily to provide oversight and direction to staff on Board - adopted policy issues relating to the District's Capital Improvement Program and Operations consistent with the District's Mission, Vision and Values and Strategic Plan. Goals: • Fiscal sustainability • Budgetary transparency • Ensure appropriate level of internal controls • Regulatory compliance • Operational effectiveness /resilience • Oversight of District Safety Program Committee Scope: The Committee may review and make recommendations to the full Board. The Committee may direct the General Manager to conduct additional research on policy issues within the Committee Charter. The Committee may concur with General Manager recommendations when within General Manager authority, which will be reported to the Board as appropriate. • Reviews Capital Improvement Program and Budget for planning, funding and regulatory compliance, and transparency • Reviews Engineering, Plant Operations, Maintenance and Collection System Operations issues as they arise; keeps Board informed as to how these issues impact customer service and the priority of upcoming capital work • Reviews Asset Management Program • Reviews and monitors District's Safety Program Accepted by Board: March 6, 2014 Number: BP 013 STANDING COMMITTEE CHARTERS Page 5 of 6 CHARTER FINANCE COMMITTEE Chair Committee Members: Member Meeting Schedule: Twice a month subject to rescheduling or cancellation Primary Staff Liaison: General Manager Secretary of the District Director of Administration Finance Manager Purchasing and Materials Manager Committee Mission/ The Mission of the Finance Committee is primarily to provide Goals: financial oversight and direction to staff on adopted policy issues, and to ensure fiscal sustainability of the District consistent with the District's Mission, Vision and Values and Strategic Plan. Goals: • Fiscal sustainability • Compliance with federal, state, and public financing requirements • Ensure appropriate level of internal controls • Recommend policies to safeguard the District's assets • Transparency Committee Scope: The Committee may review and make recommendations to the full Board. The Committee may direct the General Manager to conduct additional research on policy issues within the Committee Charter. The Committee may concur with General Manager recommendations when within General Manager authority, which will be reported to the Board as appropriate. • Provides recommendations related to the annual budget, its implementation and future projections • Reviews financial reports for completeness and accuracy • Oversees proper use of resources • Reviews development, implementation and oversight of the District's investment policies and practices • Reviews expenditures and makes recommendations to the Board Accepted by Board: March 6, 2014 c Number: BP 013 STANDING COMMITTEE CHARTERS Page 6 of 6 CHARTER REAL ESTATE, ENVIRONMENTAL & PLANNING COMMITTEE Chair Committee Members: Member Meeting Schedule: Monthly subject to cancellation or rescheduling) Primary Staff Liaison: General Manager Secretary of the District Director of Administration Director of Engineering Director of Operations Environmental Services Division Manager Committee Mission/ The Mission of the Real Estate, Environmental & Planning Goals: (BEEP) Committee is to ensure long -range planning that supports the District's Mission, Vision and Values and Strategic Plan Goals: cost - effectively engage in resource recovery and recycling activities • Cost - effectively engage in resource recovery and recycling activities • Regulatory compliance • Appropriate use of District land, resources and facilities • Long -range planning • Transparency Committee Scope: The Committee may review and make recommendations to the full Board. The Committee may direct the General Manager to conduct additional research on policy issues within the Committee Charter. The Committee may concur with General Manager recommendations when within General Manager authority, which will be reported to the Board as appropriate. • Reviews long -range planning documents including master plans and strategic plans • Oversees the District's regulatory and permitting strategies to remain in compliance with federal, state and county regulatory requirements • Oversees use of land resources and facilities in accordance with District policies • Reviews year -end annual reports for Household Hazardous Waste, Pollution Prevention, and Recycled Water Accepted by Board: I March 6, 2014 Number: BP 014 Authority: Board of Directors Effective: March 20, 2014 Revised: Reviewed: Initiating Dept. /Div.: SOD /ADMIN • i DISTRICT -OWNED MOBILE COMPUTING DEVICES FOR BOARD MEMBERS PURPOSF To establish a policy for providing mobile computing devices to Board Members to facilitate implementation of the transition to a paperless agenda process at the District. If District -owned devices are furnished to Board Members, the parameters set forth under the following section below will apply. If a Board Member utilizes a personal mobile computing device rather than a District -owned device to access Board and Committee agenda packets, only items 8 through 10 will apply. POLICY District -Owned Mobile Computing Devices Offered to All Board Members: The District will offer to purchase a District -owned mobile computing device for any Board Member wishing to utilize the device to access the District's electronic agenda packets. The specifications of the device must meet standards set by the Information Technology Administrator. 2. Accessories, Etc.: Any District -owned mobile computing device will include at District expense Wi -Fi and cellular data capability, extended warranty, protective case, software applications, charging cables, training and support, as necessary to conduct District business. 3. District E -Mail Accounts: All Board Members must be offered a District email account through which all District business should be conducted. 4. Personal Use: Personal use of a District -owned mobile computing device is permitted at the discretion of the Board Member. 5. Cellular Data Plan: A District -owned mobile computing device will be provided with a cellular data plan at a level sufficient to conduct District business at no cost to the Board Member. If a Board Member wishes to use the mobile equipment device for personal use, they will be provided the higher level Number: BP 014 DISTRICT -OWNED MOBILE COMPUTING DEVICES FOR BOARD MEMBERS Page 2 of 2 bandwidth available through the District to accommodate that use, and must reimburse the District the cost difference between the two data plans or pay for their own plan. 6. End of Board Member Tenure: Any District -owned mobile computing device must either be relinquished to the District upon conclusion of a Board Member's tenure or purchased by the Board Member at current market value as quoted on Gazelle.com (or similar valuation method), at which time the device will become the personal property of the owner. 7. Loss/Theft/Damage: If a District -owned mobile computing device is lost, stolen or damaged, the Board Member must notify the Secretary of the District immediately. All District -owned devices are required to have a password to block access to the District e -mail account in the event the device is lost or stolen. 8. Personal Mobile Computing Devices: Any Board Member wishing to utilize a personal mobile computing device rather than a District -owned device to access Board and Committee agenda packets must bear all costs associated with that device, including any cellular data plan; however, the District will reimburse any such Board Member for the cost of software applications necessary to conduct District business. 9. E- Communications During Meetings: Mobile computing devices are being provided to Board Members for use during Board meetings and Committee meetings to access the District's paperless agenda materials. Use of electronic devices to communicate with other Board Members during public Board or Committee meetings is prohibited by this policy. Any other use during public Board or Committee meetings is discouraged. The goal is for Board Members to be present and engaged in the meeting. The Brown Act should be adhered to with all electronic communications. 10. Public Records Act/Due Process: District records, whether paper or electronic, are governed by the public disclosure requirements of the California Public Records Act. In the event that a message is received by a member of the Board or Committee during a meeting regarding a matter that is on the agenda for said meeting, the content of the message shall be disclosed publically to the entire Board or Committee as it has been received during the consideration of the matter at an open and public meeting. It will become a part of the public record. [Original Retained by the Secretary of the District] 5, TABLE OF CONTENTS Chapter INTRODUCTION 1 I UNDERSTANDING THE ROLE OF PURCHASING 2-4 Purchasing Duties 2 Goals and Objectives of the Purchasing Division 3 Coordination with District Departments 3 Requisition Review 3 t ETHICAL CONSIDERATIONS 5 -9 Purpose 5 Policy 5 General Requirements 5 Statement of Philosophy 5 Institute for Supply Management Public Purchasing Standards 6 California Association of Public Purchasing Officers Standards 7 Conflict of Interest Regulations 7 Purchasing for Personal Use 8 Gifts and Gratuities 8 Kickbacks 9 Unethical Use of Confidential Information 9 Recovery of Value Transferred or Received 9 Sanctions for Ethical Violations 9 3 APPROVALS AND AUTHORIZATIONS 10 -14 Purpose 10 Policy 10 General Requirements 10 Authorized Signature List and Approval Limits Form 11 Approval of Agreements and Agreement Amendments 11 Types of Agreements 11 Approval of Agreements - Authorization Limits Matrix 12 Amendments to Agreements 12 Approval of Contracts and Contract Change Orders 12 Equipment Budget Expenditures 13 Equipment Item Overrun 13 Substitutions 13 4 INTRODUCTION TO PURCHASING PROCEDURES 15 -29 Purpose 15 Policy 15 General Requirements 15 Objective of Purchasing 15 Purchases of $500 or Less — Best Judgment Purchases 15 Purchases Greater than $500 16 Purchases Greater than $3,500 16 District Projects 17 Getting Started with the Acquisition Process 17 Methods of Acquisition 17 Purchase Requisition 19 Quotation and Formal Bid Processes 19 Annual Contracts 20 Definition of District Project and Related Terms 21 District Project 21 Sewer Facility 21 Repair 21 Maintenance 21 Prevailing Wages 22 Chapter Page 4 District Projects of $15,000 or Less 22 District Projects Greater than $15,000 23 Exemptions to Competitive Pricing 23 Goods and Services Valued at $3,500 or Less 24 Annual Contracts 24 Emergency Purchases 24 Extraordinary Circumstances 24 Best Interest of the District 24 Governmental Agencies 24 Cooperative and "Piggyback" Purchases 24 Unique Goods and Sole Source Purchases 25 Standardization 25 Proprietary Source 25 Trade or Brand Name Items to Match Existing Items 26 Purchase for Field Test or Pilot Test 26 Purchase of Replacement Parts 26 Purchases and Leases of Real Property 26 Risk Management Claims Settlement 26 Travel and Per Diem 26 Utility Services 26 Books, Subscriptions and Periodicals 26 Safety Shoes 26 Safety Glasses 27 Acquisition Matrix — Figure 4.A 28 Purchase Instrument Matrix — Figure 4.13 29 5 SPECIAL PURCHASES AND PROCEDURES 30 -39 Purpose 30 Policy 30 General Requirements 31 Information Systems 31 Grant - Funded Programs 31 Requisitioning Fleet Equipment 31 Materials Services Stock 31 Annual Contracts 31 Procurement Card Purchase 32 Field Purchase Order 32 Blanket Purchase Order 33 Payment Authorization 33 Petty Cash 33 Emergency Purchases 34 Office Furniture 34 Office Supplies 35 Safety Glasses 35 Safety Shoes 35 Sole Source Purchases 36 Sole Source Justification Form 36 Standardization 37 Books, Subscriptions and Periodicals 37 Employee Uniforms 38 Make or Buy 38 Use of the District's Name 38 Cooperative and Piggyback Purchases 39 6 ENVIRONMENTALLY PREFERABLE PURCHASING POLICY 40-42 Purpose 40 Policy 40 Specifications 40 Priorities 40 Implementation 40 Chapter Page 6 Program Evaluation 41 Definitions 42 7 SUPPLIER RELATIONS AND SUPPLIER PERFORMANCE 43 -50 Purpose 43 Policy 43 General Requirements 43 Supplier Visits with Purchasing Division Buying Staff 43 Supplier Visits with Other District Employees 43 Supplier Contact with District Departments During Bid Process 44 Supplier Offers of Free Trials and Samples 44 Supplier Offers of Free Repairs 44 Production Samples for Evaluation 45 Product Endorsements 45 Suppliers as Consultants 45 Releasing Pricing Information or Bid Results 46 Supplier Protests 46 Confidential Supplier Information 47 Bidders' List Development and Management 48 Bidders' List 48 Grounds for Removal from Bidders' List 48 Supplier and Contractor Outreach 50 8 FAIR AND OPEN COMPETITION 51 -54 Purpose 51 Policy 51 General Requirements 52 Competitive Pricing 52 Restrictions on Competition 52 Anti- Competitive Practices 53 Exemptions to Competitive Pricing 54 9 SPECIFICATION DEVELOPMENT 55 -59 Purpose 55 Policy 55 General Requirements 56 Types of Specifications 56 Standard Specifications 56 Brand Name Specifications 56 Qualified Products Lists 57 Design Specifications 57 Performance Specifications 57 Specification Checklist 57 Value Analysis 59 10 SCOPE OF WORK 60 -62 Purpose 60 Policy 60 General Requirements 60 Terminology 60 Format 60 Preparing the Scope of Work Exhibit 62 11 QUOTATIONS 63 -66 Purpose 63 Policy 63 Chapter Page 11 General Requirements 63 Cooperative and Piggyback Purchasing 65 Sole Source Purchases 65 12 DISTRICT PROJECTS 67 -86 Purpose 67 Policy 67 General Requirements 67 Definition of a District Project 67 Definition of a Sewer Facility 68 Definition of Repair 68 Definition of Maintenance 68 Annual Contracts 68 Lease and Rental of Goods and Authorizations for Services 68 Segmenting of District Projects into Multiple Units 69 Use of District Force Account Labor 69 Change Orders 71 Preference for Materials 71 Pre - Qualification and Other Alternative Bidding Procedures 72 District Projects Less than or Equal to $15,000 72 District Projects Greater than $15,000 73 Invitation to Bid /Bid Request 73 Requisition 73 Specifications 73 Advertisement 74 Pre -Bid Conference 74 Addenda 74 Form of Bid 75 Receipt and Control of Bids 75 Late Bids 75 Bid Opening 75 Insufficient Number of Bid Copies 75 Bid Acceptance and Bid Evaluation 76 Mistakes in Bid Detected Prior to Bid Opening 77 Mistakes in Bid Detected after Bid Opening 77 Relief of Bidders 77 Minor Informalities and Irregularities in Bids 78 Background Review of Contractors 79 Partial Award 79 Tie Bids 79 Exception to Award to Lowest Responsive, Responsible Bidder 79 Cancellation of Bid or Rejection of All Bids 80 Notice of Cancellation or Rejection of Bids 80 Disclosure of Bid Results 80 Award of Contract 81 Bid Bonds and Contract Bonds 81 Appeals 81 Inspection of Plant and Audit of Records 83 Exemptions to Competitive Bidding 83 Emergency Purchases 83 Extraordinary Circumstances 84 Best Interest of the District 84 Governmental Agencies 84 Cooperative and "Piggyback" Purchases 84 Unique Goods and Sole Source Purchases 85 Standardization 85 Proprietary Source 85 Trade or Brand Name Item to Match Existing Items 85 Purchase for Field Test or Pilot Test 85 Purchase of Replacement Parts 85 Chapter Page 12 Purchases and Leases of Real Property 86 Utility Services 86 iv 13 REQUEST FOR PROPOSALS 87 -94 Purpose 87 Policy 87 General Requirements 87 Contractual Requirements 89 Solicitation of Responses to the RFP 89 Pre - Proposal Conferences and Equipment Demonstrations 90 Amendments to the RFP 90 Modification or Withdrawal of Proposals 91 Late Proposals 91 Receipt and Registration of Proposals 91 Evaluation of Proposals 91 Evaluation Factors 92 Methods of Evaluation 92 Utilizing a Scoring Method 92 Negotiate with Most Responsive Offeror 92 Double- Tiered Proposal 93 Award and Execution of the Contract or Agreement 93 Development of the Contract or Agreement Document 93 Other Considerations 94 Public Inspection 94 Rejection of Proposals 94 14 CONSULTANT SELECTION 95 -99 Purpose 95 Policy 95 General Requirements 95 Criteria and Guidelines for Utilization 96 Criteria and Guidelines for Selection 96 Selection Procedures 97 Informal Selection Procedures — Fees Less than $30,000 98 Informal Selection Procedures — Fees $30,000 - $100,000 98 Formal Selection Procedures — Fees Greater than $100,000 98 Exceptions 99 Debriefing Policy 99 15 CONTRACT AND AGREEMENT DEVELOPMENT 100 -113 Purpose 100 Policy 100 General Requirements 100 Elements of a Contract 101 Uniform Commercial Code and the Statute of Frauds 101 Contract Types 101 Professional Consulting Services Agreement 102 Technical Consulting Services Agreement 102 Professional Engineering Services Agreement 102 Grants 102 Joint Powers Agreement 102 Lease and Lease Purchase Contract 102 Rental Contract 103 Equipment Maintenance and Supply Contract 103 Capital Project/Public Works Contract 103 Annual Contract 103 Purchase Order 103 Confirming Purchase Order 103 Blanket Purchase Order 103 Field Purchase Order 103 Chapter Page 15 Procurement Card Compensation for Contracts and Agreements 103 104 v Cost Plus Fixed Fee 104 Lump Sum Price 104 Lump Sum with Escalator 104 Lump Sum with Incentive 104 Hourly Rate with Cost Reimbursement and a Ceiling on Total Project 104 Daily Compensation with Cost Reimbursement 104 Monthly Compensation 105 Net Rate 105 Time and Materials 105 Contract Costs and Contract Payments 105 Rate of Compensation 105 Incidental Costs 105 Transportation Costs 105 Other Expenses 105 Progress Payments 105 Advance Payments 106 Contract Requirements 106 Retroactive Contracts 106 Approval and Commencement of Work 106 Contract Splitting 106 Contractor's Standard Contract Form 106 Retention of Contracts and Agreements 107 Cancellation Due to Unavailability of Funds (Funding -Out) 107 Contract and Agreement Preparation and Processing 108 Model Contracts and Agreements 108 Insurance 108 District Departments Are Not Contracting Entities 108 Creating an Agreement 108 Creating a Contract 109 Annual Contracts 111 Contract Periods for Annual Contracts 112 16 CONTRACT ADMINISTRATION 114 -129 Purpose 114 Policy 114 General Contract Administration Requirements 114 Contract Monitoring 115 Project Manager 116 Administrative Controls 116 Work Progress 117 Cost Controls 117 Amending a Contract 118 Renewing a Contract 119 Closing Out a Contract 119 Terminating a Contract 120 Stop Work Order 120 Outstanding Contract Obligations 121 Engineering and Operations Departments Contracts 121 Closing Out a District Project Contract 121 Final Inspection of Work 121 Acceptance of Work 122 Notice of Completion 122 Payment of Retention 122 Terminating a District Project Contract 122 Liquidated Damages 125 Purchase Order Contracts 126 "Price in Effect at Time of Shipment" 126 Breach of Contract 126 Chapter Page 16 Actual Breach Anticipatory Breach 126 127 vi Substantial Performance 127 Supplier's Right to Cure 127 Enforcement of Contract Provisions 127 Contract Files 128 17 INSURANCE AND BONDS 130 -140 Purpose 130 Policy 130 General Requirements - Insurance 130 A.M. Best's Rating 130 Additional Insured 131 Insurance Certificates 131 Insurance and Verbal Orders 131 Responsibility for Obtaining Insurance Certificates 131 Minimum Scope of Insurance 132 Limits of Insurance 132 General Liability Insurance 132 Automobile Liability Insurance 133 Workers' Compensation Insurance 133 Employer's Liability Insurance 134 Professional Liability Insurance 134 Builder's Risk Insurance 134 Workers' Compensation Self- Insurance 134 Additional Insured Endorsements 134 Insurance Primary 135 Indemnification 135 Patent, Copyright and Trade Secret Indemnification 136 Subcontractors 136 Deductibles and Self- Insured Retention 136 Termination or Cancellation of Policies 137 Basic Steps for Administering Insurance Requirements 137 Transit Insurance 138 Mailing Address 138 Insurance Record Retention 139 General Requirements — Bonds 139 Types of Bonds 139 Bid Bond 139 Payment or Labor and Materials Bond 139 Performance Bond 140 Warranty Bond 140 Fidelity Bond 140 Limits of Bonds 140 District Standards for Acceptable Surety Companies 140 18 COST CONTROL METHODS 141 -144 Purpose 141 Policy 141 General Requirements 141 Planned Purchases 141 Specifications 141 Competition 142 Freight Charges 142 Price Auditing 143 Prompt Payment Discounts 144 19 RECEIVING PROCEDURES 145 -147 Purpose 145 Policy 145 Chapter Page 19 General Requirements 145 Authorized Receiving Points 145 vii General Receiving Instructions Inspecting Goods after Delivery Lost or Damaged Goods Filing Claims Incorrect Goods 20 PAYMENT PROCEDURES Purpose Policy General Requirements Supplier Responsibilities Advance Payments Problem Areas in Payment Processing 21 FEDERAL, STATE AND LOCAL TAX REQUIREMENTS Sales and Use Tax on Transportation Charges Liability for Sales and Use Tax Items Exempt from Sales and Use Tax Minimizing Sales and Use Tax Federal Excise Tax 22 SURPLUS EQUIPMENT Purpose Policy General Requirements Surplus and Scrap Material Trade -Ins and Disposal of Equipment Sale, Scrap and Disposal of District Property 146 146 147 147 147 148 -149 148 148 148 148 149 149 150 -152 150 151 151 152 152 153 -154 153 153 153 153 153 154 viii 5 ENGINEERING TITLE CLASSIFICATION COMMENTS Public Contract Code Bid Procedure Departmental Instruction requires that construction contracts in excess of $15,000 be publicly bid Capital Improvement Budget Board sets authorization Allocation (CIBA) Request Departmental Instruction levels in CIB, but staff mana es process Changes to Procedures Departmental Instruction Consultant Procurement Purchasing Policy and Policy & Procedure Procedures Manual (adopted by Board) Contractual Assessment Board Policy BP 010 District (CAD) Policy District Project & Job Departmental Instruction Numbers Guidelines for Pre - Litigation & Departmental Instruction Litigation Documents HTE Correction Notification Departmental Instruction Request Notice to Proceed- Departmental Instruction Construction Contracts Pre -Bid Conference Departmental Instruction Pre - Construction Meetings Departmental Instruction Recording Documents nd Departmental Instruction Picking Up Assessors Maps Responding to Bidders Request for Clarification, Preparation, & Issuance of Departmental Instruction Addenda, & Incorporation of Addenda into Bid Documents Review of Bids Departmental Instruction Safety Equipment & Training Departmental Instruction Contents is driven by Form CalOSHA Integrated Pest Management Board Policy BP 004 Policy N:\ADMINSUP\ADMIN \DIST- SEC \Policies & Procedures Board & Administrative \PROJECT - Separating Policies from Procedures \Engineering List.doc FINANCE /ACCOUNTING TITLE CLASSIFICATION COMMENTS 2011 Year End Closing Departmental Instruction Computer Loan Program Board Policy BP 001 CSOD Interim Director Departmental Instruction Needs to be deleted (Director appointed) Emergency Withdrawal from Departmental Instruction Governed by IRS 457 Furniture and Equipment Departmental Instruction Procedures Managers' Cell Phone Board Policy BP 009 Established by MOU Reimbursement Cell phones as taxable benefit Memo IRS Managers' Education Expense Reimbursement Administrative Procedure Established by MOU Petty Cash Procedure Administrative Procedure Signature Authority Matrix Departmental Instruction Authority Limits established elsewhere Telephone Reimbursement Administrative Procedure Policy Directive Travel Expense Departmental Instruction Reimbursement Instructions Investment Policy Board Policy BP 005 Payroll Administrative Procedure Cash Reserve Guidelines Administrative Procedure T- N:\ADMINSUP\ADMIN\DIST-SEC\Policies & Procedures Board & Administrative \PROJECT - Separating Policies from Procedures \Finance List.doc IT TITLE CLASSIFICATION COMMENTS Software Purchasing Departmental Instruction E -mail Policy Administrative Procedure Shared with Secretary of the District Electronic Property Administrative Procedure Shared with Human Resources Mobile Computing Devices for Board Members Board Policy BP 014 N:\ADMINSUP\ADMIN \DIST- SEC \Policies & Procedures Board & Administrative \PROJECT - Separating Policies from Procedures \IT List.doc Na TITLE CLASSIFICATION COMMENTS Laboratory Lab Policies & Procedures Departmental Instruction Standard Operating Procedures (SOP s) See attached Index Hazardous Energy Control Departmental Instruction Maintenance Procedures CAL -OSHA Standard Operating Departmental Instruction Dana Lawson is currently Procedures working on this list Preventative Maintenance Departmental Instruction Maintenance (PM) Procedures (See attached Index) Plant Operations Painting Departmental Instruction Colors by brand Standards (See attached chart) Coating system & general Plant System Color Schedule Departmental Instruction color See attached schedule N:\ADMINSUP\ADMIN\DIST- SEC \Policies & Procedures Board & Administrative \PROJECT - Separating Policies from Procedures \POD List.doc PURCHASING (See attached Table of Contents from Purchasing Policy Manual kept in Stephanie King's office) TITLE CLASSIFICATION COMMENTS Annual Contracts Administrative Procedure Approvals & Authorizations Board Policy Authorized Signature List Administrative Procedure Board Policy for GM & Staff Authority Blanket Purchase Order Administrative Procedure Completing Payment Administrative Procedure Authorization Form Consultant Selection Administrative Procedure & Board Policy Contract Administration Administrative Procedure Contract & Agreement Administrative Procedure Development Cooperative Purchasing Administrative Procedure Cost Control Methods Administrative Procedure District Projects State Law & State Law Board Policy Emergency Purchase Orders Administrative Procedure Board determines & Board Policy emergency Recycled Product Procurement (Environmentally Board Policy. Preferable Purchasing Policy) Equipment Budget Board Policy Administrative Procedure Some Administrative Ethical Considerations & Board Policy Procedure, more Board Polio Fair & Open Competition Board Policy Federal, State, & Local Tax Administrative Procedure Requirements Insurance & Bonds Administrative Procedure Introduction to Manual Departmental Instruction Introduction to Purchasing Administrative Procedure Procedures Materials Services Stock Departmental Instruction Requisition Office Furniture Departmental Instruction Office Supplies Departmental Instruction Payment Procedures Administrative Procedure Petty Cash Fund Board Policy Purchasing Manual & Quick Administrative Procedure Combination of both Reference Guidelines & Board Policy Purchase Requisition Administrative Procedure Purchases Greater Than Board Policy $3,500 Purchases Grater Than $500 & Less Than or Equal To Board Policy $3,500 Purchases Less Than or Board Policy Equal To $500 Quick Reference Acquisition Departmental Instruction Matrix Quick Reference Purchase Departmental Instruction Instrument Matrix Quotations Administrative Procedure Receiving Procedures Administrative Procedure Request for Proposals Administrative Procedure Safety Glasses Board Policy Governed by MOU Safety Shoes Board Policy Governed by MOU Scope of Work Development Administrative Procedure Sole & Proprietary Source Board Policy Special Purchases & Administrative Procedure More Administrative Procedure & some Board Procedures & Board Policy Polio Specification Development Administrative Procedure Standardization Board Policy Subscriptions Departmental Instruction Supplier Relations & Supplier Administrative Procedure Performance Surplus Equipment Board Policy Understanding the Role of Administrative Procedure Purchasing SAFETY & RISK MANAGEMENT (Items on this page are all In the Safety Procedures Manual Kept in Shari Deutsch's office and others kept in separate binders as noted) TITLE CLASSIFICATION COMMENTS Injury & Illness Prevention Administrative Procedure CalOSHA & Federal OSHA Plan Hazard Identification, Assessment & Control Administrative Procedure CalOSHA & Federal OSHA Accident & Incident Reporting Administrative Procedure CalOSHA & Federal OSHA & Investigation Lockout/Tagout Administrative Procedure CalOSHA & Federal OSHA Confined Spaces Program Administrative Procedure CalOSHA & Federal OSHA Fall Protection Program Administrative Procedure CalOSHA & Federal OSHA Hazard Communication Administrative Procedure CalOSHA & Federal OSHA Program Disease Prevention & Bloodborne Pathogens Administrative Procedure CalOSHA & Federal OSHA Exposure Control Plan Respiratory Hazard Analysis Matrix, Appendix A Departmental Instruction CalOSHA & Federal OSHA List of Job / Respiratory Classifications, Appendix B Departmental Instruction CalOSHA & Federal OSHA Respiratory Protection Program Administrative Procedure CalOSHA & Federal OSHA Hearing Conservation Program Administrative Procedure CalOSHA & Federal OSHA Personal Protective Equipment (PPE) Administrative Procedure CalOSHA & Federal OSHA Fire Prevention Program Administrative Procedure CalOSHA & Federal OSHA Industrial Trucks (Forklift) Safety Procedures Administrative Procedure CalOSHA & Federal OSHA Motorized Vehicle & Driver Safety Administrative Procedure CalOSHA & Federal OSHA Ultraviolet Disinfection Facility Departmental Instruction POD Standard Operating Safety Procedures Procedures N:\ADMINSUP\ADMIN \DIST- SEC \Policies & Procedures Board & Administrative \PROJECT - Separating Policies from Procedures \Safety & Risk Management List.doc Emergency Communications Administrative Procedure Separate Binder Plan California Emergency Emergency Operations Plan Board Policy Service Act — Separate Binder Separate Binder for the Emergency Response & Departmental Instruction Emergency Response & Contingency Plans the Contingency Plan is shared with POD Key Control Procedure & Departmental Instruction Procedure State Law & Workers Compensation Administrative Procedure Shared with Human Resources N:\ADMINSUP\ADMIN \DIST- SEC \Policies & Procedures Board & Administrative \PROJECT - Separating Policies from Procedures \Safety & Risk Management List.doc SECRETARY OF THE DISTRICT TITLE CLASSIFICATION COMMENTS Accessing District Libraries Departmental Instruction Powerpoint via InMagic Conference Room Departmental Instruction Reservations Board Teleconferencing Board Policy BP 007 Policy E -Mail Policy Administrative Procedure Shared with IT Fed Ex Procedures Departmental Instruction Gas Card Refueling Department Instruction Procedure Notice to Contractors for Bids Departmental Instruction Procedure MPR Set -up — Outside Departmental Instruction Agency Placing Orders for Books, Departmental Instruction Publications etc. Pool Vehicle Reservations Departmental Instruction Public Records Requests — Departmental Instruction Resolution Fee Schedule Public Records Requests - Departmental Instruction Needs formatting Guidelines Public Records Requests — Administrative Procedure Governed by Public Policy Records Act Audio Visual Equipment Departmental Instruction Reservations Board Presentations Departmental Instruction Parliamentary Procedures Board Policy BP 012 Position Paper Deadlines Departmental Instruction Changed annually Proposition 218 Protest Policy Board Policy BP 011 Records Archiving and Departmental Instruction Destruction N:\ADMINSUP\ADMIN \DIST- SEC \Policies & Procedures Board & Administrative \PROJECT - Separating Policies from Procedures \SOD List.doc Records Management and Records Retention Departmental Instruction Instructions Records Retention Schedules Board Policy BP 006 Updates approved by Board as needed Records Archives — Requests Departmental Instruction and Returns Requesting Labels Using Departmental Instruction Versatile Standing Committee Charters Board Policy BP 013 Style Guidelines Departmental Instruction N:\ADMINSUPWDMIN \DIST- SEC \Policies & Procedures Board & Administrative \PROJECT - Separating Policies from Procedures \SOD List.doc