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10 October 9, 2013 ExecutiveT!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. 3.451) 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 へive■8∥3●,“. RiVERSIDE COUNTV TRANSPORTAT:ONCOMM:SSiON EXECUTiVE COMMiπ EE SIGN‐lN SHEET OCrOBER 9′2013 NAME AGENCY E MA:L ADDRESS ん名にξ%な ノ ″ 勿 N o Q, o,"- A.a)+Le-{ρtノ ゞた/′′←マ′0`ゥ ~ 7ビ J″ “ J、フ.わ `r~∠たィム タを菫t 」^よ たEし よ もヽ 偽が卜,κ´んじf/ら ぃ ル′″(″ん〆珍 ″sノ “`2,f ノ Zピ ノCzえ ‐g/多 のブ ″びんル`'E三 ニラ¬ハ 凛 纏 'R.rc- -s- ― ヽ ヽ AGENDA lttEM 3 MINUttES R′1/fRS′DF COυ rVTy TRArVSPο RTATJOJV COハ イル "SS′ OrV 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, 1) 2} 6_ /, \.l-rt\ra Ho-n-n or- \, Jen nifer Harmon Clerk of the Board AGENDA lttEM 5 R′yfRS′DE COυ rVttγ TRANSPORTArrOAr COMЛ "rss′ Orv 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 =璽 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 CAMBRIA Page 5 of 37 -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 CAMBRIA Page 7 of 37 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. CAMBR:A Page 8 of 37 二璽 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. CAMBRIA L璽 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. 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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 CAMBRI′ヽ Page 16 of 37 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 二璽 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 CAMBRIA Page 18 of 37 ―璽 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap -g 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 CAMBRIA Page 19 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap 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 CAMBRIA Page 20 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap 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 CAMBRIA Page 2L ot 37 菫璽 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap -p . 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 CAMBRIA Page 22 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap . 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 CAMBRIA -g Page 23 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap r: 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 CAMBRIA Page 24 ot 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap 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: CAM BRIA -@ Page 25 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap 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 CAMBR:A Page 26 ol 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap . 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) CAMBRIA Page 2l of 37 L璽 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap . 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&ltl 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 CAMBRI,ヽ ―璽 Pag€ 28 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap . 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. CAMBRI:ヽ Page 29 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap . 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 CAMBRIA ―璽 Page 30 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap 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: CAMBRIA ―雙 Page 31 of 37 Riverside County Transportation Commission 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 CAMBRIA Page 32 of 37 ―雙 Riverside County Transportation Commission 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 CAMBR:A Page 33 of 37 二重回P 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 CAMBR:A -g Page 34 of 37 Riverside County Transportation Commission 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. CAMBR:′ヽ =璽 Page 35 of 37 Riverside County Transportation Commission Toll Program Organization - lmplementation Roadmap 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: (11ヽ ヽ1 3 1ti=ヽ L璽 Page 36 of 37 Riverside County Transportation Commission 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 • Developed Guiding Principles, Goals, Objectives, Success Criteria • Based on input from RCTC team • Provide a foundation for organization structure, priorities, decision making and measuring success ヨ 言:言 』[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 | 汁 ユ ユa>ヽ 〇辞ロロ ヽ ‐‐‐0QJ(m ⊃ 計 画・:丁QJ ① コ = 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 Page | 2 §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. Page | 8 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. Page | 9 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. Page | 12 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 Page | 13 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. Page | 17 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. Page | 61 513.5.1 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 Page | 64 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