HomeMy Public PortalAbout10 October 9, 2013 Executive Special CommitteeT!ME:
DATE:
LOCAT10N:
R:VERS:DE COUNTY TRANSPORTAT!ON COMM:SS:ON
EXECUTiVE COMMilTEE
SPEC:AL MEETING AGENDA
8:30a.m.―PLEASE NOTE T:ME CHANGE
Wednesdav,October 9,2013
CONFERENCE R00M A
County of Riverside Administrative Center
4080 Lemon Street,Third FlooL Riverside
1> COMMITTEE MEMBERS A
Bob Botts, City of Banning
Karen Spiegel, City of Corona
Terry Henderson, City of La Quinta
Rick Gibbs, City of Murrieta
Daryl Busch, City of Perris
Steve Adams, City of Riverside
Kevin Jeffries, County of Riverside, District I
John J. Tavaglione, County of Riverside, District ll
Jeff Stone, County of Riverside, District lll
John J. Benoit, County of Riverside, District lV
Marion Ashley, County of Riverside, District V
9い AREAS OF RESPONSIB:L1lγ “υ
Reviews and makes final decisions on personnelissues
and office operational matters
Comments are welcomed by the Committee. lf you wish to provide comments to the Committee, ptease
complete and submit a Speaker Catd to the Clerk of the Board.
COMM-EC-00009
R′VERS′DE COυ Ⅳry TRAⅣSPORπ ATJO″COMM′SS′OⅣ
EXECUTIVE COMMITTEE
SPECIAL MEETING
8:30 A.M.
wEDNESDAY, OCTOBER 9, 2013
County of Riverside Administrative Center
Conference Room A
4080 Lemon Street, Third Floor, Riverside
ln complionce with the Brown Act ond Govemment Code Section 54957.5, ogendo mote ols distributed
72 hours prior to the meeting, which ore public records reloting to open session ogendo items, will be
ovoiloble for inspection by members of the public prior to the meeting ot the Commission olfice, 4080
Lemon Street, Third Floor, Riverside, CA, ond on the Commission's website, www.rctc.ora.
ln complionce with the Americons with Disobilities Act ond Government Code Section 54954.2, il you
need speciol assistdnce to porticipote in dn Executive Committee meeting, pledse contdct the Clerk of the
Boord ot (951) 787-7141. Notilicotion ol ot leost 48 hours prior to meeting will ossist stoll in dssuring
thot reosonoble orrongements con be mode to provide occessibility at the meeting.
1.CALI TO ORDER
PUBTIC COMMENTS
APPROVAT OF MINUTES - SEPTEMBER 11, 2013
ADDITIONS/REVISIONS - The Committee moy odd on item to the Agendo ofter moking o
finding thot there is o need to toke immediote oction on the item ond thot the item come
to the ottention of the Committee subsequent to the posting of the ogendo. An oction
odding on item to the ogendo requires 2/3 vote of the Committee. lf there ore less thon
2/3 oI the Committee members present, adding on item to the ogendo requires o
unonimous vote. Added items will be ploced for discussion ot the end of the ogendo.
TOTI PROGRAM ORGANIZATION PI.ANNING
Overview
This item is for the Committee to:
Provide input regarding the future organizational changes necessary to structure
the Commission for its recognized future as an operating toll agency by 2017;
Provide input regarding the proposed hybrid organizational structure to provide
needed functions by both Toll Program staff and other Commission department
staff while maintaining a small Commission staff overall;
2.
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2)
RCTC Executive Committee Agenda
October 9, 2013
PaEe 2
3) Provide input regarding the proposed plan to contract out the majority of the
future operations and maintenance work to the private sector while maintaining
oversight and overall program management responsibilities;
4) Authorize staff to lssue a future request for proposal for additional Toll Program
Organization services to provide tolling processes and procedures, hiring and
retention strategy, Enterprise Resource Planning and lT strategy, marketing and
communications strategy, and other services; and
5) Authorize staff to return to the Commission in the future for specific authorization
requests to hire personnel, contract authority for necessary services, and budget
authority needed to implement the Toll Program Organization.
6. PERSONNET POLICIESAND PROCEDURES MANUAL REVISIONS
Overview
This item is for the Committee to:
1) Approve the revisions to the Personnel Policies and Procedures Manual (PPPM);
and
2l Adopt Resolution No. 13-067 "Resolution of the Riverside County Tronsportotion
Commission Adopting Revisions to lts Personnel Policies ond Procedures Monuol."
7. ADJOURNMENT
RiVERSiDE COUNIV TRANSPORTAT10N COMMISSiON
EXECUTiVE COMM:lTEE
ROLL CALL
OCrOBER 9,2013
County of Riverside, District I
County of Riverside, District ll
County of Riverside, District lll
County of Riverside, District lV
County of Riverside, District V
City of Banning
City of Corona
City of La Quinta
City of Murrieta
City of Perris
City of Riverside
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RiVERSIDE COUNTV TRANSPORTAT:ONCOMM:SSiON
EXECUTiVE COMMiπ EE SIGN‐lN SHEET
OCrOBER 9′2013
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AGENDA lttEM 3
MINUttES
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EXECUTIVE COMM:lTEE
SEPTEMBER ll,2013
Minutes
l CALL T0 0RDER
The meetinB of the Executive Committee was called to order by
Chair Karen Spiegel at 9:02 a.m. in Conference Room A at the County of Riverside
Administrative Center,4080 Lemon Street, Third Floor, Riverside, California, 92501.
Commissioners Present
Steve Adams
John J. Benoit
Daryl Busch
Kevin Jeffries
Karen Spiegel
Jeff Stone
John Tavaglione
2. PUBLIC COMMENTS
Commissioners Absent
Marion Ashley
Bob Botts
Rick Gibbs
Terry Henderson
There were no requests to speak fronn the public
3. AppROVAL OF M:NUTES―Juiy 10,2013
M/S/C{Ben。■/BusCh)tO apprOve the minutes ofJuly 10,2013 as submitted.
4 ADDIT10NSノ REViS:ONS
There were no add tions or revisions to the agenda
5 COMMiSSiON OFFICER ROTAT10N POLiCY
Chair Karen Spiegel presented her proposed revision to the Commission's
Administrative Code related to the officer rotatlon policy.
Anne Mayer stated this revision provides the Commission with the maximum flexibility
when selecting officers and described the potential compositions of the slate of officers.
RCTC Executive Committee Minutes
September 11,2013
Page 2
Commissioner John Benoit expressed support for the revision and stated that while he
agrees with giving city members more opportunities to serve as an officer of the
Commission, the revision could potentially create more competition resulting in more
nominees,
Anne Mayer concurred and stated staff will review the election process in the
Administrative Code to determine if it addresses the potential of multiple nominees. lf
the election process addresses multiple nominees, this item will be forwarded to the
Commission at lts October meeting. lf not, staff will return to the Executive Committee
with a recommendation to revise the election process to accommodate the revised
officer rotation policy, then forward both items to the November Commission meeting.
M/S/C (Benoit/Jeffries) to:
Amend the Administrative Code to modify the current rotation policy of
Commission officers; and
Forward to the Commission for final action.
ADJOURNMENT
There being no other items to be considered, the Executive Committee meeting
adjourned at 9:15 a.m.
Respectfu lly subm itted,
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Jen nifer Harmon
Clerk of the Board
AGENDA lttEM 5
R′yfRS′DE COυ rVttγ TRANSPORTArrOAr COMЛ
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DATE:october 9, 2013
TO:Executive Committee
FROM:Michael Blomquist, Toll Program Director
THROUGH:Anne Mayer, Executive Director
SUBJECT:Toll Program Organization Plann ing
2)
3)
4)
STAFF RECOMMENDAflON:
This item is for the Committee to:
Provide input regarding the future organizational changes necessary to structure the
Commission for its recognized future as an operating toll agency by 2017;
Provide input regarding the proposed hybrid organizational structure to provide needed
functions by both Toll Program staff and other Commission department staff while
maintaining a small Commission staff overall;
Provide input regarding the proposed plan to contract out the majority of the future
operations and maintenance work to the private sector while maintaining oversight and
overall program management responsibilities;
Authorize staff to issue a future request for proposal for additional Toll Program
Organization services to provide tolling processes and procedures, hiring and retention
strategy, Enterprise Resource Planning and lT strategy, marketing and communications
strategy, and other services; and
Authorize staff to return to the Commission in the future for specific authorization
requests to hire personnel, contract authority for necessary services, and budget
authority needed to implement the Toll Program Organization.
BACKG ROU ND I N FOR MATION :
The Commission's Toll Program Develooment
ln December 2006, the Commission adopted the lo-Year Western Riverside County Highway
Delivery Plan (Delivery Plan), which calls for the development of tolled express lane corridors
within state Route 91 and lnterstate 15). The 91 Project will add tolled express lanes and
general purpose lanes along SR-91 from the Orange County line to Pierce Street and along t-15
from SR-91 to Ontario Avenue. Final design and construction are underway with a planned
traffic lane opening in 2017. The l-L5 Express Lanes will add approximately 14 miles of tolled
express lanes along l-15 from SR-60 to Cajalco Road. Preliminary engineering and
environmental studies are underway with a planned traffic lane opening in 2020.
Future ODeratinq Toll Aqencv
Agenda ltem 5
With the future opening of tolled express lanes the Commission will further expand its mission
to improve mobility by becoming an operating toll agency for the first time in its history. The
Commisslon has embarked on an ambitious Express Lanes program that will operate for many
decades. Upon opening the 91 Express Lanes in 2017 and the l-15 Express Lanes planned for
202o, the Commission will operate and maintain over 70 lane-miles of tolled express lanes, be
responsive to express lane customer issues, make debt payments, collect toll revenue, process
transactions, and be responsible for express lane safety and motorist assistance.
Structuring the Organization lor Success
ln late 2012, staff hired Cambria Solutions, lnc. (Cambria) to perform an organization study to
help the Commission determine the appropriate future structure of the organization. The
structure needs to provide the skills, experience, and flexibility to allow the Commission to
successfully operate the SR-91 and l-15 Express Lanes, consider best industry practices, and stay
consistent with the Commission's culture of having a lean staff. Cambria has personnel with
unique experience and qualifications for planning and operating Southern California toll
agencies and was determined to be well suited for this preliminary effort. Specifically, Cambria
was tasked with the following scope of work:
Task l l
Task 1 2
Task 1 3
Task 1 4
Task 1 5
Develop Toll Program Guiding Principles, Values, Goals and Objectives and
Success Criteria
Develop Organizational Alternatives Report, Lessons Learned/Best Practices
Develop Organizational Assessment Report
Develop OrBanization Structure Options and Preferred Organization Structure
Develop lmplementation Roadmap
The following information summarizes the results of the above scope of work.
Toll Progrom Guiding Principles, Volues, Goals ond Objeaives ond Success Criteia
In order to provide a foundation to define the way in which the Commission will approach the
development and operations of its Toll Program, as well as measure its success, Cambria
worked with Commission staff to develop Toll Program Organization Values, Goals and
Objectives, and Success Criteria. These help drive organizational structure as well as serve as
the basis for making decisions and evaluating the performance of the Commission's Toll
Program.
The values of the Toll Program Organization mirror the Commission's values and are listed in
Section 2.2.1 of the attachment - BCIC Toll Progrom lmplementotion, Phose 1 Tosk 1.5-
lmplementotion Roodmop Ior detailsl
The goal of the Toll Program Organization was identified as:
To deliver ond operote RCTC's Toll Program ond focilities in o monner thot delivers high
volue ond best serves the commission, its toxpoyers ond customers.
Agenda ltem 5
Specific Toll Program Organization objectives were also identified. Like the values, Toll Program
goals and objectives drive Commission decisions and activities.
Establishing success criteria is integralto understanding whether the Commission is successfully
implementing and/or operating the Toll Program. Specific success criteria for the Commission's
Toll Program were proposed by Cambria. ln the future, specific, measureable metrics will be
developed around these success criteria.
Stokeholder Review
ln order to capitalize on tolling industry best practices while also minimizing the impact of a
new organization within the Commission structure, Cambria conducted interviews with internal
and external stakeholders to Bather input on the best approach to implementing a Toll program
organization. using this input, cambria prepared organizational structure options for the
Commission's consideration. A summary of the activities and key findings are below.
Extemol Review of Other Toll Agencies: Best Proctices Reseorch
Cambria worked with the Commission's Toll Program Director to identify and finalize the list of
public and private sector toll agencies to be interviewed. The list of agencies (see attachment -
RCTC Toll Progrom lmplementotion, Phose 1 Tosk 1.5- tmplementotion Roodmop for details)
encompasses a wide variety of perspectives regarding implementing toll facilities and the
organizational structures set up to support them. The results revealed that while all
organizations interviewed had relatively the same functions and overall goals they each had
different organizational structures. Each appears to work equally as well and serve to
accomplish their respective goals. Key drivers of organizational structure include the size of the
organization, whether it is stand alone or functions within a larger organization, and the
organization's philosophy regarding using in-house versus contract staffing. There was no
consistency regarding the ratio of in-house versus contract staffing nor did the literature review
indicate that any such norm existed.
For example, the Washington State Department of Transportation stated that its toll operations
organization has a current in-house staff of 21 full-time equivalent (FTE) employees to
13 contractor employees. This is reflective of a toll organization that has matured and brought
on more in-house staff as it depends less on contractors to support its key operational
functions. However, a similarly mature facility, the orange county Transportation Authority
(OCTA) 91 Express Lanes, is managed by 2.5 FTE OCTA staff with support from other OCTA
departments (e.g. marketing, accounting) as needed. OCTA prefers to retain minimal in-house
staff and outsource a majority of their functions to Cofiroute U.S.A., with agency management
oversight.
lnternal Review: Orgonization Assessment
Staff provided Cambria access to existing management reports, audits, data, and other
information which helped provide an understanding of the current organization structure,
staffing levels, and insight as to how the Commission's plans to operate the Commission,s 91
Agenda ltem 5
Express Lanes. Cambria also interviewed key RCTC staff in relevant proBram areas (see
attachment - RCTC Toll Progrdm lmplementotion, Phose l Tosk 1.5- lmplementotion Roodmop
for details) for detaals). lnput from each program area was obtained including desired
functions, structure, and governance of the toll organization, integration with other programs,
and potential impediments to successful Toll Program implementation (e.g. redundancies,
technology gaps, and communications issues). Several themes and concepts emerged and are
listed below:
Current Orqanization Structure
Those interviewed are clearly engaged and committed to the success of the
Commission's Toll Program. The current Commission organization structure works well
and promotes collaboration among departments. lnterviewees see the Toll Program as
going well so far.
The Commission maintains a small organization making significant use of consultants to
accomplish work. The Commission's policy that no more than 4 percent of costs can be
attributed to the Commission personnel may need to be reconsidered, relative to the
Toll Program, depending on staffing models.
Future Organization Structure
lnterviewees acknowledge that the organization will need to change to meet the
requirements of the Toll Program. Most see an expansion in volume of their current
functions with additional volume and organization emphasis on operating the Toll
Program as a business enterprise focused on customer service.
The role of the Toll Program Director and Toll Project Managers will need to be defined
relative to development and construction activities versus operations and maintenance.
A growing workforce to support the Toll Program may create a need for dedicated
Human Resources (HR) staff allowing a transfer of responsibility for this HR function
from the Finance staff currently assigned the role. (NOTE: The hiring of a dedicated HR
administrator already occurred this fiscal year due to the current HR needs and
anticipated future accounting and HR needs of the Toll Program Organization.)
RCTC'S technoloBy management needs will increase significantly with the Toll program
implementation requiring additional technology resources to support a larger and more
complex data communications and reporting system.
Additional resources to manage the growing number and complexity of contract and
procurement activities will be needed.
The Toll Program organization structure could expand exponentially if the Commission
decides to pursue in-house staffing of many functions currently planned for contracting
out for the 91 Express Lanes, as part of the l-15 Express Lanes operations and
maintenance.
Agenda ltem 5
Needs and Opportunities
The Toll Program will be more customer-centric in nature requiring additional resources
and a different approach to outreach/ma rketinB than the current program.
lnterviewees indicate that they would benefit from meeting with their counterparts
from other toll agencies and from training and mentoring opportunities to prepare
themselves to take on additional responsibilities.
There may be interest for employees to become involved in Toll Program operations.
The Commission may consider identifying and preparing those employees for new
positions and/or responsibilities through cross training, educational opportunities,
internal workshops.
There are a number of risks that could, if realized, impede the Commission from
effectively constructing and operating its toll facilities. The Commission may want to
consider a risk management strateBy to regularly identify risks and risk mitigation
strategies.
There may be economy of scale opportunities and other benefits by combining Toll
Program maintenance and operation oversight with existing rail station oversight by
creating an Operations Director to oversee all the Commission maintenance and
operations.
Key Toll Progrom Duties
Based on internal and external peer agency interviews Cambria identified key duties that will
need to be performed in order to fully support the Toll Program going forward. The following
table outlines the high-level functions needed both during both the development and
operations phases. Some functions may require increased effort from the Commission's
current functions while others are entirely new to the future organization.
Provide policy guidance (i.e. analyze, develop, approve)
Resolve escalated risks and issues
Nurture relationships with OCTA and other regional
stakeholders at the political level
General legal support, LeBal review of policies and
contracts
. lmplement Board policy direction and establish overall Toll
Program direction (e.9. toll levels, account policies)
. Resource allocation, budgets, staffing, and contract
services
o Resolve escalated risks and issues
o Federal, State and regional matters (e.g. national
interoperability)
o Public lnformation Officer/Media relations
Agenda ltem 5
FunctionalArea Speclfic Duties which would Support the RCTC Toll procram
Policy
LegalCounsel
Executive
Finance and Accou nting Capital financing, lender/bond holder relations and
compliance
Budgeting and revenue analysis
Cash management, accounts payable, and accounts
receivable
Toll accounting, reconciliation, audit
Financial reporting and auditing
General Administration Risk management
Procurement: vendor procurement
Collections
Human resou rces
and contract support
Government Relations Legislative support
Project
Development/Delivery
91 and l-15 Express Lanes development and construction
Community relations and issue management
Regional transportation planning and fund programming
for tolling
Marketing, branding, events, and communications
Toll Operations Overall program management and oversight of all
functions
Maintenance of toll ops. and customer service center and
roadway
Traffic operations, customer assistance patrol, CHP, toll
operations
Account management, revenue collection, violation
processing
Customer service, transponder inventory and sales
ITS management, maintenance, data management and
modeling
Analysis of toll data, data modeling, technology
Reports, communications, document management
Developing and Seleding o Toll Prcgrdm Orgonizotion Model
The prior work served as a context to create three potential Toll Program Organization models:
. Option t Dedicoted Toll Structure. Assumed that the Toll Program Organization
functions through a "stand-alone" department with minimal support from other
Commission departments creating an essentially separate enterprise within the
Commission.
. Option 2 Motrix Toll Structure. Assumes that other Commission departments were
responsible for providing a majority of functions to the Toll Program Organization.
. Option t Hybrid Toll Structure. Assumed that there was a mix between functions
provided by the Toll Program Organization and the rest of the Commission departments.
Agenda ltem 5
For each option high level considerations, a description of the dedicated and matrixed
functions, and a functional organization chart were created and reviewed. Staff selected
Option 3 Hybrid Toll Structure because it best met identified needs and constraints. As
indicated in the functional organization chart below, activities directly associated with the Toll
Program will be primarily provided by Commission staff and consultants dedicated to the Toll
Program. Support activities (e.g. procurement, HR, etc.) will be provided by other Commission
staff on a matrixed or shared basis with other Commission programs.
Project Development, Design-Build
Project Mana8ement /
Coordination, including tolling
system
Project Development,Design-Build
Project Management and
Construction Management
Design-Build Development
Procurement
Human Resources
Budgeting
AccountinB
Financial Reporting
Public Outreach/Community
Relations
LegalSupport
Legislative Support
Operations
Management/Coordination+ |
Toll Business Analysis* *
Tolling Program Analysis
Traffic and Revenue Studies
Financial Studies
Maintenance & Operations**
Customer Service* *
Toll Program Marketing*+
Toll System/lTS Managementt+
Procurement
Human Resources
Budgeting
Accounting
Financial Reporting
Toll Accounting, Reconciliation,
Audit **
Public Outreach/Community
Relations
Legal Support
Legislative Support
Functions not currently provided under the Toll Program are indicated by a double asterisk (**).
Activities in bold will likely require staff or consultant resources to be added to the other
departments in order to support the Toll Program.
Agenda ltem 5
lmplementing the Toll Program Organization
A seven year Toll Program implementation plan was conceived where short term (2013-2015),
medium term (2016-2019), and long-term (2020 and beyond) actions were determined by type.
This approach was taken to tailor the implementation schedule to the planned opening of the
91 Express Lanes in 2017 and the l-15 Express Lanes in 2020. Section 4 of attachment L to this
agenda report (RCfC Toll Progrom lmplementotion, Phose 1 Tosk 1.5- lmplementotion
Roodmop) provides further detail regarding action description, timing, and likely responsible
person. The action list is not exhaustive but is representative of the breadth of issues that will
need to be addressed as part of the Toll Program implementation.
Summarv of Recommendations
Staff is bringing forward to the Executive Committee the summary of this Toll Program
Organization work and seeking confirmation of the general direction and principles by which
the Commission's future Toll Program Organization would operate.
Attachment: Draft RCTC Toll Program lmplementation Plan
Agenda ltem 5
DRAF丁
RCTC Toll Program
lm plementation
Phase 1, Task 1.5 - lmplementation Roadmap
Updated June 24, 2013
Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
........16
4.1.1 Oversee Toll Pro9ram......................... .....................15
4.1,.2 Develop Toll Program Processes and Procedures............ .....................1G
4.1.3 Develop Enterprise Resource Planning (ERP)/fechnology Support Needs and Strategy...17
4.1.4 Conduct Change Management and Communications Activities within RCTC.................... 17
4.1.5 Establish Policies regardingToll Program ........................ ..................... 18
4.1.6 Manage and Oversee Toll Program Consultants, Vendors, and Service Providers ............18
4.7.7 Participate in lndustry Events and Professional Deve1opment........................................... 18
4.2 Matrix Functions with Other RCTC Departments ............... .......................... 19
4.2.1 Develop Strategy Related to Matrix Functions.............. .......................19
4.2.2 Evaluate Areas of Need........................ ...................19
4.2-3 Assist Departments to lmplement Changes..................... .....................19
4.2.4 Ongoing Coordination......................... .................... 20
4.3 Proiect Development and Delivery for 91 Express Lanes .. ...........................20
4.3.1 Manage and Coordinate Project Development and De1ivery.............................................20
4.4 Project Development and Delivery for l-15 ....................... ..............-........-...2L
4.4-1 Hire l-15 Proiect Mana9er................... ....................23
4.4.2 Conduct Pre-development Activities . .....................23
4.4.3 Procure Construction Management Firm ........................ ....-................24
4.4.4 Procure Construction Contractor(s)... .-...................24
4.4.5 Manage and Coordinate Project Development and Delivery............................................. 25
CAMBRIA Page 2 ot 37
―璽
Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
4.5 Operations & Maintenance (O&M) ............................ ..................................25
4.5.1 Finalize Cooperative Agreements....... ....................27
4.5.2 Develop and Maintain fuset Management Strategy and Plan ...........................................28
4.5.3 Hire Toll Operations Mana9er............. ....................28
4.5.4 Oversee Roadway and Toll System O&M Activities........... ...................28
4.5.5 Procure l-15 O&M Vendo(s) ............. .....................29
4.6 Customer Service . .............................29
4.6.1- Develop Customer Service Strategy.... ....................29
4.6.2 Procure Customer Service Resources . ....................30
4.6.3 Monitor Operations at the Customer Service Center........ ...................30
4-7 Marketing............. .............................31
4.7 .l ldentify Marketing Strate9y................ ....................31
4.7.2 Procure Toll Marketing Resources...... ....................31
4.7.3 Oversee Marketing Activities............... ...................31
4.7.4 Conduct Marketing Activities............... -.-.--...-....-...-32
4.7.5 Procure lntellectual Property (lP) Resources............. ...........................32
4.7 .6 Oversee and Conduct lntellectual Property Activities..... .....................33
4.8 Toll System / ITS Management ........... ............................33
4.8.1 Develop lnformation Technology (lT) 5trategy.................. ...................33
4.a.2 Procure Toll System / lntelligent Transponation System (lTS) Firm to lmplement System
for l-15 33
4.8.3 Oversee 91 Express Lanes Toll/lTS Vendor System Deve|opment......................................34
4.8.4 Oversee l-15 Toll/lTs Vendor System Development.......... ...................34
4.8.5 Manage ITS Vendor over Maintenance Phase................. .....................35
4.9 Toll Business and Data Analysis........ ..............................35
4.9.L Hire Toll Business Ana|yst.................... ...................35
4.9.2 Conduct Business Ana1ytics.................. ...................36
4.9.3 Develop and Maintain Toll Strategic/Master P|an................. Errorl Bookmark not defined.
4.9.4 Develop Reports and Communications ........................... .....................36
4.9.5 lmplement and Maintain Toll Program Digital "Library": lnformation Management ........36
4.9.6 Research Toll Technology lnnovations ....................37
5.0 Next Steps ............ .................................37
CAMBRIA Page 3 of 37
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Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap -@
1.0 Overview
The Riverside County Transportation Commission (RCTC) is moving forward in implementing a toll
organization to manage the construction and operations of the 91 Express Lanes Extension and the
lnterstate 15 Express Lanes toll facilities (Toll Program). RCTC has engaged Cambria Solutions (Cambria)
to assist with that effort.
This document, the lmplementqtion Roodmop, is the final deliverable of phase I of the overall
organizational design effon. This lmplementotion Roodmop sets forth a seven year, three-phased
process for addressing Toll Program implementation, toll facility development, and toll facility
operations and maintenance (O&M). Using industry standard practices tailored to the unigue aspects of
RCTC, the lmplementotion Roodmop sets forth a sequence of actions which guide the oversight,
development, implementation, and change management aspects of implementing an organizatton
structure to support RCTC'S Toll Program.
This report is based on Cambria's work to date and is designed to:
ldentify key priorities - ldentify which tasks/duties of the Toll program are the most critical and
urgent in terms of priority and timing of implementation. Specifically, which items should be
implemented in the near-term, mid-term, and long-term, along with the rationale for their
implementation timing.
ldentify potential dependencies - ldentify potential dependencies that must be addressed in
the implementation plan. This will be important to determining the overall implementation
sequence.
Define an implementation roadmap - ldentify a high-level organization implementation
schedule and narrative. Due to organizational preferences, resource constraints/timing and the
need to find, recruit, and hire staff or consultants, it is likely that key functions should be
implemented in a phased approach. The implementation roadmap recommends how the Toll
Program functions might be phased in over time.
It is important to note that the recommended staffing and lmplementation Roadmap in this
document reflects what will be needed to accomplish the 91 Express Lanes and l-15 Express Lanes
projects, based on current plans and Rcrc's organization structure and readiness to deliver and
operate those facilities. Should RCTC move forward with additionaltollfacilities in the future,
additional staffing will be required (Toll Program and support functions), as well as potentially
modifications to the Toll Program organization structure.
The lmplementation Roadmap contains the following sections:
. Activities and Key Findings - summarizes the history of the project leading up to this
implementation roadmap
CAMBRIA Page 4 of 37
Riverside County Transportation Commission
Toll Program 0rganization - lmplementation Roadmap
Hi8h-Level lmplementation Diagram - illustrates at a high levelwhat tasks need to be
completed within each functional area and potential timing for each task
Detailed lmplementation Activities - describes detailed activities which should be conducted
for each task area
2.O Background
This section provides an overview of tasks completed to date (Tasks 1.1, 1.2, 1.3, 1.4), which contributed
the development of the lmplementation Roadmap. Details are included in the respective documents for
those tasks, which have been previously submitted to RCTC.
As part of its long term strategy to increasing mobility in the lnland Empire and Southern California
regions, RCTC is pursuing two major infrastructure projects that include tollfacilities as important
components.
The first pro.iect (SR-91) addresses the second most congested commute in the nation. RCTC plans to
widenSR-g1 and construct two tolled express lanes in the median ofthe existing freeway. Thesetwo
tolled express lanes will accompany a new general purpose lane from the Orange County line to l-15, to
be completed by January 2017 and will essentially be an extension of the existing OCTA-operated 91
Express Lanes. The second project is the proposed l-15 freeway widening, to be completed by 2020.
This project includes: 1)two tolled express lanes and one mixed flow lane in each direction from SR-60
to 5R-74, and 2) one high occupancy vehicle (HOV) lane in each direction from SR-74 to the l-15/l-215
interchange. RCTC is currently working on an agreement with the Federal Highway Administration
(FHWA) for TIFIA funding for the projects, and has received State legislative approval for both projects.
ln light of these major infrastructure improvements, RCTC is seeking to understand how best to organize
to plan, construct and operate the above-mentioned facilities. RCTC already has some staff and several
consultants in place to provide services relative to the two proiects. As RCTC moves closer to project
financing and construction, it desired to know if the current and proposed levels of in-house staffing and
consultant support are sufficient, or the right "mix", to provide the most efficient and effective delivery
and operation of these two projects. Towards that end, RCTC asked Cambria Solutions (Cambria) to
conduct an analysis that would result in the identification of a proposed organization structure that
would best serve its needs going forward, as well as an implementation strategy for such an
organization structure.
2.7 Scope of Services
RCTC has a need for a broad range of services in order to pla n for and implement an organization that
can oversee and manage the development and operation of the SR-91 and l-15 toll facilities. To address
those needs, Cambria conducted the following activities based on an understanding of RCTC's needs and
the Cambria team's background in "standing up" tolling and program management organizations.
Cambria worked with RCTC on each task to customize the methodology based on the relevant
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-g
Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap L璽
stakeholders, the context of the situation, and RCTC'S specific needs, as well as to establish pro.iect
schedule.
The following diagram illustrates Cambria's proposed approach to RCTC'S requirements- Phase 0 and
Phase t have been completed as part of this engagement, and Phases 2 and 3 are proposed future
phases. Cambria has modified this approach based on our evolving understanding of RCTC'S needs.
Specifically, we have updated Phases 2 and 3 to incorporate implementation activities outlined in this
lmplementation Roadmap.
.Oevelop RCTCTollinS
ProSram vision and
charter
.ldentifo organiration
alternatives, leSson5
learned and best
practices from other toll
facilities
.Conduct organizational
assessment
.ldmtifo organization
structure options and
facilitate decision-
makingprocess
.Develop implementation
roadmap
.Oetail all start-up
activities in a Microsoft
Project Ganti chart,
includingtimin&
dependencies and
resource loading
.oevelop procesles and
procedures, including
"mataix" organization
func-tional requirements
and action plan
.Develop strategies and
approaches
.Develop and support
procurements for
additional resources
.Conduct implementation
activities, related to:
operationalizing Toll
Program Guiding
Priniples and Goals and
Obiectives, recruitment,
team development and
trainin& ERP and toll
technology
implementation, change
management, leaming
strategy, external
communications,
marketing roll-out, and
other implementatjon
activities as needed
.Conrirm internal project
management processes
.Conduct project kick off
.Establish
communications
structures, including
reporting processes
These activities are based on an understanding that RCTC will pursue toll options for the SR-g1 and l-15
projects. While this lmplementation Roadmap considers the activities required to design, build, finance,
operate and maintain these two projects, it does not pre-suppose the project delivery method(slto be
used for l-15 (e.g. self-perform, contract, DBFOM, PPP, pubic-public partnership, etc.). This will be part
of a future planning activity for l-15 and potentially future projects; specifically an evaluation of the
most efficient/effective project delivery and operations method, given where RCTC'S Toll Program is at
that time. These planning activities should consider impact on the organization, staffing, schedules, etc.
RCTC may need additionalToll Program and support resources to support these projects.
2.2 Activiticsandl(.]!,i'indings
ln order to identify RCTC'S goals and preferred approach/structure for its Toll Program organization and
capitalize on industry best practices in tolling while also being mindfulto organization change
management factors (i.e. minimizing the impact of a new organization within the RCTC structure),
Cambria conducted interviews with internal and external stakeholders to gather input on the best
approach to implementing a Toll Program Organization. Using this information and Cambria's tolling and
organization structure expertise, Cambria prepared organizatio na I structu re options for RCTC's
consideration. The below information summarizes the activities and key findings of those efforts.
Complete information has been previously submitted as a series of separate reports to RCTC.
CAMBRIA Page 6 of 37
PHASE 2:PROGRAM
SuP,ORT
INFRASTRUCTURE
PHASE 3:CONDUCT
IMPLEMENTAT10N
ACTIViTにS
Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
2.2.1 Or-ganizatioll Gui(ti,rg Principlos ('lask 1.1)
Cambria worked with the RCTC Pro.iect Manager (PM) to develop a set of principles to guide the
development and operations of RCTc's Toll Program and organization- The purpose of the TollinB
Program Organization Guiding Principles is to provide a framework which defines the way in which RCTC
will approach the development and implementation of its Tolling Program. The Guiding Principles help
drive organizational structure as well as serve as the basis for making and evaluating decisions and
performance of RCTC's Tolling Program. RCTC's Toll Program Guiding Principles include:
. Commitment - to excellence in all activities, including timely, cost-effective project delivery and
operations.
Responsibility - Maintaining a high degree of personal responsibility over pro.lect decisions and
agency actions.
Accountability - for pro.iect outcomes and agency decisions.
Responsiveness - to member agencies and stakeholders and constituents. Maintaining high
performance on projects and in keeping commitments to project and agency stakeholders and
constituents.
Collaboration - working collaboratively with all stakeholders.
Leadership - in delivery and operations of transportation facilities
The Guiding Principled document also documented RCTC's Purpose for the Toll Program Organization,
Goals and Objectives of the Toll Program organization and how success of the Toll Program will be
measured.
2.2.2 Extel.n.rl Revierv: llest Practiccs llcscaICh ('I'.lsk 1.2)
Cambria worked with the RCTC Proiect Manager (PM)to identify and finalize the list of public and
private sectortoll agencies to be interviewed. The list of agencies encompasses a wide variety of
perspectives with regards to implementing tollfacilities, and the organizational structures set up to
support them. Cambria interviewed executives at each ofthe agencies, and facilitated the discussion
using standard questions. Below is a list of the toll organizations interviewed, and their respective toll
facilities:
. Bay Area TollAuthority (San Francisco Bay Area Bridges)
. Colorado High Performance Transportation Enterprise (l-15, US-36)
o E-470 Public Highway Authority (Colorado E-470)
. Georgia State Road and Tollway Authority (l-85)
. tos Angeles County Metropolitan Transportation Commission (l-10, l-Uo)
. Orange County Transportation Authority (SR-91)
. San Diego Association of Governments (l-15, SR-125)
. Transurban (l-95, l-495, Pocahontas Parkway)
. Transportation corridor Agencies (sR-73, SR-261, SR-241, SR-133)
. Utah Department of Tra nsportation (l-15)
. Washington State Department of Tra nsportat ion (SR-167, SR-520)
"璽
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Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
Cambria's research revealed that while all organizations interviewed had relatively the same functions
and overallgoals, they each had different organizationalstructures. Each appears to work equally as
well and serve to accomplish their respective goals. Key drivers of organizational structure include the
size of the organization, whether it is "stand alone" or functions within a larger organization and the
organization's philosophy regarding using in-house versus contract staffing. There was no consistency
regarding the ratio of in-house versus contract staffing; nor did the literature review indicate that any
such norm existed. . For example, WSDOT stated that their toll operations organization has a current in
house staff of 2L FTES to 13 contractors. This is reflective of a toll organization that has matured and
has brought on more in house staff as it depends less on contactors to support its key operational
functions. However, a similarly mature facility, the OCTA 91 Express Lanes, is managed by 2.5 FTE OCTA
staff with support from other OCTA departments (marketing, accounting) as needed. OCTA prefers to
retain minimal in-house staff and outsource a majority of their functions to Cofiroute U.S.A., with
agency management oversight.
2.2.3 Intenral Review: Organization Asscssmcnt ('Iask ,.3)
As part of this overall Toll Program implementation, RCTC provided access to existing management
reports, audits, data, and other information which provide insight into the potentialfunctions, purpose,
or activities ofthe current and future Toll Program. Cambria conducted a high-level review ofthese toll-
related documents to gain an understanding of the current organization structure and staffing levels, as
well as insight regarding how RCTC plans to operate the 91 Express Lanes extension. These documents
included:
. RCTC Organization Chart
. 207212073 RCTC Budget
. Caltrans RCTC 91 Project Toll Facility Agreement
o Vendor O&M Contract Cost Estimates (spreadsheet)
. 91 Project Concept of Operations
. TIFIA Letter of lnterest December 2011
o Draft RCTC OCTA Cofiroute Operations and Maintenance Agreement
. OCTA RCTC Cooperative Agreement for the 9L Express Lanes Extension
. lnvestment Grade Traffic and Revenue Study
. Annual Operations and Maintenance Staff Costs with RCTC staff (spreadsheet)
As part of this assessment, Cambria also interviewed key RCTC staff in relevant program areas (e.g.,
project development and implementation, contracts administration, legal, training, communications and
community relations, finance, construction, etc.). The interviews served to gather input from each
program on desired functions for the Toll Organization to provide key points on integration with other
programs, initial ideas about the Toll Organization structure and governance, and potential impediments
to successfulroll Program implementation such as redundancies, technology gaps, communications
issues and siloed resources. The following RCTC internalstaff/stakeholders, contract legal counsel and
Eechtel staff were interviewed as part of this effort. lnterviews were held January 16-24, 2013 and
included the following RCTC staff.
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Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
o Anne Mayer - Executive Director
. John Standiford - Deputy Executive Director
. Steve DeBaun - LegalCounsel
. Cathy Bechtel- Proiect Development Director
. Michele Cisneros - Accounting and Human Resources Manager
. Theresia Trevino - Chief Financial Officer
. George Nomura - Proiect Manager - Bechtel
. Eliza Echevarria - Community Relations Manager
. Aaron Hake - Government Relations Manager
. Matt Wallace - Procurement Manager
The information gathered from the interviews provides considerable insight regarding how key internal
stakeholders view RCTC's readiness and options for implementing its Toll Program. Severalthemes,
concepts and ideas emerged from this process that can be carried over into the next phase of analysis.
Some of the themes that emerged from the interviews are listed below.
Current Orqanization Structure
. Those interviewed are clearly engaged and committed to the success of RCTC'S Toll Program.
. RCTC maintains a small, relatively flat organization structure and makes significant use of
consultants to accomplish its work activities. RCTC has a policy that no more than 4% of costs
can be associated with RCTC administrative personnel. This may need to be revisited in the
future, relative to the Toll Program, depending on staffing models.
. The current RCTC organization structure works well and promotes collaboration among
departments.
o lnterviewees see the Toll Program as going wellso far.
Future Orqanization Structure
. lnterviewees acknowledge that the organization will need to change to meet the requirements
of the Toll Program. Most see an expansion in volume of their current functions, with additional
volume and organization emphasis on operating the Toll Program as a business enterprise
focused on customer service.
o The role ofthe Toll Program Director and Toll Pro.iect Managers will need to be defined as to
their focus relative to development and construction activities versus operations planning and
management.
. Expansion of the Toll Program may create a need for dedicated Human Resources staff to
provide the necessary support for a growing workforce and to free up Finance staff currently
assigned to the HR function.
o RCTC'S technology management needs will increase significantly with the implementation of the
Toll Program. This will require additionaltechnology (lT) resources to support a larger and more
complex data communications and reporting system.
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Page 9 of 37
Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
. RCTC will need additional resources to mana8e the growing number and complexity of contract
and procurement activities.
o The Toll Program organization structure could expand exponentially if RCTC decides to pursue
in-house provision of some functions currently planned for contracting out for the 91 Express
Lanes, as part of l-15 Express Lanes delivery/financing and operations planning.
Needs and Opportunities
The Toll Program will be more "retail" and customer-centric in nature, requiring additional
resources and a different approach to outreach and marketing than the current program.
lnterviewees indicate that they would benefit from meeting with their counterparts from other
toll agencies, and could benefit from training and mentoring opportunities to prepare
themselves to take on additional responsibilities.
There may be interest within RCTC for employees to become involved in Toll Program
operations. RCTC may want to consider identifying and preparing those employees for new
positions and/or responsibilities through cross training, educational opportunities, internal
workshops.
There are a number of things that could impede RCTC from an effective construction and
operations of toll facilities (see Section 4.6). As a part of the development and implementation
of the Toll Organization, RCTC may want to consider regularly identifying risks and risk
mitigation strategies to manage the multiple areas of change.
There may be an opportunity for economies of scale and other benefits by incorporating Toll
Program maintenance and operations oversight into existing rail station and intermodal
programs (or vice-versa) by establishing an Operations Director (or Manager) position that
would oversee all RCTC maintenance and operations matters (contractualand in-house).
2.2.4 Dcvelopirrg and Selecting a Toll Progranr Organization Modcl (Task 1.4)
The external and interview reviews served as a context for developing various potential organi2ation
models, one of which was ultimately selected for implementation.
Option l was a Dedicoted Toll Orgonizotion Structure,which assumed that the Toll Program
Organization is responsible for providing a majority of functions primarily through a "stand-
alone" department, with minimalsupport from other RCTC departments. ln essence, the Toll
Program would stand as an almost separate enterprise within RCTC.
Option 2 was a Matrix Toll Structure, w h ich assumes that other RCTC departments were
responsible for providing a majority of functions to the Toll Program Organization.
Option 3 was a Hybrid TollStructure, which assumed that there was a mix between functions
provided by the Toll Program Organization and the rest of the RCTC departments.
CAMBRIA Page 10 of 37
―璽
Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
For each of the options, Cambria provided high-level considerations, a description of the dedicated and
matrixed functions, and a functional organization chart. More information on this Task is included in the
Task 1.4 Deliverable.
Ultimately, RCTC opted for Oplion 3, the Hybrid Toll Structure.Ihe below diagram displays that during
the development (current phase), construction and operations phases, RCTC will have a relatively small,
core group of employees focused 100% on the Toll Program and reporting vertically up to the Toll
Program Director, while other RCTC departments will provide "matrixed" support to the Toll Program,
while maintaining a vertical reporting relationship within their current reporting structure.
"璽
Project Development, Design-Build
Project Management / Coordination,
including tolling system
Project Development,Design-Build
Project Management and
Construction Management
Design-Build Development
Procurement
Human Resources
Budgeting
Accounting
Financial ReportinB
Public Outreach/Community
Relations
LegalSupport
Legislative Support
Operations
Management/Coordination* *
Toll Business Analysist*
Tolling Program Analysis
Traffic and Revenue Studies
Financial Studies
Maintenance & Operations**
Customer Servicex*
Toll Program Marketint'*
Toll System/lTs Management**
Procurement
Human Resources
Budgeting
Accounting
Financial Reporting
Toll Accounting, R€conciliation,
Audit.*
Public Outreach/Community
Relations
Legal Support
LeBislative Support
CAMBR:A Page u of 37
Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
Functions/activities not currently provided under the Toll Program are indicated by a double asterisk
(**). Additionally, activities in bold font are activities that will likely require staff or consultant resources
to be added to the other departments in order to support the Toll Program.
The remainder of this lmplementation Roadmap report identifies the various implementation activities
required to establish this organization structure within RCTC.
3.0 High-LevellmplementationDiagram
Below is a high-level implementation diagram showing the various activities that need to be undertaken
between now and 2020 to implement RCTC's Toll Program. The diagram also shows recommended
timing and interrelationships for the activities. Where the diagram shows addition of staff resources
(Toll Program or matrixed), these are based on information gathered from interviews with RCTC staff
and Cambria's experience in implementing toll organizations. We recommend validating the number of
matrix resources and timingthrough further discussions with affected RCTC staff. Afuturestepwill be
to further detail these and other steps into a highly-detailed CPM/Gantt chart. The sections that follow
the diagram provide the details that feed into the diagram.
CAMBRIA PaBe L2 ot 37
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Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
4.O Detailed ImplementationActivities
The following information discusses the functional areas and actions that will need to be taken to move
RCTC'S Toll Program toward successful implementation. We have also identified the position that might
"own" the responsibility for implementation. Thas initial "ownership" may change over time, depending
on future assignments and staff expertise. lt should be noted that initially, much of the ownership r€sts
with the Toll Program Director. During at least the next few years, where the Director will be
simultaneously building and starting up the 91 Express Lanes and planning the F15 Express Lanes (and
potentially other projects), there will likely need to be additional part-time consultant resources to assist
him with implementation of this lmplementation Roadmap.
The lists of activities within each task below are not exhaustive, but certainly give RCTC insight into the
breadth of issues that will need to be addressed as part of the Toll Program implementation. lt should
be expected that more activities and specific dependency relationships will be identified as further
planning and collaborative discussions occur.
4,1 ProgramManagenrent
Program management involves general oversight duties related to the operations of the Toll Program
Organization. This includes high-leveltoll-related policy decisions as wellas day-to-day management
processes and logistics. Ultimately, program management is responsible for the delivery and operations
of an effective Toll Program- The following information details functions and activities associated with
Program Management.
4.1.7 Ovorscc Toll Program (2013 - ongoing)
OWNER: Toll Program Director. The Toll Program encompasses a variety of functions, listed in the
sections below. ln order to facilitate the numerous toll-related functions simultaneously, there needs to
be strong oversight and management of day-to-day activities. This task area may include the following
activities:
Oversee all Toll Program operations
Manage budget and finances
Manage resources and resource allocation
Review escalated issues and risks
Establish the process for determining achievement of values and success criteria (where
practical)
Staff the joint OCTA/RCTC Toll Committee (91 Advisory Committee)
Participate in California TollOperators (CTOC) Executive Committee, Technical/Operations
Committee, and Legislative Committee
"璽
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Riverside County Transportation Commission
Toll Program OrBanization - lmplementation Roadmap
4,1.2 Develop Toll Proglaru Processcs rrrrl Plucetlu|cs (2013 - 2015)
OWNER: Toll Program Director. ln order for the Toll Program to run effectively, there must be well-
established and documented processes and procedures which govern the day-to-day operations of the
department. This task area may include the following activities:
o Finalize governance structure, including reporting structure for RCTC matrix departments
. ldentify and conduct strategic planning processes
. Operationalize Toll Program Guiding Principles and goals and objectives and establish overall
Program KPls/performance metrics
. ldentify organizational norms and alignment to the rest of RCTC
. ldentify decision-making processes and thresholds
. Draft and implement relevant standard operational policies and procedures, including
operations, roadway, incident management, disaster recovery, facility equipment and inventory
. Facilitate staff training on and manage adherence to standard operational policies and
procedures
4.1.3 Devclop Enterprise Resource Planning (ERP )lTechnology Suppoft Needs and
Stratcgy (2013 - 2015)
OWNER: Toll Program Director. ln order for the Toll Program data to integrate into the rest of the
RCTC's systems, there should be an assessment of the financial, administrative and technical functions
required for the Toll Program and how they align with the rest of RCTC. This may lead to implementation
of enterprise-wide systems and tools which may benefit the entire organization. This task area may
include the following activities:
. Review financial, administrative, and technical functions required for RCTc's Toll Program
. Review RCTC'S current technology and systems
. Develop a strategy and implementation plan for Toll Program-related ERP and technology
needs, including integration with the County systems
r Provide implementation support as needed (i.e. industry research, vendor quotes, vendor
procurement, software testing, implementation oversight)
4.1.4 Conduct Changc Managoment and Conrmunications Activitics wfthin RCTC (2013-
?o161
OWNER: Toll Protram Oirector. As with any potentia I cha nge, there must be an appropriate degree of
change management activities and communications in order to acclimate current staff to the impending
changes. Change management is critical in order to garner support and buy-in to the changes in the
organization, particularly if workloads will be increasing and/or reporting relationships and
responsibilities will change as a resutt of the Toll Program. This task area may include the following
activities:
o Develop and implement partnering (construction) and team building (operations) strategy,
including vision, values and priorities and leadership development necessary to grow core
competencies
(｀′ヽ ヽlBRIA Page L7 ol !7
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Riverside County Transportation Commission
Toll Program Organization - lmplementation Roadmap
. Develop internal communications strategy with consistent messaging
. Conduct site visits with other agencies to learn about individual roles and identify good models
. Present information to the Board
. Present information to all RCTC staff
4.1.5 Estalrlish Policies Regarding Toll Program (2013 - ongoing)
OWNERT Toll Program Director. Before operations and maintenance begin, the Toll program should
facilitate conversations and decisions for critica I toll-related policies. Depending on the issue, this may
involve various departments within RCTC. lt may also require the escalation of issues to the Board level.
At the end of the day, these policy decisions will provide a basis for day-to-day toll operations and
relevant system logic. This activity is shown extending through the opening of the l-15 facility, in that
depending on delivery and operations methodology selected, RCTC may need to modifu policies it puts
in place for the 91 Express Lanes, in order to have coordination between the two facilities. lnitially (and
ongoing), this task area may include the following activities:
. Establish business rules used to operate the toll facllities
. Establish the pricing policies
. Establish customer account policies
. Establish policies regarding for revenue/throughput balance
4.1.6 ManaBe and Oversee Toll Program Consultants, Vendors, and Servicc l,r.ovi(lr:rs
(2 013 - ongoing)
OWNER: Toll Program Director. Because RCTC will be relying heavily on consultant support for
specialized areas of expertise (i.e. construction, tolling system, operations), there should be strong
oversight and management over consultant, vendor, and service provider activities. This task area may
include the following activities:
. Prepare and negotiate contracts and agreements and amendments
. Administer toll vendor contracts and tracking of contract deliverables
. Review the tollvendor's performance against scope ofwork
. Review contract deliverables
. Validate required licenses and certifications
. Review tollvendor performance reports and invoices
4.1.7 P:rrticipate in Industry Events and Profi'ssional Devekrpnlent {2013 - ongoingJ
OWNER: Toll Program Director. As RCTC continues to build its industry expertise and standing as a
leader in toll operations, participation in industry events willgrow increasingly important. This task area
may include the following activities:
. Participate in IBTTA, TRB, Mobility 21, ITS CA and America and other industry events,
conferences, forums, webinars, committee positions Leadership Academy, etc.
. Present at various toll and transportation industry meetings, conferences and forums
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4.2 Matrix Functions vvith Other RCI'C Depilrtments
RCTC leadership has opted to implement a type of a matrix organization for its Toll Program, wherein
some functions are performed within the Toll Program organization and other functions are performed
by RCTC departments who specialize in that area of work. These matrix functions serve a supporting role
to toll operations. These functions include: Board of Commissioners, Legal Counsel, Executive Director,
Finance, Human Resources, Procurement, Government Relations, Community Relations, and
Programming & Planning. While a matrix organization model requires a great deal of coordination across
multiple reporting structures, it can greatly increase RCTC's overall scalability and flexibility.
4.?.1 Develop Stratogy Related to Matrix Functions (2013 - 2014)
OWNER: Toll Program Oirector. Before assigning specific support activities to other RCTC departments,
it is important to identify which areas of RCTC will be asked for support, what they will be asked to do on
behalf of the Toll Program, what potential impacts, economies of scale, etc. might occur, and identify
implementation needs, strategies and operating agreements. These strategies and agreements will
guide day-to-day activities, since they provide a framework within which matrix departments can
operate, relative to the Toll Program. Areas which may require a framework, for instance, may include:
procurement guidelines, finance policies (accounting treatment, chart of accounts, revenue recognition,
and audit process), aggressiveness of violation and collection procedures, etc. This task area may include
the following activities:
. ldentify departments which are impacted by toll operations and what the Toll Program will ask
them to do for support and the degree of their impact (i.e. low, medium, high)
. For areas which involve significant changes, define additional policy needs and decision
processes to guide potential changes
4.2.2 Evaluate Areas of Nccd (2013 - 2O14.)
OWNER: Toll Protram Dire€tor. Because of the overa ll impact to the organization, the Toll Program
should facilitate a gap analysis in order to identify the specific changes to the matrix departments which
may be involved in support roles to toll operations. ln addition to this gap analysis, there should be an
implementation plan to identify how any "gaps" will be addressed. This task area may include the
following activities:
ldentify departments which are impacted by toll operations and the degree of their impact (i.e.
low, medium, high)
For areas which have significantly increased functions, determine whether additional resources
are required
lf additional resources are required, identify implementation process and timeline based on
fund availability and toll implementation activities/timeline
4.2.3 Assist Departmcnts to Implement Changes {2074 - ZO|T'}
OwNER: Toll Program Oirector. Once an implementation plan has been identified to address potential
needs of matrix departments, the Toll Program staff should support the divisions in implementing the
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changes and updating relevant processes and documentation. This task area may include the following
activities:
Communicate with departments about upcoming changes to their workload and functions
Conduct training and site visits as necessary for staff to understand changes to their processes
Work with departments to update relevant documentation (i.e. job descriptions, policies and
procedures, handbooks)
Provide implementation schedules, training and other resources to promote smooth
implementation
4.2.4 Ongoing Coor(lination (201:i - ongoing)
OWNER: Toll Program Director. Because matrix departments will be involved in ongoing toll operations,
it is important to monitor these operations, identify any ongoing issues or risks, and provide support for
any growing areas of need. This task area may include the following activities:
Continue coordinating with departments with toll operations functions to determine whether
they require additional resources
Establish and monitor internal operational performance agreements/metrics
Regular evaluation and changes as necessary
4.3 Proiect Planning and Delivery for 91 Express Lanes
For purposes of the lmplementation Roadmap, Project Planning is defined as all work leading up to the
beginning of construction and operations (start-up and ongoing). Projecl Delivery refers to design,
construction and operations (stan-up and ongoing) activities. This implementation roadmap assumes
that the hiring of a Proiect Manager and procurement of construction and toll system contractors for
the 91 Express Lanes has already occurred. This also assumes that much of the operations for 9lX will be
done under contract with OCTA and Cofiroute USA (who provides operations services for OCTA on its
portion ofthe 91. Express Lanes). As such, this stage ofthe project primarily requires oversight ofthe
tollfacility delivery (construction, toll system delivery/integration, operations stan-up
4.3.1 Manirge and Oversoe Projcct Dolivery (2013 - ?O77')
OWNER:91 Express Lanes Project Manager. During prorect construction and delivery, it will be
important to provide project controls to the project, overseeing detailed proiect progress and
constraints and identifying how the proiect is progressing along its planned delivery. This task area may
include the following activities:
Develop and implement strategies related to the design, management, construction, and
delivery of projects
Direct the preparation and maintenance of contractor work plans, including pro.iect plan,
schedule, budget, and quality control obiectives
Develop, negotiate, and recommend approvalfor contracts and cooperative agreements with
other governmental agencies as needed
lf required, obtain preliminary approval from Caltrans on lT approach
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lf required plan lT testing approach with Caltrans
Oversee prorect scope
Oversee proiect budget
Oversee proiect schedule
Oversee project resources to help ensure that staffing levels align to the work expectations
Oversee final design, utility relocation, and right of way activities
Oversee project safety
Oversee environmental commitments and regulations
Facilitate substantial completion, final punchlist items, and project closeout
Facilitate Caltrans project acceptance
4.3.2 ManirSe Coordination Activitics lor Proiect Delivety (2013 - 2017)
OWNER: Toll Program Director. During project construction and delivery, it will be important to oversee
coordination activities with external stakeholders who may be affected by the toll road implementation.
This task area may include the following activities:
Oversee community relations
Coordinate with federal, state, and local agencies during proiect planning, design, and
implementation, and ensure compliance with any pertinent administrative requirements
Oversee project partnering relations (i.e. partnering process)
Review and approve contracts and cooperative agreements with other governmental agencies
as needed
. Facilitate stakeholder relations (i.e. lenders, bondholders, rating agencies)
,1.11.3 Ovelsee Construction Contractor Proiect Delivt:ry (2073 - 2077'l
OwNER:91 Express Lanes Project Manater and PCM Firm. During project construction and delivery, it
will be important for a PCM firm to provide day-to-day oversight over how the project is progressing
along its planned delivery. The 91 Express Lanes Project Manager will provide overall management and
direction. This task area may include the following activities. lt should be noted that the below list is
somewhat generic and that RCTC will develop its own detailed scope of activities for this Task:
Review pre-construction documents and conduct document constructability reviews
lncorporate client needs, standards, and end-user requirements into project scope
Manage the project documents through the pre-construction bid phase including drafting of
specifications, and issuance of approved plans, specifications, addenda, and analyzing bid results
Review and approve contractor's Schedule of Values (SOV)
Review and approve contractor's Baseline Schedule
Review contractor's site logistic plans and ensure minimal impact to surrounding neighborhood
and neighbors
Review Environmental lmpact Reports (ElR), CEQA and AQDM requirements and ensure that
requirements are incorporated into project scope of work and enforce compliance during
construction
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. Manage project schedule, budget, and progress payments of the Architect, Contractor, and
lnspection
. Coordinate and manage the timely submission and responses of contracto/s submittals, shop
drawings, and requests for clarifications to keep the project on schedule and in conformance
with proiect documents and District standards
. Review, estimate, negotiate, process, and track contractor's change order proposals and
monitor changes in proiect costs with overall pro.iect budget
. Manage and coordinate work with state and local agencies (Caltrans, County, Bureau of
Engineering, etc.) for approvals of right of ways, vacations, revocable permits, offsite scope
changes, and ultimate agency sign-offs and approvals
. Coordinate with utility companies for disconnecting abandoned utility lines, relocating services,
and providing new services for water and power, gas, cable W, telephone, and sewer
. Manage contractor's schedule and ensure that the contractor meets all critical milestones and
does not deviate from the pro.iect's critical path. lmplement and manage a project recovery or
acceleration schedule if needed
. Oversee activities related to commissioning and close-out ofthe proiect. Track required training
of client staff and turn-over of contract materials, warrantees, and as-built drawings. Ensured
contractor provided all required reports
o Follow up on status of completed proiect and ensure that client's needs are addressed and
satisfied
4.3.4 Conduct Pr'oicct Dr:siiln-Iluild ConstrucLion n clivities {2073 - ZO17l
OWNER: Construction Contractor. The construction contractor will conduct project construction
activities. This task area may include the following activities. lt should be noted that the below list is
somewhat generic and that RCTC will require that the contractor will develop its own detailed scope of
activities for this Task:
. Supervise and direct construction work, including means, methods, techniques, sequences,
procedures, and coordination
. Develop SOV and Baseline Schedule and provide to the PCM and gl Express Lanes proiect
Manager for review
. Proceed in accordance with construction schedules established and provide change requests to
amend contract amount, milestones, and contract time in accordance with RCTC requirements
. Administer, coordinate, purchase, expedite, and/or organize procurement of all right-of way,
utility easements, materials and equipment required
. Develop site logislic plans and maintain pro.iect site and surrounding areas
. Work with 91 Express Lanes Project Manager and PCM to coordinate utilities activities
. Maintain a current, accurate, and complete set of all drawings, specifications, addenda, change
orders, construction directives, architect specifications, construction schedules, denotations,
annotations, revisions, and substitutions
. lnitiate, maintain, and supervise allsafety precautions and programs
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. Prepare all required shop drawings, samples, and product data and material lists to architect
and 91 Express Lanes Project Manager for review and make modifications as requested
. Submit certified payroll records and invoices in a timely manner
. Oversee close-out activities in accordance with RCTC'S close-out checklist
4.4 Proiect Plirnnirrg and Delivcry for'l-15
This implementation roadmap assumes that all stages of the l-15 project have yet to be conducted, from
early pre- planning through proiect delivery. As such, project planning and delivery will involve pre-
development activities, project management, procurement of the contractor, and management and
oversight of the project's construction and operations delivery and start-up. A policy decision has yet to
be made regarding the delivery approach (self perform, design-build, PPP, DBFOM, etc.) for the l-15
project. This decision will drive the specific scope, tasks and responsibilities for the project. For purposes
of the lmplementation Roadmap, Project Planning is defined as all work leading up to the beginning of
construction and operations (start-up and ongoing). Project Delivery refers to design, construction and
operations (start-up and ongoing) activities.
1.1.7 Hire I-15 Pl.oicct Manager (2013)
OWNER: Toll ProBram Director. Similar to the position which was hired for the 91 Express Lanes, the l-
15 project will require hiring a proiect manager to manage the delivery of the toll project from the early
planning and environmental phase through design and construction and beginning of operations. This
task area may include the following activities:
. Finalize scope of work for the position
. Develop job description, including finalized title, job functions and descriptions
. Finalize compensation based on RCTC compensation structure
o ldentify recruitment strategy, including specific outreach procedures (i.e. marketing materials,
.job announcements, and industry outreach)
. Conduct interviews, reference checks, etc.
. Hire and onboard position
-1.4.2 Conduct Proiect Plllnning and Prc-Construction Actiyities (2073 - 2016)
OWNER: Toll Program Director. Before work on the l-15 can begin, there will be pre-development
planning that shapes the scope and overall approach to the project. Critical decisions in this stage of the
project will determine latter tasks, such as overall proiect timeline and what type of contractor to
procure. This task area may include the following activities:
. Define scope of proiect
. Obtain necessary enabling legislation approvals and/or cooperative agreements (i.e. design-
bu ild)
. Negotiate agreements with stakeholders and partner agencies
. Obtain necessary environmental approvals
. Obtain project financing
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Determine concept of operations (ConOps), including how customer service and other operating
activities provided by third parties on the 91 Express Lanes will be provided (in house,
outsourced, regional, etc.)
Determine whether to procure both civil works and tolling system through either a single
procurement or separate procurements
Determine approach to project delivery/construction (self perform, PPP, DBFOM, etc.)
Prepare preliminary design (e.g. 30%) and make necessary design determinations to allow
project to go to bid (if design-build)
4,4,3 Procure Proiect and Construction Managcment (PCM) Firm (2014 - 2015)
OWNER: l-15 Proiect Manager. Fairly early in the process, the Toll Program will need to acquire a
vendor to oversee the capital project delivery. This task may include the following activities:
. ldentify proiect budget and project scope
. ldentify procurement mechanism (i.e. RFQ, RFP)
. Develop procurement documents, including scope of work
. Release procurement
. Review and evaluate procurement responses
. Conduct oral interviews and/or demonstrations as needed
. Select vendor and issue intent to award
. Negotiate contract
. lssue notice to proceed
4.4.4 Procure Constluction Contractor(s) (2014 - 20161
OWNER: F15 Proiect Mana8er. The Toll Program will need to acquire a vendor to conduct the design,
construction, right-of-way acquisition and other tasks related to the capital project delivery. This may
include a single contractor or separate contractors to build roadway facilities, as well as a contractor to
provide tolling systems, if applicable. This task area may include the following activities:
o ldentify project budget, scope, and delivery method
. ldentify procurement mechanism and process
. Determine if a single contractor will provide civil work and toll system
. Develop procurement documents, including scope of work
. Release procurement
. Review and evaluate procurement responses
. Conduct oral interviews and/or demonstrations as needed
. Select vendor and issue intent to award
. Negotiate contract
. lssue notice to proceed
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4.4.5 Managc and Ovcrsce Pl.oiect Delivety (2014 - 2020)
OWNER: l-15 Project Manater. During design and construction, it will be important to provide project
controls to the project, overseeing detailed pro.iect constraints and identifying how the project is
progressing along its planned delivery. This task area may include the following activities:
o Develop and implement strategies related to the design, management, construction, and
delivery of projects
. Direct the preparation and maintenance of contractor work plans, including project plan,
schedule, budget, and quality control objectives
o Develop, negotiate, and recommend approval for contracts and cooperative agreements with
other governmental agencies as needed
. lf required, obtain preliminary approval from Caltrans on lT approach
o lf required plan lT testing approach with Caltrans
. Oversee project scope
. Oversee project budget
. Oversee pro.iect schedule
. Oversee proiect resources to help ensure that staffing levels align to the work expectations
o Oversee final design, utility relocation, and right of way activities
. Oversee proiect safety
. Oversee environmental commitments and regulations
. Facilitate substantial completion, final punch-list items, and project closeout
. Facilitate Caltrans project acceptance
4.4.6 Managc Coordination Actiyities lor Pt.olcct Delivery {2014 - 2020)
OWNER: Toll Protram Director. During project construction and delivery, it will be important to oversee
coordination activities with external stakeholders who may be affected by the toll road implementation.
This task area may include the following activities:
r Oversee community relations
. Coordinate with federal, state, and local agencies during proiect planning, design, and
implementation, and ensure compliance with any pertinent administrative requirements
. Oversee project partnering relations (i.e. partnering process)
. Review and approve contracts and cooperative agreements with other governmental agencies
as needed
. Facilitate stakeholder relations (i.e. lenders, bondholders, rating agencies)
4.3.3 Oversee Construction Contractor Proiect Deliver], (2014 - 2020)
OWNER: F15 Project ManaSer and PCM Firm. During project construction and delivery, it will be
important for a PCM firm to provide day-to-day oversight over how the pOect is progressing along its
planned delivery. The l-15 Proiect Manager will provide overall management and direction. This task
area may include the following activities. lt should be noted that the below list is somewhat generic and
that RCTC will develop its own detailed scope of activities for this Task:
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Review pre-construction documents and conduct document constructability reviews
lncorporate client needs, standards, and end-user requirements into project scope.
Manage the project documents through the pre-construction bid phase including drafting of
specifications, and issuance of approved plans, specifications, addenda, and analyzing bid results
Review and approve contractor's Schedule of Values (SOV)
Review and approve contractor's Baseline Schedule
Review contracto/s site logistic plans and ensure minimal impact to surrounding neighborhood
and neighbors
Review Environmental lmpact Reports (ElR), CEQA and AQDM requirements and ensure that
requirements are incorporated into project scope of work and enforce compliance during
construction
Manage project schedule, budget, and progress payments of the Architect, Contractor, and
lnspection
Coordinate and manage the timely submission and responses of contractor's submittals, shop
drawings, and requests for clarifications to keep the project on schedule and in conformance
with project documents and District standards
Review, estimate, negotiate, process, and track contractor's change order proposals and
monitor changes in project costs with overall project budget
Manage and coordinate work with state and local agencies (Caltrans, County, Bureau of
Engineering, etc.) for approvals of right of ways, vacations, revocable permits, offsite scope
changes, and ultimate agency sign-offs and approvals
Coordinate with utility companies for disconnecting abandoned utility lines, relocating services,
and providing new services for water and power, gas, cable TV, telephone, and sewer
Manage contractor's schedule and ensure that the contractor meets all critical milestones and
does not deviate from the project's critical path. lmplement and manage a project recovery or
acceleration schedule if needed
Oversee activities related to commissioning and close-out of the proiect. Track required training
of client staff and turn-over of contract materials, warrantees, and as-built drawings. Ensured
contractor provided all required reports
Follow up on status of completed project and ensure that client's needs are addressed and
satisfied
,1.3.4 Contluct ['roi('ct Construction Activities {2014 - ?O2O)
OWNER: Construction Contractor. A construction contractor will conduct project construction and
delivery activities. lt should be noted that the below list is somewhat generic and that RCTC will require
that the contractor will develop its own detailed scope of activities for this Task. This task area may
include the following activities:
Supervise and direct construction work, including means, methods, techniques, sequences,
procedures, and coordination
Develop SOV and Baseline Schedule and provide to l-15 Project Manager for review
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. Proceed in accordance with construction schedules established and provide change requests to
amend contract amount, milestones, and contract time in accordance with RCTC requirements
. Administer, coordinate, purchase, expedite, and/or organize procurement of all right-of way,
utility easements, materials and equipment required
. Develop site logistic plans and maintain project site and surrounding areas
. Work with l-15 Project Manager and PCM to coordinate utilities activities
. Maintain a current, accurate, and complete set of all drawings, specifications, addenda, change
orders, construction directives, architect specifications, construction schedules, denotations,
annotations, revisions, and substitutions
. lnitiate, maintain, and supervise allsafety precautions and programs
. Prepare all required shop drawings, samples, and product data and material lists to architect
and l-15 Project Manager for review and make modifications as requested
. Submit certified payroll records and invoices in a timely manner
. Oversee close-out activities in accordance with RCTC'5 close-out checklist
4.5 Operations & Mainterrance {O&M)
The O&M phase involves all ongoing activities to own and operate the toll facilities after the project has
been delivered and is open to traffic. Because RCTC has opted to own and operate the facilities
themselves, as opposed to other management mechanisms (i.e. public-private partnership), O&M will
involve more involvement from the organization. For instance, O&M will involve ongoing services such
as traffic operations, roadway maintenance, facilities maintenance, customer assistance patrol, toll
compliance and violation processing. For the 91 Express [anes, RCTC has chosen to outsource much of
this activity to Cofiroute USA, in the form of an operating agreement with OCTA and Cofiroute USA. The
operations approach for l-15 has yet to be determined.
.r.5.1 Finalize Cooperatiye Agrecnlents {2O14 - 2015)
OWNER: Toll Program Director. Before O&M work can begin, it is important to collaborate with partner
agencies to identify how the agencies will work together, who is responsible for certain tasks and other
service protocols. This task area may include the following activities:
. Finalize cooperative agreement with OCTA and Cofiroute to operate the 91 Express Lanes
. As necessary, negotiate and finalize agreements with other vendors or service providers,
including:
o lnfrastructure (i.e. roadway maintenance, electrical maintenance, landscape
maintenance, courtesy patrol, environmental monitoring, etc.)
o Financial(i.e. credit card processing, collection agency, FasTrak licensing, transponder
delivery)
o Financialagencies, banking relationships, insurance, specialized legal assistance, etc.
o California Toll Operators Committee (CTOC)
. Negotiate and finalize other public agency agreements and protocols (i.e. Caltrans, California
Highway Patrol (CHP), California Department of Motor Vehicles (DMV), local law enforcement,
emergency responders)
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. Negotiate and finalize licenses for regulatory requirements (i.e. Federal Communications
Commission (FCC) license, business license (if needed))
4.5.2 Dcvelop an(l Maintairr Asset [1i]nagcmcrl Stratcgy and Plan (2014 - ongoing)
OWNER: Toll Program Director. During the O&M phase, when the tollfacilities have gone live, it will be
criticalto maintain the infrastructure to ensure that the facilities and roadways are safe, well
maintained, and reflect well on RCTC. This task area may include the following activities:
. Procure asset management solution for tracking asset status, maintenance and replacement
schedules
. ldentify assets which will require regular management and maintenance (i.e. facilities,
roadways, tolling equipment)
. ldentify long-term maintenance strategy, including relevant stakeholder responsibilities,
determination of maintenance required, systems involved, data involved, etc.
. ldentify and execute implementation plan for implementing the strategy, including owners for
specific activities, timelines for maintenance, etc.
4.5.3 Ilire'll)ll Operations Manager (2015 - 2016)
OWNER: Toll Program Director. The O&M phase encompasses a variety of functions, listed in the
section below. RCTC will need to hire a Toll Operations Manager (or equivalent) to plan for and oversee
these O&M activities. This task area may include the following activities:
. Finalize scope of work for the position
. Developjob description, including finalized title, job functions and descriptions
. Finalize compensation based on RCTC compensation structure
. ldentify recruitment strategy, including specific outreach procedures (i.e. marketing materials,
job announcements, and industry outreach)
. Conduct interviews, reference checks, etc.
. Hire and onboard position
4.5.4 Overscc Roadrvayand Toll Sl,stcrrr O<l Aetivitics (2015 -ongoing)
OWNER: Toll Program Director and Toll Operations Manager. ln order to facilitate the numerous O&M-
related functions simultaneously, there needs to be strong oversight and management of day-to-day
O&M activities. These tasks may be provided by the Toll Operations Manager and/one or more
contractors/vendors and may include the following activities:
. Monitor reliability and availability of thetoll lanes and note anydeviations ortrends
. Review of maintenance activities and documentation to ensure compliance with Maintenance
Plan and scope of work
. Coordinate and review monthly maintenance report
. Coordinate and review monthly reporting for compliance with performance measures for
system and ma intenance requirements
. Monitor and review Disaster Recovery Plan test program
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. Coordinate with all relevant stakeholders to assure implementation of the lncident
Management Plan for the Express Lanes
. Monitor compliance with FHWA Regulations and Reporting
. Participate in meetings with contractors
. Coordinate with Caltrans for roadway maintenance
. Coordinate with CHP for law enforcement
. Coordinate with toll vendor, OCTA, Caltrans, the Freeway Service Patrol, CHp, Emergency
Services, Bus Operations and other agencies as needed for ongoing issues
4.5.5 Procu[e l-15 O&M Vendor(s) (2016 - 2018)
OWNER: Toll Program Director and Toll Operatlons Manager. Once RCTC has decided on its O&M
approach for the l-15, assuming the O&M for the l-15 differs from the O&M for the 91 Express Lanes,
the Toll Program will need to procure an O&M vendor (or staff up with RCTC staff accordingly) to
conduct equivalent operations and maintenance work for the l-15. This task area may include the
following activities:
o ldentify project budget and project scope
. ldentify procurement mechanism (i.e. RFl, RFQ, RFP)
. Develop procurement documents, including scope of work
. Release procurement
. Review and evaluate procurement responses
. Conduct oral interviews and/or demonstrations as needed
. Select vendor and issue intent to award
. lssue notice to proceed
lf RCTC should decide to self-perform these services, a full start-up plan will need to be developed and
executed.
4.6 Custorncr Service
Unlike many services currently provided by RCIC, toll facility operations will directly interface with the
public as "retail" customers. As such, there must be a strong focus on customer service in order to
establish and maintain a high degree of customer satisfaction. Customer service plays a significant role
in the perception of RCTC, RCTC'S services, and ultimately, the level of customer retention.
4.6.1 Dovefop Custornrl Sclvice Strategy (2013 - 2014)
OWNER: Toll Program Director. Before O&M, there needs to be a strong customer service strategy
developed, which defines RCTC's approach to the relationships with its consumers. This task area may
include the following activities:
. ldentify customer service strategy, including whether RCTC will leverage OCTA resources, use
RCTC staff or make alternative plans for the l-15 project's customer service, etc.
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. Define and develop RCTC'S customer seryice program, including services offered, customer
service goals and obiectives, performance metrics, etc. to achieve quality customer service and
performance
. ldentify and develop customer related programs and services to improve the customer
experlence (i.e. rental car tolling)
lf RCTC should ever decide to self-perform these services, a full start-up plan will need to be developed
and executed.
4.6.2 Procure I-15 Customer Service Resources (7016 - ZO18)
OWNER: Toll Protram Director and Toll Program Manater. Once the customer service strategy is
defined, the Toll Program will need to procure the appropriate resources to address the increased
demand for customer service operations once the l-15 O&M phase begins. This task area may include
the following activities:
. ldentify proiect budget and projed scope
. ldentify procurement mechanism (i.e. RFl, RFQ, RFP)
o Develop procurement documents, including scope of work
. Release procurement
. Review and evaluate procurement responses
. Conduct oral interviews and/or demonstrations as needed
. Select vendor and issue intent to award
. lssue notice to proceed
lf RCTC should decide to self-perform these services, a full start-up plan will need to be developed and
executed.
4.6.3 Morr itor' Opcrations at the 91X and l- 15 Custonrcl. Service Center {2017 - ongoing)
OWNER: Toll Operations Manager. Once customer service operations are underway, it will be
important to continue to monitor customer service operations in order to help ensure that they align
with the values a nd expectations of the Toll Program and generate high customer satisfaction. This task
area may include the following activities:
. Oversee customer service operations
. Oversee customer service resource contract, including scope, budget, schedule
. Review escalated issues
. Develop, monitor and enforce appropriate key performance indicators (KPl) and metrics to
achieve customer service goals and objectives
. Develop and conduct periodic customer service surveys and make changes in services as
appropriate
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4.7 Marketing
Unlike many other services offered by RCTC, marketing for the toll facilities will require an increased
degree of "retail" marketing, as opposed to RCTC's usual advertising approach for capital proiects. Retail
marketing will be required to optimize sales models and maximize revenues through the promotion of
the Toll Program's products and services. Because this is not an area in which RCTC currently possesses
specialized expertise, this function will likely need to be defined and outsourced to specialist resources,
at least initially.
4.7.1 ldentify Marketing Strategy (201.a - 20761
OWNER: Toll Protram Director. Before 91 Express Lanes O&M gets underway, there needs to be a
strong marketing strategy which defines RCTC'S approach to presenting its products to its consumers.
This task area may include the followlng activities:
o Develop marketing strategy for how the Toll Program will be branded, market research, target
audience, etc.
. Develop marketing philosophy (i.e. retail versus traditional government agency)
. Develop marketing budget and return on investment (ROl) strategy, performance metrics, etc.
. Develop strategy to position RCTC as an industry leader (i.e. industry awards)
. Develop regional and national marketing strategy
. Evaluate integration with regional efforts (i.e. under OCTA'S 91 Express Lanes umbrella)
. Evaluate integration with broader RCTC efforts (i.e.91 Mobility Marketing, transit, etc)
. Develop intellectual property, trademark, service mark strategy
4.7.2 Procure Toll Marketing Resources (2014 - 2015)
OWNER: Toll Program Director. Once the marketing strategy is defined, the Toll Program will need to
procure the appropriate resources to address the increased marketing materials and services required
once the O&M phase begins. This task area may include the following activities:
. ldentify project budget and project scope
. ldentify procurement mechanism (i.e. RFl, RFQ, RFP)
o Develop procurement documents, including scope of work
o Release procurement
o Review and evaluate procurement responses
. Conduct oral interviews and/or demonstrations as needed
. Select vendor and issue intent to award
. lssue notice to proceed
4.7.3 Oversec Malketing Activities (2014 - ongoing)
OWNER: Toll Operations Director and Toll Operations Manager. Once marketing services are
underway, it will be important to continue to monitor these marketing deliverables in order to help
ensure that they align with the values and expectations of the Toll Program. This task area may include
the following activities:
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Toll Program Organization - lmplementation Roadmap
Update "messaging" points from time-to-time (e.9. tolling FAQS, benefits of Express Lanes,
relevant industry information/statistics)
Oversee consistency of messaging between separate 5R-91 and l-15 teams, consistency
between RCTC and OCTA
Develop and/or review FasTrak customer agreement and application (may use OCTA's as a
reference point)
Monitor marketing budget, performance metrics and ROI
Facilitate applications for industry recognition (i.e. industry awards)
Facilitate industry outreach tours (i.e. agency visits)
Develop and implement strategy and program targeted at stakeholders (i.e. TlFlA, bondholders,
cHP)
4.7.4 Conduct Markcting Activities (2014 - ongoing)
OWNER: Toll Matketing Resources. Toll Marketing Resources will need to provide marketing materials
and services on a regular basis, as needed by each individual project, which align with the values and
expectations ofthe Toll Program. The lmplementation Roadmap assumes that these services will at least
initially be provided by consultant resources. This task area may include the following activities:
. Develop RCTC Toll Program and/or 91 Express Lanes / t-15 branding
. Conduct market research, including customer surveys
. Conduct media relations activities and events, including ribbon cutting ceremony
. Conduct advertising activities during pro.iect development
. Develop and distribute marketing materials and conduct outreach (website, graphics,
presentations, publications, newsletters, social media)
. Update website to incorporate tolldata for investor relations (i.e. transaction tables)
o Develop and public the quarterly/annual reports
. Provide support for industry recognition (i.e. industry awards)
4.7.5 Procure lntellL.cluill Propertf, (lP) Iicsout'ces (2014 - 2015.)
OWNER: Toll Program Director. lf RCTC wants to protect and/or leverage its intellectual property, it will
need to procure intellectual property resources, such as legal counsel. This task area may include the
following activities:
o ldentify project budget and project scope
. ldentify procurement mechanism (i.e. RFl, RFO, RFP)
o Develop procurement documents, including scope of work
. Release procurement
. Review and evaluate procurement responses
. Conduct oral interviews and/or demonstrations as needed
. Select vendor and issue intent to award
. lssue notice to proceed
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TollProgramOrganization lmplementation Roadmap
4.7.6 Ovorsee and Contluct Intcllectxal Propcrty Activities (2015 - ongoing)
OWNER: Toll Program Director. RCTC willwant to identify its lP and ensure that it is protected. This
task area may include the following activities:
. Develop RCTC'S policy regarding lP
. Work with RCTC staff to identify lP that should be trademarked, service marked, registered,
copywrited, patented, etc. to protect and leverage RCTC5 lP
. Work with RCTC lP counselto protect and leverage RCTC'S lP
o On an ongoing basis, conduct audits to ensure any new lP is being identified and protected
4.8 Toll Systenr / ITS Managernent
This implementation roadmap assumes that the procurement of a toll system / ITS for the 91 Express
Lanes has already occurred. As such, system development components will largely be limited to the l-15
(assuming that it will follow a different model than the 91 Express Lanes), while oversight over the
maintenance phase will occur for both the 91 Express Lanes and the l-15. Toll system / ITS management
will involve the development, implementation and oversight of hardware, software and data used to
operate electronic tolling.
4.8.7 Develop Information 'I'echnology (IT) Strategy (2013 - 2015)
OWNER: Toll Program Director. Before implementing the toll system / ITS functions, it will be critical to
identify the overall lT strategy, including the relationship between the toll systems/data and general
RCTC administrative systems/data. This task area may include the following activities:
. Determine whether to separate administrative information technology (lT) management from
toll system lT management (i.e. how/if toll systems will integrate with County servers)
. Determine whether to hire an in-house resource to oversee toll system / ITS development on
behalf of RCTC
4.8.2 Proeurc Toll Syslcnr / In tclligsnt'I'r'ansportation System (lTS) Firm to Inrplerncnt
Systofrl lor' [-15 {2015 - 2017)
OwNER: Toll Program Director or l-15 Proiect Manager. For the l-15, if the tolling system procurement
is separate from the civil works procurement, the Toll Program will need to procure a toll system / ITS
firm to provide these services. This task area may include the following activities:
o ldentify proiect budget and project scope
. ldentify procurement mechanism (i.e. RFl, RFQ" RFP)
. Develop procurement documents, including scope of work
. Release procurement
o Review and evaluate procurement responses
. Conduct oral interviews and/or demonstrations as needed
. Select vendor and issue intent to award
. lssue notice to proceed
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Riverside County Transportation Commission
TollProgramOrganization lmplementation Roadmap
4.8.3 Oversee 91 Explcss l.irncs'I oll/lTS Vcndor System Dcvolopment (2O74 - 2017)
OWNER: Toll Program Director or 91 Express Lanes Project Manager and PCM. Assuming that the toll
system / ITS will be developed from the ground-up for the 91 Express Lanes, the Toll Program will need
to oversee the system development and implementation. This task area may include the following
activities:
. Oversee toll system development, including:
o Resolution of proposed changes in scope, schedule and budget
o Facilitation of infrastructure requirements (i.e. servers, office space, system
environments)
o System design review
o lnterfaces with other agency fare collection systems including RllTS, TAp, CTOC, DMV,
collection agency, and others
o Requirements development and validation
o Developmentoversight
o Testing oversight
o User acceptance testing (UAT) participation
. Overseetollsystem implementation, including:
o Training oversight
o Trainingparticipation
o Go-live oversight
. Communicate with relevant stakeholders about activities and system timelines
4.8.4 Ovcrscc l-151'oll/l'l S Verrdor.Systenr Dcvelopment (2012 - ZOZO)
OWNER: Toll ProSram Director o. l-15 Prolect Manager and pCM. Assuming that the toll system / tTS
will be developed from the ground-up for the l-15, the Toll program will need to oversee the system
development and implementation. This task area may include the following activities:
. Oversee tollsystem development, including:
o Resolution of proposed changes in scope, schedule and budget
o Facilitation of infrastructure requirements (i.e. servers, office space, system
environments)
o System design review
o lnterfaces with other agency fare collection systems including RllTS, TAp, CTOC, DMV,
collection agency, and others
o Requirements development and validation
o Developmentoversight
o Testing oversight
o User acceptance testing (UAT) participation
o Overseetollsystem implementation, including:
o Training oversight
o Trainingparticipation
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Toll Program Organization - lmplementation Roadmap
o Go-live oversight
. Communicate with relevant stakeholders about activities and system timelines
4.8.5 Nlanagc ITS Vendor'(luring Opcl.iltions antl Maintcrt:rncc t'hasc (2017 - ottgoing)
OWNER: Toll Operations Mana8er. Once the toll system / ITS has gone live, there will need to be a
substantial degree of oversight over the ongoing system operations in order to determine that it is
functioning as expected. This task area may include the following activities:
. Manage interfaces ofthe Express Lanes and other agency fare collection systems including RllTs,
TAP, fiOC, DMV, collection agency, and others
. Provide oversight of the toll operators' enhancement testing for improvements to the tolling
system including all related back office functions.
. Monitor and review data management processes
. Review network, system, software, or equipment failures or outages and vendor's response
. Review required tollvendor submittals and updates including Maintenance Plan updates,
Disaster Recovery Plan updates, Annual System Performance Testing plan, and transition to
successor plans, as necessary
. Oversee system, software, and equipment changes, testing, and associated documentation
. Develop and execute independent validation and verification of system accuracy, integrity, and
performance as needed
4.9 Toll Business and Data Analysis
Toll business and data analysis involves the analysis and knowledge base required to operate efficiently
and effectively, as well as to remain a leader in the toll industry. These activities include business
analytics, toll master planning, reporting and communications, toll document management, and
research on leading toll tech nologies and participation in industry events and professional development.
4.9.1 Dcvelop and Maintain Toll Strategic/Master Plan (2013 - ongoing)
OwNER: Toll Program Director. ln order to plan for long-term toll operations, including any future
projects and initiatives, there will need to be some component of regular strategic and master planning.
This task area may include the following activities:
o Develop long-term, RCTC tolling master plan, including any future capital programs; pro.iect
candidates (i.e. carpool lane conversions, SR-241 and or SR-71 direct connector); role of design-
build, P3, and private equity; and synergies with RCTC functional areas (i.e. traveler information,
511, carpool/rideshare programs, etc.) (2014-2015)
. ldentify future creative financing mechanisms
. ldentify and keep abreast of advancements in tolling technology and practices; implementing
those that would serve RCTC's interests in meeting its Toll Program Guiding Principles and goals
and objectives.
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4.9.2 Hirc Senior''l'oll tsusiness Analyst (2016 - 2017)
OWNER: Toll Program Director. ln order to oversee the various functions in this category, the Toll
Program may consider hiring an individual who will be responsible for delivering these services. This task
area may include the following activities:
. Finalize scope of work for the position
' Develop job description, including finalized title, iob functions and descriptions
. Finalize compensation based on RCTC compensation structure
. ldentify recruitment strategy, including specific outreach procedures (i.e. marketing materials,
job announcements, and industry outreach)
. Conduct interviews, reference checks, etc.
. Hire and onboard position
4.9.3 Conduct Business Analytics {2017 - ongoing)
OWNER: Senior Toll Business Analyst. ln order to gain a greater understanding of the performance of
the tolloperations, including revenue and performance models, the business analytics component will
need to be conducted on a regular basis to facilitate information sharing at the appropriate level of
detail. This task area may include the following activities:
. Develop analyses for business decisions
. Create and monitor investor-related data
. Monitor and report on service leveloperations (i.e. trends, detailed statistics, KPI reports) to
identify potential improvements
4.9.4 Devolop Rcpofts and Communications (201 5 - ongoing)
OWNER: Senior Toll Business Analyst. ln order to facilitate open communications to appropriate
stakeholders, there should be regular, concise, proactive, and informative communication to executive
management, the Board, agency partners, the public, and any other relevant stakeholders. This task
area may include the following activities:
o Provide routine and ad hoc reports to RCTC management and Board of Commissioners
. Provide required reporting to 91 Advisory Committee (Progress Updates), TIHA JpO (TtFtA loan),
CTC, Caltrans etc.
. Establish common reports (e.9. pro.iect construction status, project development status)
. Maintain repository ofall past reports and presentations
.1.9.5 lnrpler],tcnt and Maint:rin'foll Program Digital "l,ibr.ary": Intbrmation Management
(2015 - ongoing)
OWNER: Senior Toll Business Analyst. ln order to have a central repository of information, it is critical to
establish an electronic "library" of information which will organize critical proiect data, whether
development or O&M data, and enable a high degree of transparency to those who are allowed access.
This task area may include the following activities:
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Toll Program Organization - lmplementation Roadmap E
. ldentify and implement a system to collect, organize, retain, and make available all relevant toll
program documents (i.e. agreements, contract, deliverables, presentations, Board agenda
reports) in a single electronic repository
4.9.6 Research TollTechnology Innoyations (2015 * ongoing)
OWNER: Senior Toll Business Analyst. ln order to retain a reputation as a leader in toll operations, it is
important to continue researching and learning about new developments to maintain a high degree of
expertise in ongoing innovations. This task area may include the following activities:
. Track and evaluate industry developments in areas that affect RCTC tolling (examples include:
VMT pilot proiects and technologies, cordon area pricing, HOT lane projects and technologies,
national interoperability developments and implications,5.9GHz, Title 21 changes, carpool
occupancy verification technologies and pilot projects, vehicle-to-roadside and vehicle-to-
vehicle technologies and implications, pay-by-plate for occasional users, other Express Lane
project developments and metrics (toll/mile, O&M cost/$ rev., etc.), dynamic pricing
developments, etc.)
5.0 Next Steps
Once RCTC has finalized the Toll Organization responsibilities, structure, and implementation roadmap,
the next phase will involve moving forward with implementation activities. Cambria has previously
provided RCTC with a preliminary scope of work for this effort (Phases 2 and 3) and is prepared to assist
RCTC in taking the next steps to establish a high-functioning Toll Program organization to construct and
operate new toll facilities that will provide high-quality services to RCTC'S customers and improve
regional mobility.
CAMBRIA Page 37 of 37
Toll Program
Organization Planning
Executive Committee
October 9, 2013
_.OM
Riverside County Tronsporledian Commission
1
RCTC's Future
• Expanded mission to provide mobility
— Adoption of toll program and tolled express lanes
• Operating toll agency
— 2017-2067: 91 Express Lanes
— 2020-2070: 1-15 Express Lanes
— Over 70 lane -miles to operate and maintain
— Customers issues, debt payments, toll revenue collection,
process transactions, lane safety, motorist assistance, etc.
s�
Plan to be Successful 116..r.
• Structure RCTC for success
— Organization structure needed for an operating toll agency
— Necessary employee skill sets and experience
— Best industry practices and lessons learned
— Maintain commission's culture, lean staff
• 2012/13 planning efforts
— Organization study initiated
— Cambria Solutions, Inc.
• Unique toll agency experience and qualifications
• Review of work effort
3
" D e v e l o p e d G u i d i n g P r i n c i p l e s , G o a l s ,
O b j e c t i v e s , S u c c e s s C r i t e r i a
" B a s e d o n i n p u t f r o m R C T C t e a m
" P r o v i d e a f o u n d a t i o n f o r o r g a n i z a t i o n
s t r u c t u r e , p r i o r i t i e s , d e c i s i o n m a k i n g a n d
m e a s u r i n g s u c c e s s
�0
�: � 0[ I ]
I
Key Toll Program
Duties
Outlined key duties that will need to be performed in order
to support the Toll Program going forward, during both the
development and operations phases. Some functions may
require increased effort from RCTC's current functions
while others are entirely new to the future organization.
• Policy
• Legal
• Executive
• Finance & Accounting
• General Administration
• Government Relations
• Project Development/Delivery
• Toil Operations
RCTC Matrix staff consultant /
Contract Staff
Implementing the Toll
Program Organization
• Implementation Roadmap — High level list of
activities to be accomplished, timing, predecessors
and responsibility
• Implementation Categories
— Program Management
— Matrix Functions
— Project Planning and Delivery for 91 Express Lanes
— Project Planning and Delivery for 1-15 Express Lanes
— Operations and Maintenance (O&M)
— Customer Service
— Marketing
— Toll System/ITS Management
— Toll Business & Data Analysis
• Next step — More detailed Gantt chart
pdicateaa consultant/cantrestor resource
Implementing the Toll
"-14,5111Program Organization
RCTC
Functional Area
Short -Term (2013 — 2015)
Med-Term (2016 — 2019) Long -Term (2020 and Beyond)
Program Management
91 Express Lanes Planning, 91 Express Lanes Delivery
1-15 Planning
91 Express Lanes O&M,
1-15 Delivery
Oversee Toll Program
Program Management Support 10.5 to 1.0 FTEs)
Develop Toll Program Processes and Procedures
Develop ERPrecnnology Support Needs and Strategy =_- _
Conduct Change Management and Communications Activities within RCTC
- - - - - - _ Establish Policy Decisio s Regarding Toll Program
91 Express Lanes O&M,
1-15 O&M
Manage and Oversee Toll Program Consultants, Vendors, and Service Providers
Participate in Industry Events and Professional Development
Matrix Functions with Other
RCTC Departments
argigoiy„pevelop Uategy Related to Matrix kor�t{�gagiogaisi"...
:ajr4Evaluate Areas of Need _o - - - r
-- - - . - Valli i' departments to Implement Channisr - —
Toll Accounting Staff 1:)5 to 1.0 FTEs)
Procurement Staff (FTEs TBD)
Budgeting Staff (FTEs TBD)
IT Staff (FTEs TBD)
Government Relations Staff {FTEs TBD)
Community Relations Staff (FTEs TBD)
10
|
Al
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0���0�0
�0 0 Q J ( m
�" �
;u�0: NQ J `$
�0 =
Committee Input and
Next Steps
• Seeking Committee input today
— Confirm general direction for future toll organization
— Confirm use of hybrid organization structure
— Contract out the majority of O&M services
— Maintain a small staff, with in-house oversight and
program management responsibilities
• Future steps
— RFP for additional toll -related services
— Return to Commission for specific authorization requests
• Personnel hiring, contract authority, budget authority
AGENDA lttEM 6
R′VERS′DE COυ Ⅳアγ TRハ ⅣSPORTArrOⅣ coMl″SS′OⅣ
DATE:october 9, 2013
TO:Executive Committee
FROM:Beth Gutierrez, Human Resources Administrator
THROUGH:Anne Mayer, Executive Director
SUBJECT:Personnel Policies and Procedures Manual Revisions
STAFF RECOMMENDAT'ON:
This item is for the Committee to:
1) Approve the revisions to the Personnel Policies and Procedures Manual (PPPM); and2) Adopt Resolution No. 13-067 "Resolution of the Riverside County Tronsportotion
Commission Adopting Revisions to lts Personnel Policies ond Procedures Monuol."
B ACKG RO U N D' N FO R MATI O N :
The purpose of the Commission's PPPM is to provide fair and systematic procedures for the
administration of all matters affecting the status and activities of Commission employees. At
the time of hire, and with each amendment of the PPPM, employees sign an acknowledgement
form, which states that it is their responsibility to read and comply with the policies contained
in the PPPM. The PPPM was last amended on April 71,,20t2.
Staff completed the review and revised the PPPM as follows:
o The "Conflict of lnterest" policy (53.16, page 24) has been revised to address potential
conflicts or confusion with regard to an employee campaigning for elective office with
another agency.
The addition of an "Employer-Provided Vehicle" policy (5L4.6, page 66) for the State
Route 91 Corridor Project. The vehicles were purchased by Atkinson Walsh Joint
Ventures and leased to Parsons Transportation Group who will designate the issuance of
vehicles to specified RCTC employees. All care, maintenance, and insurance of these
vehicles will be provided by Parsons Transportation Group. The value of personal
mileage for each vehicle will be reported on the designated Commission employee's W-
2 form at the end of each year.
The revised PPPM has been reviewed and approved by the Executive Director, Deputy
Executive Director, and legal counsel. The proposed revisions to the pppM do not reflect a
change in the benefits, but instead, are language changes made to conform the pppM to legal
req uirements.
Agenda ltem 6
The following summarizes the proposed language changes to the PPPM, which are presented
for consideration:
Attachments:
1) Revised PPPM
2l Resolution No. 13-067
Section
5 Description of Proposed Language Changes
38 Updated Exempt Employees title listing to reflect current position titles
316 Add language to the Conflict of lnterest Policy regarding employees who are
campaigning for public office
146
1461
1462
1463
1464
1465
1466
1467
Add language for Employer-Provided Vehicles to the current Vehicle Operation
Policy
Add language for Care and Maintenance of Employer-Provided Vehicle
Add language for Taxation and employee respo nsibilities for logging use of
e m ployer- p rovid ed vehicle
Add language for Return of Employer-Provided Vehicle after project conclusion,
or no longer needed during the course of employment
Add language for possession of current CADL while in use of an employer-
provided vehicle.
Add language for requirement to possess a satisfactory driving record through
California DMV.
Add language on Prohibition on Use of Phones, Emails, and Texting while
operating an em ployer-provided vehicle
Add language on Vehicle Citations while operating an em ployer-provided vehicle
Agenda ltem 6
PERSONNEL
POLICiES AND
PROCEDURES
MANUAL
RIVERSiDE COUNttY
TRANSPORTAT10N COMM:SS10N
For Approvai&Adoption:10′9ノ 2013
Resoiution No.13‐067
Table of contents Page
SECT10N l――GENERAL PROVIS10NS ¨ ¨¨¨………… … ……… …… ¨¨7SECT10N 2-RECRUITMENT,SELECT10N,AND PLACEMENT … … … ………… … … 13
§11
§12
§13
§14
§15
§16
§17
§18
§19
§110
§21
§22
§23
§24
§25
§26
§27
§28
§29
§210
§211
SECT10N 3-―TERMS OF[MPLOYMENT_ ¨¨ ¨ … ……… … … … …¨¨ ¨…16
§31
S32
§33
§34
§35
§36
§37
§38
§39
§310
§311
§312
§313
§314
§315
§316
§317
§318
§319
§320
§321
Hours of Work ....………………………………18
Unauthorized Absences............……………………………………J9
Compensation ……………………………21
Service Awards_ ¨ ……… … ……… … … ……………¨¨ ¨・ ¨22
… …… … ¨¨¨ ¨¨22
Keys and Security Codes....¨¨ ¨ ‐ ¨¨… 23
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§322
§323
§324
§61
§62
§63
§71
§72
§81
§82
§91
§92
§93
§94
§41
§42
§43
§44
§45
§46
§47
§48
§49
§410
§411
§412
§413
§414
§415
§51
§52
§53
§54
§55
§56
§57
§58
§59
§510
SECTI()N4-―EMPLOYEE BENEFITS ¨¨¨¨¨ ¨¨¨¨¨ ¨¨¨¨‐ ¨¨¨‐・¨¨・ ¨¨¨¨ ¨¨ ¨¨¨¨¨¨¨28
Life lnsu rance ¨ _30
Retirement Program ..........................¨ ¨¨ …… … ‐30
SECT10N 5-L[AVE′VACAT10N AND HOLIDAYS … ¨¨ ¨¨¨¨……¨…… … … … 35
¨ 39
Leave of Absence Without Pay....... ..............40
Military Leave.... ................40
Accrued Leave Donatlon Program ................41
SECT10N 6-―PART―TIヽ ИE AND TEMPORARY EMPLOYEES… … ……………… …… … 42
SECT10N 7-―GRIEVANCE PROCEDURE¨¨¨¨ ¨・ ¨¨ ¨¨ ‐ ¨ ¨¨¨ ¨ ¨¨ ¨ 44
Forms of Discipline ............¨¨ ¨¨¨¨¨¨¨¨45
SECT10N 9-LAYOFF POLiCY AND PROCEDURE… … ……¨ ¨ ¨ ¨ ¨¨¨¨¨¨¨¨ ¨49
SECT10N 10-―REPORTS AND RECORD KEEPING ¨ ¨¨¨¨¨¨¨¨ ¨ ¨¨ ¨¨ 51
…………………………………………51S101 PersOnnei Fiies ¨ ¨… ……¨ ¨ ‐ ‐
Page | 3
§102
§103
§104
§105
§106
§107
§108
SECT10N
§111
§112
§113
§114
§115
SECT10N
§121
§122
§123
§124
§125
§126
§127
SEC r10N
§131
§132
§133
§134
§135
§136
§137
§138
§139
§1310
§1311
SECT10N
§141
§142
§143
§144
§145
§146
§1461
§1462
§1463
§1464
§1465
§1466
Employee Access......................………………… … …… ‐ 52
64
Driver's License... ...............64
Driver's Record.. ................65
Prohibition on Use of Phones, Emails, and Text While Driving............................65
Vehicle Citation .................65
Policy for Em ployer-Provided Vehicles........... ..........................65
Care and Maintenance of Em ployer-Provided Vehic1e.........................................6i
Taxation Requirements of Em ployer-Provided Veh ic1e........................................66
Return of the Em ployer-Provided Vehic1e............ ....................66
Driver's License While Operating an Em ployer-Provided Vehic|e............ ............66
Driver's Record While Driving an Em ployer-Provided Vehicle.............................66
Prohibition on Use of Phones, Emails, and Text While Drivin9................ ............67
Page | 4
§1467
SECT10N
§151
§152
§153
§154
§155
§156
§157
§158
§159
§1510
§1511
SECT10N
§161
§162
§163
§164
§165
§166
§167
§168
SECT10N
SECT10N
§181
§182
§183
§184
§185
§186
§187
§188
§189
§1810
§1811
§1812
§1813
§1814
§1815
§1816
§1817
§1818
§191
§192
§193
§194
Disclosure..........・¨¨¨¨・¨ ¨・ ¨ ¨¨¨ ¨¨ ¨¨ ¨¨ -75
Page | 5
§195
§196
§197
§198
§199
§1910
§1911
§1912
§1913
§1914
S1915
lntermittent Leave
Temporary Transfers
Certifications
Recertification
Fitness for Duty
Pay During Leave
Federal Family and Medical Leave
Group Health lnsurance
California Family and Medical Leave
91
91
Page | 6
95
SECTION 1- GENERAL PROVISIONS
51.1 Purpose
The purpose of this Personnel Policies and Procedures Manual (Manual) is to provide guidance in
the application of a fa ir personnel ma nagement policy that promotes the efficient and economical
delivery of Riverside County Transportation Commission (RCTC) services.
51.2 Prior Policies Repealed
ln the event that the terms and provisions of this Manual are inconsistent or in conflict with the
terms and provisions of any prior RCTC personnel policy and procedures, resolutions, rules, and
regulations governing the same subject, the terms of this Manual shall prevail and such
inconsistent or conflicting provisions or prior resolutions, rules, and regulations are hereby
repealed effective on the date of adoption of this Manual.
91.3 Term of Manual
This Manual takes effect when adopted by RCTC. The Manual shall remain in effect unless
repealed, in whole or part, by RCTC. Notwithstanding the foregoing, the RCTC'S Executive
Committee may, in its sole discretion, add to, delete, or otherwise modify the policies and
procedures of this Manual.
51.4 Equal Employment Opportunity (EEO) Program
5 1.4.1 Pu rpose
The purpose of this policy is to establish a n equal employment opportunity (EEO) program
for all applicants and employees of RCTC.
51.4.2 Policy Defined
It is the policy of RCTC to provide EEO to all applicants and employees. RCTC does not
unlawfully discriminate on the basis of race, color, religion, sex (including pregnancy,
childbirth, or related medical conditions), gender including gender identity and gender
expression, national origin, ancestry, age (40 and over), physical or mental disability, legally
protected medical condition, family care status, veteran status, marital status, sexual
orientation, genetic characteristics, or any other basis protected by state or federal laws.
5 1.4.2.1 Policy Application
RCTC'S EEO policy applies to all areas of employment including recruitment, selection,
promotion, termination, transfer, layoff, compensation, benefits, training, performance
evaluations, and other personnel actions, procedures and examinations.
Page l7
E L.4.2.2 Responsibility Assignments
It is the responsibility of every manaBer and employee to conscientiously follow the EEO
policy.
5 1.4.3 Applicants and Employees with Disabilities
E1.4.3.1 N on- Discrim in atio n
It is the policy of RCTC not to discriminate on the basis of disability for employment. lt is
the intent of RCTC to provide qualified disabled employees with a bias free work
environment. RCTC will provide reasonable accommodation in compliance with the
Americans with Disabilities Act (ADA) and the Fair Employment and Housing Act (FEHA).
Reasonable effort will be made to provide an accessible work environment.
51.4.3.2 lnteractive Process
RCTC will engage in the interactive process, as defined by the ADA and FEHA, to determine
whether a qualified disabled applicant or employee is able to perform their essential
functions. lf the employee or applicant cannot perform the essential functions of their
position, RCTC will examine possible reasonable accommodations that will make it possible
for the employee or applicant to perform. Such interactive process will include a meeting
with the employee or applicant and RCTC.
91.5 Violation of Personnel Policy
Violation of the provisions of this Manual by an employee may subject the employee to disciplinary
action, up to and including discharge from employment.
51.6 Department Policies and Procedures
Department managers may issue such policies and procedures as deemed necessary for the
efficient and orderly administration of the department. However, no such policies or procedures
shall conflict with or supersede the policies and procedures in this Manual. Departmentalpolicies
and procedures shall not be effective until approved, in writing, by the Department Director and
the Manager responsible for Human Resources. Copies of department policies and procedures,
and amendments to the policies and procedures shall be distributed to each employee of the
department.
91.7 Distribution of Personnel Policies
Copies of this Manual shall be distributed to each employee and will be made available
electronically.
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91.8 Definition of Terms
Terms used in this Manual are defined as follows:
ActinB Appointment - An appointment of a person on an interim basis pending later appointment
of an eligible person.
Allocate - The assignment of a single positlon to its proper job classification in the Employee
Classification Plan.
Applicant - Any person submitting a formal completed application for employment with RCTC.
Authorized Position - A specific work position within a .iob classification which is or may be held by
an employee.
Chair - A member of RCTC elected on a yearly basis to preside at all meetings of RCTC and perform
such other powers and duties as may be from time to time assigned to him/her by RCTC.
Class - All positions substantially similar with respect to duties, responsibilities, authority, and
character of work to permit grouping under a common title in the application with equity of
common standards of selection, transfer, and salary.
Compensation - Salary, wages, fees, benefits, allowances, or other monies paid to or on behalf of
an employee for personal services.
Continuous Service - Employment that is uninterrupted except by authorized absences.
Contract Employee - An individual employed by RCTC pursuant to the terms of an individual
employment contract that sets forth terms and conditions of employment. The rules shall apply to
contract employees to the extent they do not conflict with the contract.
Days - Defined as working days.
Demotion - The movement of an employee from one class to another class having a lower
maximum base rate of pay.
Dependent - The spouse or other dependent of an employee who is eligible to receive benefits
under a specific benefit program offered by RCTC and who is specifically defined as a tax
dependent under section 105(b) ofthe lnternal RevenueCode. Dependent shall a lso mean, as to
health benefits offered by RCTC, a ny child (as defined in section 152(f)(1) of the tnternal Reven ue
Code) of an employee until the child turns 25 years of age.
Disciplinary Action - A personnel action in the form of a discharge, demotion, reduction in pay,
suspension without pay, oral reprimand, and written reprimand of a regular employee.
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Discharge - lnvoluntary termination of regular employment with the RCTC.
Employee - A person who is occupying a position at RCTC. The various types of RCTC employees
may include regular, temporary, contract, and probationary. Some types of employees may also
be labeled as full-time or part-time and differentiated as exempt or non-exempt employees.
Employee Classification Plan - Classes of positions defined by class specifications as approved by
the Executive Committee including titles that group all positions with similar minimum
qualifications, duties, responsibilities, authority, character of work, and schedules of compensation
within the same class (Section 2.1).
Executive committee - Policymaking committee comprised of a subset of RcTc commissioners.
Executive Director - The position selected by RCTC to serve as the Chief Executive Officer of RCTC.
Exempt Employee - An employee who is not eligible for overtime pay. A list of current exempt
positions is contained in Section 3.8 of this Manual. Additional positions may be created.
First-Line Supervisor - The most immediate person to whom an employee reports for work
assignments and direction.
Fiscal Year - The fiscal year for RCTC begins on July 1 and ends on June 30 of the next year.
Full-Time Employee - An employee of RCTC who usually works forty (40) hours per week.
Grievance - Good faith complaint of an employee or a group of employees or a dispute between
RCTC and said employee or group of employees involving the interpretation, application, or
enforcement of this Manual; provided, however, any of the following complaints are not Brievable:
the content of a performance evaluation, the denial of a merit pay increase, employee
classification, disciplinary action, rejection from probation, and termination of a contract, or
temporary, employee.
Grievance Procedure -The systematic means by which an employee may obtain consideration of a
grievance.
lmmediate Family Member-An employee's father, mother, spouse, registered domestic partner,
child, brother, sister, grandparent, grandchild, parent-in-law, brother-in-law, sister-in-law, foster
child, ward of court, or stepchild.
Job Classification - Another name for "Class", which is all positions substantially similar with
respect to duties, responsibilities, authority, and character of work, to permit grouping under a
com mon title in the application with equity of common standards of selection, transfer, and salary.
Layoff-The separation of a regular employee from RCTC that has been made necessary by lack of
Page 110
work, or funds, and other reasons.
Leave of Absence - An authorized absence from duty for a specified period.
Ma nager responsible for Human Resources - The employee of RCTC designated by the Executive
Director to oversee the Human Resources Department.
Merit Salary lncrease - A salary increase within the limits of a pay range established for a class.
Non-exempt Employee - An employee who is eligible for overtlme pay. Any employee who is not
deslgnated as being exempt in Section 3.8 of this Manual is considered to be non-exempt.
Part-time Employee -An employee of RCTC who usually works less than forty (40)hours perweek,
but more than twenty (20) hours per week.
Performance Evaluation - A review and evaluation of an employee's performance and capabilities
in the employee's authorized position by the employee's First-Line Supervisor or other manager.
Position - A group of current duties and respo nsibilities assigned or delegated by competent
authority and requirinB the full or part-time services of one (1) employee.
Probationary Employee - An employee who is serving a probationary period either as a newly
hired employee or as a new promotion.
Probationary Period - The first 2,080 hours or such duly extended period of employment, during
which an employee may be rejected without cause and wathout recourse to the grievance
procedure or any other appeal right. Contract and temporary employees do not serve a
probationary period and may be terminated at any time without cause and without recourse to
the grievance procedure or any other appeal right.
Promotion - The movement of an employee from one class to another class having a higher
maximum base rate of pay.
Reclassification - The movement of a position from one class to another class in accordance with a
re-evaluation of the minimum qualifications, duties, and responsibilities of the position.
Reduction in Pay - A temporary or permanent decrease in salary.
Regular Employee - An employee who has successfully completed the probationary period.
Reinstatement - The restoration without examination of a former regular employee to a
classification in which the employee formerly served as a regular employee.
Re.iected - lnvolunta ry term ination of probationa ry employment wath the RCTC, or in the case of a
Page|11
regular employee serving a promotional probationary period, demotion to former position.
Relative - A spouse, registered domestic partner, child, step-child, parent, step-parent,
parent-in-law, legal guardian, brother, sister, brother-in-law, sister-in-law, step-sister,
step-brother, aunt, uncle, niece, nephew, grandch ild, or grand parent, regardless of their places of
residence; and any other individual living within the same household as the subject person.
Resignation - Voluntary termination of employment by an employee.
Retired Annuitant - A retired employee currently receiving benefits from CaIPERS working for
RCTC as a temporary employee without reinstatement and with certain restrictions as provided by
the Public Employees' Retirement Law (PERL).
Salary Range - Categories which determine the minimum and maximum salary payable for each
job classification.
Sick Leave - A paid absence from duty by an employee due to any of the reasons set forth in
Section 5.1 of this Manual.
Second-Line Supervisor - A person who has responsibility for the direction of the work of a specific
employee in the absence of the First-Line Supervisor.
Suspension With Pay - A temporary separation of an employee, either fully or partially from
assigned duties, with pay and benefits, pending investigation of alleged employee misconduct,
pending imposition of discipline, or for other reasons.
Suspension Without Pay - A temporary separation of an employee from service, without pay, for a
disciplinary purpose.
Temporary Employee - An employee, including, but not limited to, interns, hired for a specified
purpose for a limited period of time. Such employees may be discharged without cause and
without recourse to the grievance procedure or any other appeal right.
Termination - The conclusion or cessation of employment with RCTC because of retirement,
resignation, discharge, rejection, or death.
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Transfer - The movement of an employee within a department or between departments from one
position to another position in the same class or another class having the same maximum rate of
pay, involving the performance of similar duties, and requiring substantially the same basic
qualification.
Vacancy - An unfilled, authorized position in RCTC employment.
91.9 Application of this Manual
Unless provided otherwise herein, this Manual shall apply to all positions and employments in the
service of RCTC.
$1.10 Savings Clause
lf any provision or the application of any provision of this Manual, as implemented, is rendered or
declared invalid by any final court action in a court of competent jurisdiction, or by reason of any
preemptive legislation, the remaining provisions of this Manual shall remain in full force and
effect.
SECTION 2 - RECRUITMENT, SETECTION, AND PTACEMENT
82.1 ClassificationPlan
The Manager responsible for Human Resources, under the direction ofthe Executive Director, shall
ascertain and record the duties and responsib ilities of all positions in the RCTC. The Manager
responsible for Human Resources shall be responsible for preparing and maintaining an employee
classification plan for RCTC. The Executive Director shall recommend a classification plan for such
positions. The classification plan shall co n sist of cla sses of positions d efined by class specificatio n,
including the title. The classification plan shall be so developed and maintained that all positions
substantaally similar with respect to duties, responsibilities, authority, and character of work are
included within the same class, and that the same schedules of compensation may be made to
apply under similar working conditions to all positions in the same class.
The classification plan shall be adopted by the Executive Committee and may be amended from
time to time. A newly created position shall not be filled until approved by the Executive
Committee.
92.2 Reclassification
The Executive Director can reassign position classifications, when circumstances require changes in
respon s ib ilities.
92.3 Vacancies
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When a vacancy occurs in an authorized position, the First-Line Supervisor will submit a request to
fill the vacancy to the Human Resources Department. The immediate supervisor may recommend
to fill the vacancy through internal or external recruitment. The Executive Director shall
determine the process for selection or, in the alternative, determine that it is in RCTC'S best
interest to leave the position vacant, or that the position warrants a down grade in the job
classification or pay grade. This section shall not be construed to limit in any way the Executive
Director's right to hire the most qualified person available to fill any vacancy.
92,4 Personnel Requisitions
All requests for personnel shall be submitted to the Human Resources Department on a Personnel
Requisition Form. The Personnel Requisition Form shall be completed and signed bythe First-Line
Supervisor. The form shall be submitted to the Executive Director for approval and shall satisfy all
Personnel Requisitions in accordance with RCTC's recruitment policy.
52.5 Announcements
The Human Resources Department shall publish announcements which shall state the position
title, rate of pay, desired qualifications, when and where to file applications, and other pertinent
information. Employment standards stated in the announcement shall be those established for
the class.
Announcements shall be considered published when they are posted on the RCTC lnternet
website. The Human Resources Department may publish additional notices in other locations.
52.5 qualification of Applicants
Person employed in or appointed to any position requirinB full-time or part-time service must
possess minimum q ua lifications.
92.7 SubmittingApplicationPackages
Signed original and complete application packages must be received by RCTC no later than 4:00
p.m. on the final filing date unless advertised as open until filled.
52.8 lncompleteApplication Packages
lncomplete application packages may be returned to the applicant with notice to amend at the
discretion ofRCTC. lncomplete application packages, likeall other application packages, received
after the filing period will not be given consideration for RCTC employment.
52.9 lnitial Applicant Screening
The First-Line Supervisor seeking to hire a new employee may disqualify an applicant or refuse to
Page 114
refer any person for employment for, but not limited to, the following reasons:
C.
The applicant does not possess the minimum qualifications established for the
position;
The applicant has been dismissed for good cause from previous employment;
The applicant has been convicted of a felony or misdemeanor that was of such a
nature as to reflect adversely a nd substantia lly on the applicant's ability to perform
the duties ofthe position. The word "convicted" shall be construed to mean a plea
of guilty or no contender, verdict, or finding of guilt regardless of whether sentence
is imposed by the court;
The applicant has practiced or attempted to practice a ny deception, fraud, or omission of material
fact in the application or interview, or in securing eligibility for employment.
The Executive Director and/or the appropriate Director shall have final approval as it pertains to
qualification of applicants.
92.10 Recruitment and Selection
Offers of employment shall be extended to selected candidates only by the Executive Director or
the Manager responsible for Human Resources at the direction of the Executive Director.
Employment offers for all positions shall be made in writing and shall include starting rate of pay
on a monthly basis. All employment offers are contingent upon the fulfillment of any
contingencies mentioned in the written offer of employment.
The Executive Director has the authority to negotiate a higher accrual rate of vacation and sick
leave for new employees when, in the judgment of the Executive Director, the education, training,
and experience of a proposed employee are superior and justify a higher rate. These changes
must be documented in writing to the Human Resources Department and the Payroll Department
prior to the first day of work for the new hire.
S2,11 Promotion
It is the policy of RCTC to fill authorized position vacancies with the most qualified individual
available and to provide promotional opportunities for qualified employees. Employees interested
in promotion to a position vacancy for which they are qualified shall submit an employment
application per the recruitment process. New employees, who have not completed the initial
probationary period for their current position, shall start a new probationary period for any new
position. After the successful completlon of the probationary period in the new position, the
employee shall be classified as a regular employee.
Employees promoted to a new position shall be placed at a location within the salary range inB
Page | 15
which the position is classified that represents a ten (10) percent increase in the employee,s
current salary. An employee promoted to a new position having a minimum salary range higher
than a ten (10) percent increase over the employee's current salary shall be placed at the
minimum level of the new salary range. The Executive Director has the discretion to authorize
salary levels within the salary range based on the most recent compensation study.
Promotional offers shall be extended to selected candidates by the Executive Director.
Employment offers for all promotional positaons sha ll be made in accordance with Section 2.10 of
this Manual.
Employees serving in an actinB appointment shall not acquire probationary or regular status or
rights, and time spent in an "acting" position sha ll not contribute to the probationary period if the
employee is subsequently appointed to the position. Employees who are appointed to an acting
position will receive a temporary five (5) percent increase in their salary that will continue for the
duration of their acting position.
SECTION 3 - TERMS OF EMPLOYMENT
53.1 Orientation
New employees shall be provided an orientation by their First-Line supervisor and the Human
Resources Department. The orientation will address issues such as hours of work, rest periods,
salary, benefits, probationary period, performance evaluation, position description, attendance,
sexual harassment policy, alcohol/drug abuse in the workplace policy, violence in the workplace,
electronic communication, sick leave, vacation, overtime, and other personnel issues. The
employee's First-Line Supervisor will provide the employee with a thorough orientation including,
but not limited to, the following:
Outline current and long range departmentalobjectives;
B. Review the organization of the department and the names of key department
personnel;
C.
F.
Review depa rtment procedures;
Explaln hours of work, timesheet reporting, lunch and break periods, and absence
reporting, and other RCTC policies;
Define work assignments, objectives and responsibilities;
Set measurable performance goals with the employee;
Conduct a tour of RCTC facilities including restrooms and parking facilities.DGPage | '16
93.2 ProbationaryPeriod
To ensure that new employees a re able to satisfy requirements of the position for which they were
hired; each new employee, other than contract, and temporary employees shall be required to
serve a probationary period consisting of the employee's first two thousand eighty (2,080) hours of
work time. The probationary period is required as part of the testing process and sha ll be utilized
for closely observing the employee's work. All employees will receive a quarterly progress report
and a performance evaluation prior to completion of the probationary period.
A probationary employee may be rejected at any time without cause and without recourse to the
grievance procedure or any other appeal right. lf not sooner, any rejection of a probationary
employee must be communicated to the employee at the conclusion ofthe probationary period or
within a reasonable time thereafter. The quarterly progress report and performance evaluation
must be completed by the employee's First-Line Supervisor. The decision to accept or reject the
probationary em ployee is also made by the First-Line Supervisor in consultation with the Manager
responsible for Human Resources and must be approved by the Executive Director.
Employees promoted to another job classification, shall be considered to be probationary
employees during the first two thousand eighty (2,080) hours of work time in the new position.
Employees failing to perform satisfactorily in the new classification may be rejected and returned
to their former position or to a position requiring similar skill and in a similar pay grade if such a
position is still available. Should the previous position not be available, the employee is subject to
discharge. Rejected employees shall not have recourse to the grievance procedure or any other
appea I right.
The initial probationary period of an employee may be extended by the First-Line Supervisor in
consultation with the Manager responsible for Human Resources. Extensions of an initial
probationary period must be approved by the Manager responsible for Human Resources in
writing at least eighty (80) hours before the end of the initial probationary period. Approval is
made on a case-by-case basis and must be supported by documentation justifying the request.
The initial probationary period may only be extended once by a maximum offive hundred twenty
(520) hours of working time.
53.3 Attendance
Employees shall be in attendance at their work place in accordance with the rules regarding hours
of work, holidays, and leaves. All employees shall keep their daily attendance. Attendance records
of employees shall be reported to payroll on the appropriate form. Absence without leave shall be
cause for discipline, up to and including discharge.
RCTC will maintain records of employee attendance to identify critical and chronic attendance
problems. Employee attendance will be reviewed and evaluated during the employee's annual
performance evaluation.
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S3,4 Hours of Work
It is the RCTC'S objective to perform its responsibilities and meet its obligations to the public and
local agencies, while allowing its employees reasonable flexibility in their work schedules. The
offices of the RCTC shall be kept open exclusive ofSaturdays, Sundays, and holidays from 8:00 a.m.
until 5:00 p.m.
A.Work Schedules - The normalwork schedule is defined as eighty (80) hours of
work performed on ten (10) work days on a normal 10/80 work schedule, on a nine
(9) work days on an alternative 9/80 flexible work schedule, or on an eight (8)work
days on an a lternative 10/4 work sched ule. Department heads shall set and adjust
the work schedules for their employees, keeping in mind that there must be
coverage during the office operation hours. An employee's schedule may be
adjusted to meet RCTC'5 needs.
Alternative Work Schedule - RCTC may, and has, implemented alternative work
sched u les that differ from the sta ndard workweek (typically a five (5) day, forty (40)
hour per week schedule). The Executive Director has the authority to determine
which positions may be on an alternative work schedule and to continue alternative
work schedules.
Meal Periods - Department heads are responsible for scheduling and requiring
employees to take meal periods. Meals periods may be temporarily postponed to
meet unexpected office operational requirements at the discretion of a First-Line
Supervisor in cooperation with a department head.
The meal period for full-time employees working on a flexible 9/80 work schedule
shall be at least thirty (30) minutes and for those working a LO/4 work schedule
may be sixty (60) minutes.
Discretionary Breaks - Department heads may grant employees who work at least
an eight (8) hour day a maximum of one paid fifteen (15) minute rest break before
and one paid fifteen (15) minute rest break after the meal period.
C.
Ssection 3.4.1 lmpermissible Use of Meal Period and/or Breaks
The meal period and the discretionary break(s) must be used separately. Discretionary
breaks may not be used to extend the lunch period.
Neither the meal period nor the break(s) may be used to compensate for an employee's
late arrival or early departure, or to cover time off for other purposes.
Discretionary breaks shall not be accumulated and, when not taken, shall not be the basis
for any additional pay or time off.BPage | 18
93.5 UnauthorizedAbsences
Any employee who is absent without authorization for three (3) consecutive working days shall be
considered to have resigned from their position with RCTC by reason of abandonment. For
purposes of this section, an unauthorized absence during part of a day constitutes an unauthorized
absence for the entire day.
Nothing in this section sha ll limit the Executive Director's authority to discipline an employee due
to an unauthorized absence of less than three (3) consecutive days.
53.5.1 Abandonment/Automatic Resignation
Absence without authorization, including "no call/no show", of any RCTC employee,
whether voluntary or involuntary, for three (3) consecutive working days is an automatic
resignation from RCTC service, providing the employee upon written notification does not
respond to the RCTC and/or does not provide a satisfactory explanation for the absence
and their failure to obtain an approved leave. The notification to the employee must be in
writing prior to the RCTC fina lizing the resiBnation and must contain an opportunity within
three(3) workingdays ofservice forthe employee to respond. Asecond notice,afterthe
time to respond has passed or after the employee has given an unsatisfactory explanation,
must be sent to the employee stating the effective date of the aba ndonment/automatic
resignation. Noticeswill be served by first-class mailtothe last known address of record of
the employee.
An employee may within ten (10)calendar days ofthe second notice from RCTC, request in
writing reinstatement from the Executive Director. lf denied by the Executive Director, the
employee may file a further appeal to the Executive Committee within ten (10) working
days from servlce of the denial of restatement. Reinstatement may be granted on ly if the
employee ma kes a satisfactory expla nation for the absence and/or the failure to obtain an
approved leave of absence, and the Executive Committee finds the employee is ready,
able, and willing to resume the discharge of the duties of the position.
53.6 Overtime
It is the policy of RCTC to avoid overtime work whenever possible. overtime work shall be used
only to supply essential public services or perform necessary duties during emergencies or where
performance of overtime work by existing employees is more economical than adding new
employees by creation of new positions.
Hours worked over forty (40) hours in a workweek, by a non-exempt employee, will be designated
as overtime.
A non-exempt employee of RCTC shall not work overtime without obtaining authorization for the
overtime, prior to commencement of overtime, from the employee's First-Line supervisor or
Page | '19
department head. Employees of RCTC required to work overtime are compensated in accordance
with the Fair Labor Standards Act (FLSA) at the rate of time and one-half for each hour of overtime
worked. No other form of absence from work, such as sick leave, vacation leave, jury duty leave,
etc. shall be considered hours of work for purposes of calculating overtime.
Employees of RCTC designated as exempt employees shall not be eligible for overtime pay. No
RCTC employee shall be eligible for FLSA compensatory time, in lieu of overtime pay.
03.7 Non-ExemptEmployees
The official workweek for RCTC non-exempt employees shall be seven (7) consecutive days
beginning on Friday, four hours after the workday begins. For non-exempt employees on a flexible
work schedule, the scheduled Friday flex day must be consistently designated In order to avoid
incurring any overtime obligation.
93.8 Exempt Employees
The official workweek for exempt employees shall be the same as for non-exempt employees.
Exempt employees shall account for all hours worked as well as for official hours away from work
such as vacation, sick, holiday leave, and other absences. Hours worked in excess of eighty (80)
hours per pay period shall be considered by the Executive Director when determining
administrative leave grants pursuant to Section 5.6 at the end of the fiscal year.
Employees designated as either Professional/Ad m inistrative, or Executive/Supervisory, are not
eligible for overtime pay or compensatory time. Employees occupying the following positions are
considered to be exempt employees:
. AccountingSupervisor
. Capital Projects Manager
o Chief Financial Officer
. Community Relations Manager
. Commuter & Motorist Assistance Manager
. Deputy Executive Director
. Executive Director
. Facilities Adm inistrator
o Finance Ma nager/Controller
. Goods Movement Manager
. Government Relations Manager
o Human Resources Admlnlstrator
o Multlmodal Services Director
o office and Board Services Manager
. Planning & Programming Director
o Planning & Programming Manager
. Procurement Analyst
Page | 20
. Procurement Manager
. Project Delivery Director
. Project Development Director
o Rail Manager
. Right of Way Manager
. Senior Staff Analyst
. Staff Analyst
. Toll Program Director
. Toll Project Manager
. Transit Manager
RCTC established a pay system pu rsuant to principles of public accountability, under which exem pt
employees accrue vacation and sick leave.
An exempt employee's pay may be reduced or exempt employee may be placed on leave without
pay for absences for personal reasons including illness or injury of less than one (1) work day when
such employee's accrued leave is not used because: (1) permission for its use has not been sought
or has been sought and denied; (2) accrued leave has been exhausted; or (3) the employee
chooses to use leave without pay.
Deductions from the pay of an exempt employee for absences due to a budget-required furlough
shall not disqualify the employee from being paid on a salary basis except in the workweek in
which the furlough occurs and for which the employee's pay is accordingly reduced.
03.9 Compensation
New employees of RCTC shall normally be hired at the minimum level of the salary range assigned
to the classification. ln the event a potential employee possesses extraordinary skill, training or
ability, or where exceptional recruitment difficulties are encountered, employment offers may be
made at a higher rate whenever such would be in RCTC'S best interest. Offers of employment at
the minimum to middle step of the salary range may be made by the Manager responsible for
Human Resources in cooperation with the Executive Director and hiring First-Line Supervisor.
lnd ivid uals hired shall be eligible for a merit salary increase upon completion of their probationary
periods, and at twelve (12) month intervals thereafter. A completed performance evaluation with
a satisfactory or hiBher rating shall be required for all salary increase recommendations. lf the
probationary period for a probationary employee is extended, the employee shall be eligible for a
merit salary increase upon successful completion of the extended probationary period.
Sa lary equity ad.justments outside the normal merit salary increase may be made by the Executive
Director to address issues such as internal salary compression, retention considerations, and
classification parity. ln these instances, equity adjustments may be approved to remedy a salary
inequity. Equity adjustments are not granted to reward performance and must stay within the
established pay range determined by the most recent compensation study. Justification must
Page 121
accompany requests for equity adjustments, including specific outside salary offers in cases of
retention, or a specific analysis of salary relationships in cases of correcting salary inequities.
53.10 Salary Review
On a biennial basis, or at interval period approved by the Executive Committee, the Manager
responsible for Human Resources, under the direction of the Executive Director, shall review the
salary range assigned to each position within RCTC and provides a written report of the review to
the Executive Director. The Executive Director may make salary recommendations to the Executive
Committee.
53,11 Performance Evaluations
It is the policy of RCTC to evaluate employee performance on a regularly scheduled basis. The
performance evaluation shall normally be conducted by the employee's
First-Line Supervisor and shall be discussed with the employee. The employee's
First-Line Supervisor sha ll carefully consider each item of the performance evaluation in relation to
the duties outlined in the employee's position description.
A performance evaluation shall be completed at the end of the initial probationary period and
annually thereafter. lt is the supervisor's responsibility to assure that the performance evaluation
is completed and returned to the Manager responsible for Human Resources for review prior to
the completion of the employee's probationary period.
Employees may be eligible for merit pay increases based on funding approved by the RCTC. The
Executive Director, prior to the beginning of the fiscal year, will inform Management staff on the
maximum level of increase that could be granted to employees. The amount of an employee's
merit pay increase, if any, will be determined by the employee's First-Line Supervisor in
accordance the employee's performance and based on the guidelines established by the RCTC.
93.12 Service Awards
ln order to recognize the contributions of long-time RCTC employees, RCTC shall provide service
awards to regular employees who have completed five (5) years of consecutive service and on
succeeding five (5) year anniversaries thereafter.
Service awards will be presented at regular RCTc meetinBs. Employees must have completed the
appropriate years of service prior to the date of the awards ceremony to be eligible for the award.
Presentation of service awa rds shall be made by the Chair of RCTC or a representative designated
by the Chair.
$3.13 Safety
It is the policy of RCTC to maintain an active safety program desiBned to eliminate occupationally
Page 122
related illnessand injuryamong RCTC employees. Everyemployeeof the RCTC shall berequiredto
observe all RCTC and departmental health and safety procedures. RCTC'S safety policies and
practices are more fully set out in the lnjury and lllness Prevention Plan, which is available in each
department, in Human Resources, and on the RCTC intranet.
$3.14 Keys and Security Codes
Keys to RCTC facilities and related security access cards will be issued to employees as desiBnated
by the Office and Board Services Manager. Keys are the property of RCTC and shall be surrendered
to RCTC upon termination of employment. Employees shall be required to immediately report lost
or stolen keys and related security cards to the Office and Board Services Manager.
93.15 Political Activity
Political activities undertaken by employees of RCTC, while on duty and/or on the premises of
RCTC, are prohibited. ln accordance with the California covernment Code, the following is
prohibited.
An employee of RCTC shall not, directly or indirectly, soliclt political funds or
contributions, knowingly, from other officers or employees of RCTC. (Government
Code Section 3205, see Section 17);
No employee of RCTC shall engage in politlcal activity during working hours.
(covernment Code Section 3207);
No signs, posters, or other political advertising materials shall be posted upon RCTC
property at any time.
93.15.1 ElectionContributions
The rules set forth herein are in consideration with the Public Utility Code 130051.20.
a. No employee of the RCTC, or member of their immediate families, shall
accept, solicit, or direct a reportable campaign contribution, as defined in
California Government Code 84300, from any construction company,
engineering firm, consultant, legal firm, or any company, vendor, or
business entity seeking a contract with the RCTC.
b. No employee of the RCTC shall make or participate in, or use his or her
official position to influence, a contract decision if the employee has
knowingly accepted a reportable campaign contribution as defined in
California Government Code 84300 in the past one (1) year from a
participant, or its agent, involved in the contract decision.BPage | 23
No employee of the RCTC, or member of their immediate families shall
accept, solicit, or direct a reportable campaign contribution as defined in
California Government Code 84300 from a construction comparny,
engineering firm, consultant, legal firm, or any company, vendor, or
business entity that has contracted with the RCTC in the preceeding one (1)
year.
53.15 Conflict of lnterest and Outside Activities/Employment
It is a basic principle of RCTC that all of its business affairs shall be, in all respects, conducted legally
and ethically and with strict adherence to the highest standards of integrity and propriety. Thus,
although RCTC recoBnizes the employee's right to enBage in private and/or commercial activities or
employment outside normal working hours, RCTC expects each employee to avoid those outside
activities or employment that are a conflict of interest or that may potentially become a conflict of
Interest. Employees must have prior approval from their First-Line Supervisor and Human
Resources before securing additional employment.
Therefore, all employees interested in pursuing private and/or commercial activities outside
normal working hours that have the potential for a conflict of interest shall be required to present
a written explanation ofsuch activities to the employee's First-Line Supervisor for approval. lf the
First-Line Supervisor recommends approval of the outside employment, he or she shall forward
the documentation to Human Resources for consideration.
Human Resources will review the written explanation in accordance with federal and California
law, including but not limited to the California Code of Regulations of the Fair Political Practices
Commission (FPPC), Title 2, Division 6, Chapter 7, Article 1. lf the Human Resources Manager
determines that the activity does not violate federal and California Conflict of lnterest laws, the
Manager responsible for Human Resources will approve the outside activity or employment.
It is not possible to formulate in advance an all-inclusive set of guidelines regarding potential
conflicts of interest. The illustrations set forth below provide guidelines for certain types of
situations. Specific questions regarding situations which are not clearly covered by this policy
statement will be answered on a case-by- case basis when they arise. Examples of conflict of
interest include:
B.
Employees are prohibited from supervising a consultant contract in which an
employee's relative manages the same contract for the consultant if such conduct
would be prohibited by FPPC regulations or other applicable law;
Employees are prohibited from soliciting RCTC consultants to hire employee's
family members;
C. Employees are prohibited from seeking personal services or advice from RCTC
consultants not related to RCTC business at the RCTC expense.APage 124
It is improper for an employee to use or divert any RCTC property or resources, including the
service of other employees for his/her own advantage or benefit. RCTC employees may not
engage in political activities while on duty. RCTC employees may pursue such interests when off
duty, provided that they do not create a conflict of interest. Any RCTC employee running for or
holding any other office or position may not use any RCTC resources (including but not limited to
vehicles, equipment, materials, labor, or services) in connection with running for or holding the
other office or position. RCTC employees shall not use RCTC letterhead paper when writlng letters
on personal or other matters that are not directly related to the RCTC'S business, because that
practice uses the RCTC's name and could expose RCTC to liability for activities beyond the scope of
employment.
RCTC Employees shall not solicit political contributions from other RCTC employees while on duty
and at no time shall attempt to coerce such contributions. RCTC employees shall not solicit
political or charitable contributions from RCTC contractors at any time. However, a RCTC
employee may communicate through the mail, or by other means, requests for political funds or
cha ritable contributions from a significa nt segment of the public which may include RCTC officers,
employees or contractors, so long as it is clear that RCTC officers, employees and contractors are
not targeted for the solicitation. RCTC employees sha ll not use employee lists, RCTC mailing lists,
vendor lists and lobbyist lists to solicit political or charitable contributions.
An RCTC employee who holds elective office sha ll ensure that they are in compliance with all FPPC
requirements a nd do not possess authoritative control over any contractual or financial obligations
related to RCTC projects with in the geographic ju risd iction of his or her elective office. At the time
of his or her election to any office subject to this section, the RCTC employee shall disclose this
information to his or her supervisor and Human Resources.
03.17 Nepotism and Other Prohibited Employment
ln order to assure efficiency in implementing policies of RCTC, it is necessary to restrict the
employment of relatives of elected and appointed officers of RCTC. Therefore, the following
restrictions will apply:
A. Relatives of the RCTC Executive Director, RCTC Legal Counsel, and all elected
officials who are Board members of RCTC shall not be eligible for RCTC employment
in any capacity;
Members of the RCTC Board are ineligible for employment with RCTCwhile serving
on the RCTC Board and for one (1) year after thelr service on the RCTC Board ends.
This section shall not apply to a non-voting board member appointed by the
Governor after their service on the RCTC Board ends;
Relatives of RCTC employees shall not be employed in the same department ofBC.
Page | 25
RCTC where such employment would be detrimental to the supervision, safety,
security, or morale of the department or RCTC, as determined by the Executive
Director, nor sha ll any employee be placed in a position that exercises supervisory
authority over a relative;
D. lf two (2) RCTC employees become married or cohabitate and their employment
conflicts with the provisions of this policy, they may continue employment provided
that such employment does not directly or indirectly place an undue hardship on
other employees within the particular work unit of the married couple and such
employment is not detrimental to the supervision, safety, security, or morale of the
particular work unit as determined by the Executive Director.
ln no event shall an employee participate directly or indirectly in the recruitment or selection
process for a position in which an employee's relative may have filed an employment application.
53.17.1 Non- F ratern ization
RCTC desires to avoid misunderstand ings, complaints of favoritism, possible claims of
sexual harassment, and the employee morale and dissension problems that can result from
certain relationships between employees. Accordingly, employees are prohibited from
fraternizing or becoming romantically involved with other employees when, in the opinion
of RCTC, their personal relationships may create a potential conflict of interest, cause
disruption, create a negative or unprofessional work environment, or present concerns
regarding supervision, safety, security, or morale.
All employees should also remember that RCTC maintains a strict policy against unlawful
harassment of any kind, including sexual harassment.
53.18 Oemotion
RCTC may demote an employee whose ability to perform the required duties falls below standard
or for disciplinary purposes.
$3.19 Suspension Without Pay
The Executive Director may suspend without pay an employee from a position at any time for a
disciplinary purpose. Suspension without pay shall not exceed thirty (30) days, nor shall any
employee be suspended without pay for more than thirty (30) days in any fiscal year.
53.20 Reiection of Probationary Employment
Probationary employees may be rejected without cause and without right of appeal at any time
during a probationary period. Re.iections shall be initiated by the appropriate Director and
approved by the Executive Director prior to notifying the employee of termination action. The
Page | 26
Manager responsible for Human Resources must be notified of any em ployee term ination action.
Rejected probationary employees shall no longer receive employee benefits except benefits
accrued under CaIPERS and benefits to which the employee is statutorily entitled. Rejected
probationary employees shall not be eligible for prior notice of termination and shall receive
payments due on the date of termination.
$3.21 Discharge
RCTC may discharge regular employees for cause, including, but not limited to, inadequate job
performance. All employees of RCTC shall be discharged in accordance with applicable provisions
of this Manual. Employees discharged in accordance with this Manual shall no longer receive
employee benefits except benefits accrued under CaIPERS and benefits to which the employee is
statutorily entitled. Discharged employeesshall receive final compensation payments on the next
regular payday.
53.22 Resignation
Employees who wish to volunta rily terminate employment with RCTC shall provide a minimum of
two (2) weeks written notice to their First-Line Supervisor. The written resignation shall be
considered accepted by RCTC immediately upon submission by the employee and shall be
forwarded to the Human Resources Department for processing. Requests to revoke a resignation
shall be determined in the sole discretion of the Executive Director. Any employee failing to
provide RCTC with a minimum of two (2)weeks written notice of resignation shall be ineligible for
consideration for future employment with RCTC. Final compensation will be paid on the next
regular payday.
53.23 Death of Employee
ln the event of a death of a RCTC employee, payment of all earned wages due shall be in
accordance with California law. The payment of benefits from insurance policies and other
employee programs will be paid in accordance to the terms of the specified benefit policies and in
accordance with state law.
93.24 Dress Code
RCTC encourages a relaxed atmosphere for its employees. RCTC defines business casual as
dressing professionally, neat, and pulled together. Employee attire needs to be suitable for the
workplace. Employee attire should be clean, unwrinkled, and look professional. Unacceptable
attire is rumpled or ripped clothing, underwear as outerwear, tank tops, shorts, flip flops, or
inappropriately revealing attire. Keep in mind the "business" part of business casual.
Page | 27
95.8 Leave of Absence Without Pay
The Executive Dlrector, at their discretion, may grant leave of absence without pay.
ln requesting leave of absence without pay, the employee must provide a written request
specifying the period of time and reason for the requested leave to the Executive Director. The
Executive Director may grant a leave of absence without pay up to 480 hours
(12 weeks). The Executive Committee may, in its sole discretion, grant a leave of absence without
pay of any length. Any leave of absence without pay shall be for a specified period and
appropriate conditions may be imposed, such as requiring the employee to provide sufficient
medical documentation or any other evidence documenting the leave, as required by the
Executive Director and/or the Executive Committee. Under normal circumstances, a personal
leave of absence without pay shall not be granted until after an employee has exhausted all
accumulated vacation.
An employee placed on leave of absence without pay shall not accrue, for the duration ofthe leave
of absence without pay, credited service for salary review, vacation, and sick leave accrual.
Eligibility for salary review and vacation and sick leave accrual shall be extended by the number of
days an employee has been on leave of absence without pay. Employees placed on leave of
absence without pay shall be responsible for all health insurance premiums, life insurance
premlums, short and long-term disability premiums, and other monthly benefit payments in
accordance with the provisions of this Manual.
An employee on leave of absence without pay for illness or disability reasons will be required to
present a return to work order releasing the employee to full duty signed by their attending
physician, prior to being allowed to return to work. A release to return to less than full duty will be
allowed only as an accommodation as required by the Americans with Dlsabilities Act and the
California Fair Employment and Housing Act. Upon expiration of a leave of absence without pay
that is not covered by the FM LA, the CFRA, or the Pregnancy Disability law, or within a reasonable
period of time after notice to return to duty, the employee may be reinstated in the position held
at the time leave was granted. Failure on the part of an employee on leave of a bsence without pay
to report promptly at its expiration, or with in a reasona ble time after notice to return to duty shall
be deemed to have resigned RCTC employment by reason of abandonment. The depositing in the
United States mail of a first class letter, postage paid, addressed to the employee's last known
address, shall be reasonable notice.
55.9 Military Leave
RCTC sha ll grant military leave to fulfill a military service obligation in accordance with federal and
state laws. Public employees are entitled to receive up to thirty (30) days paid military leave per
fiscalyear. ln order to be paid for military leave regular, part-time, and contract employees must
have one (1) year of employment with a public agency. The employee's military service can be
counted toward the one (1) year of public agency service. An employee granted military leave with
pay shall receive all benefits related to em ployment that are granted when the employee is on pay
Page | 40
RCTC provides retirement health benefits as follows:
Hired On or After Januarv 1, 2007
Employees hired afterJanuary 1, 2007, will only be eligible to receive health benefits paid
by RCTC upon their retirement if at the time of retirement, the employee has completed at
least ten (10) years of service with a CaIPERS employer provided that at least five (5) of
those years of service must have been performed entirely with RCTC.
The benefit for these retirees will be determined, in part, by the retiree's years of service
with a CaIPERS employer and, in part, by a contribution level based on a weighted average
of the premiums of the four largest medical benefit plans offered by CalpERS ("Average
Cost"). Average Cost will be determined by CaIPERS on an annual basis. Specifically, RCTC,s
contribution on behalf of these retirees shall be comprised of the following two
components: (1) an a mou nt eq ual to at least loopercent of the Average Cost of employee
only benefits multiplied by the "applicable percentage"; and for each retiree with enrolled
fam ily members, (2) a n a mount equal to g0percent of the Average Cost for the enrollment
of such family members multiplied by the "applicable percentage." The,,applicable
percentage" shall be determined on the basis of the employee's years of service as follows:
Credited
Years of Service
Applicable
Percentage
10 50
60
13
14 70
80
17
18 90
19
20 or more 100
Hired Prior to Januarv 1. 2007
The employer contribution payable for post-retirement health benefits for each employee
hired prior to Jan uaty 1,, 2OO7 , shall be at the rate paid for active employees.
Page | 29
54.3 Short- and Long-Term Disability lnsurance
RCTC shall provide short and long-term disability insurance for regular employees. The premiums
of regularand probationary employees a re paid by RCTC. Regular and probationary employees will
be enrolled in the program at the time of hire and must remain in the program while employed by
RCTC.
Short-term disability insurance provides for no elimination period for disability due to accidental
bodily injury and seven (7) day elimination period for disability due to illness or pregnancy. The
maximum benefit eq ua ls 55 2/3 percent of the weekly pre-disability sa lary or $ 1,777, whichever is
less. Employees may use sick leave and vacation pay to supplement the disability benefit up to
l.o0percent of salary. The maximum benefit period is 180 days. A disability due to a job-related
injury would require Workers' Compensation insurance to be the primary insurance.
Long-term disability insurance provides for a 180-day elimination period or the employee must
exhaust available sick leave, whichever is longer. The maximum benefit equals
66 2/3 percent of the monthly pre-disability salary up to a maximum of510,000. Benefit amounts
exceeding 57,000 per month must receive medical underwriting and approval.
54.4 Life lnsurance
RCTC shall provide a one hundred thousand dollar (S100,000) term-life insurance policy for each
regular and probationary employee. Life insurance is also provided to regular and probationary
part-time employees and will be on a pro-rata basis based on the hours worked. The first 550,000
of coverage will not be taxable to the employee. However, the cost of providing the remaining
550,000 in coverage will be reported as taxable compensation of theemployee. Employees may
be permitted to purchase, through payroll deduction, supplemental term-life insurance.
RCTC shall provide these benefits subject to carrier requirements. Selection of the insurance
provider(s) and the method of computing premiums shall be within the sole discretion of RCTC.
54.5 Dental/VisionProgram
RCTC shall provide dental and vision insurance for regular and probationary, full-time and part-
time employees and their Dependents. Employees and their Dependents shall be entitled to
benefits as provided by the insurance carrier.
94.6 RetirementProgram
All regular and probationary employees shall become members of the CaIPERS on the effective
date of employment. RCTC shall pay for the employer paid member contribution (EPMC) and
employer's contribution to CaIPERS for those employees who were hired
Page | 30
before of Novem ber 28, 2003. Em ployees hired on or after Novem ber 28, 2003 will berequiredto
pay 1 percent of their salary as their partial payment toward the EPMC contribution.
Through contract with CaIPERS, regular employees shall receive a 2.7 percent at 55 retirement
benefit under provisions of section 21354.5 of the Public Employees'Retirement Law (PERL).
Retirement benefits contracted for through CaIPERS are as follows:
1959 Survivor Allowa nce - Third Level: Theprovisionsofsection215T3ofthePERLshall applyto
RCTC regular and part-time employees.
Post-Retfrement Survivor Allowance: The provisions ofsection 2L624,2L626, and 21628ofthe
PERL shall apply to RCTC regular and part-time employees.
Final Com pensation - One Yea r: Theprovisionsofsection20042ofthepERLshall apply to all RCTC
regular and part-time employees.
Un used Sick Leave: The provisions of section 20965 of the PERL shall apply to a ll RCTCregularand
pa rt-time employees.
lnd ustrial Disability Retirement: The provisions of section 21151 of the PERL shall apply to all RCTC
regular and part-time employees.
3 Percent Cost of Living Adjustment: The provisions of section 21335 of the pERL shall apply to all
RCTC regular and part-time employees.
Two-Yea r Additional Service Credit: The provisions of section 20903 of the PERS sha ll apply to all
RCTC regular and part-time employees at the sole discretion of the RCTC Executive Committee.
84.7 401(a) Qualified Plan
All regular and probationary employees shall be enrolled in the 401(a) Qualified Plan. RCTC will
contribute the equiva lent of 7.5 percentof the employee's sala ry to the q ualified pla n. Employees
shall be enrolled in the program at the time of hire and are vested at a rate of 20 percent per year
with full vesting at five (5) years of RCTC service.
94.8 457 Deferred Compensation
Regular and probationary employees of RCTC shall be eligible to enroll in the 457 deferred
compensation plans offered by RCTC on the first day of employment. There is no employer
contribution to the 457 deferred compensation plan. Employees are permitted to specify amounts
to be deducted from the employee's paycheck for deposit to RCTC'S deferred compensation
carrier. Maximum contribution is in accordance to the amount set by the federal law.
Page | 31
§49 Workers' Compensation
RCTC shall provide workers'compensation benefits to all employees who suffer a work-related
injury or illness. For an injury suffered by an employee while performing their duties, the employee
will be placed immediately on workers' compensation. The employee must complete an
Employee's Claim for Workers' Compensation Benefits (DWC Form 1) and submit it to the Human
Resources Department. After receipt of the DWC Form 1., the Human Resources Department will
completethe Employer's Reportof occupational tnjury or lllness (sclF 3067). Bothformsshall be
submitted to RCTC'S Workers' Compensation carrier. tt is the desire of RCTC to provide full
benefits to the employee whenever possible, however, in no event shall the employee receive
more salary and benefits than he or she would normally receive had the injury not occurred.
54.10 Unemployment lnsurance
Unemployment insurance shall be provided in accordance with the current state and federal laws.
54.11 Continuation of Benefits Coverage
RCTC shall continue employer contributions to the employee benefit plan and to group life
insurance programs of those regular employees placed on leave of absence with pay (excluding
long-term disabilitylfor the duration ofthe leave of absence with pay. Employee contributions to
such programs shall be deducted from salary payments made to the employee during the paid
leave of absence.
Regula r employees of RCTC placed on leave of absence without pay may continue to participate in
RCTC's benefit programs for the duration of the leave ofabsence. RCTC employer contributions to
the benefit programs shall cease five (5) days after the effective date of the leave of absence
without pay. Regular employees placed on leave of absence without pay, who want to continue
participation in the beneflt programs, shall advise the Human Resources Department in writing of
their intention to do so and shall submit a check for the cost of the applicable coverage to the
Human Resources Department no later than the 10th day ofthe month preceding the month for
which coverage is effective. The Executive Committee, however, may, in its sole discretion, agree
to continue paying RCTC's contributions and begin paying the employee's contributions to the
benefit programs, in whole or in part, during an unpaid leave of absence.
Once an employee begins to receive RCTC's Short and/or Long-Term Disability benefits, employer
contributions to the benefit program will cease after twelve (12) weeks during the Short-Term
Disability leave. After such time, the employee shall be required to cover both the employer's and
employee's contributions if the employee chooses to continue any benefits.
54.12 Education Reimbursement
Regular full-time employees of RCTC, who have completed at least 2,080 hours of consecutive
service, shall be eligible for ed ucation reimbursement pursuant to this section. The RCTC will make
Page 132
available a maximum of S25,000 per fiscal year for education reimbursement.
An employee may be reimbursed up to S2,500 to cover education expenses incurred in any fiscal
year. lf total employee education reimbursement requests exceed available funding in a given
fiscal year, reimbursement will be made on a first-come, first-served basis.
Requirements for education reimbursement are as follows:
B.
Course is satisfactorily completed with a grade of "C" or higher;
Appropriate proof of successful completion is submitted to their First-Line
Supervisor and the Human Resources Department;
Course of instruction will enable the employee to perform their present duties
more effectively, or will prepare them for future opportunities into which he or she
could reasonably expect promotion or transfer at RCTC;
The hours of instruction for the course do not conflict with the employee's regularly
scheduled work day;
E. The course of instruction must be presented by a technical school, vocational
school, college, university, business, or high school that has been accredited by a
recognized governmental or professional accrediting body and/or has been
approved by the Executive Director.
Employees shall be eligible for reimbursement of the following education expenses: tuition,
textbooks, registration fees, and laboratory fees related to an approved course of instruction.
Employees shall be limited to a maximum reimbursement of S2,500 per employee per fiscalyear.
Employees shall not be eligible for reimbursement of late registration penalties or fees,
transportation costs, parking, interest, or any other charge not specified as reimbursable in this
section.
Employees shall submit an Education Reimbursement Request to their First-Line Supervisor for
approval prior to registration for the course. The First-Line Supervisor will review the request for
compliance with RCTC policies and either approve or disapprove the request. lf the request is
denied,the First-Line supervisorwill statethe reason for denia l. The supervisor shall forward the
completed form to Human Resources for review to assure compliance with RCTC policy. Onecopy
of the completed form, indicating the Executive Director's approval or disapproval, shall be
forwarded to the employee.
Employees who successfully complete an approved course shall submit a request for
reimbursement to Human Resources. The request must include receipts for all items for which the
employee wishes to be reimbursed and a copy of the final grade report with a grade of "C" orCD
Page | 33
higher.
RCTC expects employees who use the Education Reimbursement Program to continue as RCTC
employees for at least two (2) years after completion of the program. Thus, as part of their
Education Reimbursement Request, the employee shall agree that upon voluntary termination of
employment within twenty-four (24) months following receipt of an education reimbursement
payment, the employee is required to remit to RCTC the amount of the education reimbursement
minus one twenty-fourth 0/2al of the education reimbursement for each month of service
following the receipt of the reimbursement.
Required education and/ortraininB outside an employees' regularwork hours shall be considered
as hours worked. RCTC is responsible for all costs associated with required education and training.
$4.13 Employee Assistance Services
The RCTC shall provide an employee assistance program for its employees. The program will be
provided through contractwith the countyof Riverside and/or another program provider. Referto
specific plan provisions for coverage benefits.
Employees shall use sick leave, or vacation time if the employee has no available sick leave time,
for assessment consultations that are voluntary. For consultations that are obligatory and
recommended by the employee's supervisor, no sick leave time or vacation time will be deducted.
The RCTC may change the program at any time.
54.14 Flexible Reimbursement Plan
This plan allows employees to set aside pre-tax dollars to pay for unreimbursed health care and
dependent care expenses. Employees will be able to pay for allowable expenses not covered by
their medical plans as well as dependent care services with pre-tax dollars. Refer to plan
enrollment package, contact the Human Resources Department, or lnternal Revenue Service
Publicotion 959 for deta ils.
$4.15 Employee Transportation Assistan€e
RCTC shall provide regular and probationary employees a monthly transportation assistance
program up to the established limit under lnternal Revenue Code section L32(f). The program will
reimburse employees for the purchase of public transportation tickets to and from work, and it will
pay the cou nty d irectly for van pool pa rticipation through the county's vehicle program, subject to
the limitations noted above.
Page | 34
SECTION 5 - LEAVE, VACATION AND HOLIDAYS
95.1 Sick Leave
Accrualand Accumulation: Regular and probationary full-time employees of RCTC
shall accrue four (4) hours sick leave for each pay period completed. Regular and
probationary part-time employees shallaccrue sick leave on a pro-rata basis based
on the proportional hours worked. Accumulated sick leave shall be available for
use the first day following the payroll period in which it is earned.
Employees on sick leave shall continue to receive their regular pay and benefits.
Except as provided differently in RCTC policies, an employee who has exhausted their accumulated
sick leave and who is unable to work due to illness or injury will be placed in a vacation status for
the duration of the illness or injury, or until the employee has exhausted their accumulated
vacation, whichever occurs first. lf theemployee hasexhausted both sick leave and vacation leave
accumulations, the employee may be placed on a leave without pay. ln coniunction with an illness
or iniury, an employee may apply for short- or long-term disability insurance, as applicable.
B. Use: The following are considered appropriate uses of sick leave accrual;
a paid absence from duty by an employee due to:
An employee's illness, injury, or disability that incapacitates the employee
from performing their duties;
An employee who is personally undergoing medical, dental, or optical
treatment or examination may use sick leave accrual for the required time
away from work;
An employee who, due to exposure to a contagious disease, is quarantined
by an appropriate authority may use sick leave;
An employee compelled to be absent for reason of illness or injury or
medical appointments and procedures for dependents, spouse, parents, or
registered domestic partner may use sick leave;
Bereavement Leave. Sick leave may be used when a death occurs to an
employee's relative or relations through a registered domestic partnership.
RCTC has the right to require proper documentation in support of the
requested leave.
Minimum Charse: The minimum charge against accumulated sick leave shall be
fifteen (15) minutes.
IVV
C.
Page | 35
E.
Notice of lllness: On the first day of absence due to illness, an employee must
notify their First-Line or Second-Line Supervisor of the intended absence at or
before the start of the employee's scheduled workday. tt is the responsibility of the
employee to keep RCTC informed as to continued absence beyond the first day for
reasons due to illness. Failure to make such notification may result in denial of sick
leave and may result in disciplinary action, up to and including discharge from
employment.
lllness During Vacation Leave: Employees who become ill while on vacation leave
may request to have vacation time converted to sick leave. Approval may be
granted only when the employee presents a licensed physician's certificate
verifying an illness or in.iury. Such conversion shall require approval of the
employee's supervisor.
Other Emplovees: Temporary employees shall not be eligible to accrue sick leave.
Return from Sick Leave: Employees who have been on sick leave for three (3) days
or more may be requested to present a statement signed by a licensed physician
stating that the employee has been off from work due to illness or injury and is able
to resume normal duties. RCTC reserves the right to require a physician's
statement for absences of less than three (3) days.
Misuse of Sick Leave: Evidence substantiating the abuse and misuse of the sick
leave benefit sha ll result in denial of sick leave and may result in discipllnary action,
up to and including discharge from employment.
H.
55.2 Sick Leave Conversion to Vacation/Cash Out
Conversion of Sick Leave to Vacation Leave
Employees of RCTC with five (5) years of continuous service (10,400 hours of continuous service)
may choose to convert part of their slck leave to vacation leave. Only that portion of accumulated
sick leave hours that exceed 240 hours may be converted. An employee may choose to convert
unused sick leave as follows:
Sick leave accrued in excess of 240 hours could be converted to vacation at a rate of
50 percent (i.e., one (1) hour of vacation for two (2) hours of sick leave in excess of
240); and
The option to convert unused sick leave to payment under this provision may only
be exercised by the employee once per year and must be accomplished by notifying
the Accounting Department and the Human Resources Department of their
intention by March 31 for use the next fiscal year. The provisions above shall be
utilized for sick leave cash out.DGABPage | 36
Sick Leave Cash Out
Employees that terminate their service with RCTC as a result of retirement but have less than five
(5) years of continuous service with RCTC, shall have their accrued but unused sick leave time
converted to additional service credit pursuant to Government Code Section 20965.
Employees that terminate their service with RCTC as a result of retirement and that have at least
five (5) years of continuous service with RCTC, sha ll have sick leave accrued in excess of 240 hours
converted to a cash payout at a rate of 50 percent. The first
240 hours shall be converted to additional service credit pursuant to Government Code Section
2095s.
Employees that terminate their service with RCTC for any reason other than retirement and that
have unused sick leave in excess of 240 hours, shall have said excess converted to a cash payout at
a rate of 50 percent. The employee shall not be compensated for the first 240 hours of unused
sick leave.
95.3 Holiday Leave
All regular and probationary employees of RCTC who are on the payroll the day before and day
after a designated holiday shall be paid for said holiday. Full-time employees shall receive eight (8)
holiday pay hours for a holiday. Part-time employees shall receive holiday pay on a pro-rata basis.
Temporary employees do not receive holiday benefits. The following holidays are observed by
RCTC (the actual day of observance may be changed at the discretion of RCTC management):
New Year's Day
Dr. Martin Luther King, Jr. Day
Presidents'Day
Memorial Day
lndependence Day
Labor Day
Veterans'Day
Than ksgiving Day
Day After Thanksgiving Day
Day Before Ch ristmas Day
Christmas Day
Day Before New Year's Day
Floating Holiday (Executive Director's discretion)
Holidays that fall on a Saturday shall normally be observed on the preceding Friday. Holidays that
fall on Sunday shall normally be observed on the following Monday. When a fixed holiday falls
within a vacation period, the holiday shall not be charged against the employee's accumulated
vacation benefits.
Page | 37
Non-exempt employees required to work on a holiday will receive eight (8) hours of pay plus
overtime.
At the Executive Director's discretion, regular and probationary full-time employees of RCTC shall
receive eight hours of floating holiday on the first pay date of the fiscal year and must be used
within the same fiscal year. Floating holiday leave time may not be carried over to the following
fiscal year. New employees to RCTC shall receive the floating holiday on a pro-rata basis based on
the date of hire.
05.4 Vacation
Regular and probationary employees of RCTC shall be entitled to accrue annualvacatlon based on
the length of continuous service with RCTC. Employees in part-time positions shall accrue, on a
pro-rata basis, vacation leave for completed pay periods. Such vacation shall be available for use
on the first day following the pay period in which it is accrued.
Each regular and probationary full-time employee will accrue, based on actual hours worked, on a
pay period basis, the pay period equivalent of the applicable annual n umber of hours of vacation,
in accorda nce with the em ployee's record of continuous years of service, unless a d ifferent rate is
negotlated by the employee at the time of hire.
No full-time employee shallaccumulate more vacation than twice the employee's annualaccrual
(for example, a f ull-time employee who accrues 120 hours per year cannot accumulate more than
240 hours ofvacation). Accrua I of vacation willcease once the employee's accumulated vacation
hours equal the employee's maximum accumulation limit. Accrual of vacation will not
recommence until an employee has used some vacation and the accumulated vacation has once
again fallen below the maximum accumulation limit. Regular, part-time employees will accrue
vacatlon on a pro-rated basis.
Continuous years of RCTC service Bi-weekly
accrua I
Annual
accrua I
Maximum
accrued
balance
Hire date to the completion of the 3'd year 3 08 hours 80 hou rs 160 hours
Beginning of the 4th year to completion of the
9th year 4.62 hours 120 hou rs 240 hours
Beginning of the 10'h year and forward 6.16 hou rs 160 hours 320 hours
Page | 38
The Executive Director may approve continued vacation accrual in excess of the maximum accrued
balance in the event that RCTC requires the presence of employees who are in danger of reaching
the maxim um accumulation limit. The approval will be contingent upon the employee providing a
plan demonstrating the use of vacation hours after the needs of RCTC have been met.
Temporary employees of RCTC shall not be eligible for vacation benefits.
Vacation may be ta ken in m ultiples of one quarter (.25) hour with the approva I of the em ployee's
immediate supervisor. Supervisors will only approve vacation for such time as will not impair the
work schedule and efficiency of the department. Should employee vacation requests conflict with
staffing requirements, the final determination for vacation approvals will be at the discretion of
the First-Line Supervisor in cooperation with the department head.
95.5 Vacation Cash Out
Employees who have utalized at least eighty (80) hours vacation during the previous fiscal year shall
be permitted to cash out any accumulated vacation in excess of eighty (80) hours. This limitation
on cashing out vacation is intended to encourage employees to take at least two (2) weeks of
vacation per year.
An employee requesting to cash out vacation who has met the requirements of a vacation cash
out, must submit a written memorandum to the Accounting Department indicating the number of
vacation hours for buyout in the next fiscal year. The memorandum must be submitted by March
31.
Accumulated vacation shall be paid upon termination of employment.
95.5 AdministrativeLeave
The Executive Director may grant administrative leave to those exempt employees who performed
authorized work in excess of a regular workday or on regularly sched uled days off. Administrative
leave time shall be granted at the beginning of the fiscal year and must be used within the fiscal
year. Administrative leave time may not be carried over to the following fiscal year.
95.7 Jury Duty Leave
Every regular and probationary employee who is called or required to serve as a trial .iuror and
upon notification and appropriate verification submitted to their supervisor, shall be entitled to be
absent with pay from their d uties with RCTC during the period of such service or while necessarily
being present in court as a result of such call. Employees are expected to report to work during
those normal working hours that the employee is not required to be present as a juror. Employees
must submit evidence of jury duty to their supervisor. Anyjury fees, excluding mileage, paid to the
employee must be turned in to the RCTC Accounting Department. A temporary employee shall be
entitled to retain jury fees, since they will not be paid as an employee for time not actually worked.
Page | 39
55.8 Leave of Absence Without Pay
The Executive Director, at their discretion, may grant leave of absence without pay.
ln requesting leave of absence without pay, the employee must provide a written request
specifying the period of time and reason for the requested leave to the Executive Director. The
Executive Director may grant a leave of absence without pay up to 480 hours
(12 weeks). The Executive Committee may, in its sole discretion, grant a leave of absence without
pay of any length. Any leave of absence without pay shall be for a specified period and
appropriate conditions may be imposed, such as requiring the employee to provide sufficient
medical documentation or any other evidence documenting the leave, as required by the
Executive Dlrector and/or the Executive Committee. Under normal circumstances, a personal
leave of absence without pay shall not be granted until after an employee has exhausted all
accumulated vacation.
An em ployee placed on leave of absence without pay shall not accrue, for the duration of the leave
of absence without pay, credited service for salary review, vacation, and sick leave accrual.
Eligibility for salary review and vacation and slck leave accrual shall be extended by the number of
days an employee has been on leave of absence without pay. Employees placed on leave of
absence without pay shall be responsible for all health insurance premiums, life insurance
premiums, short and long-term disability premiums, and other monthly benefit payments in
accordance with the provasions of this Manual.
An employee on leave of absence without pay for illness or disability reasons will be required to
present a return to work order releasing the employee to full duty signed by their attendinB
physician, prior to being allowed to return to work. A release to return to less than full duty will be
allowed only as an accommodation as required by the Americans with Disabilities Act and the
California Fair Employment and Housing Act. Upon expiration of a leave of absence without pay
that is not covered by the FMLA, the CFRA, or the Pregnancy Disability law, or within a reasonable
period of time after notice to return to duty, the employee may be reinstated in the position held
at the time leave was granted. Failure on the pa rt of an employee on leave of absence without pay
to report promptly at its expiration, or within a reasonable time after notice to return to duty shall
be deemed to have resigned RCTC employment by reason of a ba ndonment. The depositing in the
United States mail of a first class letter, postage paid, addressed to the employee's last known
address, shall be reasonable notice.
§59 Military Leave
RCTC shallgrant military leave to fulfill a military service obligation in accordance with federaland
state laws. Public employees are entitled to receive up to thirty (30) days paid military leave per
fiscal year. ln order to be paid for military leave regular, part-time, and contract employees must
have one (1) year of employment with a public agency. The employee's military service can be
counted toward the one (1) year of public agency service. An employee granted military leave with
pay shall receive all benefits related to employment that are granted when the employee is on pay
Page 140
status.
lf the military leave extends beyond thirty (30) days, the employee must submit a request for
additional military leave. A copy of the military orders should be submitted to the
First-Line Supervisor. The First-Line Supervisor shall submit the request and military order to the
Human Resources Department for verification.
Any RCTC employee who has been on a leave of absence for military leave shall have such right to
return, and only such right, as may be required by state and federal law in effect at the time the
employee applies for reinstatement.
S5.10 Accrued Leave Donation Program
RCTC shall allow regular employees to donate accrued, unused sick leave, vacation, and
administrative balances to other regular and probationary employees who have exhausted all
accrued sick leave, vacation, and administrative balances and who meet the specified criteria.
The program shall permit RCTC regular employees to donate sick leave, vacation, and
administrative balances to fellow regular and probationary employees who have a serious medical
hardship, to include tem porary disability resulting from pregnancy, miscarriage, or childbirth, or a
catastrophic illness or injury that poses a threat to life and requires
in-patient, hospice, or residential health care. An employee's need may arise from their own
serious medical hardship or catastrophic illness or from their need to care for a relative who has a
serious medical hardship or catastrophic illness. This program is not intended to cover an
employee that has a common illness or injury.
55.10.1 Criteria to Receive Accrued Leave Donation
To be eligible, an employee:
a. must have exhausted all forms of paid leave; i.e., sick leave, vacation, and
administrative balances;
b.must suffer from a serious medical hardship or a catastrophic illness or injury that
requires in-patient, hospice, or residential health care; must need to care for a
relative who has a serious medical hardship or catastrophic illness;
m ust com plete a n application for use of donation leave within five (5) working days
after all paid leave time has been exhausted. ln the event the employee is not
capable of doing so, the employee's First-Line Supervisor may act on their behalf;
and
must present a physician's statement verifying the severity of the serious medical
illness, injury, or condition.dPage 141
55.10.2 Donation of Leave
An employee who has unused sick leave, vacation, and administrative hours maydonate up
to forty (40) hours per fiscal year to eligible employees. Donations in excess of forty (40)
hours require written approval from the Executive Director. An employee desiring to
donate sick leave, vacation leave, and administrative balances shall complete a Leave
Donation Form that specifies the number of hours to be donated and the name of the
employee to whom the hours are to be donated. All donations of sick leave, vacation
leave, and administrative balances shall be voluntary, and no employee shall coerce,
intimidate, threaten, or financially induce another employee to donate hours. Any
donated accrued leave that is not used by the recipient employee during the occurrence
for which it was donated shall be returned to the donor employees on a prorated basis
based on the hours of sick leave, vacation leave, and administrative balances donated to
the recipient employee by all donor employees, and any returned donated accrued leave
shall be reinstated to the appropriate balance of each donor employee.
55.10.3 Receipt of Leave
An employee who meets the criteria may receive up to a maximum twelve (12)weeks (480
hours) donated leave time by submitting the appropriate forms to the Executive Director.
lf approved by the Executive Director, employees will be paid at their current pay rate, not
the rate of the donor employee. The employee will not be eligible to continue to accrue
sick leave, vacation leave, and administrative hours. RCTC sponsored benefits, which
include medical, dental, vision, and life insurance, will continue for the employee until the
last working day of the month that the donated leave is available.
If the donated leave is supplementlng short-term disability or worker's compensation
benefits, in no circumstances shallthe donated leave result in the employee receiving in
excess of 100 percent of their current salary.
55.10.4 Denial of Leave
ln the event the employee is denied donation leave, the employee may submit a written
appeal to the Executive Director within ten (10) working days of receiving the denial. A
written response to the appeal sha ll be issued within ten (10) working days from the date of
written request.
SECTION 5 - PART-TIME AND TEMPORARY EMPTOYEES
56.1 Regular Part-time Employees
Employees of RCTC designated as regular and probationary part-time employees shall be
compensated on an hourly basis as specified by the position classification in which they are
Page | 42
assigned. Such regularand probationa ry pa rt-time employeesshall accrue holidays, vacation and
sick leave, and receive other benefits as provided in this Manual on a pro-rata basis.
Part-time employees sha ll receive performance evaluations in accordance with Section 3.11 of this
Manual. Part-time employees shall receive compensation in accordance with Section 3.9 of this
Manual.
95.2 TemporaryEmployees
Employees of RCTC designated as temporary employees shall be compensated on an hourly basis
as specified at the time of hire. Such employees shall not be eligible for participation in any
benefit program established by RCTC, except as required by state and/or federal law. Such
employees sha ll not be eligible for merit or other pay increases and will not receive performance
evaluations.
Such employment is at-will and may be terminated at any time without cause or prior notice to the
employee and without recourse to the grievance procedure or any other appeal right.
§6.3 Employment of Retired Persons
An employee who is retired under the Public Employees' Retirement Law (PERL) and who is
receiving retirement benefits shall not be employed or re-employed in any position for
compensation without the prior written approval of the Manager responsible for Human
Resources. Consistent with the requirements of the PERL regarding the employment of CalpERS
retirees without reinstatement, the retiree may be employed or re-employed.
The Manager responsible for Human Resources may allow the employment or
re-employment for up to 960 hours of actual work within any fiscal year, without loss of benefits
as specified inSection 2L224 of lhe PERL. That section permits the tempora ry employment only
during an emergency to prevent stoppage of public business, or because the retiree has skills
needed in performing specialized work of limited duration. During the employment or re-
employment period, the retiree will be paid at a rate not less than minimum, nor more than that
paid other employees performing comparable duties.
Under Government Code Section 21221(h), the RCTC Board may make an interim appointment to a
vacant authorized position during recruitment for a permanent appointment if deemed to require
specialized skills or during an emergency to prevent stoppage of public business. These
appointments, including any made pursuant to Section 2!224, shall not exceed a total for all
employers of 960 hours in any fiscal year unless otherwise permitted under the terms of Section
21227(hl, and shall be limited to a single twelve (12) month term.
All retired annuitants shall adhere to the pERL, Title 2, Division 5, port 3. pubtic Employees,
Retirement System, Chopter 72, Article 8, Sections 27220 - 21230.
Page 143
SECTION 7 _ GRIEVANCE PROCEDURE
57.1 Policy
RCTC has established a grievance procedure. G rievances a re defined inSection 1.8 of this Manual.
The following complaints or disputes are not grieva ble: the content of a performance evaluation; a
denial of a merit pay increase; employee classification; disciplinary action; rejection from
probation; and termination of a temporary, or contract employee.
Employees of RCTC who pursue grievances according to the provisions of RCTC Grievance Policy
and Procedure shall be free from harassment by fellow employees, supervisors, and RCTC
administration. The mere utilization of the grievance process sha ll in no way affect an employee's
present or future employment status.
97.2 Steps in the Grievance Procedure
The steps of the grievance procedure are as follows:
57.2.1 Step 1-An employee must discuss a grievance with their First-Line Supervisor, or
their Second-Line Supervisor in the event that the employee's problem is with their First-
Line Supervisor. Th is discussion must occur within five (5) working days of the occurrence
of the event giving rise to the grievance. The appropriate supervisor will attempt to
resolve the matter and will, within a reasonable period of time, notify the em ployee of the
Step 1 decision;
57.2.2 Step 2 - lf the employee is not satisfied with the Step 1 decision, the employee
may, within five (5) working days of receiving the Step 1 decision, submit the grievance in
writing to the appropriate Director for review. The written grievance must set forth the
specific section of this Manualthat has been violated, must state the facts upon which the
grievance is based, m ust ind icate who has knowledge of the relevant facts, must state that
Step 1 of the grievance procedure has been completed, and must indicate the specific
relief the employee is requesting. The Executive Director, or designee, shall make such
investigation of the facts and issues as is warranted under the circumstances and shall
make a determination within five (5) working days of the timely receipt of the written Step
2 grievance. The written Step 2 decision shall be provided to the grievant;
57.2.3 Step 3 - lf the employee is not satisfied with the Step 2 decision, the employee
may, within five (5) working days of receiving the Step 2 decision, request that the
grievance be reviewed by the Executive Committee. To request such review, the grievant
should submit a written request for Step 3 review to the Manager responsible for Human
Resources;
Page | 44
The Executive Committee, or its designee(s), shall make such investigation of the facts and
issues as is warranted under the circumstances and shall make a determination. The
written Step 3 decision shall be provided to the grievant.
The Step 3 review may involve a meeting between the employee, the Executive Director,
and the Executive Committee, or its designee(s). At such meeting, if any, discussion shall
be limited to the issues raised in the initial written grievance and an earnest effort shall be
made to resolve the problem.
lf the parties fail to resolve the grievance, Executive Committee, or its designee(s), shall
make a final and binding determination of the grievance.
57.2.4 Step 4 - lf the employee fails to comply with any time limit specified above, the
grievant shall have accepted the RCTC'S decision on the matter. lf RCTC fails to comply
with any time limit specified above, the grievant may move the grievance to the next step
in the procedure. The parties by mutual agreement can extend any time limit set forth in
the grievance procedure.
SECTION 8 _ EMPLOYEE CONDUCT AND DISCIPTINE
08.1 Forms of Discipline
The Executive Director, with good cause for such action, shall have the right to impose major
discipline and demote, discharge, reduce in pay, or suspend without pay an employee. Minor
discipline can be imposed by First-Line Supervisors in cooperation with the appropriate Director
and Manager responsible for Human Resources.
58.1.1 Good Cause for Discipline - Any of the following examples of performance or
behavior shall constitute good cause for discipline. This listing is representative only and
does not exhaust all possible situations where disciplinary action may be imposed:
e.
f.
a.
b.
Dishonesty;
lncompetence;
Unsatisfactory performance or negligence in job performance;
lnsubordination, including actions that involve resistance to, defiance of, or refusal
to carry out a supervisor's lawful order;
Absence without leave;
Discourteous treatment of the public or other employees;dPage 145
Falsification of RCTC records and documents including, but not limited to,
employment material.
58.1.2 Categories of Discipline - Major d iscipline consist of a suspension without pay of six
(6) or more days, demotion, and reduction in pay of one (1) month or more, or discharge.
Any other form of discipline is considered to be minor discipline.
58.2 DisciplinaryProcess
S8.2.1 Notice of Proposed Disciplinary Action
Prior to the imposition of disciplinary action, regular employees sha ll be presented with a
written Notice of Proposed Disciplinary Action informing the employee of their right to a
pre-d isciplina ry meeting.
a. The Notice of Proposed Disciplinary Action shall include:|.
A description of the discipline proposed; a statement of the reasons the
action has been proposed, which shall include a brief description of the
facts upon which the proposed action is based and a statement of any rules,
regulations, laws, etc. that were violated. Additionally, if applicable, a list of
any previous disciplinary actions, counseling evaluations or other relevant
actions taken against the employee;
A copy of any documents relied upon in proposing the disciplinary action;
and
A statement advising the employee that they have the right to respond to
the Executive Director, or designee, regarding the proposed disciplinary
action, orally or in writing, before a final decision is made on the proposed
d isciplinary action. This pa rt of the Notice of Proposed Disciplinary Action
shall include the name of the person to whom the response, if any, can be
made. Moreover, the Notice shall include a statement notifying the
employee that he or she has five (5) working days from the date of receipt
of the Notice to respond in writing or meet with the Executive Director to
make an oral response;
Upon a showing of good cause, the Executive Director, or designee, may extend the
time for response;
ln responding, either orally or in writing, the employee may designate a
representative to assist in the presentation of the response.
b. Response to Notice
Page | 46
ln the event that the employee chooses to respond orally, the employee
must, within the period given to respond, make an appointment, and meet
with the Executive Director or designee;
During this meeting the employee, or the employee's representative, may
present a ny reasons why the employee feels that the proposed action is not
proper. The Executive Director or designee shall listen to the employee's
presentation, but shall not present any evidence on behalf of RCTC, nor
shall either party present any witnesses for examination;
A written response must be received in the office of the Executive Director,
or designee, no later than 4:00 p.m. on the due date;
iv. Failure by the employee, or the employee's representative, to respond to
the Notice of Proposed Disciplinary Action within the period allowed shall
forfeit the right to respond to the Notice of Proposed Disciplinary Action
and the proposed disciplinary action shall take effect as proposed.
lf a timely oral or written response is received, the Executive Director, or designee,
shall take the employee's response into consideration and shall make a
determination as to whether or not the proposed disciplinary action, a lesser from
of discipline, or no disciplinary action shall be taken.
After completion of the predisciplinary process, the Executive Director, or designee,
may direct that any approved d iscipline take effect and establish the effective date
ofsuch approved discipline. Such imposition of d iscipline shall beeffected bythe
preparation of a Notice of Discipline that informs the employee of the discipline
imposed and any appeal rights applicable to the discipline. The Notice of Discipline
should include the reasons for the d iscipline imposed and a copy of any documents
relied upon in imposing the discipline.d$8.2.2 No Appeal of Minor Discipline
ln the case of minor discipline, no right of appeal is provided.
58.2.3 Right to Appeal Major Discipline
b.
A regular employee shall have the right to appeal a major disciplinary action.
Requests for appeal shall be made in writing, signed by the employee and filed with
the Manager responsible for Human Resources within ten (10) working days of
receipt of the Notice of Discipline.
Page | 47
dChkFollowing receipt of a timely appeal of major discipline, the Executive Committee
will determine whether the appeal will be heard by a hearing officer, an Ad Hoc
Committee of the Executive Committee, or by the Executive Committee.
The Human Resources Department shall notify the employee and the Executive
Director or other employee from whose action the appeal is being taken of the
date, time and place of the hearing and shall publicly post at such places as the
Executive Committee shall prescribe, a notice of the date, time, and place of the
hearing.
Hearings shall be closed unless an open hea ring is requested by the employee filing
the appea L
Hearings shall be recorded by a court reporter. The court reporter shall prepare a
hearing record.
The employee shall appear personally at the hearing and may be represented by
counsel of their choice, at no cost to RCTC. ln the event that the em ployee fails to
personally appear at the hearing, the employee shall forfeit their right to appeal.
All witnesses to be heard at the hearing shalltestify under oath. The hearing shall
not be conducted according to technical rules relating to evidence and witnesses,
except as hereinafter provided. Any relevant evidence shall be admitted if it is the
sort of evidence on which responsible persons are accustomed to relying on in the
conduct of serious affairs, regardless of the existence of any common law or
statutory rule that miBht make improper the admlssion of the evidence over
objection in civil actions. Hearsay evidence may be admitted but it may not be the
sole basis upon which a finding is made unless it would be admissible over
objection in a civil matter;
Upon conclusion of a hearing not conducted by the Executive Committee, the
hearing officer or the Ad Hoc Committee of the Executive Committee, as applicable,
shall cause findings and recommendations to be prepared in writing and shall
certify the same to the Executive Committee;
The Manager responsible for Human Resources shall deliver a certified copy of such
findings and recommendations of the Hearing Officer, or Ad Hoc Commlttee of the
Executive Committee to the Executive Committee and to any other officer or
employee affected by such findings and recommendations or from whose action
the appeal was ta ken;
After conducting the hearing itself or after considering the findings,
recommendations, and hearing record of the hearing officer or Ad Hoc Committee,
the Executive Committee shall issue its findings and decision. The Executive
committee may approve, disapprove, or modify (lesser or greater) the disciplineg
Page | 48
that was imposed by the Executive Director, or designee. The appeal decision
issued by the Executive Committee shall be final.
SECTION 9 _ LAYOFF POLICY AND PROCEDURE
99.1 Statement of lntent
RCTC recognizes that in some circumstances work force reduction becomes necessary and is
unavoidable. Some of the circumstances may include the following:
o Lack of work;
. Discontinuance of a function;
o Budgetary constraints;
. Reorganization;
. Specific actions approved by the RCTC Board.
99.2 Guidelines
A. Layoffs of regular full-time and part-time employees shall be based on skill, ability,
and performance history. Where skill, ability, and performance history are
substantially equal, seniority based on date of hire shall determine the order of
layoff.
B. No regular employee shall be laid off in any job classification if there are
consultants, probationary, or temporary employees in an active status in the same
job classification within RCTC.
C. The Executive Director shall provide a report to the Executive Committee. The
report shall include:
i. The list of affected employees;
ii. Reasons that positions were deleted or reorganized;
iii. The strategy plan that Includes the number of employees who chose to
exercise a layoff option rather than seeking retraining; and
iv. Confirmation that all reasonable options that would have allowed for the
employee to be retained were explored.
59.3 Reportingand Communication Requirements
A. When it is determined that positions will be deleted, departmental management
personnel shall, as soon as possible, meet with the employees who may be
affected. Those employees will be advised of the time frame in which their
positions will be deleted or reorganized.
Page | 49
B. At the meeting, the employee(s) shall receive an official written notice of layoff.
C. The meeting and official written notice shall be at least twenty (20) working days
prior to the effective date of the layoff. The official notice shall include:
Reason(s) for the layoff;
i. Effective date of the action;
ii. Option for placement on reinstatement list;
iii. options to demote or retrain;
iv. Requirement to notify the RCTC of an address change.
59.4 Reinstatement
Reinstatement is defined as recall by RCTC into a regular position, from the reinstatement list.
A. Regular employees affected by the layoff shall be placed on a reinstatement list for
the class of job from which they were laid off or demoted, or transferred.
B. Any vacancy to be filled shall be offered, in order ofseniority, for the classification
to be filled.
C. The employee's name shall be removed from the reinstatement list, for specific
classification, for any of the following reasons:
i. The expiration of six (5) months from the date of placement on the list;
ii. Failure to contact RCTC within seven (7) days of RCTC's mailing of a first
class letter notifying the former employee of availability of employment. lt
is responsibility of the former employee to notify RCTC of an address
change;
iii. Request in writing to be removed from the list.
D. An employee reinstated by the RCTC shall have:
i. Their sick leave credited to their account as of the date of the layoff;
ii. Continue their seniority;
iii. Cred it for a ll service prior to layoff for the purposes of determining accrual
of vacation leave;
iv, Be placed on the salary range at a step nearest, without exceeding, to their
former or current pay rate, whichever is higher.
Page 150
E. Outside of the Reinstatement Policy, the RCTC may elect to offer laid off
employees, in order of seniority, a temporary position for not less than thirty (30)
days and not more than 480 hours within a six (6)-month period. lf an employee
accepts such a temporary position, it will have no affect on their status on a
reinstatement list.
SECTION 10 - REPORTS AND RECORD KEEPING
510.1 Personnel Files
The Human Resources Department shall maintain a personnel record for each employee in the
service of RCTC showing the name, title of position held, the department to which assigned, salary,
changes in employment status, and such other information as may be considered pertinent.
$10.2 Change of Status Report
Every appointment, transfer, promotion, demotion, change of salary rate, change of address or
any other temporary or permanent change in status of employees shall be reported to the Human
Resources Department.
810.3 Personnel Action Form
A Personnel Action Form shall be completed for each employee hired, appointed, promoted,
demoted, transferred, disciplined, and terminated by RCTC. This form shall include all employee
information including benefit selection information. Acopyof thisformshall beincludedinthe
employee's personnel flle. No Personnel Action Form is effective unless it is approved by the
Executive Director.
910.4 Time Cards
All RCTC employees shall be required to complete and sign a time card recording all hours worked,
vacation, sick leave, administrative, jury duty leave, etc. Time cards shall be signed by the
employee's First-Line Supervisor and forwarded to the Payroll Department no later than twelve
(12) noon on the next day following the end of the pay period.
510.5 Records Review and Access
Access to employee records is restricted to the following:
Human Resources Department employees with a business need-to-know;
The First-Line Supervisor of an individual employee with a business need-to-know;
and
The Executive Dlrector with a business need-to-know.CPage | 51
$10.6 Employee Access
An employee may, in the presence of a Human Resources Department representative, examine
their personnel records periodically. An employee has the right to ask for a correction or a
deletion, or write a statement of disagreement with any item in the file. The employee may not,
however, remove any item from the file.
510.7 Disclosure of Employee lnformation
All requests, whether written or oral, for information about a current, retired, or terminated
employee must be referred to the Manager responsible for Human Resources. Nooneotherthan
the Manager responsible for Human Resources will respond to any such requests. lnformation will
be given to duly authorized requests from law enforcement agencies presenting summons,
subpoena, and judicial orders.
510.8 Protectionof Confidentiality
Privacy of employee records refers to the collection, use, access, dissemination, retentlon, and
confidentiality of data maintained on employees. RCTC has a commitment to the privacy of
personal information kept in its personnel records unless disclosure is required by law.
SECTION 11 - HARASSMENT-FREE WORKPI.ACE POTICY
511,1 General Provisions
S 11..1.1 Pu rpose
The purpose of this Harassment-Free Workplace Policy (Policy) is to ensure that all
employees, volunteers, and commissioners are aware of their rights and responsibilities
with regard to the prevention of harassment in the workplace, and that the RCTC
workplace is free from harassment.
511.1.2 Violation of Policy
Violation of the provisions of this Policy by an employee may subject the employee to
disciplinary action, up to and including discharge from employment. Violation of the
provisions of this Policy by any person who is not a RCTC employee may subject that
person to appropriate administrative action.
$11.1.3 Distribution of Policy
A copy of this Policy shall be distributed to each employee, volunteer, and commissioner.
Page | 52
S11.2 Harassment-Free Environment
All em ployees are entitled to a work environment free from harassment. Discriminatory treatment
occurs when an individual uses a protected class as a basis for an adverse employment action or
decision. Behavior constitutes harassment when it is unwelcome and unsolicited, offends or
otherwise causes distress, and is undertaken because of an individual's protected status.
Harassment creates a negative atmosphere that reduces work productivity and morale,
undermines the integrity ofthe workplace, and destroys piofessionalism. Harassment includes any
unwelcome, unsolicited, and/or unwanted behavior towards coworkers, subordinates, supervisors,
or volunteers, which offends, humiliates, embarrasses, or intimidates because of a person's race,
color, creed, religion, sex, national origin, age (40 or older), disability, marital status, ancestry,
medical condition (e.9., AIDS/HlV, history of cancer), pregnancy, and sexual orientation, gender,
including gender identity and gender expression, and genetic characteristics. Examples include the
use of derogatory comments, slurs, jokes, pictures, cartoons, or posters.
911.2.1 Good Faith Employment Actions
Good faith employment actions do not constitute harassment. Thus, good faith personnel
actions taken by a supervisor or manager, such as offerinB constructive feedback or
criticism, holding employees accountable, and providing discipline, where
appropriate, do not constitute and should not be mistaken for harassment or retaliation.
Such actions are intended to enhance workplace productivity and/or address work
performance, and are within the responsibilities and obligations of RCTC supervisors and
managers.
91.1.2.2 Response to Harassment Allegations
RCTC has a prompt response policy on allegations of harassment. Thus, every report of an
alleged incident of harassment in the workplace will be subjected to appropriate
investigation. The resultofsuch investigative actio n mayrangefrom informal counseling
to disciplinary action for employees, up to and including discharge from employment, the
first time they enBage in such inappropriate behavior. Prior incidents of harassment may
be considered when assessing the facts and circumstances of a later complaint. The result
of such investigation may result in administrative action affecting a non-employee's
relationship with RCTC.
511.2.9 Support of Policy
Every employee, volunteer, and commissioner is expected to support and enforce this
Policy. Supervisors and managers who observe or know of a harassing situation, and who
fail to take corrective action, may be disciplined even if the harassment did not take place
in their work unit.
Page I 53
511.3 Sexual Ha rassment
S11.3.1 Sexual Harassment
Sexual harassment is a particular form of harassment, which is most prevalent in
workplaces, that creates an offensive working environment. Sexual harassment is
unprofessionaland not supportive ofa high performing work environment. With regardto
sexual harassment, as with other forms of harassment, RCTC has a prompt response policy
on all allegations of harassment.
511.3.2 Sexual Harassment Defined
a. Harassment may consist of offensive verbal, physical, or visual conduct when such
conduct is based on or related to an individual's sex;
Submission to the offensive conduct is an explicit or implicit term or condition of
employment; and
Submission to or rejection of the offensive conduct forms the basis for an
employment decision affecting the employee; or
The offensive cond uct has the purpose or effect of unreasonably interfering with an
individual's work performance or creates an intimidating, hostile, or offensive
workinB environment.
Sexually harassing cond uct can occur between people of the same or opposite sex.
Sexual harassment can occur between peers, supervisor to subordinate,
subordinate to supervisor, member of the governing body or the public to
employee, and within or across department lines.
b. Written examples of sexual harassment may include letters, e-mails, notes, and
invitations, which may be perceived as suggestive or obscene.
c. Examples of what may constitute prohibited harassment include, but are not
limited to, the following:
i. Kidding or joking about sex;
ii. Recountingone'ssexualexploits;
iii. Starting or spreading rumors about the sex life of an employee;
iv. Hugs, pats, touching, massaging, and similar physical contact;
v. Assault, impeding or blocking movement, or any physical interference with
normal work or movement;
vi. Revealing pa rts of the body when such exposure violates common decency;
vii. Sexually suggestive or explicit gestures;
Page | 54
Viii. Cartoons, posters, and other materials referring to sex;
ix. Threats intended to induce sexual favors;
x. Continued suggestions or invitations to social events outside the workplace
after being told such suggestions are unwelcome;
xi. Degrading words or offensive terms of a sexual nature; and
xii. Prolonged staring or leering at a person.
511.3.3 Policy is Broader than Law
Although actions may not rise to the level of a violation of law, they may still violate this
Policy.
S11.3.4 Performance Evaluations
Job performa nce evaluations for supervisors and managers should include a review of their
support of this Polacy.
S11.4 ViolationReporting
511.4.1 Reporting a Violation to RCTC
Any employee who believes this Policy is being violated should immediately bring the
matter to the attention of any of the individuals or offices listed below:
. Manager responsible for Human Resources
. Deputy Executive Director
. Executive Director
A potential violation involving the Executive Director should be immediately reported to
the Manager responsible for Human Resources or Deputy Executive Director. The Manager
responsible for Human Resources or Deputy Executive Director will immediately consult
the Commission's Chair.
511.4.2 Reporting a Violation to ExternalAgencies
ln addition to the internal reporting procedure, an employee may file a complaint
directly with the following external agencies:
. State of California Department of Fair Employment and Housing (DFEH) as listed in
the State Government Offices pages of the telephone directory; ando Federal Equal Employment Opportunity Commission (EEOC) as listed under
"Discrim ination" in the United States Government pages of the telephone
directory.
Page 155
$11.4.3 Confidentiality
When responding to a report of a Policy violation, RCTC will make a reasonable effort to
protect the privacy of the individuals involved. However, anonymity and complete
confidentiality cannot be guaranteed once a complaint is made, or when inappropriate
behavior is made known. While an individual's expressed desire regarding confidentiality
will be seriously considered, those wishes must be weighed against the responsibility of
RCTC to investigate possible violations of this Policy and to take corrective and preventive
action where appropriate. lnformation pertaining to complaints will be maintained in
confidence to the extent permitted by law.
S11.5 Retaliation
$11.5.1 Retaliation Prohibited
Retaliation toward an employee for reporting an alleged violation of this Policy or for
participating in an investigation regarding violations ofthis Policy is unlawfuland will not be
tolerated. Supervisors and managers are reminded that employees have a right and
obligation to report what they believe is a violation of this policy. Thus, RCTC will not
tolerate harassment or retaliation of employees for fulfilling their obligations under this
Policy. Moreover, even subtle retaliation will not be permitted. Such retaliation may include
a change in work assignment or location, uncharacteristically denying leave requests,
uncooperativeness toward the person who is the object of the retaliation, unsupported
discipline, etc.
SECTION 12 _ VIOLENCE IN THE WORKPLACE POTICY
512.1 GeneralProvisions
512.1.1 Purpose
The purpose of this Violence in the Workplace Policy (Policy) is to ensure that all
employees, volunteers, and commissioners are aware of their rights and responsibilities
with regard to the prevention of violence in the workplace, and that the RCTC workplace is
free from violence.
512.1.2 Distribution of Policy
A copy of this Policy shall be distributed to each employee, volunteer, and commissioner.
912.1.3 Support of Policy
Every employee, volunteer, and commissioner is expected to support and enforce this
Po licy.
Page | 56
012.2 Zero Tolerance
512.2.1 Violence-Free Environment
RCTC is strongly committed to ensuring the safety of all its employees and has adopted a
Zero Tolerance Policy for workplace violence. Consistent with this Policy, threats or acts of
physical violence, including intimidation, harassment and/or coercion that involves or
affects RCTC employees will not be tolerated.
012.3 Acts or Threats of violence
S12.3.1 Acts or Threats of Violence Defined
"Threats or acts of violence" include conduct against persons or property that is sufficiently
severe, offensive, or intimidating to alter the employment conditions, or to create a
hostile, abusive, or intimidating work environment for an employee of RCTC. Although
RCTC has a strong commitment to customer service, RCTC does not intend for employees
to be subjected to verbal or physical abuse.
512.3.2 ProhibitedConduct
General examples of prohibited workplace violence include, but are not limited to:
a. Hitting, shoving, or otherwise assaulting an indlvidual;
b. Threatening to harm an individual or their family, friends, associates, or their
property;
c. Possession of firearms, weapons, or any other dangerous devices on RCTC premises
or in RCTC'S owned or operated vehicles;
d. Making harassing or threatening telephone calls, letters or other forms of written
or electronic communications;
e. lntimidating or attempting to coerce an employee to do wrongful acts that would
affect the business interests of RCTC;
f. Harassing surveillance or stalking, whlch is engaging in a pattern of conduct with
the intent to follow, alarm, or harass another individual, that presents a credible
threat to the individual and causes that individual to fear for their safety or the
safety of their immediate family; and/or
g. Making a suggestion or otherwise intimating that an act to injure persons or
property is appropriate behavior.
512.4 Reporting Procedure
612.4.1 Reporting a Violation
Page | 57
An employee who believes that they have been the victim of workplace related violence or
a threat of workplace related violence shall immedlately report such to their supervisor or
to a supervisory or management level employee if the immediate supervisor is not
available. Any employee who has knowledge of an incident of workplace related violence
or a threat of workplace related violence must immediately report it to their immediate
supervisor or any other supervisory or management level employee.
Even without a n actual threat, em ployees should report any behavior they have witnessed
that they regard as threatening or violent, when that behavior is job related or might be
carried out on a RCTC controlled site.
$ 12.4.2 Response to Allegations
Every report of an alleged incident of violence in the workplace will be subject to
appropriate investigation. The result of such investigative action may range from informal
counseling to disciplinary action for employees, up to and including discharge from
employment, the first time they engage in such inappropriate behavior. The result of such
investigation may result in administrative action affecting a non-employee's relationship
with RCTC.
RCTC may also seek a temporary restraining order or injunction on behalf of its employees
if the situation warrants such action.
512.5 Disciplinary Action
512.5.1 Violation of Policy
Violation of the provisions of this Policy by an employee may subject the employee to
disciplinary action, up to and including discharge from employment. Violation ofthe provisions of
this Policy by any person who is not a RCTC em ployee may subject that person to appropriate legal
or administrative action as appropriate.
$12.5 Retaliation
$12.6.1 Retaliation Prohibited
Retaliation toward an employee for reporting an alleged violation of this Policy, furnishing
information, or for participating in any manner in an investigation regarding violations of this
Policy is prohibited and will not be tolerated.
912.7 Training
812.7.1 Employee Tra in ing
Page | 58
All employees shall receive training and instruction via video, written materials, and/or
other means on workplace security practices on a recurring basis both as new hires and
during annual training.
SECTION 13 _ DRUG.FREE WORKPIACE POTICY
013.1 GeneralProvisions
513.1.1 Purpose
It is the intent of RCTC to maintain a workplace that is free of drugs and alcohol and to
discourage drug and alcohol abuse by its employees. RCTC has a vital interest in
maintaining safe and efficient working conditions for its employees. Substance abuse is
incompatible with health, safety, efficiency, and success at the RCTC. Employees who are
under the influence of a drug or alcohol on the job compromise RCTC's interests, endanger
their own health and safety and the health and safety of others, and can cause a number of
other work related problems, including absenteeism and tardiness, substandard job
performance, increased workloads for co-workers, behavior that disrupts other employees,
delays in the completion ofjobs, inferior quality in products or service, and disruption of
customer relations.
To further its interest in avoiding accidents, to promote and maintain safe and efficient
working conditions for its employees, and to protect its business, property, equipment and
operations, the RCTC has established this policy concerning the use of alcohol and drugs.
As a condition of continued employment with RCTC, each employee must abide by this
Policy.
The purpose of this Drug-Free Workplace Policy (Policy) is to ensure that all employees,
contract workers, volunteers, and commissioners are aware of their responsibilities with
regard to the prevention of drug and alcohol abuse in the workplace, and that the RCTC
workplace is d rug-free.
513.1.2 Distribution of Policy
A copy of this Policy shall be distributed to each employee, volunteer, and commissioner.
S 13.1.3 Support of Policy
Every employee, volunteer, and commissioner is expected to support and enforce this
Policy.
513.2 Definitions: For Purposes of this Policy
513.2.1 Abuse of any Legal Drug
Page | 59
The use of any legal drug: (a) for any purpose other than the purpose for which it was
prescribed or manufactured; or (b) in a quantity, frequency, or manner that is contrary to
the instructions or recommendations of the prescribing physician or manufacturer.
513.2.2 Controlled Substance
Any drug that is classified by the Drug Enforcement Administration into the five (5)
schedules or classes on the basis of their potential for abuse. These include, but are not
limited to, marijuana, amphetamines, opiates, phencyclidine (PCP), and cocaine.
513.2.3 lllegal Drug
A controlled substance; a legal drug that has not been legally obtained; or a legal drug that
was legally obtained, but that is being sold or distributed unlawfully.
513.2.4 Legal Drug
Any drug, including any prescription drug or over-the-counter drug that has been legally
obtained and this is not unlawfully sold or distributed.
013.2.5 Possession
An employee who has a prohibited substance on their person or otherwise under their
control.
913.3 Scope
913.3.1 Scope of Policy
The prohibitions and other provisions of this polic} apply whenever the interests of the
RCTC may be adversely affected, including any time the employee is:
a. On RCTC premises;
b. Conducting or performing RCTC business, regardless of location;
c. Operating or responsible for the operation, custody or care of RCTC equipment or
other property; or
d. Responsible for the safety of others.
913.4 Prohibited Conduct
$13.4.1 Alcohol
The following acts are prohibited and subject an employee to discipline, up to and
Page | 60
including discharge from employment:
a. The use, possession, purchase, sale, manufacture, distribution, transportation, or
dispensation of alcohol in circumstances described in Section 13.3.1, Scope; or
b. Being under the influence of alcohol.
$ 13.4.2 lllegal Drugs
The following acts are prohibited and subject an employee to discipline, up to and
including discha rge from employment:
a. The use, possession, purchase, sale, manufacture, distribution, transportation, or
dispensation of any illegal drug or other controlled substance; or
b. Being under the influence of any illegal drug or other controlled substance.
513.4.3 Legal Drugs
The following acts are prohibited and subject an employee to discipline, up to and
including discharge from employment:
a. The abuse of any legal drug;
b. The purchase, sale, manufacture, distribution, transportation, dispensation, or
possession of any legal prescription drug in a manner inconsistent with law; or
c. Working whlle using a legal drug whenever such use might:
i. Endanger the safety of the employee or some other person;
ii. Pose a risk of significant damage to RCTC property or equipment; or
iii. Substantially interfere with the employee's job performance or the efficient
operation of the RCTC's business or equipment.
513.5 AlcohoUDrugTesting
When a supervisor or manager has a reasonable suspicion that an employee is using or is under
the influence of drugs or alcohol in violation of this policy, that employee may be required to
submit to a blood, urine, or other test or examination designed to detect such use. lf anemployee
refuses to consent and submit to, or fails to otherwise cooperate in, the testing/examination
process where job-related drug or alcohol use is reasonably suspected, the employee will be
subject to discipline, up to and including, discharge.
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513.5.1 Discretion Not to Discharge
The Executive Director may choose not to initiate the disciplinary process for termination
for a first violation of this policy if the em ployee satisfactorily completes participation in an
approved drug or alcohol assistance or rehabilitation program.
513.5.2 Last Cha nce Agreement
RCTC may also allow an employee to enter into a Last Chance Agreement, in lieu of
termination, the terms of which shall be established by the RCTC in its sole discretion. The
Last Chance Agreement may include, but is not limited to the following:
a. An employee must agree to undertake and to complete successfully, a course of
treatment as deemed appropriate by the substance abuse professional and/or
reha bilitation program counselor. Any employee who fails to successfully complete
the program in a timely manner and/or fails to remain drug free will be terminated
in accordance with the Last Chance Agreement;
b. As part of the terms of the referral, employee agrees that the substance abuse
professional, Employee Assistance Services, or rehabilitation counselor will report
to Human Resources any failure on the part of the employee to cooperate in the
rehabilitation program or to progress through the program; and
c. Nothing in this subsection should be construed to prohibit RCTC from terminating
an employee for their first violation of this Policy, when in the discretion of the
Executive Director, such termination is warranted by the circumstances.
513.5.3 Criminal Conviction
An employee who is convicted u nder a criminal drug statute for a violation occurring in the
workplace or during any RCTC related activity or event will be deemed to have violated this
policy.
S13.5.4 Effect of Second Violation
lf not initiated for a first violation of this policy a second violation of this policy at any time
will result in initiation of the disciplinary process for termination.
013.6 DisciplinaryAction
Disciplinary action will be subject to Section 8.
Page | 62
513.7 Drug-Free Awareness Program
513.7.1 Employee Awareness
As required by state and federal law, the RCTC has established a Drug-Free Awareness
Policy designed to inform employees about the dangers of drug abuse in the workplace and
to help assure that employees are familiar with this policy. From time to time, RCTC will
provide drug-free workplace training, including current information about RCTC's Employee
Assistance Services.
S13.7.2 ManagementAwareness
Managers and supervisors should be attentive to the performance and conduct of those
who work with them and should not permit an employee to work in an impaired condition
or otherwise in violataon of this policy.
513.7.3 CriminalConvictions
Employees are required by this policy to notify RCTC of any conviction under a criminal
drug statute for a violation occurring in the workplace of during any RCTC related activity
or event, not later than five (5) days after any such conviction. When required by federal
law, RCTC will notify any federal agency with which it receives funds of any employee who
has been convicted under a criminal d rug statute for a violation occurring in the workplace.
$13.8 Use of Legal Drugs
513.8.1 Prescribed Legal Drug
RCTC recognizes that an employee may, from time to time, be prescribed legal drugs that,
when taken as prescribed or according to the manufacturer's instructions, may result in
their impairment. Em ployees may not work while im paired by the use of lega I drugs if the
impairment might endanger the employee or someone else, pose a risk of significant
da mage to RCTC property, or substantia lly interfere with the employee's job performance.
lf an employee is impaired by the appropriate use of legal drugs, they may not report to
work. To accommodate the absence, the employee may use accrued sick leave or vacation.
Nothing in this Policy is intended to sanction the use of accrued sick leave or vacation time
to accommodate absences due to the abuse of legal drugs.
$13.9 Unregulated or Unauthorized Conduct
913.9.1 Customary Use of Over the Counter Drugs
Nothing in this policy is intended to prohibit the customary and ordinary purchase, sale,
use, possession, or dispensation of over the counter drugs, so long as that activity does not
Page | 63
violate any law or result in an employee being impaired by the use of such drugs in
violation of this policy.
$ 13.9.2 Off the ,ob Conduct
This policy is not intended to regulate off the iob conduct, so long as the employee's off
the job use of alcohol or drugs does not result in the employee being under the influence
of or impaired by the use of alcohol or drugs in violation of this Policy or does not
otherwise reflect unfavorably on RCTC.
913.10 Confidentiality
S13.10.1 Disclosures to Human Resources
Disclosures made by employees to Human Resources concerning their use of legal drugs
will be treated confidentially and will not be revealed to managers or supervisors unless
there is an important work related reason to do so in order to determine whether it is
advisable for the employee to continue working. Disclosures made by employees to
Human Resources concerning their participation in any drug or alcohol rehabilitation
program will be treated confldentially.
513.11 Counseling/Employee Assistance
513.11.1 Employee Assistance
RCTC maintains an Employee Assistance Services that provides help to employees who seek
assistance for drug or alcohol abuse as well as for other personal problems. Employees
who suspect they may have alcohol or drug problems are encouraged to voluntarily seek
diagnosis and to follow through with the treatment as prescribed by qualified
professionals. Employees who seek assistance could still be subject to disciplinary action if
policies have been violated.
SECTION 14 - VEHICLE OPERATION POLICY
$14.1 Policy
During the course of employment with RCTC, employees may be required to operate their
persona I vehicles to perform their assigned duties. Designated employeesare required to have a
valid California driver's license, a satisfactory driving record,and proofof insurance. Noemployee
sha ll operate or d rive any motor vehicle on beha lf of RCTC unless the employee is licensed for the
class of vehicle to be driven and meets all of the above requirements.
914.2 Driver's License
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Designated employees in positions that might require travelto outside meetings must be able to
obtain a California drivers license and current employees of RCTC are required to maintain a valid
California driver's license as a continuing condition of employment.
$14.3 Driver's Record
All applicants for employment with RCTC, where driving is required, are required to possess a
satisfactory d riving record. On an annual basis, RCTC will perform a Department of Motor Vehicle
check on employees that are required to drive to meetings outside of RCTC offices.
914.4 Prohibition on Use of Phones, Emails, and Text While Driving
As a safety measure, RCTC employees are strictly prohibited from using a phone, or from reading,
writing, or sending a n email or text message while driving a vehicle on RCTC business that does not
comply with state law regarding a "hands-free device".
914.5 Vehicle Citation
Employees will be held personally responsible and liable for all parkinB and traffic citations while
operating a RCTC vehicle on RCTC business. Employees shall notify their supervisor within 48 hours
of receiving a parking or traffic citation.
$14.5 Policy for Employer-Provided Vehicles
Certaan RCTC employees may be assigned an "employer-owned" vehicle to be used during the
term of a special and/or short term job assignment requiring the employee to commute to an
alternate office location. Such employees sha ll have the use ofthe vehicle during regular business
hours and may maintain the vehicle at his or her residence. For purpose of this policy, the term
"employer-owned" shall mean a vehicle that is owned by RCTC or any of its affiliated entities,
consultants, partners or contractors-
§1461 Care and Maintenance of Employer-Provided Vehicle
Employee shallexercise due caution and prudence in the operation ofan employer-owned
vehicle to minimize the risk of damage to the vehicle. No individual, other than the
employee assigned to the vehicle, shall operate the vehicle except in the case of an
e me rge n cy.
Employee shall maintain the vehicle in good operating condition, to follow the servicing
and maintenance requirements in the vehicle's service manual, and to obtain all repairs to
the vehicle as necessary. RCTC shall reimburse employees for the expense and cost of
providing all oil, motor fuel, lubricants, tires, coolant, and other operating supplies
necessary for the proper and efficient operation ofthe vehicle, all maintenance and repairs
including labor and parts required to keep the vehicle in good operating condition, and all
Page | 65
road service or towing due to mechanical or tire failure. The employee must agree to
promptly submit reports of these costs and expenses.
Employee shall also take all necessary precautions to park and lock an RCTC vehicle in a
secure location. Employees who take RCTC vehicles home shall park the vehicle in a garage,
carport or driveway and not on a private or public street if possible. RCTC vehicles may not
be parked at or near bars, casinos, adult entertainment establishments or other locations
likely to reflect poorly on RCTC. Smoking or the use of alcohol or illegalsubstances is not
permitted in employer-owned vehicles.
§1462 Taxation Requirements of Employer-Provided Vehicle
Under lnternal Revenue Code ("lRC") Section 132, the RCTC prohibits the personal use of
the employer-provided vehicle except for commuting to and from work and "de minimus"
personal use, such as a stop for a personal errand on the way between a business delivery
and the employee's home. The employee is taxed only on the com muting use at a rate of
S 1.50 per one-way commute for all sched uled workdays and on-call situations. Employees
who are assigned an employer-provided vehicle must document scheduled workdays and
on-call situations on his/her timesheet to ensure IRS taxation requirements are
documented appropriately. The taxable value for commuting will be included in the
employee's gross income and reported on the employee's W-2 each year.
§1463 Return of the Employer-Provided Vehicle
The employee must immediately return a RCTC vehicle upon his or her termination of
employment, upon the suspension or invalidation ofthe employee's driver's license, or due
to end of pro.iect terms in which the employer-provided vehicle is no longer required. The
vehicle must be in the same condition in which it was delivered to the employee, excepting
only ordinary wear and tear.
§1464 Driver's License While Operating an Employer-Provided Vehicle
Designated employees in positions that might require travel to outside meetings or
employees who have been assigned an employer-provided vehicle must have a current and
valid California driver's license. Such employees are required to immediately notify their
supervisor if their driver's license is revoked, suspended, restricted or expired.
§1465 Driver's Record While Driving an Employer-Provided Vehicle
All applicants for employment with RCTC, where driving is required, and any employee
assigned the use of an employer-provided vehicle are required to possess a satisfactory
d riving record.
Page | 66
514.6.6 Prohibition on Use of Phones, Emails, and Text While Driving
As a safety measure, RCTC employees are strictly prohibited from using a phone, or from
reading, writing, or sending an email or text message while driving q1y vehicle on RCTC
business that does not comply with state law regarding a "hands-free device".
§1467 Vehicle Citations While Driving an Employer-Provided Vehicle
Employees will be held personally responsible and liable for all parking and traffic citations
while operating an em ployer-provided vehicle during the course of RCTC business.
Employees shall notify their supervisor within 48 hours of receiving a parking or traffic
cita tion.
SECTION 15 - EXPENSE REIMBURSEMENT
RCTC shall reimburse employees of RCTC for travel, lodging, meals, and other expenses directly
related to the conduct of RCTC business. Commissioners are covered under a separate policy in
accordance with AB 1234. Consultants are not covered under this policy. Employees are expected
to use good judgment in the expenditure of public funds with which they have been entrusted.
Employees must substantiate expenses with original receipts, unless otherwise noted.
S15.1 Transportation
Transportation costs include, but are not limited to, airplane, train, bus, shuttle, and taxl fares,
tolls, parking, car rental, and pool and personal vehicles. Employees should generally take the
most dlrect and commonly traveled routes. Other routes may be authorized when official business
requires their use. lf an indirect route or stop along the way for personal reasons is taken, the
employee will not be reimbursed for the non-business portion of the expenses. Any additional
costs incurred related to changes to travel for personal reasons, other than illness or family
emergency, are the responsibility of the employee. Use of internet travel services isdiscouraged
and travel arrangements should be made directly with the air carrier, car rental agency, and/or
hotel, except when savings in excess of $150 can be realized and documented when using such
travel service.
Air travel shall be at coach accommodations, unless the cost differential between upper
class and coach accommodation is less than S10, or single class service. Selection of
carrier, reservations, and ticketing should be arranged as early as feasible to obtain the
greatest discount. Alternative transportation methods, such as a nearby airport and
ground transportation, should be considered if the total fares are lower. Employees are
encouraged to book air travel using the RCTC Credit Cards maintained by the Executive
Director, Chief FinancialOfficer, or Office and Board Services Manager.
Page | 67
lf an airplane ticket is not used, RCTC'S appropriate staff sha ll be notified so that it can be
usedfortravel purposes by other employees. lfanairlineticketexchangeorchangeresults
in a fare increase, the documentation for the original fare and the fare increase must be
submitted with the employee's expense report.
A private vehicle may be used in lieu of air travel if it is more advantageous to RCTC,
although prior approval should be obtained. The employee's supervisor should consider
the additional time spent driving prior to granting such approval. However, the total
documented mileage and all other travel expenses incurred cannot exceed the airfare
amount that would have been incurred. RCTC shall only reimburse only the lesser of the
two means of travel.
lf personal travel is combined with the business-re la ted travel by an employee,
documentation of the normal cost of the business-related travel should be obtained. The
employee shall be reimbursed for only the business-related portion of the travel.
B. Train, Bus, Shuttle, and Taxi Fares
Long-distance train travel arrangements should be made in a fashion similar to that of air
travel. Commuter train travel is encouraged, especially if it is more efficient than pool or
personal vehicle use, and shall be reimbursed at actual costs. Available courtesy shuttle
services should be utilized between airports and meeting locations. Reasonable ground
transportation charges (shuttle, taxi, or bus), including gratuities, for business purposes
shall be reimbursed at actual costs.
C.To∥sToll charges incurred while traveling on highways and bridges for business purposes sha ll
be reimbursed at actual costs.DPa rking
Employees traveling by air and requiring parking at the airport for 24 hours or less sha ll be
reimbursed at the short-term parking rates. Req uired parking for more than 24 hours shall
be reimbursed at the long-term rates. Hotel parking fees shall be reimbursed at actual
costs, including gratuities for valet parking. Parking fees at other locations for business
purposes shall be reimbursed at actual costs.
E. Car Rental
Rental cars generally shall not be used except when there is no other economical and
convenient transportation available. When there are multiple attendees, including
Legislative Body Members, at the same meeting or conference, attendees are encouraged
to share car rentals to minimize RCTC'S expense, when feasible. Approval of car rentals
Page | 68
shall be approved by the employee's supervisor only when reasonable or necessary. Car
rental charges shall be limited to the reasonable cost of non-luxury or specialty vehicles.
Fuel charges for car rentals shall be reimbursed at actual costs.
F. Pool and PersonalVehicles
RCTC pool vehicles may be used for official RCTC business by an employee.. Use of such
vehicle by more than one employee on official RCTC business making the same trip is
encouraged. Employees may reserve a pool vehicle in advance through the Outlook
calendar reservation system (Toyota Sienna or Toyota Camry). Pool vehicles are to be
returned to the RCTC parking site at the completion of RCTC business with no less than a %
tank of fuel. Refueling may be done at the county fueling station usinB staff employee
number for billing to RCTC by county or at commercial fueling station, which will be
reimbursed at actual cost. Pool vehicles may be taken home or parked off site if the
employee has to attend a meeting for which the employee must leave prior to or return
after normal scheduled business hours. The employee must reimburse RCTC, at the
lnternal Revenue Service (lRS) approved mileage reimbursement rate for employee use of
private vehicles, for any miles accumulated using a pool vehicle that exceed the miles
necessary for the most direct route to and from the meeting. Pool vehlcle keys shall be
returned to the appropriate location upon completion of the business trip.
Use of a personal vehicle for business purposes, including travel to and from the airport,
sha ll be reimbursed at the IRS approved mileage reim bursement rate. The mileage claimed
shall be from the employee's normal work location to the travel destination or from the
employee's home to the destination, whichever is less. The RCTC office at 4080 Lemon
Street is the normal work location for RCTC employees. For example, an employee residing
in Banning who goes directly to Ontario Airport from home should claim mileage from the
RCTC office to the airport, not from home to the airport. Gas, damages, service or repair to
a personal vehicle while being used for business purposes are not reimbursable, as such
costs are included in the IRS mileage reimbursement rate.
ln the event of accident, employees using a personal vehicle for authorized travel in
conducting RCTC business must rely on personal insurance for financial protection.
Although RCTC's interests are protected by insurance, RCTC may not provide insurance to
protect employees against damage to the employee's personal automobile or for damage
to the property of others or for death or personal injury to others as a result of an
employee using a personal vehicle while conducting RCTC business.
Employees are encouraged to make optimum use of carpooling or available public transit
services when traveling to the same business event.
915.2 todging
Pre/post-conference or pre/post-meeting lodging is available for reglonal or national travel
Page | 69
requiring extensive travel time and adjustment. Pre-conference/pre-meeting lodging shall be
offered for regional travel if such conference/meeting starts at or before 9:00 a.m. Lodging for
local travel will be permitted if the length of the conference/meeting is more than one (1) day and
the distance are more than 60 miles from RCTC's offices or the employee's residence, whichever is
more, or if the employee's presence ls necessary for business-related activities before or after the
regula r conference hou rs.
Lodging in commercial hotels and motels shall be based on standard accommodations at single
occupancy rates. Every effort should be made to obtain the government rate, if available.
Additional costs incurred for additional guest(s) of the employee in the same room shall not be
reimbursed. Under no circumstances should lodging expenses exceed the conference hotel rate.
ln instances where conference hotels are filled, the employee should attempt to secure
comparable rates at the nearest hotel.
The guarantee of lodging reservations may be made using the RCTC Credit Cards maintained by the
Executlve Director, Chief Financial Officer, and the Office and Board Services Manager. A properly
approved Payment Request Form may be submitted for advance payment to the hotel. A close-
out folio copy from the hotel should be provided to the Accounting Department upon return from
travel if the lodging has been prepaid.
515.3 Meals
Travel
Expenses for an employee's meals, including reasonable tips, shall be reimbursed at a per
diem of S50 per day; however, such per diem may be Increased to 560 for certain
urbanized areas (e.g., New York; Washlngton, D.C.; San Franciscoi and Chicago). Receipts
for meals claimed using per diem rates ore not required; receipts for meals claimed using
actual, reasonable costs exceeding per diem rates are required. Reimbursement ofcosts
related to alcoholic beverages is prohibited. Employees shall receive a reduced perdiem if
one or more meals are included in the conference cost or are otherwise covered. The per
diem components are as follows:
Breakfast
Lunch
Din ner
When an employee is traveling with other RCTC employees or a Legislative Body Member,
the per diem amount shall be reduced by the cost of the employee's meal(s) paid for by
other RCTC employees.
Travel generally refers to travel more tha n 90 miles from the normal work location or the
employee's home, or includes an overnight stay, or outside normal business hours.
Page | 70
Local
Reasonable meal expenses associated with local business meetings, luncheons, or dinners
shall be reimbursed at actual costs not to exceed $50 per day, including gratuities.
Reimbursement of costs related to alcoholic beverages is prohibited. Meal expenses
incurred during meetings should be discouraged, unless it relates to a specific business
matter that includes non-RCTC participants and there is no other convenient time that the
meeting participants are available. Lunch meals are normally the responsibility of each
employee, and reimbursement for lunch meals generally shall not be allowable except
when traveling, as defined above, attendance at locally provided training, or for meetings
that meet the criteria discussed above.
Specific Documentation Requirements
Requests for meal reimbursements should include the conference attended or meeting
business purpose, date of meal, restaurant name, and itemized receipt of food and
beverages to ensure no a lcoholic beverages are being reimbursed, and listing of attendees,
if any, and business relationship. When a per diem is claimed, the conference/meeting
purpose and date shall be provided.
Reimbursements for room service or hotel dining meals shall be made upon presentation
of an itemized receipt. Hotel folio charges for such meals without an itemized receipt ore
not accepta ble.
515.4 Communications
Expenses for telephone and internet connection charges shall be kept to a minimum and shall be
reimbursed for business purposes only. Fortravel requiringanovernightstay,atelephonecharge
for one reasonable-length personalcall is permitted. Employees in possession of RCTC-provided
communication devices are encouraged to use such devices as much as possible rather than
incurring hotel access and phone charges.
S15.5 lncidentals
Reasonable miscellaneous gratuities, not otherwise noted previously, shall be reimbursed at an
amount not to exceed S10 per day. Such gratuities related to guest(s) accompanying an employee
on business travel shall not be reimbursed.
Laundry/dry cleaning charges shall not be reimbursed, unless the employee's travel is more than
one (L) week in duration. ltems of a personal nature including, but not limited to, in-room movies,
tours and entertainment, spas and gyms, barber, magazines, shoe shines, travel insurance,
purchase of clothing or toiletries, fines or traffic violations, and excess baggage costs are not
eligible for reimbursement.
Page | 71
915.6 Registration Fees
Whenever possible, registration and payment for registration fees for approved classes, seminars,
and conferences shall be made in advance by submitting a properly approved payment request
form. Frequently, early registration discounts are offered. lfa conference needs to be cancelled,
such cancellation shall be made in accordance with stipulated dates in order to avoid cancellation
charges or penalties. When an employee's registration is late and cannot be paid through the
regular accounts payable process, the cost of registration incurred by the employee shall be
reimbursed with an appropriate receipt.
51s.7 Memberships and Professional Certifications
Employees are encouraged to participate in professional and local organizations and maintain
professional ce rtifications that a re related to t he e m ployee's s pecific job responsibilities. Duesfor
individual memberships in organizations and expenses for professional certifications are
reimbursable only when such memberships provide a specific benefit to RCTC and have prior
approval of the employee's supervisor.
51s.8 Expenditures in Excess of Allowable Expenses
The Executive Director or Deputy Executive Director is authorized to interpret these policies and to
approve exceptional reimbursements in excess of limits and standards established in this policy
when, in the judgment of the Executive Director or Deputy Executive Director, such expenses are
warranted. Expenses in excess ofthe allowable amounts for meals or lodging may be reimbursed
upon presentation of a memorandum of explanation/.iustification attached to the expense report.
All expenses must be clearly substantiated prior to reimbursement. Unnecessary or exorbitant
expenses will be disallowed.
§159 Travel Adva nce
The Executive Director or Deputy Executive Director may grant a travel advance up to $200 to an
employee traveling on RCTC business in excess of one (1) day to defray the expenses of such travel
only under extraordinary circumstances. This can be done by completing a Payment Request Form
and obtaining appropriate a pprovals five (5) days prior to date of business travel. An accounting of
actual expenses incurred, including required receipts, must be provided on an Expense Claim Form,
and any unused amounts shall be returned to the RCTC Accounting Department.
§15.10 Documentation
All expenses for which reimbursement is requested sha ll be fully documented as to date, amount,
and business purpose. Exclusiveoftheperdiem,receiptsarerequiredforall expensesof$25or
more. Receipts are encou raged for expenses under $25, except for per d iem claims and incidentals
such as gratuities. lf a receipt is inadvertently lostor notavailable, the em ployee should providea
Page | 72
signed certification statement at the bottom of the Expense Claim Form as follows:
For non-meal exoenses: I certify that I have incurred an expense for (describe vendor, date,
amount, etc.) for which a receipt is not available/has been lost.
For meal expenses: I certify that I have incurred a meal expense for (describe restaurant name,
date, amount, and guest(s) in attendance, and business purpose) for which a detailed receipt is not
available/has been lost. The reimbursement amount requested does not include any charges for
alcoholic beverages.
The use of the certification statement for lost or unavailable receipts should not be abused by any
employee, as frequent use of this provision may result in the denial of similar reimbursement
requests in the future.
Expense Claim Forms must be properly completed and approved by a supervisor and include
required documentation and receipts prior to submittal to the RCTC Accounting Department.
Employees are encouraged to submit expense claims on a timely, regular basis. Expense Claim
Forms are due by 12:00 p.m. prior to the regular accounts payable check processing day.
915.11 Payment to Former Employees
Former employees of RCTC may be subpoenaed to testify in litigation matters for projects or
activities that they may have had direct knowledge during their former employment. ln such
cases, former employees may be required to attend a deposition or trial, attend pretrial interviews
withlegal counsel in pre pa ratio n of testifying, and review records. RCTC recognizes that a former
employee may sustain a direct loss of income because of time away from work or in preparing to
give testimony. Therefore, RCTCwill atthe former employee's request, allow payments forthe
"reasonable" cost of travel and subsistence incurred and the reasonable value of time lost in
attendance of such a trial, hearing, or proceeding.
The Executive Director will consider the former employee's out-of-pocket expenses and reasonable
loss of income, years of experience, first-hand experience of the subject matter of the litigation,
and the complex nature of the lawsuit to determine "reasonable" payments.
SECTION 16 - ELECTRONICS COMMUNICATIONS POLICY
S15.1 General Provisions
516.1.1 Purposes and Scope
The purpose of this Electronic Communications Policy (Policy) is to ensure that all
employees, interns, and commissioners are aware of the authorized and unauthorized uses
of the RCTC electronic communications resources, as defined herein, as well as disclosure
of contents and records stored on the electronic communications resources.
Page | 73
$16.1.2 Electronic Communications Resources Defined
Electronic communications resources include all equipment and software that retain,
transmit, copy, modify, analyze or process information in any form. Electronic
communications resources include, but are not limited to, the RCTC'S telephone system,
voice mail system, servers, desktop and notebook computers, computer networks, printers,
scanners, facsimile (fax) machines, databases, cellular/smartphones, iPads, internet,,
utilities and operating systems and other electronic communications systems provlded by
the RcTc.
516.1.3 Violation of Policy
Violation of the provisions of this Policy by an employee may subject the employee to
disciplinary action, up to and including discharge from employment. Violation of the
provisions of this Policy by any person who is not an RCTC employee may subject that
person to appropriate administrative action.
515.1..4 Distribution of Policy
A copy of this Policy shall be distributed to each employee and commissioner.
516.2 Ownership, Authorization and Privacy
516.2.1 Ownership
E-mail, fax, telephonic voice mail, cellular/smart phones, internal RCTC websites, lnternet
access, and other electronic communications systems, resources, and equipment are
provided for the purpose of cond ucting officia I business. All electronic communications of
any type generated by employees with RCTC equlpment or stored on RCTC equipment are
the property ofthe RCTC and, therefore, are not considered private. Upon termination of
employment, no employee sha ll remove any software or data from RCTC-owned or leased
com puters or servers.
516.2.2 Authorization
Access to the RCTC'S electronic communication resources is within the sole discretion of
the RCTC. Generally, employees are given access to the RCTC's various technologies based
on their.iob functions. Only employees whose job performance will benefit from the use of
the electronic communication resources will be given access to the necessary technology.
515.2.3 No Expectation of Privacy
All electronic communication resources remain the property of RCTC and are primarily for
PagelT4
official RCTC use; therefore, employees shall have no expectation of privacy in documents
or other materials they write, receive, store, or send when using these resources. All
internal employee transactions and transactions on the lnternet from RCTC equipment,
including, but not limited to e-mail, may be considered public information and records of
these transactions may be requested by anyone at any time, subject to certain public
Records Act exceptions and attorney-client privilege material.
The RCTC recognizes that there may be incidental occasional personal use of cellular/smart
phones, e-mail, or voice mail, but these messages will be treated the same as other
messages. Since personal messages can be accessed by the RCTC management without
prior notice, employees should not use e-mail or voice mail to transmit messages they do
not want read or listened to by a third party.
015.3 Disclosure
516.3.1 Access and Disclosure
RCTC officials reserve the right to access and disclose all products, materials, and contents
of the electronic communications systems and resources for any purpose. Access and
disclosure may occur because of situations indicating impropriety, violation of RCTC
policies, legal requirements, suspected criminal activities, breach of system security, to
monitor employee performance, and conduct or for any other reason RCTC deems
appropriate.
515.4 Prohibited Uses
516.4.1 Prohibited Uses of Electronic Communications Resources
Prohibited uses of the RCTC'S electronic communications resources include, but are not
limited to the following:
b.
lnstalling programs on the RCTC's computer system without prior written consent
of the Office and Board Services Manager;
Unauthorized copying of RCTC software programs for personal use. No employee
shall install pirated, personal or non-licensed software, data, entertainment
software, music or games on RCTC-owned or leased PCs, cellular/smartphones,
notebooks, or iPads, or violate any copyright or licensing software laws;
Using another employee's password to attempt to gain access to that employee's
computer, e-mail, mobile messa8ing, telephonic voice mail, internet access, or
other electronic communications system or resources without prior consent of
their Department Director or the Office and Board Services Manager;
Page I 75
Connecting computers not owned or leased by the RCTC to RCTC'S information
systems network without the prior written consent of the Office and Board Services
Manager;
Disclosing access codes, login or passwords, or otherwise making the RCTC
electronic resources available to persons not authorized to have such access;
Using RCTC'S computer resources for private business or commercial uses not
intended to benefit the RCTC;
h.
Violating any federal, state, or local laws in the use of RCTC electronic
communications systems.
Using RCTC systems, resources, or equipment to access, look at, store, send, or
receive obscene, pornographic, profane, sexually oriented, threatening, racially
offensive or otherwise discriminatory or illegal matter or material that violates
RCTC'S policies prohibiting sexual and other harassment.
516.5 Authorized Use of E-mail and Telephone Systems
516.5.1. PolicyforUseof E-mail and Telephone System
It is the policy of RCTC that e-mail systems and eq uipment will be used primarily for official
business. Personal use shall be limited to those actions authorized herein. E-mail
communication is not private or confidential; therefore, E-mail users shall operate on the
assumption that e-mail may be, in addition to monitoring by RCTC, subject to discovery in a
court proceeding.
RCTC does understand that employees occasionally need to use the telephone system to
make or receive personal calls. The employee should attempt to make personal calls
during non-working hours (meal period or breaks) or a time that does not interrupt the
flowof work within the department. Persona I phone ca lls shall not reduce the employee's
job performance. Excessive use ofthe RCTC phone system for personal calls is prohibited
and may lead to disciplinary action.
Users may use the RCTC'S e-mail and telephone systems for the following incidental and
personal uses so long as such use does not interfere with the user's duties, does not
conflict with RCTC'S business, is at no cost to RCTC, and does not violate either this or any
other RCTC policy:
To send and receive occasional personal e-mail and other communications; and
To use the telephone system for brief and necessary personal calls, at the caller's
expense for toll calls.dgbPage | 76
It is RCTC policy to issue cellular/smartphones to designated employees for business
purposes. The IRS issued Notice 2011.-72 stating that cellular phones are no longer
considered "listed property" subject to substantiation requirements for their business use.
The IRS has confirmed that a cellular phone issued to the employee for non-compensatory
business use is considered a "working condition fringe benefit," the value of which is not
taxable to the employee. ln addition, the personal use of the phone is considered a "de
minimis fringe benefit", which is not taxable to the employee.
The IRS issued separate guidance where employees are required to use their personal
cellular phones for business purposes. ln this situation, as long as the reimbursement is
reasonably calculated to not exceed the actual cost of the cellular phone and is not a
substitute for taxable compensation, the reimbursement is not taxable to the employee.
915.6 Guidelines for the Use of E-mail
516.6.1 Use of E-mail
The RCTC provides electronic mail for business purposes as necessary and desirable to
meet RCTC organ izationa I needs and goals. RCTC considers e-mail as an lmportant means
of communication and recognizes the importance of proper e-mail content and timely
replies in conveying a professional image and delivering good customer service. Users
should take the same care in drafting an e-mail as they would for any other
communication.
516.6.2 Prohibited Use
The following unacceptable uses of RCTC's electronic mail system include, but are not
limited to:
b.
Sending threatening, abusive, obscene, offensive, lewd, profane, or harassing
messages;
Sending messages that violate the RCTC's Sexual Harassment Policy; sending "chain
letters" or similar correspondence;
Sending copies of documents in violation of copyright laws; and
Any other use that would be deemed inappropriate for a business office.
$16.7 lnternet UsaBed
516.7.1 Purpose
Page | 77
The purpose of the internet is to distribute information to public constituencies or to
research various RCTC related matters. During business hours, an employee,s internet
access is for business-related purposes. However, employees may use the internet for non-
business research or browsing during meal periods, breaks, or outside of work hours,
provided that users adhere to all RCTC policies. All existing RCTC policies apply to an
employee's conduct on the internet, including but not limited to those that deal with
privacy, misuse of RCTC property, harassment, and confidentiality.
516.7.2 lmproper Use of the lnternet
Listed below are examples of prohibited uses of the RCTC internet system. This list is not
exhaustive and com mon sense a nd good judgment should be used in determining whether
the user is en8aging in an activlty that willviolate this policy. tf an employee has a question
regarding whether an activity is permitted, they shall get the permission of their
Depa rtment Director, Ma nager, or Supervisor before proceeding with the internet activity.
Examples of lna ppropriate/Prohibited Use:
c.
Generating, sending, requesting, receiving, or archiving material in any form that
contains any comment or imaBe that is discriminatory, offensive, defamatory, or
harassing in nature;
Displaying sensitive or offensive material resulting in a perceived "hostile
environment" to coworkers;
Conducting personal business from the RCTC'S computers/server, i.e., placing or
advertising items for sale, except in the designated lnternet site provided by the
RCTC for this purpose;
Conducting illegal activities (e.g. gambling, placing wagers or bets, etc.); and
Copyright infringement, unauthorized downloading, or forwarding of protected
information.
S15.8 Security and Audits
516.8.1 Security Devlces
RCTC has installed a variety of programs and devices to ensure the safety and security of
RCTC's electronic communications resources. Any employee found tampering or disabling
any of the security devices will be subject to disciplinary action, up to and including
discharge from employment.
$ 15.8.2 Auditsbde
Page | 78
RCTC may perform auditing activities or monitoring to determine compliance with these
policies. Audits of software a nd data stored on the electronic resources may be cond ucted
without notice at any time.
SECTION 17 - EMPIOYEE GIFT AND CONTRIBUTION LIMITATIONS
All RCTC employees shall demonstrate, and be dedicated to, the highest ideals of honor and
integrityinall relationships involving their employment. Employees shall conduct themselves in a n
ethical manner at all times in order to merit the respect, trust, and confidence of others.
Gifts extended to all employees, such as a basket of fruit, nuts, or candy is not covered under this
policy. ln addition, promotional items such as calendars or pens are not covered. Hospitality
received by an employee as part of a seminar, convention, or RCTC sponsored event is not
covered, provided that such hospitality is open to all those attending the event.
The rules set forth herein are supplemental to those set forth in the Political Reform Act of the
State of California (Governmental Code Section 81000 et seo.).
For purposes of this Section, "gift" shall have the same meaning as defined in Section 8ZOZB, as
amended, of the California Government Code.
"Gift" means, except as provided below, any payment that confers a personal benefit on the
recipient, to the extent that considerataon of equal or greater value is not received and includes a
rebate or discount in the price of anything of value unless the rebate or discount is made in the
regular course of business to members of the public without regard to official status. Any person,
other than a defendant in a criminal action, who claims that a payment is not a gift by reason of
receipt of consideration has the burden of proving that the consideration received is of equal or
greater va lue.
The term "gift" does not include:
C.
Funds, items, or services donated directly to RCTC for which the employee receives
no personal monetary benefit or ownership interest;
lnformational material such as books, reports, pamphlets, calendars, or periodicals.
No payment for travel or reimbursement for any expenses shall be deemed
"informational material";
Gifts which are not used and which, within 30 days after receipt, are either
returned to the donor or delivered to a nonprofit entity exempt from taxation
under Section 501(cX3) of the lnternal Revenue Code without being claimed as a
charitable contribution for tax purposes;ABPage I 79
D. Gifts from an employee's spouse, child, parent, grandparent, grandchild, brother,
sister, parent-an-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or
first cousin or the spouse of any such person; unless the donor is acting as an agent
or intermediary for any person not covered by this Subsection;
E. Campaign contributions required to be reported under state law (see section 3.15
Political Activity);
F. Any devise or inheritance; and
G. Personalized plaques and trophies with an individual value of less than two
hundred fifty dollars (5250).
Violation of this policy may result in discipline up to and including discharge from
employment.
SECTION 18 - FAMILY AND MEDICAT LEAVE POLICY
S18.1 Scope
ln accordance with the federal Family and Medical Leave Act (FMLA), and the Californla Famlly
Rights Act (cFRA), RCTC has adopted the following policy regarding the rights and responsibilities
of employees absent for a family and medical leave purpose. This policy shall supersede the
provisions of any RCTC policy, practice, rule, or procedure to the extent that such policy, practice,
rule, or procedure is in conflict or inconsistent with this policy.
$18.2 Purpose of Leave
ln accordance with the CFRA, FMLA, and this policy, RCTC shall provide up to twelve (12)
workweeks of CFRA and/or FMLA leave in a twelve (12) month period to any eligible employee
who requests leave for any of the following purposes:
A. The birth or adoption of a child by the employee or placement of a child in foster
care with the employee (all family and medical leave taken for one of these
purposes must be concluded within one (1) year of the event);
B. To care for a child, parent, or spouse of the employee who has a serious health
condition. Under CFRA, an employee may also use leave to care for a registered
domestic partner who has a serious health condition; or
C. For an employee's own serious health condition that makes the employee unable
to perform the essential functions of the employee's position.
D. Military Family Leave Entitlements (FMLA only):
Page | 80
||
Exigency leave: Eligible employees with a spouse, son, daughter, or parent
on covered active d uty (or who has been called or ordered to covered active
duty) in the Armed Forces may use their FMLA leave entitlement of up to
twelve (12) workweeks during the applicable twelve (12) week period to
address qualifying exigencies. Qualifying exigencies may include activities
such as attending certain military events, arranging for alternative childcare,
addressing certain financial and legal arrangements, attending certain
counseling sessions, and attending post-deployment reintegration briefings.
Military caregiver leave: Eligible employees may take up to
twenty-six (26) workweeks of FMLA leave in a single month period to care
for a "covered service member," lf the employee is the spouse, son,
daughter, parent, or next of kin of the covered service member.
See the Human Resources Department for more details concerning FMLA Military Leave
entitlements.
518.3 Eligibility
Employees are eligible for family and medical leave if, at the time leave commences, all of the
following apply:
A. The employee must have at least twelve (12) months (not necessarily consecutive
months) of service with RCTC; and
B. The employee must have worked at least 1,250 hours for RCTC during the twelve
(12) months immediately prior to the period of FMLA and/or CFRA leave.
518.4 Special Rules for Pregnancy Disability Leave
The right to take CFRA leave is separate and distinct from the right to take a
pregnancy disability leave. ln other words, leave taken by an employee disabled by
pregnancy, ch ildbirth, or related medical conditions is not family and medical leave
under the CFRA, even though it may be FMLA leave.
ln light of the above, RCTC may requlre that pregnancy disability and FMLA leave
run concurrently (hereinafter "pregnancy disability/FMLA leave"), but CFRA leave
does not run concu rrently with a pregnancy disability leave. This means that, at the
end of the employee's period(s) of pregnancy disability and/or pregnancy
disabillty/FMLA leave, whichever occurs first, a CFRA-eligible employee may take up
to twelve (12) workweeks of CFRA leave due to the birth of her child or for other
family and medical leave purposes.BPage 181
.
Where an employee has exhausted her entitlement to pregnancy
disability/FMLA leave prior to the birth of her child, and her health care
provider certifies that continued leave is medically necessary, RCTC may,
but is not required to, allow the employee to utilize CFRA leave prior to the
birth of her child.
The maximum combined leave entitlement for pregnancy disability, FMLA,
and CFRA leave for the birth of a child is four (4) months and twelve (12)
workweeks. This assumes that the employee exhausted all four (4) months
of pregnancy d isability leave; she exhausted her entitlement to up to twelve
(12) weeks of FMLA leave during the period of pregnancy disability leave;
and the employee requested and was eligible for a twelve (12) week CFRA
leave following the birth of her child.
C.For more information regarding your rights to pregnancy disability leave, see RCTC's
pregna ncy disability leave policy and/or contact the Human Resources Department.
518.5 Special Rules Regarding the Employment of Spouses/Parents
Where CFRA and FMLA leave are running concurrently, and both the husband and
wife are employed by RCTC, their combined entitlement to CFRA/FMLA leave for
the birth or adoption of a child by the employees or placement of a child in foster
care with the employees shall be limited to twelve (12)workweeks in a twelve (12)
month period between the husband and the wife.
Where CFRA leave is running separate and apart from FMLA leave (such as
following a pregnancy disabllity/FMlA leave), and both parents are employed by
RCTC, their combined entitlement to CFRA leave for the birth, adoption, or foster
care placement of their child shall be limited to twelve (12) workweeks in a twelve
(12) month period between the two parents. This provision applies to the parents
of the child, reBardless of their marital status.
The provisions above do not affect the employees' right to use any remaining CFRA
and/or FMLA leave for any other qualifying purpose(s).
518.5 Calculating the Twelve (12) Month Period
For the purpose of this policy, "twelve (12) month period" shall mean a twelve (12) month period
measured forward from the date the employee first uses family and medical leave.
$18.7 Employee Notice Requirements
The employee, or a spokesperson for the employee (e.g., spouse, adult family
member, or other responsible party), must notify the employee's supervisor or theBC
Page | 82
Human Resources Department,
apparent that the employee will
p u rpose.
preferably in writing, as soon as it becomes
be needing leave for a family and medical leave
Employees must provide at least thirty (30) calendar days advance notice before
leave is to begin if the need for leave is foreseeable, or notice as soon as possible
for unforeseeable events.
The employee must consult with their supervisor and must make a reasonable
effort to schedule any planned medical treatment or supervision so as to minimize
disruption of RCTC operations. Actual scheduling is, however, sub.iect to the
approval of the patient's health care provider.
Failure to comply with these notice requirements is grounds for, and may result in,
deferral of the requested leave until the employee complies with these provisions.
However, RCTC will not deny a leave, the need for which is an emergency or is
otherwise unforeseeable, on the basis that the employee did not provide advance
notice of the need for the leave.
Where leave is requested on the basis of a serious health condition affecting an
employee's family member, RCTC may require evidence of the family relationship.
518.8 RCTC Determination and Notification to Employee
B,
RCTC shall designate leave, paid or unpaid, as CFRA or CFRA/FMLA leave based on
information provided by the employee or the employee's representative.
ln the event that RCTC determ ines that a leave of a bsence is for a FM LA family and
medical leave purpose, RCTC shall, within two (2) business days, notify the
employee of its determination that the leave constitutes FMLA and/or CFRA leave.
Such notice may be oral orinwritang. However, anyoral noticeshall beconfirmed
in writing by no later than the employee's next payday (the subsequent payday
where the next payday is less than a week away).
Where CFRA leave is running separate and apart from FMLA leave, such as
following a pregnancy disability/FMLA leave, RCTC shall respond to the leave
request as soon as possible and, in any event, no later than ten (10) calendar days
after receiving the request. Once given, approval of CFRA leave shall be deemed
retroactive to the first day of the leave.
RCTC'S written notice to the employee shall, among other things:
i. Specify the obligations of the employee while on family and medical leave
and explain the consequences of a failure to meet these obligations;3DC.
E.ACDPage 183
Provide notice to the employee in the event that a period of paid leave is to
be counted as family and medical leave;
Provide notice to the employee in the event that RCTC requires paid leave
to be substituted for unpaid leave.
Where the employee fails to provide sufficient information until after the leave
commenced, RCTC may make a preliminary determination that the employee's
absence is for a family and medical leave purpose, subject to later confirmation by
medical certification.
lf either RCTC or the employee designates an absence as family and medical leave
after the leave of absence has begun, such as when an employee advises RCTC
during the leave of absence or after their return to work that the entire leave of
absence or any part of it was for a family and medical leave purpose, that portion
of the leave period which was for a family and medical leave purpose may be
retroactively counted as family and medical leave.
If the employee fails to advise RCTC that a leave of absence was for a family and
medical leave purpose either, before, during, or within two (2) days after they
return to work, the employee will not be able to assert the protections ofthe family
and medical leave laws for the leave of absence.
Any dispute between RCTC and an employee as to whether paid leave qualifies as
family and medical leave should be resolved through discussions between the
employee and RCTC.
ii.
i. For leave to care for the employee's child,
domestic partner, this certification need not
condition involved, but shall contain:
The date, if known, on which the
commenced;
E.
F.
G.
§18 9 Medical Certification
A. An employee's request for leave due to a serious health condition affecting the
employee or the employee's child, parent, spouse, or registered domestic partner
must be supported by a medicalcertification issued by the health care provider of
the individ ua I requiring care.
parent, spouse, registered
identify the serious health
serious health condition
b. The probable duration ofthe condition;
Page | 84
An estimate of the amount of time which the health care provider
believes the employee needs to care for the child, parent, spouse,
or registered domestic partner; and
A statement that the serious health condition warrants the
participation of the employee to provide care during a period of
treatment or supervision of the child, parent, spouse, or registered
domestic partner.
For leave to care for the employee's own serious health condition, this
certification need not, but may, at the employee's option, identify the
serious health condition involved. lt shall contain:
a. The date, if known, on which the serious health condition
commenced;
b.The probable duration of the condition; and
A statement that, due to the serious health condition, the employee
is unable to work at all or is unable to perform any one or more of
the essential functions of their position.
Medical certification is not required where leave is requested for the birth,
adoption, or placement of a child in foster care with the employee.
Medical certification must be provided within fifteen (15) calendar days of RCTC's
request and generally prior to the commencement of a foreseeable leave of
absence, unless it is not practicable to do so despite the employee's diligent, good
faith efforts to do so.
With regard to leave due to the employee's own serious health condition:
[.
Where RCTC has reason to doubt the validity of the employee's medical
certification, RCTC may require, at RCTC'S expense, that the employee
obtain a second medical opinion from a health care provider designated by
RCTC and who is not regularly used by RCTC for this purpose; and
Where the second opinion differs from the first, RCTC may require that the
employee obtain a third and binding medical opinion, again at RCTC's
expense, from a health care provider designated or approved jointly by
RCTC and the employee.
RCTC may require recertification only where additional leave is requested.
RCTC may also require certification at the time the employee seeks reinstatementdBCDF.
Page 185
from family leave due to the employee's own serious health condition that the
employee is fit for duty and able to return to work.
918.10 Minimum Period of Leave
A. Leave may be taken in one (1) or more periods and does not have to cover a
continuous period of time.
B. Where leave is taken due to the serious health condition of the employee or their
parent, child or spouse, the minimum leave increment sha ll be the shortest period
of time RCTC'S payroll system uses to account for absences or use of leave.
Page 186
918.11
§1812AB C.
C.
C.
Where CFRA leave is running separate and apart from FMLA leave (such as CFRA
leave following preBnancy disability/FMLA leave), the minimum duration for leave
taken in connection with the birth, adoption, or foster care placement of a child is
two (2) weeks, except that the RCTC shall grant a request for CFRA leave of less
than two (2) weeks on any two (2) occasions during the one (1) year period
following the birth or placement of the child with the employee.
lntermittent Leave and Temporary Transfers
Employees may take intermittent leave or leave on a reduced schedule due to a
serious health condition of the employee, or the employee's child, parent, spouse,
or registered domestic partner, whenever medically necessary.
lf an employee requests intermittent leave, RCTC may require a temporary transfer
to an "alternative position" for which the employee is qualified, and which:
i. Provides equivalent pay and benefits; and
ii. Better accommodates recurring periods of leave.
Transfer to an alternative position may include altering an existing job to better
accommodate the employee's need for intermittent leave or a reduced work
schedule.
Continuation of Health and Other Benefits
RCTC will continue group health care benefits during the period of leave, up to a
maximum of twelve (12)workweeks in any twelve (12) month period, on the same
terms a nd conditions as applied prior to the commencement of family and medical
leave. For the purposes of continued group health coverage, the twelve (12)weeks
commences on the first day of pregnancy disability, CFRA, or FMLA, whichever
occurs first.
During any period of leave which is unpaid, RCTC may discontinue payments made
on behalf of the employee to a non-group health plan, employee retirement plan
or other benefit plan, and the leave period shall not be counted for purposes of
time accrued under a retirement plan.
ln the event that the employee is responsible for any portion of the group health
insurance premium or for any other premium payment(s), the employee should,
prior to the commencement of leave, make arrangements with the Human
Resources Department for the submission of such payments.ABPage | 87
D. lf the employee fails to return after the period of leave has expired, RCTC may be
entitled to reimbursement for any benefit premiums paid by RCTC during a period
of unpaid family and medical leave, unless:1The reason for the employee's failure to return is due to the continuation,
recurrence or onset of a serious health condition of the employee or the
employee's child, spouse, parent, or registered domestic partner;
Other circumstances beyond the control of the employee as set forth in
applica ble law and regulations.
E. Employees who are not eligible for continued paid coverage or whose entitlement
to continued paid coverage has expired may continue their group health insurance
coverage through RCTC pursuant to federal and state coBRA guidelines.
518.13 Coordination of CFRA and FMLA Leave
Each day of leave for a family and medical leave purpose, other than disability due to pregnancy,
childbirth, or related medicalconditions, counts as a day of FMLA and CFRA leave.
§1814 Substitution of Leave
RCTC requires that sick leave be used to provide pay during any period of otherwise
unpaid family and medical leave due to the employee's own serious health
condition. Sick leave may also be used in connection with family and medical leave
taken for other purposes in accordance with applicable RCTC policies and upon the
mutualagreement of RCTC and the employee.
An employee may elect to use any accrued vacation time or other paid accrued
time off, other than accrued sick leave, that the employee is otherwise eligible to
take during the otherwise unpaid portion of the FMLA/CFRA leave.
CFRA a nd FM LA leave may a lso run concurrently with a leave of absence covered by
workers' compensation or temporary disabillty and an eligible employee may
coordinate the use of sick leave and/or vacation to supplement workers'
compensation or temporary disability insurance payments.
Reinstatement
B.AC§1815
Where a definite date of reinstatement has been agreed upon at the beginning of the leave, the
employee will be reinstated to the same or a comparable position by the date agreed upon.
lf the reinstatement date differs from RCTC'S and employee's original agreement, the employee
will be reinstated to the same or a comparable position within two (2) business days, where
feasible, after the employee notifies RCTC of their readiness to return.
Page | 88
The employee's use of family and medical leave may not result in the loss of any employment
benefit that the employee earned or was entitled to before going on family and medical leave.
Upon reinstatement, all employee benefits will be resumed without any new qualification period,
physical examination or exclusion of preexisting conditions.
§1816 Denial of Reinstatement
An employee has no greater right to reinstatement or to other benefits and conditions of
employment than if the employee had been continuously employed during family and medical
leave. Thus, for example, if an employee is laid off while on family and medical leave, RCTC's
responsibility to maintain group health plan benefits and reinstate the employee ceases at the
time the employee is laid off.
A. RCTC may also deny reinstatement to:|.
An employee who gives notice that he or she no longer desires to return to
employment with RcTC;
An employee who fails to provide certification that he or she is fit for duty
and able to return to work after taking family and medical leave based on
the employee's own serious health condition; or
A salaried "key employee" who is among the highesrpaid l0percent of
employees employed within 75 road miles of the employee's workslte, if:
d.
b.
It is necessary to prevent substantialgrievous economic injury to the
operations of RCTC;
Notice is given to the employee at the time of the leave request that
RCTC cannot deny the leave request, but that RCTC intends to deny
reinstatement, and
The employee is given a reasonable opportunity to return to
employment after receiving such notice, but elects not to return; or
After the leave expires, the employee requests reinstatement, and
RCTC makes a determination at the time of the reinstatement
request and notifies the employee of its determination that
reinstatement would cause substantial grievous economic injury to
the operations of RCTC.
518.17 Benefits Accrua I
Page | 89
Employees on family and medical leave will not continue to accrue vacation, sick leave, or other
seniority based benefits during unpaid family and medical leave.
$ 18.18 Additional lnformation
Should you have any questions about your rights and responsibilities in connection with family and
medical leave, contact the Human Resources Department.
SECTION 19 - PREGNANCY DISABIIITY TEAVE POTICY
519.1 Eligibility
ln accordance with applicable law and this policy, female employees are eligible for a leave of
absence and/or transfer on account of pregnancy, regardless of length of service with RCTC.
819.2 Pregnancy Disability Leave
A woman is "disabled by pregnancy" if, in the opinion of her health care provider,
she is unable to work at all or is unable to perform one (1) or more of the essential
functions of her job or to perform these without undue risk to herself, to the
successfulcompletion of her pregnancy, or to other persons.
Pregnancy disability leave is for any period(s) of actual disability caused by
pregnancy, childbirth, or related medical conditions. Where medically advisable,
pregnancy disability leave may be taken for a reasonable period of time, up to four
(4) months per pregnancy (eighty-eight (88) workdays for a full-time employee).
Employees who regularly work more or less than a forty (40) hour workweek are
entitled to such leave on a pro rata basis.
S19.3 Leave Due to Normal Childbirth
Even if the employee is not disabled by pregnancy, childbirth or related medical conditions, a
pregnant employee is entitled to up to six (6) weeks of leave for normal childbirth. Employees
working more or less than a forty (40) hour workweek are entitled to such leave on a pro rata
basis.
519.4 Leave/Transfer and other Reasonable Accommodation Requests
Pregnant employees should notify the Human Resources Department as soon as
possible regarding their intent/need to take a leave of absence or to transfer due to
pregnancy, childbirth, or related medical conditions. Such notice should specify the
anticipated timing and duration of the leave or transfer.
Where the need for a leave of absence or transfer is foreseeable, employees mustBAB
Page | 90
E.
provide such notice at least th irty (30) days prior to the date the leave or transfer is
to begin. Further, employees must consult with the Human Resources Department
regarding the scheduling of any planned med ical treatment or supervision so as to
minimize any disruption to RCTC'S operations. Actual scheduling of the
leave/transfer is sub.iect to the approval of the employee's health care provider.
Where thirty (30) days advance notice is not possible, notice must be given as soon
as possible. However, RCTC will not deny a pregnancy disability leave or transfer
where the need for leave is an emergency or was otherwise unforeseeable.
RCTC shall respond to the leave or transfer request as soon as practicable and, in
any event, no later than ten (10) calendar days after receiving the request. RCTC
shall attempt to respond to the leave request before the date the leave is due to
begin. Once given, a pprova I shall be deemed retroactive to the date of the first day
of the leave.
F. Reasonable accommodation other than leave or transfer will be granted upon
request. Such requests must be supported by a written certification from the
employee's health care provider.
519.5 lntermittentLeave
Pregnancy disability leave need not be taken in one (1) continuous block. lt may be taken on an as-
needed basis, intermittently or on a reduced work schedule.
A.lf it is medically advisable and foreseeable that an employee will be taking
intermittent leave or leave on a reduced work schedule, RCTC may require that the
employee transfer temporarily to an available alternative position.
An "alternative position" is one that provides pay and benefits equivalent to those
of the employee's regular position and better accommodates recurring periods of
leave than the employee's regularjob. lt does not have to have equivalent duties.
However, the employee must be qualified for the position.
Transfer to an alternative position may include altering an existing job to better
accommodate the employee's need for intermittent leave or a reduced work
sched u le.
519.5 Temporary Transfers
An employee may request a temporary transfer to a position with less strenuous or
less hazardous duties when the employee's hea lth care provider certifies that such
a transfer is medically advisable.DBCPage | 91
B. Temporary transfers will be granted where appropriate and when RCTC is able to
reasonably accommodate the transfer, provided that the transfer would not
require RCTC to:
i. Create additional employment;
ii. Discharge another employee;
iii. Transfer a more senior employee in order to make room for the pregnant
employee's transfer; or
iv. Promote or transfer the employee or any other employee to a position for
which they are not qualified.
919.7 Certifications
A. As a condition of taking a pregnancy disability leave or transfer, the employee must
provide medical certification from her health care provider that she is disabled due
to pregnancy, childbirth or related medical conditions and/or that a transfer to an
alternative position is medically advisable.
B. The medical certification should include:
i. The date on which the em ployee become disa bled due to pregnancy or the
date of the medical advisability for the transfer;
ii. The probable duration of the period(s) of disability or the period(s) for the
advisability of the transfer; and
iii. A statement that, due to the disability, the employee is unable to work at all
or to perform any one or more of the essential functions of her position
without undue risk to hersell to the successful completion of her
pregnancy, or to other persons or a statement that, due to pregnancy, the
transfer is medically advisable.
S19.8 Recertification
Recertification may be required where additionaltime is requested.
519.9 Fitness for Duty
The employee must provide certification from her health care provider of her fitness for duty prior
to beinB reinstated.
Page | 92
919.10
§1911AB Pay During Leave
Pregnancy disability leave is unpaid leave. However, the employee may request or
RCTC may require that the employee use accrued sick leave to provide pay during
the period of leave.
An employee may also elect, at her option, to use accrued vacation or other
accrued paid time off, if any, to provide pay during pregnancy disability leave.
The employee may also be eligible to receive temporary disability insurance
payments during her pregnancy disability leave, and to coordinate the use of any
accrued sick leave and/or vacation to supplement temporary disability insurance
payments.
Reinstatement
The employee is entitled to be reinstated to the same or a comparable position
upon release to return to work by her health care provider.
ll
Where a definite date of reinstatement has been agreed upon at the
beginning of the leave, the employee will be reinstated by the date agreed
upon, provided that the employee has provided medical certification of her
fitness for duty.
lf the actual reinstatement date differs from the original agreement, the
employee will be reinstated within two (2) business days, where feasible,
after the employee notifies RCTC of her readiness to return and provides
medical certification of her fitness for duty.
iii. Failure to return to work, without good cause, on the next work day
following the expiration of pregnancy disability leave may be grounds for
termination of employment.
The employee is not, however, entitled to any greater right of reinstatement than
she would have had if she had not taken leave. Thus, reinstatement to the "same
position" may be denied if :|For legitimate business reasons unrelated to the employee having taken a
pregnancy disability leave or transfer, the employee would not otherwise
have been employed in her same position at the time reinstatement is
requested; or
Each means of preserving the job or duties for the employee, such asAB.
Page 193
C.
B.Dleaving it unfilled or filling it with a temporary employee, would
substantially undermine RCTC'S ability to operate safely and efficiently.
Also, the employee has no greater right to reinstatement to a "comparable
position" or to other benefits and conditions of employment than an employee
who has been continuously employed. Thus, reinstatement to a comparable
position may be denied if:
There is no comparable position open on the employee's scheduled date of
reinstatement or within ten (10) working days thereafter; or the pregnancy
disability leave does not qualify as leave pursuant to the federal FMLA and a
comparable position is available, but filling the available position with the
returning employee would substantially undermine RCTC's ability to
operate safely and efficiently.
ln the event that the employee takes family and medical leave under the CFRA
following her pregnancy disability leave for the birth of her child, the employee's
right to reinstatement shall be governed by the CFRA and RCTC'S Family and
Medacal Leave Policy rather than these provisions.
Seniority and Benefits
ln general, employees taking pregnancy dlsability leave will be treated the same as
other similarly situated employees taking disability leave.
The employee returning from a pregnancy disability leave shall return with no less
seniority than she had when the leave commenced for purposes of layoff, recall,
promotion, job assignment, and seniority-related benefits such as vacation.
519.12A
C. The employee shall retain employee status during the period of leave, and the
leave shall not constitute a break in service for purposes of longevity and/or
seniority.
519.13 Federal Family and Medical Leave
ln accordance with the FMLA, RCTC shall count each day of pregnancy disability leave against an
eligible employee's entitlement to up to twelve (12) weeks of federal family and medical leave
under the FMLA.
519.14 Group Health lnsurance
Pursuant to the Pregnancy Disability Leave law, where an eligible employee is on pregnancy
disability/FMLA leave, RCTC will continue the employee's group health insurance coverage for up
to a maximum of four (4) months under the same terms and conditions as applied prior to the
Page | 94
leave of absence.
s 19.1s
ln the event that the employee fails to return from leave, RCTC may recover
premiums it paid to maintain group health insurance coverage. (For details, see
RCTC's Family and Medical Leave Policy, Section 18.)
lf the employee is not eligible for continued paid coverage or if coverage ceases
after four (4) months, the employee may continue group health insurance coverage
pursuant to federal and state COBRA guidelines.
California Family and Medical Leave
The right to take a pregnancy disability is separate and distinct from the right to take family and
medical leave under the CFRA. Thus, at the end of the employee's period(s) of pregnancy
disability, or at the end of four (4) months pregnancy disability leave, whichever occurs first, an
eligible employee may request to take up to twelve (12) workweeks of CFRA leave in accordance
with RCTC's family and medical leave policy.
There is no requirement that either the employee or her child have a serious health
condition or that the employee no longer be disabled by her pregnancy before
taking CFRA leave for the birth of a child.
Where the employee has used all four (4) months of her pregnancy disability leave
prior to the birth of her child, and her health care provider determines that a
continuation of the leave is medically necessary, RCTC may, but is not required to,
allow the use of CFRA leave prior to the birth of a child.
The maximum possible combined leave for pregnancy disability/FMLA and CFRA
leave due to the birth of a child is four (4) months and twelve (12 ) workweeks.
CFRA leave taken d ue to the birth of the employee's child must be concluded within
one(1)yearofthechild'sbirth. The basic m inimum duration of such leaveshall be
two (2) weeks, except that RCTC will gra nt a CFRA leave of less than two (2) weeks'
duration on any two (2) occasions within one (1) year of the child's birth.ABA3C.DPage | 95
ATTACHMENT2
RESOLUTTON NO. 13-057
RESOLUTION OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AMENDING IT5 PERSONNEL POLICIES AND PROCEDURES MANUAL
WHEREAS, the Commission has previously adopted personnel policies and
Procedures Manual establishing the terms and conditions of employment with the
Commission; and
WHEREAS, the Commission wishes to update its Personnel policies and
Procedures Manual;
NOW, THEREFORE, be it resolved by the Riverside County Transportation
Commission as follows;
Section 1. The previously adopted Personnel Policies and Procedures Manual of the
Commission approved and adopted on April 1L, 2012, is hereby repealed and the
Personnel Policies and Procedures Manual dated October,9,2013 is hereby amended
for the revisions of Section 53.8 "Exempt Classification Titles," Section 53.16 "Conflict of
lnterest," and Section 514.6 "Employer-Provided Vehicles", set forth in Attachment "A",
attached hereto and incorporated herein.
Section 2. This resolution shall take place immediately upon its adoption.
APPROVED AND ADOPTED this 9th day of October, 2013.
Karen S. Spiegel, Chair
Riverside County Tra nsportation Commission
AΠ EST:
Jennifer Harmon
Riverside County Tra nsportation Commission