1994-05 Adopt Personnel Policy RESOLUTION NO. 94-05
RESOLUTION OF THE HOUSING AUTHORITY OF
THE CITY OF ENCINITAS ADOPTIN~ A PERSONNEL POLICY
WHEREAS, staff has prepared a personnel policy which has been
reviewed by the Board of Commissioners ("Board"); and
WHEREAS, the Board has thoroughly discussed all of the aspects
of the said Personnel Policy. The Board has reviewed these
documents from the standpoint of their impact upon Equal Employment
Opportunity and upon completion of the Housing Authority's mission.
The Board has reviewed these documents and has determined that they
are accurate; and:
WHEREAS, the staff has recommended to the Board that these
documents be adopted as presented.
NOW, THEREFORE, IT BE RESOLVED BY THE HOUSING AUTHORITY
OF THE CITY OF ENCINITAS AS FOLLOWS:
SECTION 1. The personnel Policy be adopted as
presented.
SECTION 2. This Resolution shall take effect
immediately.
DATED: April 27, 1994 HOUSING AUTHORITY OF THE
CITY OF ENCINITAS
AYES: Bond, Davis, Duvivier, ~~
Hano, Wiegand
NOES: None
~hairperson
LB/EM/CR010-972%rp51 (04-15-94)
P.6
HOUSING AUTHORITY OF ~
CITY OF ENCINITAS
Personnel Policy & Procedure
April 27, 1994
TABLE OF CONTENTS
Page
I. PURPOSE, ADOPTION AND SCOPE OF POLICY 1
A. Purpose 1
B. Adoption 1
C. Modification and/or Revocation 1
D. Administration 1
E. Savings Clause 2
P. Departmental Rules 2
G. Scope of Policy
II. POLICY, AFFIRMATIVE ACTION AND EMPLOYEE POLITICAL ACTIVITY
A. Policy Statement 2
B. Declaration of Policy of Affirmative Action 2
C. Political Activity of Employees 3
D. Anti-Sexual Harassment Policy 3
III. EMPLOYMENT CLASSIFICATIONS, JOB DESCRIPTION AND JOB EVALUA-
TION SYSTEM 3
· A. Employment Classifications 3
B. Job Description 4
C. Job Evaluation System 5
IV. EMPLOYEE APPOINTMENT 5
A. Job Posting 5
B. Recruitment Advertising
C. Selection of New Employees 6
D. Employee Orientation 7
E. Employee Probationary Period 7
F. Performance Evaluations
V. EMPLOYEE WORK RULES AND REGULATIONS (HOURS OF EMPLOYMENT)
VI. COMPENSATION PROGRAM 9
A. Compensation Program Administration 9
B. Employee Overtime Compensation 12
C. Holiday Compensation 12~
VII. BENEFITS 13
A. Income Protection Plan
B. Paid leave of Absence Administration (Annual Leave,
Holidays and Other Paid'Leave) 16~
C. Insurance, Worker's Compensation and Retirement 18
D. Deferred Compensation 20
E. Credit Union 20
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F. Work Expense Payment 20
G. Tuition Reimbursement 20
VIII.RESIGNATION/TERMINATION AND LAY-OFFS 21
A. Resignation/Termination 21
B. Lay-Offs 22
IX. DISCIPLINARY ACTION AND CAUSES FOR IMMEDIATE DISMISSAL 22
A. Disciplinary Action 22
B. Causes for Immediate Dismissal 23
X. GRIEVANCE PROCEDURE 24
f ! ~222.12
APPENDIX A POLICY OF PERSONNEL CHANGES
APPENDIX E - HOUSING AUTHORITY OF THE CITY OF ENCINITAS
AFFIRMATIVE ACTION PROGRA~
APPENDIX C - HOUSING AUTHORITY OF THE CITY OF ENCINITAS JOB
EVALUATION APPEAL PROCEDURE
APPENDIX D - HOUSING AUTHORITY OF THE CITY OF ENCINITAS ANTI-
SEXUAL HARASSMENT POLICY
APPENDIX E - RESERVED
APPENDIX F - HOUSING AUTHORITY OF THE CITY OF ENCINITAS FLEXI-
TIM~
GUIDELINES AND FLEXITIHE TARDINESS SANCTIONS
APPENDIX G - HOUSING AUTHORITY OF THE CITY OF ENCINITAS EMER-
GENCY CLOSING POLICY
APPENDIX H - CONFIDENTIALITY OF HOUSING AUTHORITY INFORMATION
APPENDIX I - CONFLICT OF INTER~ST CODE
APPENDIX J - HOUSING AUTHORITY OF THE CITY OF ENCINITAS TRAVEL,
CONFERENCE AND SEMINAR POLICY
I1'1 ~222-12
SECTION I: PURPOSE, ADOPTION AND SCOPE OF POLICY
Part A: Purpose
It is the purpose of this Manual to provide a uniform, comprehen-
sive and efficient system Of personnel administration for the
Housing Authority of the City of Encinitas, herein after referred
to as the }{ACE, and to insure:
1. That employment with the HACE shall be as attractive as
possible from a career prospective.
2. That all appointments, promotions, and separations under the
}{ACE service shall be on the basis of performance.
3. That position classification and compensation plans for the
}{ACE will be founded on the principle of like compensation for
like work.
4. That each employee shell be encouraged to render his/her best
service to the Housing Authority of the City of Encinitas.
5. That the citizens of the City of Encinitas be assured that
their best interests are being served by the employment of the
highest possible caliber of personnel.
Part B: Adoption
This Personnel Policy and Procedures Manual was approved by The
Housing Authority of the City of Encinitas Board of Commissioners
on the 27th day of April, 1994.
Part C: Modification and/or Revooation
The Housing Authority of the City of Encinitas Board of Commis-
sioners may at any time modify or revoke any or all of these
Regulations. Changes to the Personnel Polioy will be made
pursuant to the Policy on Personnel Plan Changes listed in
Appendix A.
Part D: Administration
The Housing Authority will provide each employee with a copy of
the current Housing Authority of the City of Encinitas Employee
Personnel Polioy and Procedures, work rights and obligations
per~aining to the employee. Any changes in personnel policy,'
procedures, work rights, and obligations shall be communicated to
the employee in writing within thirty (30) days of ~uch change.
Part E: Savings Clause
If any personnel regulation shall be held invalid by judicial or
legislative action, the remainder of these regulations, other
than that which has been held invalid, shall not be affected.
Part F: Depar=mental Rules
Each department head may establish department rules of operating
procedure which are program-oriented but may not depart from
these personnel procedures.
Part G: Scope of Policy
The policies enunciated In Section II herein apply to all employ-
ees doing Housing Authority work. Sections III through X shall
not apply to employees who are employed by another employer and
are working for the Authority u~der contract with that employer.
SECTION II: POLICY, AFFIRMATIVE ACTION AND EMPLOYEE POLITICAL
ACTIVITY
Part A: Policy Statement
These regulations have been written with the realization that the
strength and growth of the HACE d'epends directly on the individu-
al contributio~ made by every employee. These Regulations
further recognize that high productivity and efficiency result
from individual job satisfaction.
The policy of the Housing Authority of the City of Encinitas is
to be always frank, fair, and honest with its personnel and to
respect the individual rights of all employees. The Housing
Authority of the city of Encinitas shall continue to strive to
achieve mutual respect in working relationships and insist that
the managers do ali in their power to carry out such a policy.
· e ee~fnu~ w~king t~Lher ,~ucessfully, each employee an~ each
manager must realize that harmonious relationships are not
entirely a matter of r~les but are the outgrowth of daily deci-
sions and cooperative attitudes.
Part B: Declaration of Policy of Affirmative Action
The Housing Authority of the City of Encinitas acknowledges that
equal opportunity for all persons is a fundamental human right.
Consequently, it is the policy of the HAcE to provide equal
opportunity in employment and personnel management for all
persons; to provide access to, admission to, f~ll utilization and
benefit of training and promotional opportunities without dis-
Crimination because of race, color, creed, age, religion, nation-
al origin, sex, marital status, public assistance status or
/
rights within the HACE to the extent permitted by law. To
implement this policy, the HACE requires that every person making
application for, currently employed by, or applying for further
vacancies on staff, comply with the City of Encinitas Affirmative
Action Program which has been adopted by the HACE and can be
found in Appendix B of this policy.
Part C: Political Activity of ~mployees
Prohibited activity according to Section 1502(a) of Title
United States Code (The Hatch Act) prohibits a state or local
employee, whose employment is in connection with an activity
which is financed in whole or in part by loans or grants from the
United States government, from the following political activity:
1. Use of his/her official authority or influence for the
purposes of interfering with or affecting the result of an
election or nomination for office;
2. Directly or indirectly coerce, attempt to coerce, command or
advise a state or local officer or employee to pay, lend, or
contribute anything of value to a party, committee, organization,
agency or person for political purposes; and
3. ~e a candidate for public elective office in a partisan
election.
Part D: Anti-Sexual Harassment Policy
The Housing Authority of the City of Encinitas .has an affirmative
obligation to keep the work place free of sexual harassment.
Policy adopted by the HACE for all employees can be found in
.Appendix D of this Policy.
SECTION III: EMPLOYMENT CLASSIFICATIONS, JOB DESCRI~TIONAND
JOB EVALUATION SYSTEM
Part A: Employment Classifications
There shall be five classifications of employees: probationary
employees, full-time employees, temporary employees, permanent
part-time employees and emergency appointments.
1. Probationary Employees: a probationary employee is a person
hired to become either a full-time employee or a permanent part-
time employee but who has not yet reached the first anniversary
of his/her date of hire. While in probationary status, such
employee is entitled to all the benefits of the position but may
be subject to layoff with or without cause. (See Section IV,
Part E infra)
Book # .,,. / ~..~'age # ..... O
2. Full-Time Employees: A full-time employee is a person hired
to fill a full-time HACE staff position and works minimum (or
equivalent) of eight (8) hours per day, five (5) days per week,
fifty-two (52) weeks per year, less earned vacation and sick
leave benefits and is entitled to all fringe benefits provided by
the Housing Authority of the City of Encinitas.
3. Temporary Employees: A temporary employee is an employee who
is compensated at an hourly rate for the actual number of hours
worked, receives no fringe benefits of any kind, and whose
employment is of an indefinite duration to fulfill a specific
assignment, usually not to exceed nine (9) months.
4. Permanent Part-Time Employees: A permanent part-time e~ploy-
ee is an employee who works less than the standard work hours.
Permanent part-time employees are eligible for prorated vacation
and sick leave which can be used only after the initial six
months of service. Prorated benefits will be determined by the
average number of hours worked in proportion to'full-time posi-
tions. Permanent part-time employees will be paid for Holidays
that fall on reqularly scheduled work days for that employee.
Employees who can set their own schedules each week will not be
paid for Holidays. F~r~her, all permanent part-time e~ployeee
over 18 years of age working more than 1,040 hours per year must
participate in the pension plan. An employee desi~nated as per-
manent part-time shall receive no other fringe benefits except
those fringe benefits expressly required by law. All permanent
para-time employees may participate in the Deferred Compensation
program. Also, permanent part-time employees have the option of
joining the Hospitali~ation, Long-term Disability and Life
Insurance Plans at the group rates if they meet the Plan req~ire-
merits and agree to have the full monthly premium deducted from
their pay check.
5. Emergency Appointment: A temporary part-time employee who is
hired at an hourly rate for a period of time not to exceed nine
(9) months in any given calendar year to perform a job that is
needed to alleviate an emergency situation. An employee hired in
this manner is compensated at an hourly rate for the actual
number of hours worked and receives no fringe benefits of any
kind.
Part B: Job Description
A job description shall be established for each position and
shall be reviewed by the Housing Authority of the City of Enci~i-
tas Board prior to authori~ation to establish the position. Each
position description shall include the following components:
title, department, =ltle of immediate supervisor, the primary
objective of the position, major task areas of responsibility,
budget responsibilities, responsibility for relationships,
manager authority, management provided, knowledge and'skill
~zz - 12
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requirements, problem solving, work environment and physical
requirements. Job descriptions shall be maintained on file in
the Administrative Department.
Prior to posting, the descriptions and knowledge and skill
requirements for each position will be closely examined to
determine the extent that the existing descriptions and qualifi-
cations present artificial barriers to employment in the posi-
tion.
Each full-time employee shall be provided with a copy of a
current job description for h/s/her position. At least once a
year, the manager shall review position descriptions of s~bordi-
hate employees for currency. In the event an employee is per-
forming duties and responsibilities not contained in the job
description, the manager shall draft a revised job description
and send a copy to ~he Executive Director. Revised position
descriptions that include requests to change the salary range
established for the position shall be considered via policy for
position reclassification (see position reclassification Section
VI, Part A-9).
Part C: Job Evaluation System
A job evaluation system has been adopted by the Housing Authority
of the City of Encinitas Board of Commissioners for evaluating
and determining ~he salary range for each HAC~ position. Each
job description will be evaluated on the following factors:
knowledge and skill required, decision-making discretion, com-
plexity, responsibility for relationships, size of organization
being managed, responsibility for economic resources, and respon-
sibility for development of policy and methods. The positions
are evaluated by a committee established by the Executive Direc-
tor. The positions are given a point value based on the co~it=
tee's evaluation and placed into a grade on the Compensation
Schedule. Placement on the Compensation Schedule wall depend on
the n~mber of points assigned to the position and external salary
information. A Job Evaluation Appeal Procedure is outlined in
Appendix C of this policy. The Appeals Procedure can be utilized
by employees requesting a re-evaluation of their position by the
job evaluation committee as stated above.
SECTION IV: EMPLOYEE APPOINTMENT
Part A: Job Posting
A copy of this Personnel Policy and Procedures Manual and a copy
of each required EEO poster will be posted and maintained on each
bulletin board or space reserved and marked as a HACE Employment
Information Center for perusal by employees and the general
public.
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Boo _ /_ #.5//
All notices of any position vacancy in the HACE organization
except emergency appointments but including newly created posi-
tions, shall be posted on the ~ACE Information bulletin spaces
for a period of not less than ten (10) working days. Each
posting shall include t/~e job description, instructions for
making application, and time deadlines for making application.
No position will be filled via the emergency appointment method
unless the Executive Director or his/her designee determines that
an emergency exists and ~hat waiting ten (10) working days to
post a position could endanger the health or well being of HACE
tenants or property.
All Board approved positions will be filled without discrimina-
tion or favor as described in the Affirmative Action Program that
has been adopted by the HACE and can be found in Appendix B of
this policy.
Part B: Recruitment Advertising
The HACE will proceed to develop effective recruiting sources to
ensure receipt of applications from all elements of the popula-
tion within a 3/4 hour commuting radius of the Job site.
All employment advertising shall be coordinated through the HACE
Administration Department. The MACE Administration Department
shall determine the nature and amount of employment advertising
funded through allocation from the established budget item for
such purpose. Notice of all position vacancies shall be submit-
ted to the California Department of Employment Services. The
HACE Administration Department will accept responsibility for
compliance with ~he City Affirmative Action Program regarding
employment advertising. Each advertisement will specify a time
period within which application can be placed. Each time the
MACE advertises for employment the words "Equal Opportunity
Employer,, and/or "An Affirmative Action Employer,, will be includ-
ed.
Part C: Selection of New ~mployees
Ail applications for employment in the Housing Authority of the
City of Encinitas shall be made at the HACE Administration
Department. ~ach applicant shall complete an approved applica-
tion form and such completed application form shall be filed in
the office of the HACE Administration Department. Employment
application forms will include only job-related questions. When
the posting period has ended, the completed applications will be
reviewed by the HACE Administration Department and a determi-
nation will be made (based on related education and experience)
as to which applicants will be interviewed. This information
will be forwarded to the appropriate supervisor. Ail interviews
shall be between the supervisor desiring a new employee or
his/her designee and the potential employee.
All employment screening shall utilize only those employment
tests which actually predict objective and measurable criteria of
performance. The Housing Authority of the City of Encinitas will
utilize only those tests which are valid and correlate with the
criteria of performance. Uniform grading standards shall be
applied to each individual examination. Like tests shall be
administered under like conditions.
The selection of the best candidate shall be made by the depart-
ment head or designated supervisor. All positions are filled
only after approval by the Executive Director or his/her
designee. Ail persons selected must meet the minimum q~alifica-
tions for the position. A pre-employment physical may be re-
quired at the expense of the Housing Authority of the city of
En¢initas.
In the case of an emergency appointment only candidates with an
employment application on file will be considered for employment,
No candidate can be selected by a manager via the emergency
appointment method before a determination by the EXecutive
Director or her/his designee that an emergency exists.
The HACE Administration Department shall notify all applicants of
the fact of non-selection for employment. Ail applications for
employment will be hold for a period of not less than one year.
A record will be maintained of such applications for use by the
HACE Administration Department in determining any illegal dis-
criminatory pattern in employment.
No person shall be considered for full-time employment if a
spouse, brother, sistor, mother, father, son or daughter is
currently, a commissioner and/or employee of the Housing Authori-
ty of the city of Enoinitas.
Part D: Employee orientation
Ail employees will be informed as to their rights and responsi-
bilities as HACE omployees. They shall be informed how their
starting salary was established. They shall review the Personnel
Policy and be introduced to other employees.
Part E: Employee Probationary Period
1. Probationary Period for New Employees: A six (6) month pro-,,
bationary period shall be mandatory for all new employees. Any
such employee may be dismissed without cause during his/her pro-
bationary period wi~h the approval of the Executive Director.
Such dismissal shall not be subject to the procedures contained
in Section IX of this Policy Manual, but may be reviewed under
7 ~2~2-1Z
Section X of this Policy Manual if the dismissed employee feels
his/her civil rights have been violated.
Unless dismissed within the six (6) month probationary period,
such employee shall automatically attain full-time/part-time
employee status. During this probationary period, a new employee
shall accrue fringe benefits. However, the new employee shall
not take paid vacation until t_he end of the probationary period.
2. Probationary Period for ~mployees Accepting a New Position:
A six (6) month probationary period shall be mandatory for all
employees accepting a new position. Any such employee may be
demoted without cause or terminated with cause with approval of
the Executive Director during probationary period. Such an
employee shall retain all other aspects of full-time employment
status during this probationary period.
Part F: Performance Evaluations
All performance appraisals will reflect actual performance of the
job. All performance appraisals shall be in writing, shall be
reviewed with the employee and made part of the employee person-
nel file. An employee claiming discriminatory practice in
~erformanoe appraisals may appeal through the grievance procedure
in Section X. Management Policy Guide directs that supervisors
should strive to conduct evaluations every six months during
regular employment and more often during probationary periods.
However, at a minimum, a performance review between the
employee/manager must be held at the end of such six month
probationary period and during regular employment at least
annually. Performance evaluation materials will be provided by
the ~ACE Administration Department at the end of each employee's
probationary period and subsequent anniversary date for the
purpose of joint supervisor/employee evaluation. The completed
evaluation materials are to be returned to the HACE Administra-
tion Department to become a permanent portion of the employee,s
personnel file and a copy shall be given to the employee.
SECTION V: EMPLOYEE RULES AND REGULATIONS (HOURS OF EMPLOY-
MENT)
Following are the employee work rules and regulations with
respect to hours of employment:
1. Hours: All full-time employees shall be expected to work the
equivalent of an eight (8) hour day, forty (40) hour work week,
Monday through Friday, except for authorized absences. The HACE
may adopt a Flexitime System including a summer hours option.
These policies are incorporated together with the Flexitime Guide
found in Appendix F. This Flexitime Guide establishes permanent
policies for the flexitime system to be offered to employees,
subject to approval of their manager.
~e Lunch: Ail employees - one (1! hour per day as scheduled by
department head or 90 minutes if no rest periods are taken.
3. Rest Periods: All employees - fifteen (15) minutes each
morning and afternoon as scheduled by the department head.
ployees are not eligible for rest periods if they take 90 minute
lunch periods.
4. Emergency Closing: The Emergency Closing Policy (Appendix G)
will be utilized as defined in the policy.
SECTION VI: COMPENSATION PROGRAM
Par~ A: Compensation Program Administration
A ~niform salary scale will apply to all HACE positions, except
the Public Housing Maintenanoe positions which are required to be
paid wages determined by the U.S. Department of Housing and Urban
Development.
Pay checks will be issued bi-weekly on every other Friday with
time sheets for the preceding two weeks due the Monday prior to
the Friday pay day.
Fringe benefits and fringe benefit payment shall be uniform for
all ncn-exempt HACE positions. In no instance will discriminato-
ry practice justify a difference in the fringe benefit program.
NOTE: All exempt management employees' fringe benefits, shall be
the same as non-exempt employees except that the exempt manage-
ment employees' total contribution shall be paid by the Housing
Authority.
The anniversary dates for full-time and permanent part-time
employees, for purposes of seniority, shall be the yearly
anniversary of the first day of employment for full-time employ-
ees and the accumulation of 2,080 hours for part-time.
To facilitate the recording of vacation, sick leave, overtime,
other leaves and hours worked, all employees shall attach leave
slips to the time sheet for the pay period in which the leave was
taken.
Suitable forms shall be available through the HACE Administration
Department for use in time reporting. Every time report shall be
signed by the department head and then forwarded to the HACE
Finance and Accounting Department who shall be responsible for
keeping records of the employee's accruals.
1. Salary Ranges:
Ail positions will be assigned a salary range by approval of the
HACE Board. Salary range decisions will include consideration of
job rank relationships established by the Job Evaluation Commit-
tee (the committee will be designated by the Executive Director),
salary survey information from relevant labor markets and Housing
Authority of the City of Encinitas Board decisions for salary
budgets.
2. Salary Range Update Adjustments:
Salary ranges will be updated once each year by the Housing
Authority of the City of Encinitas Board to reflect actual and
anticipated market movement for salary ranges and salary budgets
in the coming year.
3. Merit Increases:
The Housing Authority Of the City of Encinitas utilizes an open
range compensation schedule. Merit increase percentages may be
determined annually by the HACE Board.
4. Guide for Determining Starting Salary:
New position incumbents will be assigned a salary rate within the
established salary range for the position.
A guide to choose theappropriate level for starting salary is as
follows: N~?~er of years of appl%cant's related experience or
education wn~cn would me helpful xn performing the job minus the
number of years of related education or experience desired for
entry to the position, if the resultant number is 0 or a nega-
tive number, then the starting salary is the minim~ salary for
that position.. If the resultant number is larger than zero and
if the experience is directly related (that experience where the
majority of the job duties were comparable to theposition being
filled), the applicant Will be given a 5% increase from the
minimum salary established for the position for each positive
integer of experience over requirements.
In no case can education be used to place a new position incum-
bent higher than the minimum salary established for the position.
In no case will starting salary be below salary range minimum,
only in exceptional cases will starting salary for new employees
be established above the midpoint of the appropriate salary
range.
5. Probationary ~eriod, Compensation:
Employees are not eligible to receive a salary increase within
the first six (6) months of the probationary period.
Boo~ ~ / ___~ge #
6. Salary Administration, First Two Years of ~mployment:
Employees, may at the manager's discretion, receive a merit
salary increase (as established by the HACE Board) after six (6)
months, as substantiated by performance appraisal if they have
satisfactorily completed the probationary period.
All employees will receive any salary increases that result from
salary range adjustments.
7. 'Salary AdministratioD - Incumbents Beyond 24 Month Employ-
ment
Employees, may, pending satisfactory ratings on performance
appraisals for the preceding months and at the supervisor,s
discretion, receive a merit salary increase with the approval of
the Executive Director as determined by the Housing Authority of
the city of Enoinitas Board annually, to a maximum of the top of
the range, for the employee's position effective on their anni-
versary date.
All employees will receive any salary increases that result from
salary range adjustments.
S. Salary Administration - HACE Employees Accepting A New
Position:
a. Starting Salary: If a HACE employee accepts a new position
with the HACE, the starting salary will be determined in accor-
dance with Section VI, Part A-4 above, effective on the date of
change to ~he new position.
Employees accepting a new position in a classification with the
~ame or with a higher salary range may be eligible for a salary
· ncrease, or may receive the same salary, but will not receive a
decrease in salary.
Employees accepting a new position in classification with a lower
salary range will not be reduced in salary but will be limited by
the top of the new salary range.
b. Salary Increase: If a HACE employee accepts a new position
with the HACE, he/she will be considered for salary increases in
accordance with Section VI, Part 6 and Part 7 above. Date of
hire will be determined by initial date of hire of continuous
employment in the new position.
9. Salary Administration - Position R~classification:
If a position is re-evaluated by the job evaluation committee, it
will receive a new point total and will be placed on the existing
compensation schedule. After the Executive Director has deter-
ook #, /
mined the classification for the position, if the classification
has a higher salary range, the incumbent will be assigned a
salary rate as stated in Section VI, Part A-4 above. If the
classification has the same or lower salary range, the incum-
bent's salary rate will remain the same.
Part B: Employee Overtime Compensation
There shall be no overtime worked without prior approval by the
affected manager. Each employee will be designated as exempt or
non-exempt in accordance with the Fair Labor Standards Act (FLSA)
definition. '
To comply with FLSA, all non-exempt employees will receive
overtime pay at one and one-half (1 1/~) times the regular hourly
rate for all approved time in excess of forty (40) hours in any
work week (Sunday - Saturday). FLSA allows compensatory time off
for non-exempt employees only if taken in the same pay period.
Compensatory time off is not allowed for non-exempt employees.
Exempt employees are not eligible for overtime pay or compensa-
tory time off.
Part C: Holiday Compensation
Any HACE employee who is required by his/her Department Head to
work on any HACE observed holiday shall be paid his/her regular
pay for the time worked on such holiday in addition to his/her
holiday pay. A permanent part-time employee shall be entitled to
holiday pay if a designated holiday falls on a day which the
employee is normally scheduled towork. Holiday compensation
will be based on the number of hours the employee is normally
scheduled to work that day.
The Housing Authority of the City of Encinltas has established
the following legal public holidays, plus one floating holiday
and any other holidays formally recognized by the Housing
Authority,s host City of En¢initas:
New Year's Day Labor Day
Martin Luther King, Jr. Day Veteran's Day
President's Day Thanksgiving Day
Memorial Day Day after Thanksgiving
Independence Day Christmas Day
Floating Holidays - The maximum number of floating holiday hours
an employee may have any time during the fiscal year is 8 hours.
Employees hired between July i and December 31 will receive 8
hourm of floating holiday upon date of hire. Employees hired
between January I and June 30 will receive 4 hours of floating
holiday upon date of hire. On July i of each year, the floating
12
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holiday balance for each employee will be increased to the
maximum Of 8 hours allowed by the policy.
Floating holidays shall be scheduled to first meet the operating
needs of the Housing Authority, and then the preference of the
employee. Authorization to use floating holidays is granted upon
submission of a Leave Request form by the employee. Reasonable
notification of the request shall be observed by the employee.
To be eligible to be paid for any paid holiday, an employee of
the Housing Authority musk be in an official pay status the last
work day before the holiday and the next work day after the
holiday.
When January 1, July 4, November 11, or December 25 fall on
Sunday, the following day shall be a holiday.
When January 1, July 4, November 11, Or December 25 fall on
Saturday, the preceding day shall be a holiday.
SECTION VII: BENEFITS
Part A: Income Protection Plan
It is the intention of the HACE to provide compensation for a
specified period of time for employees who become incapacitated
by a single episode of illness or a disability. To accomplish
this, the ]{ACE has established the following Income Protection
Plan.
A. Definitions
1. Eligible Employs9: For the purpose of this section, "Eligi-
ble Employee" shall mean all employees, excluding reserve employ-
ee~ whose appointment does not include the Income Protection
Plan.
2. ~_~_~Membe~: "Family Member,, shall mean a spouse, parent,
child (natural or adopted), other person under the legal custody
or care of the employee, or a person of similar significant
relation to the employee as determined by the Department Head.
3. Illness: "Illness,, shall mean disease, injury, impairment,
physical or mental condition, or any other cause of incapac-
itation requiring in-patient care in a hospital, hospice or
residential health care facility, or continuing treatment or
supervision by a health care provider or any other cause of
incapacitation of an Eligible Employee including that covered by
the provisions of the Workers' Compensation Laws of ~he State of
california.
/
4. Unit of Benefit: "Unit of Benefit" shall mean the equiva-
lent of one paid work day, whereby an Eligible Employee may
receive compensation for an Absence Occurrence at the employee's
established rate of pay.
5. Absence Occurrence: "Absence Occurrence" shall mean an
absence from work of the employee for one or more work days, not
to exceed 90 calendar days or the total number of hours equiva-
lent to 90 calendar days. An employee may not use two IPP Units
of benefit concurrently..Once an employee is absent from work
for 90 days, they are eligible for Long Term Disability.
Absences for which the employee will be compensated for up
to 90 calendar days under the Income Protection Plan without
reduction of Units of Benefit include the following:
a. Illness, injury, impairment or physical or mental condition
covered by the provisions of the Workers' Compensation Laws of
the State of California. Workers' Compensation statutory bene-
fits will be offset to the Income Protection Plan benefits up to
the 90 calendar days.
b. Any office visit not requiring an entire work day to a
licensed physician, chiropractor, dentist or oral surgeon provid-
ing the employee notifies the Department Head prior to the visit.
If the scheduled appointment is during normal work hours, the
employee is expected to be at work immediately preceding the
visit and/or be at or return to work immediately following the
visit.
B. Accrual of Units
1. New Hires - Eligible Employees, other than those specified
in Section VII, Part B.3 and B.4 below, shall receive the first
Unit of Benefit Upon the date of hire. Subsequent Units shall
accrue at the rate of one Unit every three consecutive months of
employment until 12 months have been completed. Accrual shall
begin on the last day of the month of hire.
During the 12 month period, employees shall not accrue Units
of Benefit for any three month period during which an Absence
Occurrence is incurred. However, if an employee has worked two
or more consecutive months prior to an Absence occurrence, h.e/she
shall accrue a Unit of Benefit for that three month period.
2. After 12-Month Period - After the initial 12-month period
has elapsed, employees shall accrue Units of Benefit at the'rate
of one Unit per month, except for any month in which an Absence
Occurrence is incurred. However, if an Absence Occurrence is
less than four weeks and falls within two months (i.e., illness
began in the previous month), accrual shall recommence in the
1 &, ~22 ' 12
month in which the employee returns to work and shall continue,
subject to reduction for Absence Occurrences, to a maximum of
five units.
C. Use of Units:
1. Compensation - An Eligible Employee's first Unit of Benefit
(the unit received upon date of hire) and all additional Units
thereafter shall be compensated at 100% of the employee's regular
rate of pay with one exception: if the employee uses his/her
Units of Benefit and drops to a balance of one Unit, compensation
will occur at 67% of the employee's regular rate of pay when the
last Unit is used.
Compensation is as follows:
Unit of Benefit Compensation
First Unit of Benefit 100 Percent
TWo or More Units of Benefit 100 percent
One Unit of Benefit 67 Percent
2. Illness of Family Member - In any fiscal year, one Unit of
Benefit may be used by an Eligible Employee for a single Absence
Occurrence of up to five consecutive work days due to a single
episode of disease, injury, impairment, physical o~ mental
condition, recruiting in-patient care in a hospital, hospice or
residential health care facility, or continuing treatment or
supervision by a health care provider, or any other cause of
incapacitation of family member, as defined in Section VII, Part
A.2.
3. Prior Approval - In order to apply a Unit of Benefit toward
an Absence Occurrence, the employee must first obtain the approv-
al of the Executive Director and his/her signature on the em-
ployee leave documentation form. The Executive Director may
require at his or her discretion, written verification of the
cause of any Absence Occurrence by a licensed physician, chiro-
practor dentist or oral surgeon.
4. Conversion - A Unit of Benefit may not be used in advance of
its a accrual or converted into cash, time off from work or any
o~her benefit.
D. Long Term Disability
In addition to the Income Protection Plan (IPP), all HACE employ-
ees, excluding reserve employees, receive 1cng term disability
insurance. This coverage is designated to provide, to persons
insured, a monthly benefit which partially replaces income lost
during periods of total disability.
Boo~ F , _eaEe #
Payment of benefits begins after a 90-day qualifying period is
satis£ied (during which time IPP can be used) and continues until
either the one period of total disability ends, or the maximum
duration of benefits expires.
Part B: Paid Leave of Absence (Annual Leave, Holidays and Other
Paid Leave)
1. Annual Leave
Annual Leave is important, to employees' mental and physical
health. It allows employees an extended period of time away from
their job. The intent of this policy is to ensure that all
employees have an adequate amount of time off each year. Fur-
thermore, the }{ACE encourages the use of this time. ~mployees
shall be given adequate opportunity during the year to use
accrued Annual Leave. Leave time shall be granted at a time when
it is not detrimental to the on-going operations of the HACE.
A. Regular ~mploYees: The accrual rate for regular employees
is as follows:
Hours of Biweekly Maximum
~reme~ Annual Leave A~crual Rate
Hire - 5 years 104 4.00 hrs. · 208 hrs.
5 - 10 years 128 4.92 hrs. 256 hrs.
10 - 15 years 152 5.85 hrs. 304 hrs.
15+ years 184 7.08 hrs. 368 hrs.
a. Ail regular employees shall be given credit for continuous
prior comparable public service employment at the rate of 1 year
for every 2 years worked.
b. Comparable public service e~ployment is defined as employ-
ment with a city, county, state, federal government or special
district in a position related to the position with the HACE or
the City of Encinitas.
The following guidelines are established to assist in
consistent crediting of "prior service":
i. 'Public service employment' is defined as employment in
city, county, state, federal government, or special
trict. 'Continuous prior public service' is defined as one
year or less interruption in public service employment.
ii. Prior service applies to full-time regular positions
and part-time positions that accrued vacation/annual leave.
iii. Only prior service that relates to the position being
filled with the HACE will be counted.
16 ~2~-12
* ... /
iv. Military service will not be included in the calcula-
tion of prior service.
B. Reserve Employee: Unless stated otherwise in the employee's
letter of reserve appointment, the accrual rate for reserve
employees is the same as regular employees. However, reserve
employees will not receive credit for prior comparable public
service. All reserve employees working less than forty (40)
hours per week accrue annual leave time on a pro-rata to the
number of hours worked.
C. General Guidance: T~e following are general guidelines for
use of annual leave:
a. Maximum Balance - An employee may not earn additional paid
Annual Leave after two (2) times the annual accrual has been
earned and remains unused. However, the Executive Director may
grant an employee the ability to accrue annual leave above the
specified limit for vacation plan~ed near the time an employee
reaches the maximum accrual, or a planned extended vacation, or
if the workload of an employee is such that she/he is unable to
schedule a vacation.
b. Annual Leave Accrual - Annual leave will be accrued on a
prorated rate each pay period.
c. . Conversion of Annual Leave to Cash - An employee may request
that all or a portion of their annual leave balance be converted
to cash. Such request shall be limited to unexpected and immedi-
ate financial hardship or onset of a debilitating physical
condition, where the employee is no longer able to perform the
duties of his/her position, and must be approved by the Executive
Director.
d. Separation of F~ployment - Upon separation from employment
with the HACE, an employes shall be entitled to cash out any
Annual Leave remaining.
e. Scheduling - The time at which an employee is granted Annual
Leave is determined by the employee's supervisor based upon:
i. The needs of the ~ACE; and
ii. The employee,s desires.
f. Requesting Time Off - A leave request form is to be submit-
ted by the employee and approved by their supervisor and the
Executive Director prior to the leave commencing. .
g. Holidays During Annual Leave - HACE holidays which occur
during an employee's Annual Leave are not d~ducted from Annual
Leave.
2. Funeral Leave
A permanent employee may be granted leave with pay when a death
occurs in the employee's immediate family or household. Immedi-
ate family and household members are defined in Section VII, Part
A. Ordinarily the maximum amount of leave with pay for funeral
leave be three (3) consecutive days. However, where circumstanc-
es warrant, the supervisor may authorize a longer period of leave
with pay, not to exceed five (5) working days. Leave with pay
for a funeral for other than an immediate family and/or household
member may be approved, at the discretion of the Executive
Director. The type of leave (sick leave or administrative leave)
and the amount of leave authorized will be decided by the Execu-
tive Director. If an employee takes time off for a funeral in a
situation not covered above, such time off shall be a leave of
absence without pay unless the employee elects to take vacation
time.
3. Military Leave
Employees who are members of any reserve component of the Mili-
tary Forces cf the United States shall be granted leave of
absence with pay not to exceed fifteen (15) days in one year in
order to go on active duty for such training periods as are
necessary to their participation in a reserve training program.
All requests for military leave will require four (4) weeks
notice except in the advent of a national emergency. Copies of
military orders requiring military leave shall be submitted to
the supervisor prier to the grant of approval.
~11 existing federal and state statutes applicable to the rights
of any employee who in on a leave of absence from the HACE for
military service shall be applicable under this Policy Manual.
4. Court Duty
Employees subpoenaed as witnesses or called and selected for jury
duty shall receive their regular compensation and fringe bene-
fits. Pay received for Jury or witness duty must be given to the
HACE.
Par~ Cz Insurance, Worker's Compensation and Retirement
1. Insurance Benefits
A. Hospital - Medical - Surgical Insurance - Dental~
(C) Long Term Disability (LTD)
LTD provides an insured employee with monthly payments to par-
tially replace income if he/she becomes totally disabled. LTD
provides a monthly benefit of insured employees who become
18 w222-12
totally disabled by accidental bodily injury, sickness or preg-
nancy. After a qualifying period of 6 months, benefits will
accrue with respect to any one period of total disability.
Employee participation in the LTD program is mandatory for all
eligible employees. Employees must work at least 30 hours per
week to be eligible for this benefit. The HACE and full-time
employee each pay 50% of the LTD insurance premium cost.
2. Worker's Compensation
An employee receiving compensation under worker's compensation
will be processed in the following manner, which applies only so
long as the employee has accumulated unused sick leave:
(A) The employee will keep the worker's compensation check and
provide the HACE Finance and Accounting Department with a copy of
the check.
(B) The ~ACE will pay the employee the difference between the
worker's compensation check and full salary.
(C) The employee's sick leave will be reduced by the amount of
pay listed above in Section VII, Part D, 2B, translated into
hours and days.
If any employee does not wish to have his accumulated sick leave
reduced.through the process described above, such employee may
choose an option of declining monetary compensation by the ~ACE
and retain accumulated sick leave on the books. Upon return to
work, a doctor's certificate shall be required to show the
employee's ability to work at his/her former job. The employee
is obligated to inform the HACE Accounting Department of the
amount of the worker's compensation payment immediately upon
receipt of such payment. Failure to notify the HAC~ Finance and
Accounting Department upon receipt of such payment shall subject
the employee to discharge from employment.
3. Retirement
When the Housing Authority of the city of Encinitas is a partici-
pant in the [ name of retirement plan ] .. The HACE will have a
master retirement system which has been approved by HUD and all
applicable Internal Revenue Codes. It will be a private retire-
merit plan which gives each participating agency flexibility as to
desired features.
In accordance with HUD guidelines, the HACE will provide that
contributions made by the participating employees be vested in a
Fixed Income Fund earning a guaranteed rate. Each participant
has the option of investing the Agency contributions on his/her
behalf in either the [ name of ] Fund or in the [ name of ]
Fund. Employees may choose the disposition of their share of
19 ~22.12
, / -- age
Agency contributions on a percentage basis. Employees will be
contributing 5 percent of their basic monthly salary and the HACE
will provide 5 percent of the employee's monthly salary.
Employees active in the plan will become vested at a rate of 20
percent for each full year and 100% vested after five years in
the Plan. All per~anent employees 18 or over will join the Plan
effective with their employment date. No minimum service is
required. A permanent employee working over 1,040 hours per year
must participate. Temporary employees are not eligible to parti-
cipate in HACE Retirement.Plan.'
Social security is not a retirement benefit and shall not be paid
by the Housing Authority of the City of Encinitas.
Part D: Deferred Compensation
A deferred compensation plan is available to all permanent
employees on a voluntary basis.
Part E: Credit Union
The Housing Authority of the City of Encinitas participates in
t~he San Diego County Credit Union (SDCCU). Employees par~icipa-
tion in SDCCU programs is completely voluntary. Information
regarding membership can be obtained from the }lACE. Accounting De-
partment.
Part F: Work Expense Payment
All employee claim~ for reimbursement for allowable expenses and
mileage (mileage rate to be set by the HACE Board Of Commission-
ers) shall be filed with the HACE Finance and Accounting Depart-
ment within a reasonable period (fifteen days as a guide follow-
ing the date which such expenses are incurred. For detailed
information regarding allowable expenses, consult the Travel,
Conference, and Seminar Policy, which is found in Appendix J.
Out-of-state travel must be approved by the }{ACE Board. If out-
of-state travel is approved, it shall include round-trip tourist
air fare and allowable expenses, including registration. Over-
night in-state travel requires Executive Director approval.
In-state travel not requiring overnight consideration is subject
to management approval.
Part G: Tuition Reimbursement
Any permanent employee working 20 hours a week or more who, in
order to improve his/her work performance, take~ undergraduate or
graduate courses which have a direct beneficial relationship to
his/her work, may receive a refund in the amount of up to 100% of
tuition upon submission of evidence of successful completion of
An employee desiring to take advantage of this training program
must have the course work approved by his/her supervisor prior to
enrollment. Factors upon which an employee's eligibility depends
include the past work record of the employee, his/her performance
ratings, length of service, the relevancy of the course work to
the position, the status of the educational institute and the
availability of funds.
Courses not required by t~e Department Head must be completed
during non-working hours, unless approval is received from the
Department Head. If special approval is granted, the employee
must take his/her own time to make up the time within the same
payroll period. The Department Head has the authority to make
the final determination as to which alternative will be used. If
the employee separates from emplo!rment within six (6) months
after reimbursement for courses not mandated by his/her Depart-
me~t Head, the employee concerned shall make full restitution of
all HACE funds expended. This provision shall not apply to any
employee who is forced to resign for health reasons which are
verified by a licensed physician.
SECTION VIII: RESIGNATION/TEP~4INATION AND LAY-OFFS
Part A: Resignation/Termination
If an employee wishes to resign from HAC~ service, the employee
shall submit his/her written resignation to the Department Head.
To resign in good standing, the employee must give at least (14)
days no, ice (excluding time taken off for vacation) of his/her
intention. Failure to give required notice is grounds for
forfeiture of severance benefits as described in the following
paragraph.
All employees who retire or whose eml~loyment is terminated shall
be entitled to payment for accumulated vacation time not to
exceed 26 days for employees with 1-3 years of service or 35 days
for employees with 4 or more years of service and one-half (1/2)
of all unused sick leave not to exceed fifty (50) days paid.
Therefore, an employee would need ~o have accumulated 100 sick
leave days in order to receive the maximum 50 paid days.
Upon death of an employee, pay will be made available upon demand
by the decedent's surviving spouse, dependents, or personal
representative, in the form of a check made payable to the
decedent for the purpose of depositing it with the decedent's
estate. Pay shall include one-half accumulated sick leave not to
exceed (50) days, accumulated vacation pay, and all wages earned
but not received by a deceased employee.
/
BOOt~, ~ ~_.r'a&e ~
Part B: Lay-Offs
The following procedure shall apply should the need to reduce
staff size become necessary for reason of curtailment of work or
lack of funds as determined by the Department Head with approval
by the Executive Director.
Within each department and within each classification selected
for reduction in force, initial probationary permanent part-time,
initial probationary full-time, permanent part-time, and full
time employees shall be selected for separation in that order.
People, within each classification, will be selected for separa-
tion on the basis of length of continuous service with the
agency, with the least senior person selected first for separa-
tion. People so selected for lay-off shall be given at least a
fourteen (14) calendar day written notice of such decision prior
to separation.
Persons selected for separation by this process shall be placed
on unpaid personal leave of absence status for a period not to
exceed twenty-four (24) months. The employee on lay-off status
shall pay for benefits they wish to maintain (HACE pension,
voluntary contributions or health benefits - starting the month
following lay-off), except Long Term Disability which is paid by
the ~ACE during lay-off. The life insurance benefit is not
available while on lay-off status. An employee on. lay-off must
officially terminate to collect their pension and will lose the
lay-off status at time of termination.
Recall shall be on ~he basis of length of continuous service with
the }lACE as compared among those on lay-off status for a parti-
cular classification. The person with the greatest total length
of continuous service shall be recalled first. Notice of recall,
indicating position, department and location shall be sent via
certified mail to the employee's last known address. The employ-
ee has fifteen (15) work days from date of notice to report to
work in that position. Should the employee fail to report, the
open position will then be offered to the next person on the
recall list following the procedure explained above.
SECTION IX: DISCIPLINARY ACTION AND CAUSES FOR IM~I~DIATE DIS-
MISSAL
Part A: DlsciplinaryAction
For any employee who has successfully completed his/her proba-
tionary period, disciplinary action for minor rule infractions,
incompetency, or inefficiency in the performance of employment-
related duties shall be carried out as follows:
Step 1: Warning Notice
~ 22 ~222-12
Written warning of a decision by an employee,s supervisor of the
occurrence of minor rule infractions, incompetency, or ineffi-
ciency shall be issued to said employee. Such notice shall be
delivered to the employee and placed in the employee's personnel
file. This warning notice shall remain in effect for a period of
six (6) months from the date of its issuance.
Step 2: Dismissal
Within the six (6) month period that the warning notice is in
effect, the commission of a subsequent minor rule infraction or
the failure on the part of the employee to correct the incompe-
tency or inefficiency by the end of the six month period shall be
cause for dismissal or demotion or salary reduction as recom-
mended by supervisor and approved by the Executive Director.
Part B: Causes for Immediate Dismissal
Any employee who has successfully completed his/her probationary
period shall be subject to immediate dismissal by the employee,s
supervisor, without the necessity of compliance with the disci-
plinary action provisions set forth in Subsection A above, for
any of the following reasons:
1. Under the influence of alcohol or any other non-prescribed
drugs or prohibited substance while on duty.
Willful misconduct other than minor rule violations.
3. Insubordination.
4. Carelessness and negligence in the handling or control of
· Housing Authority of the City of Encinitas property or the
appropriation of Housing Authority of the City of Encinitas
property for his/her own use without adequate payment therefore.
5. Acceptance of a gift under circumstances from which it could
be inferred that the giver expected or hoped for preferable or
favored treatment in an official or department matter.
6.' Absence from duty without just cause for three or more days.
7. Proven dishonesty in performance of duties.
8. Prohibited political activity pursuant to Section II, Part C
of this Policy Manual.
9. Failure to submit to a medical examination, or failure to
meet necessary minimum medical standards of physical fitness.
Written notice of the dismissal shall be given to the employee by
the department head setting forth the reasons for the dismissal.
An employee who has been terminated in accordance with this
section may upon request, have the dismissal reviewed by the
Executive Director.
All documentation pertaining to disciplinary action and dismissal
proceedings shall be entered in the employee's personnel file.
SECTION X: GRIEVANCE PROCEDURE
The following grievance procedure is available to any employee
who has an employment-related complaint and/or feels that his/her
civil rights have been vi61ated.
Step One
The aggrieved person must present a written complaint on the
official Housing Authority of the City of Encinitas grievance
report form to hie/her supervisor within five (5) daye of the
occurrence of the act, event, or omission constituting the
alleged grievance. If the employee fails to comply with this
section, he or she shall waive his/her grievance rights under
this Section (X). Upon receipt of the said complaint, the
manager shall respond in writing within five (5) working days.
Such response shall set forth the supervisor'e proposed remedy to
the complaint or his denial of a remedy and hie reasons there-
fore.
Step Two
If the employee feels the grievance is not resolved by Step One,
he/she shall have the right to demand in writing a hearing before
the ~Xecutive Director. If no written demand for a hearing is~
received by the Executive Director within five (5) working days
following the supervisor's written responee, the employee waives
his/her right to a hearing before the Executive Director. The
Executive Director shall give the employee written notice of time
and place of hearing. A written record shall be kept of all such
proceedings, and written findings of the Executive Director shall
be issued to both the employee and the supervisor.
Step Three
Both the employee and the supervisor shall have the right to
appeal the decision made by the Executive Director at the hearing
under Step Two to the Housing Authority of the City of Encinitas
Board of Commissioners within ten (10) workings of such decision.
The Housing Authority of the City of Encinitas Board shall limit
ire scope of review to the record of such hearing.
A copy of the Official Housing Authority of the City of Encinitas
Grievance Report Form is on the following page.
~222 - 12
GRIEVANCE REPORT
F24PLOYEE NAMe:
DATE - GRIEVANCE OCCURRED:
Specific detailed statement of grievance, including other
employees involved or compared to, description of casual event,
and consequences of the event:
Interpretation, in detail, of the terms of the Housing Authority
of the city of Encinitas Personnel Policy and Procedures Manual
and/or the Affirmative Action Policy violated and claimed in
support of the grievance:
The remedy which would redress the grievance:
Disposition of grievance:
SIGNATURES
Grieved ~mployee(s):
Date:
Date:
APPENDIX A
POLICY ON P~RSONNEL PLAN CHANGES
The Mousing Authority of the City of Encinitas Board will use the
following criteria in evaluating whether to make changes/
modifications to the Housing Authority of the City of Encinitas
Personnel Policy Plan.
1. The City of Encinitas-Personnel Policy Plan will be used as a
guide for dete~mining whether changes should be made.
2. a. The extent to which any proposed change addresses a lack
of comparability that exists between Housing Authority of the
city of Encinitas policies and that of other Housing Authorities;
b. or the extent that the proposed change addresses a
Personnel Policy issue that is not presentiy covered by the
Housing Authority of the City of Encinitas Personnel Policy.
$. In determining whether to make Personnel Policy changes to
the Housing Authority of the City of Encinitas Board will
carefully review the economic impact on the proposed change on
the Housing Authority of the City of Encinitas budget.
4. The Housing Authority of-the City of Encinitas Board will
review non-urgent Personnel Policy changes annually at budget
time. Urgent Personnel Policy items related to statutory changes
will be addressed by the Housing Authority of the City of Encini-
tas Board as soon as feasible.
APPENDIX B
AFFIRMATIVE ACTION PROGRA~
I. Dissemination of Information
A. The Housing Authority of the City of Encinitas Personnel
Policies and Procedures Manual includes this program as Appendix
B.
B. References to EEO Bulletins (Equal Employment Opportunity)
and changes in the Affirmative Action Program will be highlighted
in any City employee bulletins, and on a person to person basis.
C. Ail new employees are indoctrinated with their rights and
responsibilities regarding the Affirmative Action Program.
D. A copy of the Personnel Policy and Procedures Manual contain-
ing as Appendix B, a copy of this Affirmative Action Program will
be available in the Administrative office and a copy of each
required Equal Employment poster, will be posted and maintained
on each bulletin board or space reserved and marked as a HACE
Employment Information Center for perusal by employees and the
general public.
E. An appropriate ',Nondiscrimination" clause wtll'be negotiated
into any labor agreements with organized employees.
F. The words "An Equal Opportunity ~mployer" and/or "An Affirma-
rive Action Employer" will appear on all invoices, contracts,
leases, stationery, employment advertising, etc., of the Housing
Authority.
G. All contracts shall require contractors, subcontractors, and
vendors to state that the contractor, subcontractor, or vendor
fully intends to comply with the standards of Equal Employment
and Anti-discrimination as cited in the Civil Rights Act of 1964,
as a~ended by the Equal Employment Opportunity Act of 1972.
The Housing Authority of the City of Encinitas practice of
awarding contracts to the lowest, bidder shall be followed pro-
vided the bidder meets the City's Affirmative Action require-
ments. If a contractor, subcontractor or vendor does not comply
with the HACE'S Affirmative Action Requirements, the contract may
be awarded to the next lowest bidder with the same procedure
applying.
H. Department Heads will receive an annual update and orienta-
tion on this program at a Department Head Meeting. Each Depart-
ment Head will direct subordinate managers in their Affirmative
Action responsibilities.
II. Recruitment and Hiring
A. The Housing Authority of the City of Encinitas will proceed
to develop effective recruiting sources of women and minorities.
Information will be solicited from women and minority applicants
to determine recruiting sources. Compiled information will be
reviewed on a regular basis to determine recruiting source
effectiveness. The HACE will develop and maintain good working
relationships with effective recruiting sources.
B. Ail notices of any position vacancy in the Housing Authority
of the City of Encinitas organization, including newly created
positions, shall be posted on the F~CE Employment Information
bulletin spaces for a period of not less than ten (10) working
days. Each posting shall include the position, title, salary,
statement of duties, minimum required qualifications, instruc-
tions for making application, and time deadlines for making
application. Ail Board-approved, full-time positions which are
vacated by resignation or other reasons and all newly created
positions shall be made available to applicants in the following
order:
1. Any existing qualified full-time HACE employee.
2. All other.
C. Ail employment screening shall, utilize only those employment
tests which actually predict objective and measurable criteria of
performance. The Housing Authority of the City of Enoinitas will
utilize only those tests which are valid and correlate with the
criteria of performance. Uniform grading standards shall be
applied to each individual exam. Like tests shall be a~minis-
tered under like conditions.
D. Prior topostlng, the descriptions and qualifications for
each position will be closely ex~mined to determine the extent
that the existing descriptions and qualifications present artifi-
cial barriers to employment in the position. Posted qualifica-
tions will be the minimum required for satisfactory performance
in the position.
E. Employment application forms will include job-related ques-
tions only.
F. The Housing Authority of the City of Encinitas shall notify
all applicants who participate in testing or employment inter-
views if they are not selected for employment. Such applications
will be returned to the active application file for consideration
in subsequent screening for similar position vacancies. A record
will be maintained of such applications for use by the Adminis-
tration Department in determining any illegal discriminatory
patterns in employment.
6'2 ~2~-12
iii. Employee Retention
A. A grievance procedure is available to any employee who has an
employment-related complaint and/or feels that his/her civil
rights have been violated.
B. Ail full-time employees who are terminated or who resign
their positions shall be given an opportunity to participate in
an exit interview with the Affirmative Action Officer to provide
an opportunity for employee expression of the reason for resigna-
tion or termination. All exit interviews shall determine
employee views with regar~ to execution of the Affirmative Action
Policy. A record of complaints filed will be maintained to
enable determination of improper practice under this policy.
C. All disciplinary action, suspension, and dismissal will be
carried out pursuant to the Personnel Policy and Procedures
Manual.
D. All performance appraisals will reflect actual performance on
the job. All performance appraisals shall be in writing, shall
be reviewed with the employee, and made part of the employee
personnel file. An employee claiming discriminatory practice in
performance appraisal may appeal through the grievance procedure
as set forth in Section III, Part A, of the Affirmative Action
Program.
E. A job description shall be established for each full-time
position and shall be reviewed by the Board prior to authoriza-
tion to staff the position. Each position description shall
include the following components: Title, Department, Chain of
Command, Location, Salary Range, Date ~osition description estab-
lished Or revised, General Statement of position objectives,
Specific statement of Position Duties and Responsibilities and
Specific statement of qualifications required to perform duties
and responsibilities. Job descriptions shall be maintained on
file in the Administration Department.
IV. Training and Upward Mobility
It is the intention of the Housing Authority of the City of
Encinitas to analyze, describe and evaluate each position. When
the associated minimum job skill requirements for each position
have been adequately described, each position will be examined to
determine relationships in required skills with other positions.
These positions related by similarity in required skills but at
different levels of responsibility will be linked by career lad-
ders. Career ladders define the additional educational and skill
requirements necessaz~ to qualify for promotion to higher levels
Of responsibility in related skill areas. The HACE will develop
a policy to encourage employees to develop specific qualifica-
tions for higher levels of responsibility. Women and minorities
~22-12
Boom /
will be specifically encouraged to participate in such develop-
ment programs as they are developed. Such programs may include
On the Job Training, special in-house instructional classes, and
specifically defined external classroom training when deemed
appropriate to the acquisition of specific skills.
V. Personnel Utilization
In execution of this Affirmative Action Program, the Affirmative
Action Committee will monitor job classifications, job applica-
tions, promotions and trangfers, disciplinary actions and termi-
nations.
VI. Goals
It is the intention of the Housing Authority of the City of
Encinitas to take Affirmative Action and achieve goals for the
increased employment of women and minorities in positions of
increased salary and responsibility. To this end external
availability information will be developed and used to guide
affirmative hiring practices.
APPENDIX C
JOB EVALUATION APPEAL PROCEDURE
1. ACCESS TO APPEAL PROCEDURE
A. Job evaluation decisions made by the Job Evaluation Commit-
tee may be appealed as noted in the procedure outlined in Section
II.
B. If appealed, the re-eyaluation decision made by the Commit-
tee shall be final. Based on the Committee's re-evaluation, the
Executive Director has three options:
1. to place the job in a higher grade;
2. to place the job in a lower grade; or
3. to retain the job in the same grade.
C. A re-evaluation resulting from an appeal will be made on the
basis of existing record, consisting of:
I. the current job description;
2. an optional supplementary memo, specific to the clarifica-
tion or elaboration of information contained in the job descrip-
tion; and
3. the written responses of the Department Head and Executive
Director in Stsps 2 and 3.
D. If a new job is created or there is a reassignment of job
duties and a Job is substantially changed in content, a new job
description will be written and an evaluation made by the Commit-
tee. This does not constitute an appeal, but a new evaluation
based on changes in organization structure.
II. PROCEDURE AND FINAL DECISION
A. Steps ars as follows:
1. Verbal appeal may be made by an employee to the Department
Head within 5 work days of posted job evaluation results.
2. Written appeal may be made by an employee to the Executive
Director within 10 work days of Department Head decision.
Executive Director has 10 work days for response.
3. Written appeal may be made by an employee to the non-voting
Chairperson of the Job ~valuation Committee within 10 work days.
The Chairperson, upon receiving the appeal, shall arrange for a
meeting of the Committee. The Committee will re-evaluate the job
within 15 work days of receipt of the appeal by the Chairperson.
B. The Committee's re-evaluation de¢~sion shall be final and
shall constitute the agency's final position.
C. Job evaluations cannot be appealed through the Personnel
Complaint Procedure.
C-2 ~/222-12
APPENDIX D
ANTI-SEXUAL HARASSMeNT POLICY
The Housing Authority of the City of Encinitas (HACE) has an
affirmative obligation to keep the work place free of sexa/al
harassment. This obligation extends not only to claims brought
to its attention by an employee, but also to matters of which it
should be aware.
It is the obligation of the Executive Director and Department
Heads to insure that sexual harassment does not occur in the
workplace. The investigation of all such complaints, filed under
this Policy shall be performed by the city of Encinitas Employee
Relations Department on behalf of The Housing Authority of the
city of Encinitas. Ail HACE staff involved in any such investi-
gation must cooperate fully with this Department.
The Equal Opportunity Commission has defined sexual harassment
as:
"Unwelcome sexual advances, requests for sex, al favors, and other
verbal or physical conduct of a sexual harassment when:
(1) Submission to such conduct is made either explicitly or
implicitly a term or condition of an individual,s employment;
(2) Submission to or rejection of such conduct by individual is
used as the basis for employment decisions affecting such indi-
vidual; or
(3) Such conduct has the purpose or effect of unreasonably
interfering with an individual,s work performance or creating an
intimidating, hostile, or offensive working environment.,,
Examples of such behavior as described above include:
-Verbal harassment or abuse (perhaps in guise of humor).
-Subtle pressure for sexual activities.
-Remarks about a worker's clothing, body, or sexual activities.
-Touching, patting or pinching.
-Leering or ogling of a worker's body.
-Demanding sexual favors accompanied by implied or overt threats
concerning one's job, letters of recommendation, etc.
Any employee who feels that he or she has been the victim of
sexual harassment should immediately notify his or her supervisor
of the remarks or conduct which the employee believes to be
sexual harassment. Should a victim of sexual harassment have a
complaint against his/her supervisor, then the notification shall
be to the Executive Director, or the Housing Authority Board of
BOOk# / --~.ge # ~ ,,-
Commissioners in th~ event the complaint is lodged against the
Executive Director.
The victim should state With specificity the contents of the
remarks or other action which constitutes the alleged sexual
harassment. The manager shall then inform the Executive Direc-
tor, who shall forward the complaint to the Encinitas City
Employee Relations Department for investigation. A~y complaints
concerning sexual harassment will be handled in strict confidence
with those involved, which may include the victim, alleged per-
petrator and supervisors. -Violation of this confidentiality
requirement may result in personal liability and/or disciplinary
action, including dismissal.
This policy is not an exclusive remedy and nothing in this policy
is meant to discourage an employee who feels he/she has been
harassed or discriminated against from pursuing any other legal
remedy.
APPENDIX E
RESERVED
APPENDIX F
FLEXITIME GUIDELINES
(To be determined)
APPENDIX G
EMERGENCY CLOSING POLICY
Therefore, this policy provides for centralized reporting of
emergency conditions to the Executive Director. The Executive
Director or his designee shall have the authority to declare an
emergency condition.
Definition:
An emergency condition may'be:
A. A full City-Wide emergency condition that could potentially
cause harm to the health and/or safety of all Housing Authority
of the City of Encinitas employees.
Housing Authority of the City of Encinitas OFFICES MUST REMAIN
OPEN AN~ OPERATING WITH FULL SERVICES IF AT ALL POSSIBLE.
The Executive Director is responsible for informing Department
Heads of any City-Wide emergency condition that may potentially
be hazardous to employees. Department Heads have the authority
to release employees without pay (or by using vacation time or
compensatory time) when the employee deems his/her safety is in
jeopardy and as long as the department is able to continue to
function.
The Executive DirectOr may officially declare an emergency
closing, according to the conditions defined above, and release
HACE employees according to the following:
A. City-Wide Emergency Conditions:
1. TheExecutive Director shall notify Department Heads of any
emergencyclosing, authorizing the release of employees. The
Department Head shall determine which employees are deemed
essential to remain at work.
2. Employees will he released with pay and will not be required
to make up the time.
3. Employees who do not report for work have the option of
being paid by using vacation, compensatory time or unpaid leave
for the hours not worked before an emergency closing was offi-
cially declared.
4. Employees and the general public may be advised not to leave
the premises because of emergency conditions continuing after
regular working hours. Remaining on the premises after hours
will not entitle employees to overtime compensation or compensa-
~.1'
??
tory time off at a later date unless they remain at work because
they are required by Department Head direction to assist duringI
the emergency situation.
5. An employee on sick leave or vacation status at a time of
emergency closing will not be affected and will have his/her sick
leave or vacation account charged accordingly.
6. Part-time employees who were scheduled to work will be
treated in the same manner as full-time employees on this issue.
(Hours paid will not exceed scheduled number of work hours.)
7. Employees who are not able to report to work when the office
is open, may, at their supervisor's discretion, make up the lost
hours within a reasonable period of time.
~r222.12
APPENDIX H
CONFIDENTIALITY OF HOUSING AUTHORITY INFORMATION
The purpose of this article is to give explicit direction to the
employees of the Authority so that they will protect the privacy
and confidentiality of the tenants and employees of the Authority
in accordance with applicable federal and state laws. It is the
policy of this Authority to prevent unwarranted invasions of the
privacy of any individual Qbe has applied to be a tenant or
employee or is currently a tenant or employee of this Authority.
The protection of the privacy of said individuals must, however,
be balanced with the duties of the Authority to comply with the
public disclosure laws of the State of California.
A. Documents. Records and F%les. The following documents,
records and files are confidential and shall not be disclosed by
any employee of the authority: (Citations of the California
Statutes which authorize confidentiality follow each description)
1. Ail applications for eligibility and occupancy which are
submitted by prospective or current tenants of the Authority.
(Health and Safety Code §34332 (c))
2. Personnel, medical or similar files, the disclosure of which
would constitute an unwarranted invasion of personal privacy.
(Goverument Code §62S4 (c))
3. Preliminary drafts, notes, or inter-agency or intra-agency
memoranda which are not usually retained by the Authority in the
ordinary course of business. (Government Code §6254 (a))
4. Records of complaints or investigations conducted by any law
enforcement or investigation agency. (Government Code §6254 (f))
5. The contents of real estate appraisals or engineering or
feasibility estimates and evaluations made for or by the Authori-
ty relative to the acquisition of property, or to prospective
public supply and construction contracts. (Government Code §6254
(h))
6. All records which are prohibited from being disclosed by
provisions of federal or state law including matters which are
privileged such as confidential communications between the
Authority and its attorneys. (Government Code §6254 (k) and
Government Code §6254.25)
7. Statements of personal worth or personal financial data
required by the Authority and filed by an applicant with the
Authority to establish his or her personal qualifications for the
fl.1 ~222'~2
Boo / --wage
certificate, voucher, contract or any other permission applied
for. (Gove=nment code §6254 (n))
8. Ail records of the Authority related to activities which
reveal the Authori~y's deliberative processes, impressions,
evaluations, opinions, recommendations, meeting minutes,
search, work products, theories or strategies, or which provide
instruction, advice or training to employees who do not have full
collective bargaining and representation rights. (Government Code
e. Ail records of the Authority which reveal any portion of its
negotiation with providers of health care services. (Government
Code §6254 (q))
10. The home addresses and home telephone numbers of employees
of the Authority, except that disclosure of this information may
be made as follows;
(i) to an agent or family member of the individual to whom the
information pertains.
(ii) to an officer or employee of a state agency or department of
the City, when necessary for the performance of his/her official
duties.
(iii) to an employee organization pursuant to regulations adopted
by the public employee's retirement system.
(iv) to an agent or employee of a health benefit plan providing
health services for administering claims for health services to
employees of the Authority and their enrolled dependents, for the
purpose of providing health services and for administering claims
for said employees and their dependents.
Upon written request of any employee, the Authority shall not
disclose the employee's home address or home telephone number
pursuant to paragraph (iii) above, and the Authority shall remove
the employee,s home address and telephone number from any mailing
list maintained by the Authority, except used exclusively by the
Authority to contact its employees.
Ail requests for information contained in the records and files
of the Authority shall immediately be referred to the Office of
theExecutive Director for response.
If the request is made by a federal agency and the request is for
a record which is confidential pursuant to this policy or Cali-
fornia State Law, then the Executive Director shall require the
Federal Agency to agree in writing to comply with §6250 §6265 of
the Government Code of the State of California. (Government Code
§6254.5)
The Executive Director shall, determine within ten (10) days after
the receipt of a request for information whether to comply with
the request, and shall i~mediately notify the person making the
request of such determination and the reasons therefor. If the
Executive Director determines that he/she needs a legal interpre-
tation to determine whether the request is covered by the confi-
dentiality rules hereinabove stated, then the Executive Director
shall give written notice to the person making the request
stating that the request has been referred to legal counsel for
determination and shall state that the determination will be made
on or before the 20th day ~fter the request was received. If it
is decided that the records are confidential and will not be
disclosed, a notification of denial to the person making the
request shall contain the names and titles of all people involved
in making the decision denying the request. It shall be grounds
for denial of a request for information from the records of the
authority that the request does not reasonably describe an
identifiable record or information to be produced therefrom.
(Government Code §6256, §6256,1, and §6256.2)
If a request with respect to public records of the Authority is
received which reasonably describes and identifiable record or
information to be produced therefrom and which request does not
involve records which are heretofore described as confidential,
the Executive Director shall make the records promptly available
to the person requesting same for inspection or shall make copies
available upon payment of fees covering direct costs of duplica-
tion. Said fees shall be established by the Executive Director
and the fee charged shall he the fee in existence when the
request is received. Inspection of the records shall take place
during normal office hours of the Authority. (Government Code
B. Information Known to Housing Authority Emmlovees Because of
the Circnmstances of Their Emulo~vme~e. Housing Authority employ-
ees learn a great deal of information about other employees and
tenants of the Authority through the normal performance of an
employee's duties. Much of this information, if disclosed, would
constitute an unwarranted invasion of personal privacy. Every
individual has a right to be protected from an unwarranted
invasion of personal privacy. However, no individual has the
right to be protected in the performance of activities which are
criminal, dangerous or destructive. Employees shall report to
the Executive Director or his designee any knowlsdge which they
possess regarding criminal, dangerous or destructive activity on
the part of tenants or other employees. Employees are directed
to refuse interviews with news reporters, other employees, agents
of local state or federal government or any other person without
first contacting the EXecutive Director or his or her designee
for determination of whether the information sought would consti-
tute an unwarranted invasion of privacy of a tenant or employee
of the Authority.
The California Informational Practice Act of 1977, Civil Code
§1798.53 provides that any individual who discloses personal
information from Authority records or records maintained by the
Federal Government is liable for a $25,000 fine plus costs,
attorneys fees and any damages for the invasion of privacy which
results therefrom.
The Executive Director shall direct employees to refuse to give
information (which is not contained in Authority records) if all
of the following conditions are true:
1. The employee learned t~e information solely through perfor-
mance of his/her duties as an employee of the Authority; and
2. The information sought is about an individual Or individuals
who are tenants or employees of the Authority; and
3. The information is sought without court papers (e.g. Subpoe-
na, Warrant or Writ).
If court papers are involved, the matter shall be referred to
legal counsel.
APPENDIX
CONFLICT OF INTEREST COD~
OF T~E
HOUSING AUTHORITY OF T~E CITY OF ENCINITA~
SECTION 1. PURPOSE. Pursuant to the provisions of
Government Code §§ 87300, et seq., the Housing Authority of th~
City of En¢initas hereby adopts the following Conflict of Inter-
est Code (Conflicts Code). This Conflict of Interest Code shall
be incorporated into the Personnel RUles and Regulations of the
Housing Authority pursuant to Health and Safety Code 8 34278. It
is intended that the provisions of this code conform to the
greatest extent possible with the provisions of the city's
Conflict of Interest Code and that compliance by any city employ-
ee with the more restrictive of the two codes shall suffice as
¢o~pliance with this Conflict of Interest Code. Duplicate
filings ~hall not be required.
Nothing contained herein is intended to modify or'abridge
the provisions of the Political Refoz~ Act of 1974 '(Government
Code 8 81000 et seq. "the Act"). The provisions of this Con-
flicts Code are to effect comloliance with Government Code 8§
87100 - 87500; Health & Safety Code 88 34281, 34328.2 and other
laws pertaining to conflicts of interest including the Hatch Act,
18 U.S.C. 8595. Except as otherwise indicated, the definitions
of said Act and regulations adopted pursuant thereto are incorpo-
rated herein and this Conflicts Code shall be interpreted in a
manner consistent therewith.
SECTION 2. AMENDMENT AND REVIEW.
(a) Amendment
(1) ChanGed Circumstances. Changed circumstances
include, but are not limited to the creation of new
positions which must be designated for the operation of
the Authority and relevant changes in the duties as-
signed to existing positions.
(2) Amendment Due To Chanaed circumstances. Within
ninety days after the changed circumstances necessitat-
ing the amendment to this Conflicts Code become appar-
ent, the Executive Director shall submit a proposed
amendment to the City Council. Amendments shall be
approved only at regular City Council meetings.
(b) Biennial Review.
(1) No later than July 1 of each even-numbered year,.
the Board of Commissioners of the Authority shall ". ....
review this Conflicts Code.
(2) If a change in this Conflicts Code is necsssi~t~a
by changed circumstances, it shall be amendedpursuant
to subsection (a) of this section.
(3) If no change in this Conflicts Code is required,
the Executive Director shall submit a written statement
to that effect to the City Council no later than Octo-
ber 1 of the same year.
SECTION 3. DEFINITIONS INCORPORATED. Unless otherwise
indicated, the definitions of the Act, regulations and amendments
thereto and binding Judicial opinions thereon are incorporated
herein, and this Chapter shall be interpreted in a manner consis-
tent with such definitions.
SECTION 4. ~.
(a) By this reference, the Standard Conflict of Interest
Code, 2 Cal. Code of Reg. § 18730, is incorporated herein.
Each amendment thereto duly adopted by the Fair Political:
Practices Commission shall be reviewed by the Board of
Commissioners to determine whether it shall constitute an
amendment to this Conflicts Code to be effected pursuant to
Section (a) sugr~.
(b) The Executive Director shall maintain three copies of
the Standard Conflict of Interest Code for the public re-
view.
SECTION 5. D~SIGNATED POSITIONS. The positions listed
on Exhibit "A' are designated positions. Officers and employees
holding those positions ars designated employees and are deemed
tqmake, or participate in the making of, decisions which may
foreseeably have a material effect on a financial interest from
which they may derive some benefit.
SECTION 6. DISCLOSURE STATEMENTS. Designated positions
shall be assigned to one or more of the disclosure categories set
forth on Exhibit "B". Each designated employee and consultant
shall file an annual statement disclosing that employee's inter-
est in investments, real property, and income, designated as
reportable under the category to which ~he employee's position is
assigned on Exhibit "B".
SECTION 7. PLACE AND TIME OF FILING.
(a) All designated employees required to submit a statement
of financial interests shall file the original with the
Executive Director Of the Housing Aqthor%ty.
(b) As allowed by Section 87500(J) of the Government. Cods,
the Executive Director of the Authority shall receive and'
forward the original to the ~ retaining no copy
at the Authority.
(c) A designated employee required to submit a statement of
financial interest shall submit an initial statement within
30 days after the effective date of this Conflicts Code.
Statements already on file for a designated employee with
regard to his/her Job with the City shall suffice for this
initial filing.
(d) Merit system employees appointed, promoted or trans-
ferred to designated positions shall file initial statements
within 30 days after date of such personnel action.
(e) Ail other employees appointed, promoted or transferred
to designated positions shall file initial statements not
less than 10 days before assuming office (or if subject to
confirmation, 10 days before being confirmed) unless an
earlier assumption of office is required by emergency cir-
cumstances, in which case the statement shall be filed
within 30 days thereafter.
(f) Annual statements shall he filed by all designated
employees during the month of February disclosing reportable
investments in business entities, interests in real proper~
ty, and income held or received in the period between the
closing date of the employee's previously filed statement
and January 31.
(g) Each person who leaves a designated position for a
position not specified in Exhibit "A" shall file a leaving
office statement within thirty days after leaving.
(h) A designated employee required to file a statement of
financial interest with any other agency, which has the same
territorial jurisdiction, may comply with the provisions of
this Conflicts Code by filing a duplicate copy of the state-
ment filed with the other agency, in lieu of an entirely
separate document.
SECTION 8. CONTENTS OF DISCLOSURE STATEMENTS.
(a) Disclosure statements shall be made on the appropriate
attached for~s, and shall contain the following information:
(1) Contents of Investment and Real Property Reports:
When an investment, or an interest in real property, is
required to be reported, the statement shall contain:
(A) A statement of the nature of the investment
or interest;
I - $ ~zzz · 1 z
l!~ooa ~ /
,, --~age #
(B) The name of the business entity in which each
investment is held, and a general description of
the business activity in which the business entity
is engaged;
(c) The address or other precise location of the
real property;
(D) A statement whether the fair market value o~
the investment, or interest in real property,
exceeds ten-thousand dollars ($10,000), and wheth-
er it exceeds one hundred thousand dollars,
($100,000). This information need not be provided
with-resPect to an ~terest in real property which
is used Drinciuallv as the residence of the filer.
(2) Contents of Personal Income Reports:
When personal income is required to be reported, the
statement shall contain:
(A) The name and address of each source of income
aggregating two hundred and fifty dollars ($250)
or more in value, or twenty-five dollars ($25) or
more in value if the income was a gift, and a
general description of the business activity, if
any, of each source;
(B) A statement whether the aggregate value of
income from each source was greater than One thou-
sand dollars ($1,000), and whether it was greater
than ten thousand dollars ($10,000);
(C) A description of the consideration, if any,
for which the income was received;
(D) In the case of a gift, the amount and the
date on which the gift was received.
(3) Contents of Business Entity Income Reports:
When income of a business entity, including income of a
sole proprietorship, is required to be reported, the
statement shall contain:
(A) The name, address, and a general description
of the business activity of the business entity;
(B) In the case of a business entity which pro-
vides legal or brokerage services, the name of
every person who paid fees to the business entity
if the filer's pro rata share of fees from such
person was equal to or greater than one thousand
dollars ($1,000);
(C) In the case of a business entity not covered
by paragraph (2), the name of every person from
whom the business entity received payments if the
filsr's pro rata share of gross receipts from such
person was eql/al to or greater than ten thousand
dollars ($10,000) during a calendar year.
(b) Contents of Initial Statement:
The initial statement filed by an employee appointed to
a designated position shall disclose any reportable invest-
ments and interests in real property.
(c) Contents of Annu~l Statements:
The annual statement filed by a designated employee
shall disclose any reportable investments, interests in real
property, and income held or received during the period
after the closing date of the previous statement filed
pursuant to this Conflicts Code.
(d) Contents of Leaving Office Statements:
The leaving office statement filed by designated em-
ployees shall disclose reportable investments, interests in
real property, and income during the period held or received
between the closing date of the last statement filed pursu-
ant to this Conflicts Code and the date the designated
employee left office.
(e) Acquisition or Disposal During Reporting Period:
'In the case of a statement filed under Section 7(f)
above, state whether the investment, or interest in real
property, was partially or wholly acquired or disposed of
during the period covered by the statement, the date of
acquisition or disposal.
SECTION 9. REPORTABLE INTERESTS.
Interests Which shall be reported are:
(a) Any business entity in which the public official has a
direct or indirect investment worth one thousand dollars
($1,000) or more.
(b) Any real property in which the public official has a
direct or indirect interest worth one thousand dollars
($1,000) or more.
(c) Any source of income, other than gifts and other loans
by a commercial lending institution in a regular course of
business on terms available to the public without regard to
official status, aggregating two hundred fifty dollars
($220) or more in value provided to, received by or promised
to the public official within 12 months prior to the time
when the decision is made.
W222-12
(d) Any business entity in which the public official is a
director, officer, partner, trustee, employee, or holds any
position of management.
(e) Any donor of, or any intermediary or agent for a donor
of, a gift or gifts aggregating two hundred fifty dollars
($250) or more in value provided to, received by, or prom-
ised to the public official within 12 months prior to the
time when the decision is made.
For purposes of this ~ection, indirect investment or inter-
est means any investment or interest owned by the spouse or
dependent child of a public official, by an agent on behalf of a
public official, or by a business entity or trust in which the
official, the official's agents, spouse, and dependent children
own directly, indirectly, or beneficially a 10% interest or
greater.
SECTION 10. IS IF CA ON. A designated employee must
disqualify himself or herself from making or participating in the
making of any decisions which will foreseeably have a material
financial effect, distinguishable from its effect on the public
generally, on the official or a mea~ber of his/her immediate
family or on any reportable interest as described in Section 9.
The acquisition of any direct or indirect interest in any
real property included or planned to be included in any project
after taking office shall disqualify the designated employee or
official from participation in any decision as aforesaid. The
existence of any direct or indirect interest in any contract or
proposed contract for materials or services to be furnished or
used in connection with any housing project shall disqualify any
designated employee or official from participating in any deci-
sion as aforesaid.
No designated employee shall be prevented from making or
participating in the making of any decision to the extent his or
her participation is legally required for the decision to be
made. Participation is not legally required if its effect is to
break a tie.
SECTION 11. ~ The effective date of this
Conflict of Interest Cods shall be April 27, 1994.
BOOK
EXHIBIT "A"
DESIGNATED POSITIONS
D~si~nated Positions Disclosure Cateaory
Member, Board of Commissioners i 2 3 4 5 6
Executive Director, 1 2 3 4 5 6
i.e. City Manager
Assistant Executive Director, I 2 3 4
Comptroller, Director of Finance 1 2 3 4
Director of Operations, 1 3 4
Maintenance Supervisor 1 2 3
Director of Administration i 2 3
Except for the'Executive Director, all employees who serve
the Housing Authority are to be furnished by the City of En-
cinitas under contract. The City is therefore a contractor
within the meaning of Disclosure categories. The employees who
do the Housing Authorityes work must not be otherwise employed by
the City so as to affect their independent Judgment to act in the
best interest of the Housing Authority.
1-7
EXHIBIT "B"
DISCLOSURE CA?EgQRIES.
Cateaorv 1 - Business Position/Investment Interest...
Disclose each Authority-related or HUD-program-participating,
business entity in which the employee/member holds a position or
has a direct or indirect business invest~ment worth moro than
$1,000.
Cateqorv 2 - Real Prouer~v Interes~.~. Disclose oach intor-
est in real property located within the jurisdiction of the
Authority in which the employee/member has a direct or indirect
interest worth more than $1,000.
Cateaorv 3 - Income Interests. Disclose all income of the
employee/member from any Authority~related or HUD-program-partic-
ipating source aggregating $250.00 or more (or $25.00 or more in
the case of gifts) during the reporting period.
~ate=orv 4 - Less Inclusive Reportable Interest:':. Disclose
all investment and management interests in business entities (as
described in Categories i and 3) contracting with or selling to
the City or which foreseeably could so contract or sell; and all
income from a source ( as described in Category 2) which sells or
contracts with the City or which foreseeably could so sell or
contract.
l~rsuant to the ~ousin~ Authority Law Individual Commissioner~
Must Additionally Renort to the Board of Commissioners:
Category 5 - Foreseeable Contrgctz. Investments in any
business entity which, within the last two years has, or in the
future foreseeably may, contract with the Housing Authority of
the City of Encinitas to provide services or supplies, materials,
machinery or equipment to the Housing Authority of the City of
Encinitas or any of its sub-contractors.
Category 6 - Foreseeable Contract~. Income from any sourco
which, within the last two years, has contracted, or in the
future foreseeably may contract, with the ~ousing Authority of
the City of Encinitas to provide services, supplies, materials,
machinery or equipment to the ~ousing Authority of the City of
Encinitas or any of its sub-contractors.
APPENDIX J
TRAVEL AUTHORIZATION GUIDELINES:
In order to determine that travel is of value to the HACE and to
determine which commissioners and employees should go, the
following guidelines have bee~ established:
1. The costs of the conference, seminar, institute, training
program and related travel must be within the annual Travel
Expense budget appropriation approved by the Housing Authority of
the City of Encinitas Boa~d.
2. The activity must have the potential of making essential
contacts or obtaining significant information that is important
to the improved operations and functions of Housing Authority of
the City of Encinitas and the respective department is essential
prior to travel authorization.
3. That utmost discretion must be exercised by travelers to
engage in no unauthorized activity when in travel status.
AUTHORIZED EXPENSES:
1. Privately OWned Automobile - Commissioners and employees may
be reimbursed for traveling on official Housing Authority of the
City of Encinitas business with a private automobile at the
prevailing mileage rate. Mileage shall be paid
on the most reasonably direct route as follows:
A. When traveling from the office on a work related activity and
then returning to the office, mileage allowance shall he actual
miles traveled.
B. When traveling to undertake HACE business between the oommis-
sioner,s and/or employee's residence and the office, mileage
shall be any miles to and from work site in excess of those which
the employee would have had to travel directly to the office from
home.
C. When traveling from the office to a work site to the
commissioner,s and/or employee,s residence, mileage shall be the
excess of those miles which the employee would normally have had
to travel from the office to home.
D. When traveling from residence to a work site and then return-
ing to residence, mileage in excess of mileage from home to
office and return shall be reimbursable. If such travel occurs
on a day that the employee ks not scheduled to work or if travel
occurs outside the normal working hours, total mileage traveled
is reimbursed.
2. Parking Commissioners and/or employees using private automo-
biles and HACE vehicles shall be reimbursed on an actual expense
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RROM 18182479524 04-19-~4 08~45 A~ P060
basis for parking. Receipts for such payments shall be submitted
with the expense reimbursement request whenever possible.
3. Automobile Travel Reimbursement for use of personal automo-
bile in travel will be paid on the basis of the prevailing
mileage allowance rate or tourist air fare, whichever is less.
When personal vehicles are used in driving to out-of-area loca-
tions not available by commercial transportation, travel reim-
bursement shall be made on an actual mileage basis. When two or
more commissioners and/or employees are traveling in one car,
reimbursement shall be ma~e to one employee.
4. Commercial Transportation - Commissioners and employees may
travel in-state and out-of-area by commercial transportation when
authorized. Air transportation shall be by coach class unless
such space is not available or for special circumstances autho-
rized by the Executive Director. First class railroad accommoda-
tions shall be standard and shall include lowerberth or roomette
in case of overnight travel.
5. Car Rental - Commissioners and employees may only use a
rental vehicle at MAcE expense when authorized or in an emergency
situation. When using rental vehicles, the lowest possible rate
shall be used.
6. Taxi/Bus - Payment for taxi, bus, or limousineservices when
on HACE business and no private vehicle is available is autho-
rized.
?. Lodging,.Meals, and Incidentals - Commissioners and employees
may claim rexmbursement for lodging, meals, and incidentals a%
actual cost in accordance with the following:
A. Charges for lodging will be reimbursed for only the night
prior to the formal start of a conference, seminar, meeting,
etc., and those nights when t-he event is actually in session or
when a return flight the last night is not available.
B. Meal costs, including tax and tip, will be reimbursed up to a
maximum per meal of the average meal costs per day listed in the
GSA Meals/Lodging Cost Index for the specific city in which the
authorized travel took place.
C. In the case of meal expenses incurred while attending a
conference or a seminar as a representative of The Encinitas
Housing Authority, employees shall be eligible for reimbursement
of that expense. Meal expense incurred while performing the
duties of one's position shall not be reimbursed unless the
commissioner and/or employee is outside the boundary of the
County and bordering counties of San Diego County when the meal
expense is incurred except when attending a conference or seminar
in the Area.
D. In the event that meals are included in any registration or
tuition fee, other charges for meals shall not be allowable.
J-2 ~222-12 '
E. At no time, under any circumstances, shall any liquor or cost
of entertainment be charged to the Housing Authority of the City
of Encinitas.
TRAVEL TIME:
}{ACE commissioners and employees may be authorized time for
travel out-of-area the day prior to and the day following the
convention or meeting date(s).
ATTENDEE REPORTS REQUIRED%
In order to maximize the benefit of the conference, seminar,
etc., the attendee will provide a written report highlighting the
educational benefit and new skills and techniques acquired in
such a form as to be appropriate for department training sessions
and to become part of a permanent collection of department
training aids. Copies of said report should also be available in
the central file.
TRAVEL EXPENSES OF SPOUSE OR OTHER MEMBERS OF THE FAMILY:
If a commissioner,s and/or employee,s spouse or family accompa-
nies him or her on a Housing Authority of the City of Encinitas
business trip, any portion of the exqpense attributable to the
spouse of family members travel, meals, lodging, etc., are in no
circumstances reimbursable. If a spouse or family member accom-
panies a commissioner and/or employee on a business trip, the
reimbursable business expense for transportation and lodging is
the single rate cost of accommodations for employees.
TRAVEL AND MISCELLANEOUS EXPENSE CLAIM:
An Expense Claim in order to be considered for reimbursement
shall be prepared after return from travel and present such
claims to the Board of Commissioners for approval on the voucher.
All available bills and receipts shall be attached.
HEMBERSHIPS AND DUES=
The purpose of memberships to various professional organizations
must be directly related to the betterment of the functions of
Housing Authority of the City of Enoinitae. One agency member-
ship per professional organization as determined by the Executive
Director shall be allowed providing funds are available.
When an agency membership can be obtained through an individual
membership versus an agency membership at a lesser cost per
capital, the former shall be used.
Upon separation of employment, the individual membership remains
with the Housing Authority of the City of Encinitas and shall be
transferred to another employee as shall be determined by the
Executive Director.
DISCIPLINARY ACTION
Any violation of this policy shall subject the employee to
disciplinary action as set forth in the Personnel Policy and
Procedures Manual.
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FRQ~ 181824795~4 ~4-1.q-94 08~4~ AM POC3