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RES 15-26CITY OF OTSEGO COUNTY OF WRIGHT STATE OF MINNESOTA RESOLUTION NO. 2015-26 RESOLUTION APPROVING AMENDED CITY PERSONNEL POLICY AND CITY DRUG AND ALCOHOL POLICY WHEREAS, the City Council has directed that changes be made to the existing City Personnel Policy and Drug and Alcohol Policy; and WHEREAS, the Council has met to discuss these matters and has approved the changes as set forth on the attached documents; and WHEREAS, the City Council has determined that the new policies shall be in force and effect upon the date of adoption of this resolution. NOW, THEREFORE the City Council of the City of Otsego hereby resolves as follows: The attached amended City Personnel Policy and City Drug and Alcohol Policy are hereby adopted effective immediately. ADOPTED this 26th day of May, 2015 by the Otsego City Council. IN FAVOR: Stockmap, Heidner, Schroeder, Warehime OPPOSED: None CITY OF OTSEGO & fieL-iaar,- ki Jessica Stockamp., Mayor Tami Loff, City Clerk CITY OF OTSEGO PERSONNEL POLICIES Revised Date: May 26, 2015 TABLE OF CONTENTS PAGE SECTION 1- PURPOSE AND INTENT................................................................................... l SECTION1-1 PURPOSE........................................................................................................... 1 SECTION1-2 INTENT............................................................................................................... 1 SECTION1-3 APPLICABILITY................................................................................................ 1 SECTION 1-4 NON-DISCRIMINATION.................................................................................. 1 SECTION1-5 DEFINITIONS.................................................................................................... 2 SECTION 1-6 PROVISIONS SUPERSEDED IN CERTAIN CASES ....................................... 3 SECTION2 - ORGANIZATION................................................................................................ 3 SECTION 2-1 JOB DESCRIPTIONS......................................................................................... 3 SECTION 2-2 ASSIGNING AND SCHEDULING WORK ....................................................... 3 SECTION2-3 DEMOTION........................................................................................................ 3 SECTION 2-4 REDUCTION OF WORKFORCE...................................................................... 4 SECTION2-5 LAYOFF............................................................................................................. 4 SECTION 3 - EMPLOYEE RECRUITMENT AND SELECTION ........................................ 4 SECTION3-1 SCOPE................................................................................................................. 4 SECTION 3-2 FEATURES OF THE RECRUITMENT SYSTEM ............................................ 4 SECTION3-3 EXAMINATIONS.............................................................................................. 5 SECTION3-4 UNLAWFUL ACTS............................................................................................ 5 SECTIoN 3-5 PRE-EMPLOYMENT MEDICAL EXAMS ....................................................... 5 SECTION3-6 SELECTION....................................................................................................... 6 SECTION 3-7 EMPLOYMENT OF FAMILY MEMBERS....................................................... 6 SECTION 3-8 AFFIRMATIVE ACTION/EEO POLICY STATEMENT ................................. 6 SECTION4 - COMPENSATION............................................................................................... 7 SECTION4-1 GENERAL.......................................................................................................... 7 SECTION4-2 PAYCHECKS..................................................................................................... 7 SECTION 4-3 OVERTIME/COMPENSATORY TIME............................................................ 8 SECTION 4-4 MEAL BREAKS AND REST PERIODS.......................................................... 10 SECTION 5 - EMPLOYEE BENEFITS...................................................................................11 SECTION5-1 ELIGIBILITY................................................................................................... 11 SECTION 5-2 RETIREMENT BENEFITS.............................................................................. 11 SECTION 5-3 INSURANCE BENEFITS................................................................................. 11 SECTION 5-4 MEDICAL AND DEPENDENT CARE FLEXIBLE BENEFIT PLANS ......... 12 SECTION6 - PAID TIME OFF................................................................................................13 SECTION 6-1 PERSONAL TIME OFF LEAVE...................................................................... 13 SECTION6-2 HOLIDAYS....................................................................................................... 14 SECTION 6-3 FAMILY AND MEDICAL LEAVE................................................................. 15 SECTION 6-4 ADMINISTRATIVE LEAVE........................................................................... 21 179902v9 FE SECTION 6-5 ADVERSE WEATHER.................................................................................... 21 SECTION 6-6 JOB RELATED INJURIES OR ILLNESS........................................................ 21 SECTION 6-7 EMPLOYEES WITH HEALTH-RELATED WORK RESTRICTIONS .......... 21 SECTION 6-8 PARENTING LEAVE...................................................................................... 22 SECTION 6-9 FUNERAL LEAVE........................................................................................... 22 SECTION 6-10 MILITARY LEAVE........................................................................................ 23 SECTION6-11 JURY DUTY LEAVE..................................................................................... 24 SECTION 6-12 SCHOOL CONFERENCE LEAVE................................................................ 24 SECTION 6-13 ELECTIONS/VOTING................................................................................... 24 SECTION 6-14 LEAVE OF ABSENCE WITHOUT PAY ....................................................... 25 SECTION 7 - PERFORMANCE REVIEWS........................................................................... 26 SECTION7-1 PURPOSE......................................................................................................... 26 SECTION 7-2 GUIDELINES................................................................................................... 26 SECTION 8 - EMPLOYEE EDUCATION AND TRAINING ............................................... 27 SECTION 8-1 PURPOSE AND GUIDELINES....................................................................... 27 SECTION 8-2 MEMBERSHIPS AND DUES.......................................................................... 28 SECTION 8-3 TRAVEL REIMBURSEMENT........................................................................ 28 SECTION 9 - PUBLIC PURPOSE EXPENDITURES........................................................... 30 SECTION9-1 GENERAL....................................................................... ............................... 30 SECTION9-2 DEFINITIONS.................................................................................................. 30 SECTION 9-3 PUBLIC PURPOSE GUIDELINES.................................................................. 31 SECTION 10 - EMPLOYEE RESPONSIBILITY.................................................................. 32 SECTION10-1 GENERAL...................................................................................................... 32 SECTION 10-2 CITYWIDE WORK RULES AND CODE OF CONDUCT ............................ 33 SECTION 10-3 CONFLICT OF INTEREST............................................................................ 34 SECTION 10-4 RECEIPT OR SOLICITATION OF GIFTS .................................................... 35 SECTION 10-5 POLITICAL ACTIVITY................................................................................. 35 SECTION11- HARASSMENT................................................................................................ 36 SECTION11-1 GENERAL...................................................................................................... 36 SECTION 11-2 SEXUAL HARASSMENT............................................................................. 36 SECTION12 DISCIPLINE...................................................................................................... 39 SECTION12-1 GENERAL...................................................................................................... 39 SECTION 12-2 WORK RULE OFFENSES............................................................................. 39 SECTION12-3 PROCESS..................................................................................................... 42 SECTION 12-4 NOTICE OF REASONS FOR TERMINATION ............................................ 44 SECTION 12-5 REPORTS OF DISCIPLINARY ACTION ..................................................... 44 SECTION13 - SAFETY............................................................................................................ 44 SECTION 14 - DRUG AND ALCOHOL USE......................................................................... 45 ii 179902v9 PAGE SECTION 15 - POLICY PROHIBITING EMPLOYEE........................................................ 45 POSSESSIONOF FIREARMS...................................:............................................................. 45 SECTION 16 - CONFIDENTIALITY/DATA PRACTICES ................................................. 46 SECTION 16-1 DATA PRACTICES ADVISORY.................................................................. 46 SECTION16-2 TYPES OF DATA........................................................................................... 47 SECTION 16-3 PUBLIC PERSONNEL DATA....................................................................... 47 SECTION16-4 ACCESS TO DATA........................................................................................ 49 SECTION 16-5 GENERAL CONTENTS OF PERSONNEL FILES ....................................... 49 SECTION 16-6 TAPE RECORDING POLICY........................................................................ 50 SECTION 16-7 INFORMED CONSENT................................................................................. 50 SECTION 16-8 SECURITY OF PERSONNEL DATA............................................................ 51 SECTION 16-9 SUPERVISORY FILES.................................................................................. 52 SECTION17 - SEPARATIONS................................................................................................ 52 SECTION17-1 RESIGNATIONS............................................................................................ 52 SECTION17-2 SEVERANCE PAY......................................................................................... 52 SECTION 18 - MEDIA CONTACT/PRESS RELEASES...................................................... 53 SECTION 19 - PERSONAL TELEPHONE CALLS.............................................................. 53 SECTION 20 - CELLULAR TELEPHONE/DATA DEVICE USAGE ................................ 53 SECTION21- INTERNET/EMAIL......................................................................................... 54 SECTION21-1 GENERAL...................................................................................................... 54 SECTION 21-2 APPROPRIATE USE DEFINED.................................................................... 54 SECTION 21-3 INTERNET USE EXPECTATIONS............................................................... 55 SECTIoN 21-4 CONFIDENTIALITY/SECURITY................................................................ 55 SECTION 21-5 CONSEQUENCES OF MISUSE.................................................................... 55 SECTION 22 - CITY VEHICLE USE...................................................................................... 56 SECTION22-1 GENERAL...................................................................................................... 56 SECTION 22-2 VEHICLE ACCIDENTS................................................................................. 56 ACKNOWLEDGMENT............................................................................................................ 57 m 179902v9 SECTION 1 - PURPOSE AND INTENT SECTION 1-1 PURPOSE Public employees have a high degree of visibility to the general public and therefore must exercise their duties with particular care and caution to ensure prompt, efficient, high quality services for the public. It is the purpose of these personnel policies to establish a uniform and equitable system of personnel administration for employees of the City of Otsego. They are not intended to be all-inclusive nor to cover every situation that may arise. These policies may be amended at any time at the sole discretion of the City and they will supersede all previous personnel policies. SECTION 1-2 INTENT 1-2.1 The policies herein are not terms and shall not be regarded as or construed as contractual provisions. The provisions may be changed at any time by a majority vote of the city council. The provisions shall not be interpreted as creating anything other than an at will employment relationship, wherein the employee may terminate his/her employment at any time for any reason. Except as otherwise prohibited by law, the City has the right to terminate any employee at any time for any or no reason. 1-2.2 These policies are not an employment contract, nor should they be construed as one. Personnel policies are adopted and applied at the discretion of the City Council and may be withdrawn, applied, or amended at any time. SECTION 1-3 APPLICABILITY 1-3.1 The provisions of these policies shall cover all full time and part time employees. Temporary/seasonal, intermittent and paid on call employees are included except when specifically stated herein. 1-3.2 Any individuals receiving wages and benefits from the City pursuant to a Joint Powers Agreement between the City and other political subdivision are not within the scope of this personnel policy but are, rather, subject to those policies of the Joint Powers entity. SECTION 1-4 NON-DISCRIMINATION 1-4.1 It is the policy of the City of Otsego not to discriminate in employment matters on the basis of race, creed, color, age, marital status, national origin, sex, sexual orientation, status with regard to public assistance, or disability. 1-4.2 No person shall be employed, promoted, demoted, or discharged by the City or in any way favored or discriminated against because of political opinions or affiliations, race, color, national origin, religion, sex, marital status, sexual orientation, status with regard to 179902v9 public assistance or disability, or because of the exercise of rights under provisions of the public Employment Labor Relations Act, Minn, Stat. 179A.01 to 179A.25. SECTION 1-5 DEFINITIONS For policy purposes, the following terms shall have the meanings given herein: "CITY" - City of Otsego "CITY ADMINISTRATOR" - City Administrator of the City of Otsego "COMPENSATORY TIME OFF" - Time taken off by nonexempt employees who worked more than 40 hours per week in lieu of paid overtime "CONTRACTUAL INDIVIDUALS" - Individuals who offer their services to the public and do not meet the criteria as an employee according to IRS regulations. Contractual individuals are appointed by the City Council under a fee basis, are not eligible for employment rights or benefits, are not considered employees and are not covered by the Personnel Policies with the exception of Non-discrimination and Harassment Policies. "DEMOTION" - Movement of an employee from one job class to another where the maximum salary for the new position is lower than that of the former position. This action may be voluntary or involuntary. "EXEMPT EMPLOYEE" - Employees who are assigned to executive, administrative, or professional positions which are exempt from the minimum wage and overtime compensation provisions of the Fair Labor Standards Act (FLSA). "NON-EXEMPT EMPLOYEE" - Employees assigned positions that are subject to the minimum wage and overtime compensation provisions of the Fair Labor Standards Act (FLSA). "OVERTIME PAY" - Payment to non-exempt employees for services performed in excess of 40 hours per week required by applicable state and federal overtime laws or by written personnel policies. "PROMOTION" - Movement of an employee from one job class to another within the City, where the maximum salary for the new position is higher than that of the former position. "REGULAR FULL-TIME POSITION" - A group of duties and responsibilities requiring the employment of a person for at least forty (40) hours per week throughout the year, from year to year, and which have been defined as regular full time by the City Council. "REGULAR PART-TIME POSITION" - A group of duties and responsibilities requiring the part-time employment of one person for a least fourteen (14) but less than forty (40) hours per 2 1799020 week throughout the year, from year to year, and which have been defined as regular part-time by the City Council. "SUPERVISOR'— A person designated as being responsible for a particular employee or group of employees. A Supervisor can be anyone designated as such by the City Council and does not have to be an Employee of the City, but may be a person with a contractual relationship with the City. "TEMPORARY/SEASONAL POSITION" - A group of duties and responsibilities requiring employment of an individual for six months or less without regard to the number of hours worked per day or per week by the individual. Sometimes the employment is for the duration of a specific project. "TIME AND A HALF" - The rate of pay to be compensated to non-exempt employees who work over 40 hours in a week. The rate of pay shall be one and one-half times the regular hourly rate for every hour of overtime worked. SECTION 1-6 PROVISIONS SUPERSEDED IN CERTAIN CASES 1-6.1 No provision of this Policy is intended to violate, supersede, or conflict with any applicable Constitution, statute or regulation, whether state or federal, and to the extent of any such violation the offending provision of this Policy shall be void, but all remaining provisions of this Policy shall remain in effect. SECTION 2 - ORGANIZATION SECTION 2-1 JOB DESCRIPTIONS 2-1.1 The City will maintain records of job titles and compensation by position and/or job class, job descriptions for each regular job class and other appropriate information. New positions can be developed as needed but shall be approved by the City Council. 2-1.2 A classification is a group of positions sharing common duties and requirements. Positions within a class are assigned the same title and salary level. SECTION 2-2 ASSIGNING AND SCHEDULING WORK Assignment of work duties and scheduling work is the responsibility of the supervisor. SECTION 2-3 DEMOTION 2-3.1 Employees may be demoted if they have been found unsuited for the present position but may be expected to perform satisfactorily in a different position. Employees may also be demoted if their position(s) has been abolished or reclassified to a lower class. Employees that are demoted may earn a different rate of pay than their previous position. 179902v9 SECTION 2-4 REDUCTION OF WORKFORCE Should it become necessary to reduce the workforce, the selection of employees to be retained shall be based on merit and ability or any other relevant factors as determined by the City Administrator, subject to approval of the City Council. SECTION 2-5 LAYOFF Employees terminated pursuant to reduction in workforce have no right of appeal or any other procedure as set forth in this manual related to termination of employment for other reasons. Employees do not have the right to reinstatement. SECTION 3 - EMPLOYEE RECRUITMENT AND SELECTION SECTION 3-1 SCOPE The City Administrator will manage the hiring process for all regular positions within the City. All applications for full-time and part-time employment shall be submitted to the City Administrator's Office, or his/her designee, for consideration. The City Administrator will utilize department resources to assist in the process as appropriate. SECTION 3-2 FEATURES OF THE RECRUITMENT SYSTEM 3-2.1 Position vacancies, for regular full-time and part-time positions, may be published by posting announcements on the City website. Such postings will normally specify the title and salary of the positions; the nature of the work to be performed; the minimum and essential requirements of the position; the time and place to apply; the closing date for receiving City issued job applications and other pertinent information. 3-2.2 Appointments and promotions in the City service shall be made according to merit related to the position being filled. 3-2.3 Position vacancies may be filled on an "acting" basis as needed prior to filling a position through the normal process. The City Administrator will approve all acting appointments for regular positions. If a current employee is appointed to an acting position and is later hired to fill the regular appointment, with no break in service in the new position, the effective date of the regular appointment will be considered to be the date on which the acting appointment was made. Pay rate adjustment for acting appointments will be determined by the City Council with recommendations made by the City Administrator. M 179902v9 SECTION 3-3 EXAMINATIONS 3-3.1 Applicant qualifications will be evaluated in one or more of the following ways: a training and experience rating; written test; oral test or interview; performance or demonstrative test; physical agility test, or other appropriate j ob-related exam. 3-3.2 Any tests for appointment in the City service shall be competitive tests which shall be open only to applicants who meet the minimum qualifications as stated on the job posting, or qualifications determined to be equivalent by the City Administrator. 3-3.3 The City Administrator shall establish minimum qualifications for each position with input from the appropriate department head. All candidates must meet the minimum qualifications to be eligible to participate in the selection and testing process. SECTION 3-4 UNLAWFUL ACTS Falsification of records: No person shall knowingly make any false statement, certificate, mark, rating, or report in regard to any test, certificate, or appointment held or made under the city personnel system, or in any manner commit or attempt to commit any fraud preventing the impartial execution of the provisions of this policy. SECTION 3-5 PRE-EMPLOYMENT MEDICAL EXAMS 3-5.1 The City Administrator may determine that a pre-employment medical examination, which may include a psychological evaluation, is necessary to determine fitness to perform the essential duties of any City position. Where a medical examination is required, the offer of employment will be made contingent upon successful completion of the medical exam. The medical exam will include a pre-employment drug test in accordance with the applicable Drug Testing policy. 3-5.2 Where these exams are required, they will be required of all candidates who are conditionally offered employment for a given job class. The information obtained during the medical exam will be treated as confidential medical records. 3-5.3 The exam will be conducted by a licensed physician designated by the City and the cost of the exam will be paid by the City. The physician will notify the City Administrator that a candidate either is or isn't medically able to perform the essential functions of the job, with or without accommodations and whether the candidate passed the drug test if applicable. If the candidate requires accommodation to perform one or more of the essential functions of the job, the City Administrator will confer with the physician and candidate regarding reasonable and acceptable accommodations. 3-5.4 The physician will inform the candidates of the results of their examination. If a candidate is rejected for employment based on the results, he/she will be notified of this determination and may request further explanation from the physician. 5 179902v9 SECTION 3-6 SELECTION 3-6.1 The selection process will be a cooperative effort between the City Administrator and the department head, subject to final hiring approval of the City Council. For regular fall - time and part-time positions, the City Administrator will normally recommend the top candidate or candidates to the City Council who has final authority on all hires and promotions. The City Council may elect to interview any or all of the candidates for department head positions. The City Council may interview for all department head positions. 3-6.2 Hiring of seasonal employees may be delegated to the department heads or their designee upon approval of the City Council. These latter appointments may be terminated by the department head at any time, subject to City Administrator approval. SECTION 3-7 EMPLOYMENT OF FAMILY MEMBERS 3-7.1 The City of Otsego is committed to the policy of equal opportunity when hiring, promoting and evaluating its employees. For purposes of this policy, immediate family includes: parent, stepparent, parent -in-law, child, stepchild, son- or daughter-in-law, sibling or sibling -in-law, grandparent, grandchild, legal guardian, or ward of an employee or elected official. 3-7.2 Members of an employee's immediate family shall be considered for employment based solely on the individuals' qualifications for vacant positions. However, the City will not employ an individual if the individual would be subject to administrative or supervisory control by a member of the individual's immediate family. These policies also apply to assigning, evaluating, transferring, disciplining or promoting an employee. 3-7.3 City employees shall not be involved in the hiring, recommending for hiring, discipline or promotion of any member of the employee's immediate family, nor placed in a position with authority to hire or supervise immediate family members. 3-7.4 The City shall not hire a member of the Mayor or a City Council member's immediate family while that elected official is in office nor for a minimum 180 days after an elected official is no longer in office. SECTION 3-8 AFFIRMATIVE ACTION/EEO POLICY STATEMENT 3-8.1 There shall be no discrimination of employees or applicants for employment based on race, color, creed, religion, ancestry, national origin, sexual orientation, disability, marital status, status with regard to public assistance, political affiliation, sex or age (except where sex or age is a bona fide occupational qualification). The City of Otsego will take Affirmative Action to ensure that all employment practices are free of such discrimination. Ce 1799oav9 3-8.2 Such employment practices include, but are not limited to, the following: hiring, reclassification, demotion, transfer, recruitment, selection, layoff, disciplinary action, termination, rates of pay or other forms of compensation, and selection for training. 3-8.3 The City of Otsego will commit the necessary time and resources, both financial and human, to achieve the goals of Equal Employment Opportunity and Affirmative Action. Any employee of the City who does not comply with the Equal Employment Opportunity Policies and Procedures will be subject to disciplinary action. SECTION 4 - COMPENSATION SECTION 4-1 GENERAL 4-1.1 Employees of the city shall be compensated according to a schedule established by the City Council. Unless approved by the Council, no employee shall receive pay from the City in addition to the salary authorized for the position to which he or she has been appointed. 4-1.2 Subject to MN Statute 179A.25, but notwithstanding any other law to the contrary, the city shall maintain equitable compensation relationships as prescribed by MN Stat. 471.991 to 471.999. 4-1.3 Employees to whom the Fair Labor Standards Act applies shall be compensated for overtime work at one and one-half times their regular rate of pay for work over 40 hours per week. Compensatory time off shall be taken as approved by the department head for periods of not less than one (1) hour at a time. Employees may accrue up to forty (40) hours of compensatory time between December 1 and November 30 of the following year. Hours of compensatory time not taken by November 30 shall be paid to the employee as hours worked at the applicable rate of pay. Non-exempt temporary/seasonal employees, will be paid overtime for work in excess of forty (40) hours per week and will not receive or accrue compensatory time. SECTION 4-2 PAYCHECKS 4-2.1 The workweek begins on Sunday at 12:01 a.m. and ends on the following Saturday at midnight. 4-2.2 Paychecks are normally issued every two weeks. Distribution of paychecks to City employees is to be accomplished in a timely manner using accurate, consistent procedures. When paydays fall on a holiday, checks are normally issued the day before the holiday. 4-2.3 Employees are responsible to notify the Finance Department of any change in status including changes in address, phone number, names of beneficiaries, marital status, etc. 7 179902v9 SECTION 4-3 OVERTIME/COMPENSATORY TIME 4-3.1 The City of Otsego has established this overtime policy to comply with applicable state and federal laws governing accrual and use of overtime. The City Administrator or designee will determine whether an employee is designated as "exempt" or "non- exempt", pursuant to the Fair Labor Standards Act. 4-3.2 Non -Exempt (Overtime -eligible) Employees: A. All overtime -eligible employees will be compensated at the rate of time and one- half for all hours worked over 40 in one workweek. PTO time does not count toward "hours worked" except during non-scheduled emergencies as determined by the City Administrator or Department Head. Holidays will count as time worked for purposes of computing overtime for non-exempt employees. B. Compensation will take the form of either time and one-half pay or compensatory time. Compensatory time is paid time off at the rate of one and one-half hours off for each hour of overtime worked. When earned compensatory time hours are used, they are considered hours worked for overtime purposes. C. The employee's supervisor must approve overtime hours in advance whenever possible. An employee who works overtime without prior approval may be subject to disciplinary action. D. Overtime earned will be paid at the rate of time and one-half on the next regularly scheduled payroll date, unless the employee and the department head mutually agree that the overtime will be banked as compensatory time in lieu of payment. E. The maximum compensatory time accumulation is 40 hours. Compensatory time may exceed 40 hours only under circumstances that are determined to be public safety emergencies. Compensatory time may be earned from December 1 through November 30 each year. By November 30th each year all employees compensatory time must be used or paid as compensation. F. Employees may request and use compensatory time off in the same manner as other leave requests and each request must be approved by the Department Head. G. In order to comply with the provisions of the Federal and State Fair Labor Standards Acts, hours worked and leave time used by all non-exempt employees are recorded daily and reported on a biweekly basis. Each electronic time reporting form includes the approval of the employee and immediate supervisor. H. All compensatory time will be marked as such on official timesheets, both when it is earned and when it is used. The Finance Department will maintain 179902v9 compensatory time records. All compensatory time accrued will be paid when the employee leaves city employment at the hourly pay rate the employee is earning at that time. 4-3.3 Exempt (Salaried) Employees: A. Exempt employees are expected to work whatever hours are necessary in order to meet the performance expectations outlined by their supervisors. On occasion, they are required to work on Holidays, Saturdays or Sundays and these will not be considered extra workdays and they will not be compensated additionally for them. Exempt employees do not receive extra pay for the hours worked over 40 in one workweek. B. Exempt employees are paid on a salary basis. This means that they receive a predetermined amount of pay each pay period and are not paid by the hour. Their pay does not vary based on the quality or quantity of work performed, and they receive their full weekly salary for any week in which any work is performed. Absences of less than four (4) hours do not require use of paid leave as it is presumed that the staff member regularly puts in extra hours above and beyond the normal forty (40) hour work week. Over a sustained year period, it is expected that salaried employees shall put in at least as many hours as would an hourly employee considered to be full-time. C. The City of Otsego will not make deductions from pay due to exempt employees being absent for jury duty or attendance as a witness in a legal proceeding but will require the employee to pay back to the city any amounts received by the employee as jury fees or witness fees, excluding mileage reimbursement. D. If the city inadvertently makes an improper deduction to the weekly salary of an exempt employee, the City will reimburse the employee and make appropriate changes to comply in the future. E. Employees must communicate their absence to the City Administrator or designee. FLSA Exempt employees shall complete an electronic time reporting form, on a biweekly basis, indicating exceptions to the normal work week (i.e. use of PTO, holidays and other authorized leaves). Because exempt employees are required to work longer days at times, and come in on days off, their work hours may vary from a standard schedule. Their regular workdays shall be based upon their department schedule. we 1799oav9 4-3.4 Requirement to Work Overtime: A. Overtime should be avoided but, when it is necessary, the immediate supervisor (or department head) must give specific approval prior to its being worked. Pre- authorization may be presumed by employees in emergency situations such as excess snowfall, flood, natural disasters, lift station malfunctions, or other similar situations where the immediate response of staff is required to avert endangerment of life, home or property. B. All employees, in all departments, are required to work overtime if requested by their supervisors as a condition of continued employment. Refusal to work overtime may result in disciplinary action. Supervisors will make reasonable efforts to balance the personal needs of their employees when assigning overtime work. SECTION 4-4 MEAL BREAKS AND REST PERIODS 4-4.1 City employees, when working under conditions where the use of a break is practical, shall be granted two fifteen (15) minute breaks during each work shift of eight (8) or more hours at a time specified by the Department Head. A fifteen (15) minute break is measured from the time work is stopped until it is resumed. Break times may not be used to shorten the workday (e.g. Saving the two fifteen minute breaks to the end of the day and leaving after 71/2 or 8 1/2 hours - for those working eight (8) or nine (9) hour shifts is prohibited.) However, upon approval, the two 15 minute breaks may be combined to create a paid meal break approximately mid -way through a shift of eight hours or more. Exceptions may be approved by the department head. It is understood that employees may need to return to their duties during any paid break if the need arises to ensure continuity of services. 4-4.2 Employees working in City buildings shall normally take their break at the place provided for that purpose in each building. Employees working out-of-doors shall normally take their break at the location of their work. Employees whose duties involve traveling throughout the City may stop along the assigned route at a restaurant or other public accommodation for their fifteen (15) minute break. Employees may not use a City Vehicle for the sole purpose of driving to lunch or other personal errands. 10 179902v9 SECTION 5 - EMPLOYEE BENEFITS SECTION 5-1 ELIGIBILITY 5-1.1 Employee benefits mentioned in this section apply to all employees working thirty (30) hours a week and not seasonal. 5-1.2 Employees who are hired for part time positions of 30 or more hours per week are eligible for pro -rated benefits. Such benefits will be pro -rated based on hours approved for the position and worked by the employee as compared to a full time position of two thousand eighty (2080) hours per year. 54.3 Seasonal employees are not entitled to benefits, unless specifically provided herein. SECTION 5-2 RETIREMENT BENEFITS 5-2.1 Public Employees Retirement Association (PERA): All persons, with the possible exception of the City Administrator pursuant to State law, hired for regular full and part time positions and certain temporary/seasonal positions with the City of Otsego are members of the Public Employees Retirement Association. Employees shall have deductions made, as established by law from each payroll. 5-2.2 Deferred Compensation: Deferred compensation plans, which defer a portion of the employee's income for retirement purpose and shelters such deferred amounts from state and federal taxes, may be made available to all benefit -earning City employees. SECTION 5-3 INSURANCE BENEFITS 5-3.1 With the exception of seasonal employees and employees that work intermittent hours, sometimes referred to as project employees, all employees scheduled to work thirty (3 0) or more hours per week are eligible to participate in the City's Benefit Plan. 5-3.2 Insurance: A. Employees are eligible for insurance coverage under the City -sponsored plans. Part-time employees hired to work 30 or more hours per week may elect to be covered under these insurance plans. City contributions for part-time employees will be pro -rated based on the positions' hours as approved by the City Council. B. The City provides group health and dental insurance for eligible employees. The City contribution toward health and dental insurance premiums and Health 11 179902v9 Savings Account (HSA) will be determined by the City Council on an annual basis. C. The City provides a City -paid $10,000 term life insurance policy and short-term and long-term disability insurance for eligible employees. D. The City of Otsego, as required by law, provides continuation of benefits under Consolidated Omnibus Budget Reconciliation Act (COBRA) and Minnesota Continuation law. COBRA gives employees and their dependents that lose their health benefits due to a qualifying event the right to choose to continue group health benefits provided by their group plan for limited periods of time. Minnesota Continuation Law provides for continuation of group life insurance for a maximum of 18 months. An administrative fee may apply to continuation of benefits. SECTION 5-4 MEDICAL AND DEPENDENT CARE FLEXIBLE BENEFIT PLANS 5-4.1 The City provides a flexible benefit plan that allows an employee to set aside pre-tax income for eligible medical and child care expenses for all regular and probationary full time and benefit -earning part-time City employees. These plans provide employees with a choice among different combinations of medical care benefits, dependent care benefits and direct compensation. 5-4.2 Participants may designate a portion of their compensation as Pay Conversion Contributions. These contributions may be applied toward the following benefits: A. Medical Expense Reimbursement Plan - This plan has been established by the City to help provide more complete medical coverage for those employees who participate in the Employer's flex plan and who choose to make contributions to a medical expense reimbursement account. It is intended to provide reimbursement of deductibles, co -payments, and coinsurance amounts that a participant may be required to pay, as well as reimbursement of other eligible medical and hospitalization expenses covered by this plan. B. Dependent Care Assistance Plan - This plan has been established by the City for the benefit of employees who participate in the flex plan, and who choose to make contributions to a dependent care expense reimbursement account. It is intended to provide reimbursement for eligible expenses for the custodial care of a child or other eligible dependent when such custodial care is needed to enable the participant and his or her spouse (if applicable) to remain employed. 5-4.3 The Medical Expense and Dependent Care Plan Documents describe each benefit in detail. Participants are given a Summary Plan Description upon entering the Plan and the Plan document is retained on file in the City Finance Department for use by employees. 12 179902v9 SECTION 6 - PAID TIME OFF SECTION 6-1 PERSONAL TIME OFF LEAVE 6-1.1 Personal Time Off Leave (PTO): PTO will accrue according to the following schedule for full-time employees. Eligible part-time employees working a minimum of twenty (20) hours per week will receive pro -rated leave based on their scheduled hours. Seasonal employees do not qualify for the benefits in Section 6. PTO Schedule: BENEFIT ELIGIBLE YEARS OF EMPLOYMENT 0 through 1 year 2 through 5 years 6 through 9 years 10 through 14 years 15+ years ACCRUAL PER PTO HOURS PAY PERIOD PER YEAR 4.00 hours 104 hours 6.77 hours 176 hours 8.00 hours 208 hours Eight hours additional for each year 9.85 hours 256 hours The City Administrator can start a new employee at a higher PTO accrual rate subject to City Council approval. Changes in accrual rate will occur on the employee's anniversary date. 6-1.2 Guidelines for PTO: A. PTO can be used for any reason. PTO shall be scheduled in advance and approved by a supervisor unless it is used for illness or similar unexpected situations. B. Employees may carry over from one calendar year ending December 31 to the next up to the amount of PTO earned in the prior year. On an exception basis, where an employee could not take PTO due to an exceptionally heavy workload or emergency, the City Administrator may approve up to an additional 40 hours of PTO for carry over into the following year. C. An employee receiving payments under the City's short term or long-term disability insurance plan will not accrue PTO. PTO shall not accrue during leaves of absence without pay. D. PTO cannot be used when an employee is receiving short term or long term disability payments unless the STD/LTD payment is less than the employee's pay for the same period in which case the short fall may be made up with the use of PTO. 13 179902v9 6-1.3 Administration of PTO: The following procedures shall be followed in administering PTO: A. Employees may not use PTO in excess of the amount they have accrued. B. PTO cannot be transferred from one employee to another. C. PTO shall not be available for use until after the first six months of employment unless approved by the City Administrator. D. Supervisors shall establish procedures for scheduling leaves for their department giving consideration to the needs of the City services and the ability of the remaining staff to perform work responsibilities. E. PTO may be used in no less than thirty (30) minute increments. F. When non-exempt employees work less than their scheduled hours, they are required to use paid leave to cover the number of hours missed in the workweek. They may not use leave time to go over 40 hours per week except in cases of an emergency as described in Section 4-3.2A. When employees have used all eligible paid leave and compensatory time, any additional hours missed will be without pay. SECTION 6-2 HOLIDAYS The following holidays are observed by the City: New Year's Day (January 1st) Martin Luther King, Jr.'s Birthday (third Monday in January) Presidents Day (third Monday in February) Memorial Day (last Monday in May) Independence Day (July 4th) Labor Day (first Monday in September) Veteran's Day (November 11th) Thanksgiving Holiday (fourth Thursday in November) Friday After Thanksgiving Christmas Eve (December 24) Christmas Day (December 25) Regular full-time employees are eligible to receive pay for these holidays. Eligible Regular part- time employees scheduled to work a minimum 1040 hours per year (average of 20 hours per week) will receive pro -rated paid holidays; hours of holiday pay will be pro -rated according to the number of hours worked. Temporary and seasonal employees are not eligible for paid holiday leave. 14 179902v9 An employee is entitled to holiday pay if he/she has worked or has used other paid leave his/her last scheduled day prior to and his/her first scheduled day after the official holiday. Generally, for employees working a Monday through Friday workweek, holidays occurring on Saturday will be observed the preceding Friday and holidays occurring on Sunday will be observed on the following Monday. When Christmas Eve Day falls on a Saturday or Sunday, or when Christmas Day falls on a Saturday, the City may designate one of these holidays as a floating holiday to be taken at another time as approved by the employee's supervisor. A floating holiday is equal to eight (8) hours of holiday leave. The floating holiday must be taken in a one day increment with the exception of employees scheduled to work four hour shifts. These employees may take their floating holiday in two four hour increments on days in which they were scheduled to work a four hour shift. 6-2.1 Holiday Overtime: All non-exempt employees who are required to work on an actual or observed holiday shall receive two times their hourly rate for all hours on that day. This holiday overtime will be paid in addition to any holiday pay eligible employees would have been entitled to had they not been required to work. SECTION 6-3 FAMILY AND MEDICAL LEAVE 6-3.1 Reasons for Family and Medical Leave: In accordance with the Family and Medical Leave Act (FMLA), unpaid job protected leave will be granted to all eligible employees (male and female) for up to twelve (12) weeks per twelve (12) month period for any of the following reasons: A. Birth and care of a newborn child (must conclude within twelve (12) months after the birth or placement), pre -natal care or incapacity due to pregnancy, B. Placement of a child with the employee for adoption or foster care (must concluded within twelve (12) months after the birth or placement); C. To care for a spouse, son, daughter or parent who has a serious health condition; D. Inpatient Treatment; E. For a serious health condition, that makes the employee unable to perform the functions of the position; or F. Because of any qualifying exigency arising out of the fact that the spouse, or a son, daughter, or parent of the employee is on active duty (or has been notified of an 15 179902v9 impending call or order to active duty) in the Armed Forces in support of a contingency operation. Employees that are eligible for FMLA leave shall be required to use all accrued PTO during the FMLA leave. 6-3.2 Service Member Family Leave: An eligible employee who is the spouse, son, daughter, parent or next of loin of a covered service member shall be entitled to a total of 26 workweeks of leave during a 12 -month period to care for the service member with a serious active -duty -related illness or injury (see definition below). The leave described in this paragraph shall only be available during a single 12 -month period. The leave is allowed once per service member and once per injury. 6-3.3 Under the FMLA, the following definitions apply: "Caring" for someone includes psychological as well as physical care. It also includes acquiring care and sharing care duties. An eligible "son or daughter" is defined as a person under 18 years of age (or a person incapable of self-care because of a physical or mental disability) who is a biological, adopted, foster or step child, a ward of the employee, or a person with whom the employee is charged with a parent's rights, duties and responsibilities. For purposes of military qualifying exigency leave, the age limit is disregarded. An eligible "parent" includes a biological parent or a person who was charged with a parent's rights, duties and responsibilities over the employee when the employee was under the legal age, but doesn't include in-laws. The term "serious health condition" means an illness, injury, impairment, or physical or mental condition that involves: A. inpatient care in a hospital, hospice, or residential medical care facility; or B. continuing treatment by a health care provider. The term "serious injury or illness", in the case of a member of the Armed Forces, means an injury or illness incurred by the member in line of duty on active duty in the Armed Forces that may render the member medically unfit to perform the duties of the member's office, grade, rank, or rating. FMLA is available for treatment of substance abuse when it qualifies as a "serious health condition" but not for an absence that was required because of use of a substance. 16 179902v9 The term "covered service member" means a member of the Aimed Forces, including a member of the National Guard or Reserves, who is undergoing medical treatment, recuperation, or therapy, is otherwise in outpatient status, or is otherwise on the temporary disability retired list, for a serious injury or illness. 6-3.4 Eligibility: An eligible employee is one who has worked for the City for a cumulative period of twelve (12) months and worked at least 1,250 hours for the City during the twelve (12) month period prior to requesting the leave. 6-3.5 Leave Year: The leave year begins on the first day of an employee's leave and continues for 12 consecutive months thereafter for purposes of this policy. 6-3.6 Notice: The employee is to give verbal or written notice at least thirty (30) days prior to the date on which the leave is to begin if the need for leave is foreseeable. The thirty (3 0) day notice requirement can be waived by the City if circumstances warrant. If an employee fails to give thirty (30) days' notice for a foreseeable leave with no reasonable explanation for the delay, the leave may be denied until thirty (30) days after the employee provides notice. Planned medical treatment should be scheduled so that it will not unduly disrupt the City's operations. 6-3.7 Medical Certification: The employee may be required to submit medical certification to support a request for leave because of a serious health condition of a child, spouse, parent or the employee. A "Certification of Physician or Practitioner" form can be obtained from the Finance Department. It is to be completed by the attending physician or practitioner and submitted to the City Administrator within fifteen (15) days after requested, or as soon as is reasonably practicable. It must include enough facts to determine whether the certification is sufficient to warrant the leave of absence. A. For an employee with a serious health condition, it will be sufficient if it states: 1. the date on which the serious health condition commenced; 2. the probable duration of the condition; 179902v9 17 3. the appropriate medical facts within the knowledge of the health care provider regarding the condition; B. For a leave for care for a son, daughter, spouse, or parent, it must provide an estimate of the amount of time that such employee is needed to care for the son, daughter, spouse, or parent. C. In the case of certification for intermittent leave, or leave on a reduced leave schedule, for planned medical treatment, it must include the dates on which such treatment is expected to be given and the duration of such treatment; D. In the case of certification for intermittent leave, or leave on a reduced leave schedule, for a chronic serious health condition, it must include a statement of the medical necessity for the intermittent leave or leave on a reduced leave schedule, and the expected duration of the intermittent leave or reduced leave schedule; and E. For intermittent leave, or leave on a reduced leave schedule, for the care of the son, daughter, parent, or spouse who has a serious health condition, it must show it is medically necessary to care for that family member, or will assist in their recovery, and the expected duration and schedule of the intermittent leave or reduced leave schedule. F. The City may require a second (or third) opinion at the City's expense. If required, the City will select a health care provider not regularly associated with the City. 6-3.8 Re -certification: Re -certification may be required if the employee requests an extension of the original length approved by the City (up to a maximum of twelve (12) weeks) or if the employee's circumstances change. Re -certification may also be required if there is a question as to the validity of the certification or if the employee is unable to return to work due to the serious health condition. In general, the City may request recertification no more often than every thirty (30) days. 6-3.9 Intermittent Leave: Leave requested because of a serious health condition of either a family member or the employee may be taken intermittently or on a reduced schedule if such leave is deemed to be medically necessary. All requests for intermittent leave will be evaluated on a case-by-case basis. Employees are required to make reasonable efforts to schedule leave that is foreseeable for planned medical treatment so the leave does not unduly disrupt City operations. The employer may require the employee to transfer temporarily to an alternative position, with equivalent pay and benefits that better accommodates the intermittent leave than the regular position. 179902v9 6-3.10 Fitness For Duty Certification: The City may require a medical certificate attesting to the employee's fitness for duty prior to return to work. The fitness for duty report must be based on the particular health condition(s) for which the leave was approved and must address whether the employee can perform the essential functions of the job. The City Administrator may consult with a physician or other expert to determine reasonable accommodations for any employee who is a "qualified disabled" employee under the ADA (Americans with Disabilities Act). If a fitness for duty certification is required, the City may deny reinstatement until it is provided. 6-3.11 Job Protection: Employees returning from Family and Medical Leave will be reinstated in their former position or a position equivalent in pay, benefits and other terms and conditions of employment. An employee's reinstatement rights are the same as they would have been had the employee not been on leave. Thus, if an employee's position would have been eliminated or an employee would have been terminated but for the leave, the employee would not have the right to be reinstated upon return from leave. 6-3.12 Effect On Benefits: A. Health and Dental Insurance - An employee granted a leave under this policy will continue to be covered under the City's group health and dental insurance plan under the same conditions and at the same level of City contribution as would have been provided if they had been continuously employed during the leave period. If there are changes in the City's contribution levels while the employee is on leave, those changes will take place as if the employee were still on the job. The employee will be required to continue payment of the employee portion of all group insurance coverage, and the city's portion plus any required administrative fee, if applicable, for life insurance continuation, if continuation is desired. Employees must make arrangements with the Finance Department for payment of the employee's portion of premiums. If an employee's contribution is more than thirty (30) days late, the City may terminate the employee's insurance coverage (subject to COBRA requirements). B. Seniority - Seniority does not accrue during the period of unpaid Family and Medical Leave (except as allowed during a parental leave, USERRA or when the leave is covered by Worker's Compensation). However, seniority accrued prior to commencement of FMLA leave will not be lost. 19 1799ozv9 C. Use Of Accrued Compensatory Time Or Paid Leave During Family And Medical Leave - During the Family and Medical Leave, employees must use their accrued compensatory time prior to taking an unpaid leave unless their medical condition/injury is covered by worker's compensation or disability insurance, or the absence qualifies under the State Parental Leave law (see Parental Leave Policy - 6-8). Employees may use accrued PTO, if they so choose, after compensatory time is exhausted. When compensatory time has been exhausted, any remaining time will be unpaid except for PTO requested by the employee. D. Effect On Pension - FMLA leave counts as continued service for purposes of retirement or pension plans. E. Training - Employees who have missed training sessions while on FMLA leave will be given a reasonable opportunity to make them up. 6-3.13 Records Retention: Records on FMLA leave will be kept along with normal payroll records except that any medical record will be maintained separately as a confidential medical record in accordance with the law. 6-3.14 Failure To Return From FMLA Leave: A. Employees who cannot return from an approved Family and Medical Leave at the end of the approved leave period must request an extension (up to the maximum of twelve (12) weeks allowed). If the twelve (12) allowable weeks have already been used, the employee can request to go on a regular unpaid leave of absence. If approved, the employee will be required to pay the full cost of all group insurance, as allowed under COBRA, in order to continue coverage. See exception to this rule under Continuation Coverage, Section 5-5.2. B. If the unpaid leave of absence is not approved or the employee fails to request additional leave, the employee will be considered to have voluntarily quit in accordance with the Attendance Policy. C. If circumstances beyond the employee's control prevented the employee from requesting additional leave, a retroactive leave request may be allowed, subject to the City Administrator's approval. D. If an employee fails to return from an FMLA leave and is determined to have voluntarily quit as described above, the City may seek reimbursement from the employee for the portion of the premiums paid by the City on behalf of that employee during the period of leave. 1799oav9 20 SECTION 6-4 ADMINISTRATIVE LEAVE Under special circumstances, the City Administrator or City Council may, at the City's discretion, place an employee on an administrative leave pending the outcome of an internal or external investigation or criminal proceeding and for disciplinary reasons. The leave may be paid or unpaid, depending on the circumstances, as determined by the City Administrator. SECTION 6-5 ADVERSE WEATHER City facilities will be open during adverse weather. Due to individual circumstances, each employee will have to evaluate the weather and road conditions in deciding to report to work (or leave early). Employees will be paid for hours worked. Public works maintenance, utilities and park employees would generally be required to report to work regardless of conditions. The City Administrator will decide whether conditions indicate a general excused absence for those unable to report to work due to the adverse weather. Employees shall take PTO or use compensatory time if eligible, or unpaid time. Decisions to cancel departmental programs (special events, after school programs, etc) will be made by the respective department head or his/her designee. SECTION 6-6 JOB RELATED INJURIES OR ILLNESS 6-6.1 All employees are required to immediately report all job-related illnesses or injuries to their supervisor immediately (no matter how minor). If a supervisor is not available and the nature of injury or illness requires immediate treatment, the employee shall go to the nearest available medical facility for treatment and, as soon as possible, notify his/her supervisor (and the managed care provider) of the action taken. If the injury is not of an emergency nature, but requires medical attention, the employee shall report it to the supervisor and call the managed care provider to schedule a medical appointment. 6-6.2 Worker's Compensation benefits and procedures to return to work shall be applied according to applicable State and Federal laws, and requirements of the City's Worker's Compensation Administrator. SECTION 6-7 EMPLOYEES WITH HEALTH-RELATED WORK RESTRICTIONS 6-7.1 At times employees may require job modifications, a leave of absence, or other action due to an injury, illness or a medical or psychological condition preventing them from performing one or more of their required duties. Employees are responsible for notifying their supervisor of any need for job modification or leave of absence. Each situation will be evaluated on a case-by-case basis consistent with applicable State and Federal laws. Medical documentation may be required. 21 179902v9 6-7.2 Job modification, leaves, or other action may also be required when an employee cannot safely perform the job. This includes situations where exposure to potentially harmful situations or substances is likely to jeopardize the health or safety of the employee, coworkers, or the public. It also includes situations where an employee's work performance - or other indications- lead a supervisor to objectively conclude that the employee may not be able to perform the job or parts of the job safely. 6-7.3 The City Administrator will advise supervisors and department heads as to appropriate actions to take and/or job modifications needed. Job modifications will normally be temporary in nature unless required to be otherwise by law. At times, an outside resource may be called to assist in determining appropriate action. This may include the employee's physician, a City -appointed physician or psychologist, or a rehabilitation or occupational medicine specialist. SECTION 6-8 PARENTING LEAVE 6-8.1 Under Minnesota law, Employees who work twenty (20) hours or more per week and have been employed more than one year are entitled to take an unpaid leave of absence in connection with the birth or adoption of a child. The leave may not exceed twelve (12) weeks, and must begin within twelve (12) months of the birth or adoption or, where the child must remain in the hospital longer than the mother, within twelve (12) months after the child leaves the hospital. 6-8.2 Employees are not required to use PTO during parental leave but may use it at their option for any period of this leave. 6-8.3 The employee is entitled to return to work in the same position and at the same rate of pay the employee was receiving prior to commencement of the leave. Group insurance coverage and City contributions will remain in effect during the twelve (12) week leave. 6-8.4 If the employee has any FMLA eligibility remaining at the time this leave commences, this leave will also count as FMLA leave. The two leaves will run concurrently until eligibility for either leave expires. 6-8.5 Seniority will continue to accrue during the twelve (12) week parental leave for eligible employees. Employees, who are not covered under the law, may receive up to a maximum of two (2) weeks unpaid leave that is not adjusted for seniority with authorization of the department head and City Administrator. SECTION 6-9 FUNERAL LEAVE 6-9.1 Funeral leave may be granted to full time and benefit -earning part-time City employees by the employee's immediate supervisor. To be eligible for funeral leave, an employee 22 179902v9 must furnish adequate proof that a death has occurred within the employee's immediate family. 6-9.2 The term "immediate family" shall include spouse, parents and step-parents, children, step -children, grandparents, and brothers and sisters of the employee or employee's spouse. Relatives of the employee other than those above listed shall not be considered members of the immediate family for the purposes of this policy. 6-9.3 Paid funeral leave may be granted for two (2) work days. This paid leave will not be deducted from the employee's PTO balance. SECTION 6-10 MILITARY LEAVE 6-10.1 Minnesota Statutes Section 192.26 and 192.261 provide that an employee of any municipality who is a member of the National Guard, the Naval Militia, the Officers Reserve Corps, the Naval Reserve, the Marine Corps Reserve or any other reserve component of the military or naval forces of the United States, is entitled to a leave of absence without loss of pay, seniority status, efficiency rating, or benefits for the time such employee is engaged in training or active service not exceeding a total of fifteen (15) days in any calendar year. 6-10.2 In accordance with State Law, the employee shall be granted an unpaid leave of absence when called to active duty. If an employee has not yet used their fifteen (15) days of paid leave when called to active duty, any unused paid time will be allowed prior to the unpaid leave of absence. 6-10.3 Such leave shall not be allowed unless the officer or employee (1) returns to the public position immediately on being relieved from such military or naval service and not later than the expiration of the time limited by state statute for such leave, or (2) is prevented from so returning by physical or mental disability or other cause not due to the officer's or employee's own fault, or (3) is required by proper authority to continue in such military or naval service beyond the time limited by state statute for such leave. Notice shall be given the Employer at least fifteen (15) working days in advance of the requested leave. Notice may be waived under certain circumstances. 6-10.4 Returning reservists have the right to return to their jobs or another job of similar seniority, status, and pay upon completion of active duty in accordance with M.S. 192.261, Subd. 2 and 38 U.S.C. Section4316. 6-10.5 Eligibility for continuation of insurance coverage will follow the same procedures as for any terminated or laid -off employee while the employee is on an unpaid leave of absence for active duty. In addition, military leaves of absence shall be considered work time for the purposes of PTO accrual. See also Section 6-3 Family and Medical Leave. 23 179902v9 SECTION 6-11 JURY DUTY LEAVE 641.1 Full time and benefit -earning part-time employees shall be granted paid leaves of absence for required jury duty provided that such duty does not exceed one hundred twenty (120) hours in any one calendar year. Employees shall receive that portion of their regular straight time pay that will, together with their jury pay, equal their total compensation for the same period. The time spent on jury duty shall not be counted as time in computing overtime. Employees excused or release from jury duty during their regular working hours shall report to their supervisors immediately thereafter. 6-11.2 Employees shall notify their supervisor as soon as possible after receiving notice to report for jury duty. The employee will be responsible for ensuring that a report of jury duty and pay form is completed by the Clerk of Court each week so that City will be able to determine the amount of compensation due for the period involved. 6-11.3 Temporary/seasonal and part-time employees working less than twenty (20) hours per week are not eligible for compensation for absences due to jury duty. They can take a leave without pay with department head approval. 6-11.4 Court Appearances - Employees will be granted paid leave time to testify in Court only for City -related business. Any compensation received for court appearances (e.g. subpoena fees) arising out of or in connection with City employment, minus mileage reimbursement, must be turned over to the Finance Department. SECTION 6-12 SCHOOL CONFERENCE LEAVE Any employee who has worked half-time or more may take unpaid leave for up to a total of sixteen (16) hours during any twelve (12) month period to attend school conferences or classroom activities related to the employee's child (under 18 or under 20 and still attending secondary school), provided the conference or classroom activities cannot be scheduled during non -work hours. Verification may be required. SECTION 6-13 ELECTIONS/VOTING 6-13.1 An employee who is selected to serve as an election judge pursuant to M.S. Section 204B.21 subd. 2, will be allowed time off without pay for purposes of serving as an election judge, provided that the employee gives the City twenty (20) days written notice. 6-13.2 All employees who are eligible to vote at a regularly scheduled state primary or general election, an election to fill a vacancy in the office of United States senator or United States representative, or an election to fill a vacancy in the office of state senator or state representative, shall be allowed time off with pay to vote during the morning of election day. 24 179902v9 SECTION 6-14 LEAVE OF ABSENCE WITHOUT PAY 6-14.1 This section sets forth policy regarding leave without pay and shall generally be followed to promote fairness and consistency. However, nothing in this policy shall limit the City's authority to make additional reasonable accommodations as may be necessary and which do not result in hardship to the City. 6-14.2 Supervisors may, giving consideration to the needs of the City and the ability of the remaining staff to accomplish work responsibilities, authorize regular employees to be absent without pay for personal reasons for a period or periods up to a total of ten (10) working days in any calendar year. Requests for leave of absence without pay in excess of ten (10) days and up to 30 days in a calendar year must be approved in advance by the City Administrator. Leave without pay for 30 days or more must be approved by the City Council. Employees are not eligible for leave of absences beyond one year - including paid and unpaid leave time combined. 6-14.3 Employees shall request such leaves of absence without pay in writing in advance of the desired date indicating the reason(s) for absence, the specific absence period and anticipated date of return to work. The City Council may waive this requirement under extenuating circumstances. 6-14.4 Leaves of absence will not be given for the purpose of enabling any employee to work for another employer or to engage in any form of self-employment. Any employee who obtains a leave of absence by misrepresenting the purpose therefore shall be discharged. 6-14.5 While on approved leave of absence without pay exceeding ten consecutive working days, an employee will not receive city contributions to city -sponsored group insurance(s) unless the leave qualifies as parenting or family and medical leave or the employee is receiving LTD (See Section 5-5.2) or unless otherwise required by law. Employees will not be eligible for holiday pay or PTO accrual for unpaid leaves of absences. Nor will the time on leave of absence without pay be considered for purposes of calculating seniority where the period exceeds ten consecutive working days. Exceptions will be made for employees during active status with the armed forces pursuant to federal law. 6-14.6 To qualify for leave without pay, an employee must first use all accrued PTO and compensatory time. Leave without pay for purposes other than medical leave, military leave or work-related injuries will be at the sole discretion of the City. 6-14.7 Employees returning from a leave without pay for a reason other than a qualified Parenting or Family and Medical Leave will be guaranteed return to the original position only for absences of thirty (30) calendar days or less. 25 179902v9 6-14.8 Employees receiving leave without pay in excess of thirty (30) calendar days, for reasons other than qualified Parenting or Family and Medical Leave, are not guaranteed return to their original position. If their original position or a position of similar or lesser status is available, it may be offered at the discretion of the City. See also Military Leave, Section 6-10. 6-14.9 The City acknowledges these provisions are not intended to modify or replace any rights to any employee that are granted under State or Federal law. SECTION 7 - PERFORMANCE REVIEWS SECTION 7-1 PURPOSE An objective performance review system has been established by the City of Otsego for the purpose of periodically documenting the performance of City employees. The quality of performance rendered by the employee in the past will receive due consideration in such personnel decisions as promotions, transfers, demotions, terminations and, where applicable, salary adjustments. SECTION 7-2 GUIDELINES A. Performance reviews will be completed by a designated supervisor or department head, who may receive feedback from others in completing the review. Performance reviews will be discussed with the employee. Employees may grieve their performance review to the City Administrator. Employees may also submit a written response, which, subject to review by the City Administrator, may be attached to the performance review. If the performance review was performed by the Administrator, the Employee may grieve the performance review to the City Council. B. All performance reviews completed by supervisors below the department head level will be reviewed and approved by the applicable department head or the City Administrator. The City Council has sole authority to evaluate the City Administrator and may elect to receive feedback from others as part of the process. C. Performance reviews should be scheduled on a regular basis, at least annually. Additionally performance reviews may be scheduled at the discretion of the City, and in the event of circumstances, action or inaction dictating the need for additional review. The Performance review form, with or without all required signatures, shall be retained as part of the employee's personnel file in the Finance Department. D. Performance reviews will be signed by the employee and the person responsible for the review. By signing the performance review the employee acknowledges Im 179902v9 that he or she has read the review and has had an opportunity to discuss it with the person responsible for the review. The employee's signature does not necessarily indicate agreement with the performance review. Failure to sign the document by the employee will not delay processing of the review, nor will it impede or delay any consequences of the review. SECTION 8 - EMPLOYEE EDUCATION AND TRAINING SECTION 8-1 PURPOSE AND GUIDELINES The City promotes staff development as an essential, ongoing function needed to maintain and improve cost effective quality service to residents. The purposes for staff development are to ensure that employees develop and maintain the knowledge and skills necessary for effective job performance and employees are provided with an opportunity for job enrichment and mobility. 8-1.1 Policy Guidelines: A. The City shall encourage training sessions conducted by employees of the same department or of similar job classifications where necessary to the performance of their j obs. B. Supervisors shall provide an orientation program for new employees. C. The immediate supervisor shall ensure training is provided for the operation of new equipment as required. D. The City encourages contact with personnel from other municipalities in order to learn more efficient job procedures. E. The City encourages the use of in-house talents and skills in training as well as the expertise of local citizens, companies and agencies. F. Written approval from a Department Head or Administration is required to attend training programs. 8-1.2 Administration Guidelines: A. General guidelines for training where the City provides financial support and/or time off work are as follows: Work interference shall be minimal. 2. Training shall not duplicate recent training. 3. Training costs shall be within budgetary limits. 179902v9 27 4. Preference shall be given to training that provides the most benefit to the City at the least cost. The department head shall ensure that there is adequate coverage of departmental responsibilities before approving training applications. 6. Training shall relate to an employee's job or health/safety. 7. Training shall be structured to provide general information that will aid in an employee's growth or maintenance of professional standards. 8. If the City requires attendance at a seminar, the City pays tuition/registration fees and wages for all required hours of attendance. Expenses will be paid in accordance with standard practices. 9. Employees should be aware at all times that they are representing the City while attending any conference, meeting, seminar or convention. Employees should conduct themselves as if they were at work. Improper conduct at any City authorized or sponsored event reflects poorly on the City and will be subject to disciplinary action as if it occurred during regular working hours. SECTION 8-2 MEMBERSHIPS AND DUES The purpose of memberships to various professional organizations must be directly related to the betterment of the services of the City. Normally, one City membership per agency, as determined by the responsible authority is allowed, providing funds are available. Upon separation of employment, individual memberships remain with the City and are transferred to other employees by the department head. SECTION 8-3 TRAVEL REIMBURSEMENT 8-3.1 Purpose: To reimburse employees for out-of-pocket expenditures when out of the City on approved business. 8-3.2 Procedures: All travel by Otsego employees requires the approval of the City Administrator or his/her designee. All conference and school -related expenses shall also be approved by the City Administrator. 28 179902v9 2. All expenses incurred for travel are to be paid by the employee unless pre -paid by the City. The employee's expenses may be covered with a travel advance or the employee may use personal funds and be reimbursed after the travel. Travel advances may only be requested for meals and hotel expenses or airfare that has not been pre -paid by the City. Travel advances may normally be requested no later than seventy-two (72) hours before date of departure. 4. If a City vehicle is not available, or is otherwise not appropriate, employees may use a privately owned vehicle for travel on City business within the State of Minnesota. The following mileage reimbursement will be allowed: A. For use of a City -owned vehicle: actual receipted expenses. B. For use of a privately owned vehicle: IRS- approved reimbursement rate. 5. Travel outside of the State of Minnesota shall be reimbursed at actual round-trip coach rate airfare. If a personal automobile is used, reimbursement will be paid on the basis of prevailing mileage allowance or coach airfare, whichever is less. If an employee prefers to drive, any extra time required due to driving will be taken as leave time. 6. Employees who depart for a conference early, or remain afterwards, are personally responsible for all costs for hotel, living expenses and any additional travel expenses. 7. Hotel accommodations shall be reasonable and shall be reimbursed at actual and necessary cost, consistent with facilities available and in proximity of the conference or meeting being attended. Where multiple occupancy has occurred, the official or employee may only claim the actual and necessary cost of his or her single occupancy. 8. The City will provide funding for out of State training and National conferences according to funding availability and approval of the City Administrator and City Council. 9. Upon returning, employees must settle their travel accounts within thirty (30) working days by completing a Reimbursement Summary and submitting it to the Finance Department. 10. A daily allowance for meals will be reimbursed, upon providing proof of actual expenses, in an amount not to exceed $50.00, to employees who travel on City business within the State of Minnesota. If meals are included in tuition or registration fees and/or only a fraction of the day is approved for travel, the per 29 179902v9 diem or expense allowance will be as follows, unless documented otherwise and otherwise consistent with these guidelines: Breakfast $10.00 Lunch $15.00 Dinner $25.00 Breakfast allowance shall be authorized for Minneapolis/St. Paul or St. Cloud departures prior to 8:00 a.m. and dinner allowances shall be authorized for arrivals from these airports after 7:00 p.m. Allowances within these parameters are the responsibility of the Finance Director consistent with the facts and good judgment applied to each travel expense claim. 11. Other miscellaneous expenses, such as taxis or shuttles to and from the destination airport, buses, and phone calls that are business related, will be reimbursed, upon providing proof of actual expenses, at the City's discretion. (Attempts should be made to retain receipts whenever possible.) Rental car reimbursement will be made only with prior approval by the City Administrator. SECTION 9 - PUBLIC PURPOSE EXPENDITURES SECTION 9-1 GENERAL Consistent with Minnesota State laws that permit and require the expenditure of public funds for public purposes, the City of Otsego hereby adopts the following policy and guidelines to provide assistance and clarification to officials and employees for determinations of when public funds may be spent. The over-riding principle is that public funds must be spent for a public purpose. The City Council recognizes that the determination of a valid public purpose is an evolving concept that is somewhat subjective and therefore feels thoughtful discussion and guidance in the form of a policy and guidelines is appropriate. The City Council authorizes the City Administrator to establish additional administrative policies and procedures and to interpret appropriate use of public funds consistent with this policy and guidelines. SECTION 9-2 DEFINITIONS Public Purpose Expenditure - An expenditure of funds related to the purpose for which the City of Otsego exists, including the mission, goals, functions, and responsibilities of elected and appointed officials, employees and other City representatives. Employee — For purposes of this policy, the word `employee' shall include all employees, elected officials, and appointed officials. Im 179902v9 SECTION 9-3 PUBLIC PURPOSE GUIDELINES The City of Otsego has determined that the following expenditures are valid expenditures and serve a public purpose. A. Training and development programs for Otsego elected and appointed officials and employees serve a public purpose when those training and development programs are related to the employee's job performance and to the programs and services provided by the City to its residents. B. Payment of employee work-related expenses, including travel, lodging, telephone, and meal expenses serve a public purpose when those expenses are necessarily incurred by employees in connection with their official duties and/or work assignments and those expenses are directly related to the performance of the governmental function for which Otsego has responsibility. C. Safety, health and wellness programs for Otsego employees serve a public purpose because they result in healthier and more productive employees and reduce certain costs to the City and taxpayers, including various costs related to worker's compensation, health insurance premiums, disability benefit claims, and lost time due to employee absences. D. Public expenditures to recognize contributions made by employees are part of an overall compensation program offered to employees for work performed. It serves a public purpose because formally recognizing employees who make contributions and demonstrate their commitment during the performance of their duties results in higher morale and increased employee cooperation, understanding and productivity and therefore assists the City in providing efficient and cost-effective services to its citizens. Including all employees in events to recognize service and commitment encourages other employees to work harder and make additional contributions and builds greater teamwork among employees in different departments. E. Employee productivity is directly related to employee satisfaction and that satisfaction depends on much more than just a paycheck. Employee satisfaction is directly and closely tied to the entire compensation package and the work environment. Recognizing employees' efforts and talents is a key factor in a good work- environment and is accomplished several ways, both structured and unstructured. Examples of structured events include recognition events or cookouts, employee retirement and farewell events and the like. These types of events are an integral part of the City's employee compensation program and are directly related to employee satisfaction, which in turn leads to greater productivity and enhanced service to the community. 179902v9 31 F. Public expenditures for appropriate community and customer outreach activities serve a public purpose when those expenditures are necessary to ensure efficient operation of the City's programs or services, promote the availability or use of services or City resources, or to promote coordinated, cooperative planning activities among and between the City and the private sector or other public sector jurisdictions for the benefit of the public. G. Public expenditures for food and refreshments associated with official Otsego functions, employee training, and meetings to discuss City business serve a public purpose when the provision of food or refreshments helps to ensure meaningful participation by those attending. These functions serve a public purpose to receive or provide information of concern to the City, recognize individuals for their service to the City, or provide a forum to discuss City business. These meetings should be limited to meetings where the primary purpose is to discuss City business. H. Expenditures for membership in professional and community organizations and attendance at meetings and professional conferences serve a public purpose by keeping employees informed of state and federal laws and proposed legislation, rules, regulations, court and arbitration decisions, risk management, effective employee relations strategies and issues, availability of grants and other funding sources, community concerns, and public-private partnership opportunities that are directly related to the performance of city -related governmental functions and to the service provided to the residents. I. Expenditures for educational reimbursement serve a public purpose when the coursework is directly related to the job duties or performance needs of the employee and therefore improve the knowledge, skills and abilities needed to provide effective and efficient services to the residents. J. Public expenditures for volunteer recognition serve a public purpose because formally recognizing volunteers who contribute their time and expertise promotes a positive relationship with the community and encourages volunteerism. Increased volunteerism increases the City's ability to provide cost-effective services to the community. SECTION 10 - EMPLOYEE RESPONSIBILITY SECTION 10-1 GENERAL 104.1 Efficient and effective delivery of municipal services requires active effort and cooperation between City employees and the general public. It is particularly important that all work undertaken by City employees be accomplished expeditiously, efficiently and economically. To reach this goal, the establishment of rules for employee conduct and responsibility are required. 32 179902v9 10-1.2 It shall be the responsibility of all employees to: A. Perform their assigned duties and responsibilities to the best of their ability at all times, and to continually strive to improve their performance. B. Render prompt, friendly and courteous service to the public at all times. C. Read, understand and comply with the rules and regulations as set forth in the personnel policy, administrative regulations and departmental rules. D. Conduct themselves with decorum and respond to inquiries and information with patience and every possible courtesy. E. Report all unsafe conditions and injuries to their supervisor and file the appropriate accident or injury related reports immediately. F. Recommend ideas for improving City services or methods of achieving greater efficiency or economy. SECTION 10-2 CITYWIDE WORK RULES AND CODE OF CONDUCT 10-2.1 Appearance: Departments may establish dress and uniform requirements for employees as part of departmental rules. Overall, personal appearance should be appropriate to the nature of the work and contacts with other people and should instill confidence and present a positive image to the public. The City Administrator may designate certain days as "Casual Days" for non -uniformed employees, where employees may dress more casually than the typical work day. 10-2.2 Attendance: The operations and standards of service in the City of Otsego require that employees be at work unless compelling reasons warrant absence. Absence and tardiness records reflect an employee's responsibility to his/her job and to fellow workers. These records have a direct effect on employment status and progress. In order that a team functions efficiently and effectively, employees must be on the job. Attendance is an essential requirement of every City position. Abuse of this policy shall be grounds for disciplinary action (see Discipline Policy). 10-2.3 Absence Procedure: A. Employees who are absent from work are required to notify their supervisor as soon as possible in advance of their absence. In case of unexpected absence, employees should call their supervisor before the scheduled starting time. 179902v9 33 B. Every effort should be made to contact the supervisor directly. However, if the supervisor is not available at the time, the employee should leave a message for the supervisor, or his/her designee, including a telephone number where he/she can be reached or contact any other individual as may be designated by the supervisor. Departments may establish more specific reporting procedures. C. The employee must call the supervisor on each day of an absence extending beyond one (1) day unless specific arrangements otherwise have been made with the supervisor. D. Employees who are absent for three (3) days or more and who do not report their absence in accordance with the policy above, will be considered to have voluntarily resigned not in good standing. (The City Administrator may waive this rule if, in his/her judgment, extenuating circumstances warrant such behavior.) This policy does not preclude a supervisor from administering discipline for unexcused absences of less than three (3) days. E. Any extended absence can be deemed voluntary resignation. SECTION 10-3 CONFLICT OF INTEREST 10-3.1 The credibility of local government rests heavily upon the confidence that citizens have in public employees to render fair and impartial services to all without regard to personal interest and/or political influence. The delivery of public services to our citizens requires that City employees scrupulously avoid any activity that suggests a conflict of interest between their private interest and City responsibilities. City employees shall not engage or have financial interest in any business or other activity that could reasonably lead to a conflict of interest with the employee's primary City responsibilities. Employees shall disclose any interest family members may have which could give the appearance of a conflict of interest at the time the conflict appears. 10-3.2 "Family members" shall be deemed to be the spouse, parents, children, and siblings of employees or their spouse and/or the lineal descendants of any of them. Once disclosed, the City Council and City Administrator will exercise due diligence to ensure such family members are not provided preferential treatment because of their relationship to an employee or member of the City Council. 10-3.3 Examples of activities that are covered by this policy include, but are not limited to: 1) Having an interest in any business which has contracts or other direct financial dealings with the City of Otsego; 2) Activities which require the employee to interpret City Codes, ordinances or regulations when such activity involves matters with which the employee has business and/or family ties; 179902v9 34 3) Consulting activities carried out within the City of Otsego if such consulting involves talents or skills primarily related to the employee's City work responsibilities. 10-3.4 Any employee, elected official, or appointed official engaging in any activity involving either an actual or potential conflict of interest or having knowledge of such activity by another employee shall promptly report the same to the City Administrator. The City Administrator shall investigate the matter and make a determination as to whether or not an actual or potential conflict exists. 10-3.5 If the City Administrator determines a conflict exists, appropriate actions will be taken to end the conflict. These actions could include discontinuing or not awarding a contract with an employee, council member or family member's business, terminating the conflicting activity, or termination of employment. The City will consider whether the best interest of the City is served by doing business with the employee's family member where other options are not available, not practical or are more costly. SECTION 10-4 RECEIPT OR SOLICITATION OF GIFTS 10-4.1 No employee, elected official, or appointed official shall receive or solicit any gift from any person, business or organization having any business, administrative, legislative, contractual or any other relationship with the City if the gift could be perceived to, or could influence, actions of an official nature. A gift is any money, tangible or intangible personal property, food, beverage, loan, promise, service or entertainment exceeding $10.00, or such amount as may be set by state statute. 10-4.2 Departments may adopt more stringent requirements but any such requirements shall be communicated to the employee and City Council by official notice at least once each calendar year or shall be part of the official written procedures of the department. 10-4.3 Rendering of consideration. No person seeking employment to or promotion in the municipal service shall either directly or indirectly give, render, or pay any money, service, or other valuable consideration to any person, or on account of or in connection with the test, appointment, or promotion, or proposed appointment or promotion. SECTION 10-5 POLITICAL ACTIVITY Although City employees have the right to express their views and to pursue legitimate involvement in the political system, no employee of the City shall directly or indirectly, during hours of employment, solicit or receive funds for political purposes or engage in political activities on City time or City premises. 35 179902v9 SECTION 11 - HARASSMENT SECTION 11-1 GENERAL 11-1.1 The City of Otsego is committed to creating and maintaining a work environment free from all forms of harassment and discrimination. Such harassment is a violation of Title VII of the Civil Rights Act of 1964 and the Minnesota Human Rights Act. 11-1.2 This policy will apply to all officials and employees of the City of Otsego, including temporary/seasonal, paid -on-call, volunteers and elected and appointed officials. 11-1.3 Harassment of any person because of race, creed, color, religion, national origin, sex, age, marital status, disability, sexual orientation, status with regard to public assistance, familial status, membership or activity in a local commission, or political opinions or affiliations is unlawful. This policy statement is intended to make all employees sensitive to the matter of harassment, to specifically express the City's strong disapproval of unlawful harassment, to advise employees of their behavioral obligations and to inform them of their rights. 11-1.4 In keeping with this commitment, the City maintains a strict policy prohibiting unlawful harassment, including sexual harassment. This policy prohibits harassment in any form, including verbal and physical harassment. 11-1.5 Management has the obligation to provide an environment free of harassment. The City is obligated to prevent and correct unlawful harassment in a manner that does not abridge the rights of the accused. To accomplish this task, the cooperation of all employees is required. 11-1.6 The City of Otsego recognizes the need to educate its employees on the subject of harassment and stands committed to provide information and training. All employees are expected to treat each other and the general public with respect and to assist in fostering an environment that is free from unwanted harassment. SECTION 11-2 SEXUAL HARASSMENT 11-2.1 Definition of Sexual Harassment: Because sexual harassment is sometimes more difficult for employees to recognize, the following definition is provided (based on excerpts from Minnesota Statutes): Sexual harassment includes unwelcome sexual advances, requests for sexual favors, sexually motivated physical contact, or other verbal or physical conduct or communication of a sexual nature, when: 36 179902v9 1) submission to the conduct or communication is made a term or condition, either explicitly or implicitly, of an individual's employment, 2) submission to or rejection of that conduct or communication by an individual is used as a factor in decisions affecting that individual's employment, or 3) that conduct or communication has the purpose or effect of substantially interfering with an individual's employment or creating an intimidating, hostile, or offensive work environment. 11-2.2 Examples of Inappropriate Conduct: Examples include but are not limited to: unwanted physical contact (including touching, gestures, assault, impeding or blocking movement), unwelcome sexual jokes or comments; sexually explicit posters or pinups, letters, poems, graffiti, cartoons, or drawings, repeated and unwelcome requests for dates or sexual favors, unwelcome sexual advances or any indication, expressed or implied, that job security or any other condition of employment depends on submission to or rejection of unwelcome sexual requests or behavior. In summary, sexual harassment is the unwanted, unwelcome and repeated action of an individual against another individual, using sexual overtones as a means of creating discomfort. 11-2.3 Reportin1l and Investigation Requirements: Any employee who feels he or she is being subjected to harassment in any form, or who believes he or she has witnessed harassment in any form, must contact his or her supervisor, or the Department Head. If allegations are brought against a supervisor or department head, such allegations are to be brought directly to the City Administrator. If allegations are made against the City Administrator or any elected official they shall be brought to the City Council through the Mayor or a member of the Council who is not the subject of said allegations. 11-2.4 All supervisors are required to report immediately any allegation to the Department Head and City Administrator. Only persons with a need to know of the allegation or its resolution will be made aware of the issue. 11-2.5 In addition to notifying one of the above persons and stating the nature of the harassment, the employee is also urged to take the following steps: 37 179902v9 1) make it clear to the harasser that the conduct is unwelcome and document that conversation; 2) document the occurrences of harassment; 3) submit the documented complaints to the person listed above to whom the employee makes their report. The City urges the employee to put the complaint in writing; 4) document any further harassment or reprisals that occur after the complaint is made. Any complaints that are made will be investigated in a timely fashion. The City will, in all cases, take action to correct any reported harassment to the extent evidence is available to verify the alleged harassment and any related retaliation. Each situation will be evaluated on a case-by-case basis depending on the severity and the circumstances involved. All employees shall cooperate in any investigation of such a complaint. If the facts support the allegations, the perpetrator of the sexual harassment will be subject to disciplinary action. Any employee found to have made a false complaint of sexual harassment or found to have given knowingly false information during an investigation of such a complaint will also be subject to disciplinary action. 11-2.6 Strict confidentiality is not possible in all cases of harassment as the accused has the right to answer charges made against them, particularly if discipline is a possible outcome. Reasonable efforts will be made to respect the confidentiality of the individuals involved, to the extent possible. A record of the complaint and the findings will become a part of the complaint investigation record and the file will be maintained separately from the employee's personnel file. 11-2.7 Reprisal: Employees have the right to raise the issue of harassment and to file complaints with respect to such harassment without reprisal. Any action intended to intimidate, retaliate against, harass or disadvantage any person because the person has opposed harassment; reported or complained of harassment; or testified, assisted or participated in any investigation, proceeding, or hearing, under this policy or otherwise, regarding harassment is considered a reprisal. Reprisal includes, but is not limited to, the following actions: 1) refusal to hire or promote the person; 2) departure from any customary employment practice to which the employee would have otherwise been entitled; W. 1799020 3) transferring or assigning the person to a lesser position in terms of wages, hours, job classification, job security or other employment status; or 4) informing another employer that the person has reported harassment. SECTION 12 DISCIPLINE SECTION 12-1 GENERAL 12-1.1 City employees are expected to fulfill their duties and responsibilities at the level required, including observance of work rules and standards of conduct. Failure to do so may result in disciplinary action. Supervisors are responsible for maintaining compliance with City standards of employee conduct. The City reserves the right to use discretion in applying this policy as circumstances warrant. 12-1.2 The reporting of misconduct and prevention of the escalation of misconduct are areas that demand all employees to exercise courage, integrity, and decisiveness. When a non - supervisory employee becomes aware of possible misconduct by another City employee, the employee shall immediately notify a supervisor. 124.3 Furthermore, an employee who observes serious misconduct shall take appropriate action to cause the misconduct to immediately cease. The fact that a supervisor is present and not taking appropriate action to stop the serious misconduct does not relieve other employees present from this obligation. 12-1.4 It is the policy of the City to administer discipline without discrimination. The department head or City Administrator shall investigate any allegation on which disciplinary action might be based before any disciplinary action is taken. SECTION 12-2 WORK RULE OFFENSES 12-2.1 Specific reasons for discipline and dismissal are too numerous to describe in total in these policies. The following list describes offenses for which employees may be subject to discipline. The list is not intended to include all possible reasons for discipline. Lack of a specific listing of reason shall in no way limit the City from taking action deemed appropriate for a specific offense. • Negligence or carelessness in the performance of a duty, such as in the handling or control of municipal property, equipment or funds. • Offensive or inappropriate conduct or language toward City employees or other persons. 179902v9 9M • Violation of any provisions of this policy, ordinances, order of the City Council or City Administrator or adopted Council or Administrative Policy. • Inappropriate acceptance of fees, gifts, or other benefit in the course of the employee's work. • Lack of competence or efficiency in performance of duties. • Failure to obey any lawful and reasonable direction given by an employee's supervisor, City Administrator, or City Council. • Conviction of a crime that affects or relates to the performance of assigned duties or otherwise brings discredit or reflects negatively upon the City. • Conviction of a felony, or a misdemeanor involving moral turpitude, while an employee of the City. • Off-duty conduct that is potentially damaging to the reputation of the City. • Using, threatening, or attempting to use the political influence or unethical pressure, to influence a promotion, leave, transfer, absence, increased compensation, other benefit, or any other matter in which the employee has an interest. Unethical pressure shall include offers of gifts or other special benefits, coercion, collusion, threats of blackmail, requests for favoritism, and use of unfair advantage. • Violating the City's Drug-free Workplace Policy or Drug and Alcohol Testing Policy for Commercial Drivers. • Excessive tardiness, excessive absences, unapproved absences, or abuse of leave privileges. • Theft or intentional destruction of City property or another employee's property. • Violation of the City's Harassment Policy. • Engaging in actions constituting a conflict of interest. • Dishonesty in the employee's performance of duties, or making any false statements or material omissions in any matter relating to the employee's duties or employment, including employment and promotion applications and work undertaken in the scope of employment. • Acting or failing to act in a manner otherwise specified that tends to lower discipline or morale among City employees, brings or tends to bring discredit to 40 179902v9 the City, its elected officials or employees, or that adversely affects the City. Speech that is protected by the First Amendment of the U.S. Constitution shall not be a basis for discipline. • Failure to report an accident to a supervisor as soon as possible upon occurrence. • Unauthorized personal use of city vehicles, property or equipment. • Making a false complaint of harassment or found to have given knowingly false information during any workplace investigation. • Gross neglect of duty. • Immoral or indecent conduct while on duty. • Intentional falsification of personnel records, time reports or other City records or reports. • Intentional destruction or removal of City records or documents in violation of the data retention schedule. • Sleeping on the job during paid work hours. • Intentional or careless conduct endangering the safety of other employees, including the provoking of - or instigating - a fight during working time or on the City premises. • Inducing or attempting to induce any employee in the service of the City to commit an unlawful act or to act in violation of any lawful departmental or official regulation or order. • Abusive, threatening or coercive treatment of another employee or the public on employer's time or premises. • Failure to perform required duties or responsibilities in a satisfactory manner. • Soliciting political contributions from municipal employees and engaging in political activities on or with City property or on City time. • Failure to fulfill employee responsibilities as outlined in this manual especially those detailed in "City Wide Work Rules and Code of Conduct." • Violation of a safety rule or safety practice. 41 179902v9 • Absence from work without prior approval in accordance with this policy or failure to report for work without giving the department head or his/her designee department office earliest possible notice of such absence. • Violation of departmental policies, procedures or rules. • Horseplay - actions adversely affecting safety of normal operations of the department or other employees. • Release of confidential or private data to a person or person who are not eligible to have access to the data. • Failing to start work at designated time, abuse of break or meal periods, quitting work before the proper time or leaving employer's premises during working hours without authorization from the supervisor or other misuse of work time. • Smoking in posted or unauthorized areas. • Vending, soliciting or collecting contributions on the employer's time or premises without prior authorization from the City Administrator. • Spreading negative rumors about other employees. • Treating other employees in an unprofessional or disrespectful manner including making hurtful, disparaging or cutting remarks. (Instructive comments and suggestions for improvement are encouraged provided they are given in a positive, constructive manner.) • Violation of Vehicle Use Policy. 12-2.2 It shall be the policy of the City to administer disciplinary action uniformly and without discrimination. Discipline will be based upon the nature and severity of the infraction and the conditions surrounding the incident. The City of Otsego is an "at -will" employer. Nothing in this article or these personnel policies implies that any City employee has a property right to the job they perform. SECTION 12-3 PROCESS The City may elect to use progressive discipline with any employee, at the City's option. There are circumstances that warrant deviation from the suggested order or where progressive discipline is not appropriate. Disciplinary letters will be placed in the employee's personnel file. The following are descriptions of the types of disciplinary actions: 42 1799020 Oral Reprimand: This measure may be used where personal discussions have not resolved the matter. All supervisors have the ability to issue oral reprimands without prior approval. Oral reprimands are normally given for first infractions on minor offenses to clarify expectations and put the employee on notice that the performance or behavior needs to change, and what the change must be. The supervisor will document the oral reprimand including date(s) and a summary of discussion and corrective action needed. The supervisor shall place the documentation in the Employee's personnel file. Written Reprimand: Written reprimands are more serious and normally follow oral reprimands when the problem is not corrected or the behavior has not consistently improved given a reasonable period of time for improvement. Certain infractions may require skipping either the oral or written reprimand, or both. Written reprimands are issued by the supervisor upon prior approval from the City Administrator. A written reprimand will normally state the reason for the warning along with the policy, directive, performance expectation, or other that was violated. It shall normally describe actions taken by the supervisor to correct the problem, if applicable, including any timetables or goals set for improvement. The reprimand will normally also indicate possible future disciplinary action that could result if the problem continues or related problems occur. Written reprimands will be placed in the employee's personnel file. The supervisor shall place the written reprimand in the Employee's personnel file. Suspension: The City Administrator may recommend suspension of an employee without pay for disciplinary reasons. Suspension without pay may be followed with immediate dismissal as deemed appropriate by the City Council in consultation with the City Attorney. There may be some situations where suspension with pay or administrative leave with pay will be allowed by the City Administrator or City Council. The employee will be notified in writing of the reason for the suspension either prior to the suspension or shortly thereafter. This letter should include a statement outlining further disciplinary action should the problem continue or re -occur. A copy of the letter of suspension will be placed in the employee's personnel file. An employee may be suspended pending an investigation of an allegation. If the allegation is proven false after the investigation, any related written documents will be removed from the 43 179902v9 personnel file and the employee shall receive any compensation and benefits due had the suspension not taken place. There may be circumstances where an employee will be sent home immediately by the department head or City Administrator when an employee's behavior violates the Personnel Policies or department policies or otherwise constitutes serious misconduct. Whether this will be paid or unpaid will be determined by the City. Dismissal: The City Council may dismiss an employee for any lawful reason. The City shall provide written notice to that employee prior to taking final action regarding dismissal. The notice shall contain the reasons for the dismissal, the employee's rights and a statement of veteran's appeal rights if a veteran. It shall also include a statement indicating that the employee may respond to the charges both orally and in writing and that the employee may appear personally before the City Administrator. Any relevant information presented at this hearing will be considered along with all other relevant information already collected in determining appropriate discipline. If the disciplinary action involves the removal of a covered veteran, a hearing shall be held in accordance with Minnesota Statutes Section 197.45. Removal of veterans may be made only for incompetence or misconduct shown after a hearing with due notice (M.S. 197.46). The City Administrator's decision regarding dismissal will be brought to the City Council for consideration. SECTION 12-4 NOTICE OF REASONS FOR TERMINATION An employee who has been involuntarily terminated may, within five working days following such termination, request in writing that the City of Otsego inform the employee of the reason for the termination. Within five working days following receipt of such request, the City of Otsego shall inform the terminated employee in writing of the truthful reason for the termination. SECTION 12-5 REPORTS OF DISCIPLINARY ACTION The City Council shall be promptly notified of all disciplinary action taken against an employee. Proper record of written reprimands, notices of demotion, suspension, or discharge are to become a part of the employee's personnel file. Employees subject to discipline will receive notices of such discipline. SECTION 13 - SAFETY 13-1.1 The City of Otsego is required to follow O.S.H.A. Rules and Regulations, and expects employees to follow them also. 13-1.2 There is an Employee -Management Safety Committee within the organization whose members are either selected by their represented group or appointed by the City Administrator. 44 179902v9 13-1.3 Safety procedures and policies are outlined in the Safety Manual and made a part of this Policy Manual. SECTION 14 - DRUG AND ALCOHOL USE The City of Otsego is a Drug -flee Workplace. In addition, as mandated by applicable State and Federal laws, all City employees whose job duties require operating a commercial motor vehicle and who are required to hold a commercial driver's license (CDL) shall be subject to the City's Ding and Alcohol Testing Policy for Commercial Drivers. Both policies are made part of these policies. SECTION 15 - POLICY PROHIBITING EMPLOYEE POSSESSION OF FIREARMS 15-1.1 The City of Otsego prohibits all employees from carrying or possessing firearms while acting in the course and scope of employment for the City. The possession or carrying of a firearm by employees is prohibited while working on city property or while working in any location on behalf of the City of Otsego. This includes, but is not limited to: • Driving on City business; • Riding in a car or in any type of mass transit while on City business; • Working at any City building; • Working off-site on behalf of the City; • Performing emergency on-call work after normal business hours and on weekends; • Working at private residences and businesses on behalf of the City; • Attending training, meetings, or conferences on behalf of the City. 15-1.2 An exception to this policy is that City employees may carry and possess firearms in City -owned parking areas if they are not working on behalf of the City and have the proper permit. Therefore, employees who must drive their personal vehicles on City business must lock their firearm in their trunk before using their vehicle for city business and leave it in their locked trunk- until the city business is completed. 15-1.3 When responding to on-call work from home after regular hours, an employee is prohibited from bringing a firearm in their private vehicles unless the vehicle remains in a parking lot and is not needed in order to respond to the call. No firearms will be allowed in City vehicles since City vehicles are only to be used for City business. 15-1.4 Violations of this policy are considered a major work infraction and are subject to disciplinary action in accordance with the City's discipline procedures policy. 45 179902v9 SECTION 16 - CONFIDENTIALITY/DATA PRACTICES SECTION 16-1 DATA PRACTICES ADVISORY During the course of employment, the City of Otsego will require employees to provide data that is classified by State law as either private or confidential. Private data is information that generally cannot be given to the public but can be given to the subject of the data. Confidential data is information that generally cannot be given to the public or the subject of the data. The City requests this information for various reasons pertaining to employment with the City. The information provided may be used to process pay and benefits, evaluate performance, determine pay increases, evaluate suitability for an employee's position or other positions, determine whether disciplinary action will be imposed and other personnel actions which involve review of the employee's current and past performance. Employees who provide false, incomplete, or misleading information may be subject to discipline, up to and including the possibility of dismissal. Employees may not be required to provide the information requested. However, the City may choose to require the information at any time. If required, employees will be provided with another advisory explaining that the information is required and the consequences of refusal. Other persons or entities, if authorized by law, may receive the requested information. Depending on the data requested, these persons or entities may be: • employees and/or officials of the City who have a need to know the information in the course of their duties and responsibilities; • the person who is the subject of private data about him or herself; • persons who have permission from the subject of the data; • insurance companies providing group benefits, • worker's compensation administrative services, • pre-employment, return to work and fitness for duty medical exams or drug and alcohol testing services for the City; • a public pension program; • the Minnesota Department of Employment and Economic Development in a claim for or appeal for re-employment benefits; • individuals who have obtained a court order for the information; and/or • participants in any litigation, mediation, veteran's preference hearing, grievance arbitration, or other administrative proceeding which results from actions taken. If litigation arises, the information may be provided in documents filed with the court, which are available to any member of the public. If it is reasonably necessary to discuss this information at a City Council meeting, it will be available to members of the public. 179902v9 To the extent that some or all of the information is part of the basis for a final decision on disciplinary action, that information will become available to any member of the public. SECTION 16-2 TYPES OF DATA Public Data: Data about a person that must be shown to the person, if he/she wishes and that is available to other people. Private Data: Data about a person that must be shown to the person upon request, but are not available to others without his/her permission or as otherwise specifically authorized by law. Personnel Data: Data on individuals collected because the individual is or was an employee or an applicant for employment, performs service on a voluntary basis, or acts as an independent contractor with the City. Summary Data: Statistical records and reports derived from data on individuals but in which individuals are not identified and from which neither their identities nor any other characteristic that could uniquely identify an individual is ascertainable. SECTION 16-3 PUBLIC PERSONNEL DATA 16-3.1 Employee Personnel Data: Except for certain employees (i.e. undercover law enforcement personnel) the following personnel data is public: 1. name 2. gross salary 3. salary range 4. gross pension 5. contract fee 6. benefits 7. expense reimbursements 8. job title 9. job description 10. education and training background 11. previous work experience 12. dates of employment (first and last) 13. status of complaints or charges against employees 14. outcome of complaints -disciplinary action 15. work location 16. work telephone number 17. badge number 179902v9 47 16-3.2 Public Data on Applicants for Employment: The following personnel data are considered public data: 1. veteran status 2. test scores 3. rank and eligibility 4. job history 5. education and training 6. work availability 7. name considered private data except when certified as eligible for an appointment to a vacancy or considered as one of the "finalists." 16-3.3 Private Personnel Data: The following personnel data and information are considered private data on individuals and are not accessible to the public but this data is accessible to the subject employee, the employee's authorized representative, the immediate supervisor and department head, and other city staff persons or officials who have a legitimate need to view/know such data as determined by the City Administrator or his/her designee. 1. Social Security number 2. age, gender 3. marital and family status 4. employee home address and telephone numbers 5. criminal records 6. race and ethnic data 7. insurance status 8. references 9. college transcripts (except for name of institution, degree granted, and date) 10. reference check data 11. medical records when part of personnel data 12. psychological evaluations 13. worker's compensation reports 14. physical limitations related to the job 15. sick leave forms - doctor's reports 16. data collected from disciplinary proceedings prior to a hearing 17. opinion questionnaire response by potential employee 18. names of applicants for employment until certified as eligible for appointment to a vacancy. 19. employee assistance programs and exit interview responses No employee may disclose the home address, telephone number, or personal information about another employee to any third party without prior consent of the affected employee, as per Section on "Informed Consent." 1799oav9 Employment selection instruments and/or answer keys to such instruments are protected non- public data, except pursuant to a valid court order. SECTION 16-4 ACCESS TO DATA 16-4.1 Public Data: Access shall be provided to any person, without regard to the nature of the person's interest. Access must be approved by the City Administrator or other persons authorized by the City Administrator. Access must be provided within a reasonable time. Interpretation shall be provided if requested. A fee may be charged, as allowed by law, reflecting time to collect or retrieve the information, paper costs, mailing costs, duplicating costs, etc. 16-4.2 Private Data: Access is available to the following only: 1. The subject of the data. 2. Individuals whose work assignments with the City reasonably require access. Entities and agencies determined by the City Administrator to be authorized by State Statute or Federal Law to gain access to that specific data. 4. Entities or individuals given access by the express written direction of the subject. The City Administrator shall assure that access is provided only to the parties listed above. The identity and authority of an individual who seeks to gain access to private data must be confirmed. The time that access is available is limited to the normal working hours of the City Hall offices. No fees shall be charged in the instances where the data subject only wishes to view private data. Fees may be charged for providing copies. SECTION 16-5 GENERAL CONTENTS OF PERSONNEL FILES 16-5.1 The following information shall routinely be included in an employee's personnel file: data collected for administrative put poses such as job applications, resumes, change of address forms, training or education records, veteran's certification, etc. (Documents containing medical information are retained in a separate medical file.) 2. documentation of personnel actions or activities such as salary changes, job classifications, performance reviews, termination notices, disciplinary actions. 179902v9 official written correspondence to or from an employee. 4. documentation of employment status and benefit status, the latter only if it does not contain any medical information. Appropriate medical information will be retained separately in an employee medical file. 16-5.2 Employees will not be specifically notified each time such data are routinely entered into their file, except that employees shall be made aware of data entered into their file that relates to discipline or may have adverse impact on them. Employees may request to view and receive copies of information in their file as per Section on "Access to Data." 16-5.3 Personnel files will be maintained by the Finance Department. Any documents added or removed from the files must be approved by the City Administrator. The City Administrator may delegate the authority to add routine and non -controversial documents (such as job applications, employment confirmation letters, status change forms, etc.) to other staff as appropriate. Such staff shall be trained on this policy. SECTION 16-6 TAPE RECORDING POLICY In order to protect the regulation and dissemination of confidential, private, and non-public data as defined in the Minnesota Government Data Practices Act; promote harmony in the work place; diminish the impediment of each employee's ability to perform his or her duties; and promote an environment with a free-flow exchange of ideas: inter -staff communications shall not be tape-recorded in any form unless all parties to the communication consent. In the event a tape recording is created, the City Administrator shall immediately receive, keep, and maintain the tape recording and shall regulate the dissemination of the information in accordance with the Minnesota Government Data Practices Act. SECTION 16-7 INFORMED CONSENT 16-7.1 Private data on individuals may be used by and given to any individual or persons by the City Administrator, or other bonafide representative of the City, if the individual subject or subjects of the data have given their informed consent. All informed consents: 1. Shall be in writing and stated in plain language. 2 Shall be signed and dated. 3. Shall specifically designate the particular persons or agencies the data subject has authorized to disclose information about him or her. 4. Shall specifically state the nature of the information authorized to be disclosed. 5. Shall specifically state the persons or entities authorized to receive the disclosed information. 6. Shall specifically list an expiration date not to exceed one year except in the case of authorization for application for life insurance or non -cancelable or guaranteed renewable health insurance (which shall be two years). 50 179902v9 7. Shall specifically state the purpose for which the information may be used by the parties named above. 16-7.2 If the City Administrator or approved designee makes reasonable efforts to obtain the informed consent of a data subject and if those efforts are not acknowledged in any way, the City Administrator or approved designee shall interpret the silence of the data subject as the giving of implied consent to the new or different purpose or use of the data. 16-7.3 "Reasonable efforts" are defined as: 1. Depositing in the U.S. Mail, postage pre -paid, and directed to the last known address of the data subject, at least two (2) communications requesting informed consent. 2. Waiting for a period of not less than sixty (60) days for a response to the second request. SECTION 16-8 SECURITY OF PERSONNEL DATA 16-8.1 The City of Otsego authorizes the City Administrator or designee, and the individual responsible for the City's payroll function to maintain custody over all personnel records. The final authority over personnel records is the City Administrator, and as such, retains overall authority to add or remove items from personnel and related employee files. The City Administrator may authorize those designated to maintain custody to add or remove files. 16-8.2 All records containing non-public personnel data shall remain in one or more locked filing cabinets, or other locked storage facility, with keys strictly limited to those designated to maintain custody. Others authorized to review personnel records, such as the subject of the data, or as described above under "Access to Data, Private Data," shall be required to view the contents of such files in the presence of authorized staff. No access to keys securing the information may be provided to anyone not authorized to maintain custody. All keys must be properly secured at all times to prevent improper access to files. 16-8.3 Personnel files shall not be removed from City Hall. Copies of file contents may be removed from City Hall only by individuals authorized to have access to those records, consistent with the Minnesota Government Data Practices Act and this policy. Unauthorized release of private and/or confidential personnel data shall be subject to immediate discipline, up to and including terminated. 51 179902v9 SECTION 16-9 SUPERVISORY FILES 16-9.1 Information about employees maintained by supervisors is considered personnel data under State Statute and must be maintained in a locked area by supervisors. Supervisors may not maintain medical information on employees. 16-9.2 Types of data maintained by supervisors shall be limited to that authorized by the City Administrator. Examples of personnel data supervisors are authorized to maintain include: 1. personal time off slips and other time -related records, 2. notes from supervisory coaching and counseling sessions, 3. notes on performance concerns or work rules discussed with employees, 4. notes on employee accomplishments, 5. copies of disciplinary and performance -related correspondence. (Copies of disciplinary letters may be maintained in supervisory files after ensuring a copy has been confidentially forwarded for inclusion in the employee's official personnel file.) 16-9.3 All original City applications and related hiring documentation, performance evaluations, reference information, doctor's slips and other medical information about employees must be submitted to the City Administrator. The City Administrator will decide what documents will be maintained in City personnel files, consistent with this policy. The personnel files maintained by the City Administrator and authorized Finance Department staff are considered the official City Personnel files. SECTION 17 - SEPARATIONS SECTION 17-1 RESIGNATIONS Employees wishing to leave the City service in good standing shall provide a written resignation notice to their department head, at least ten (10) working days before leaving (thirty (3 0) calendar days for exempt employees). The written resignation must state the effective date of their resignation. Failure to comply with this procedure may be considered cause for denying such employees future employment with the City. SECTION 17-2 SEVERANCE PAY There is no obligation for the City to pay to employees any unused accrued PTO at the time City employment terminates. All benefit earning employees that the City determines, at its sole discretion, to pay for unused accrued PTO who leave the City employment by retirement, resignation, lay off or for any other reason may receive pay for up to 100 percent of unused accrued PTO only upon receipt by the City of a fully executed waiver of claims in form 52 179902v9 approved by the City, and only after all applicable periods of reconsideration or rescission contained within the approved waiver have passed. SECTION 18 - MEDIA CONTACT/PRESS RELEASES 18-1.1 Formal news releases concerning municipal affairs are the responsibility of the City Administrator's office. All media interviews must normally be approved by the City Administrator before the interview. All contacts with the media should be reported to the City Administrator as soon as practicable. 18-1.2 All news releases concerning City personnel shall be the responsibility of the City Administrator. No City employee is authorized to speak on behalf of the City without prior authorization from the City Administrator or Mayor. SECTION 19 - PERSONAL TELEPHONE CALLS 19-1.1 Personal telephone calls shall be made or received only when necessary when they do not interfere with working operations and should be completed as quickly as possible. 19-1.2 Any personal long distance call costs shall be paid for by the employee. SECTION 20 - CELLULAR TELEPHONE/DATA DEVICE USAGE 204.1 This policy is intended to regulate the use of City -owned cellular phones within reasonable, practical parameters. As the number of available cellular telephones increases, and the efficiencies of cellular telephone usage becomes even more apparent, it is incumbent upon the City to establish reasonable guidelines for the use of cellular phones and data devices. The City of Otsego will benefit by extending the hours essential employees are available for consultation through the use of cellular phones. 20-1.2 This policy will apply to all City employees using or having access to City -owned cellular phones and/or data devices. 204.3 The following guidelines are established for the use of City -owned cellular phones: 1. Cellular phones are intended to be used to increase the efficiency and effectiveness of the services provided by the City of Otsego. As such, each employee using a cellular phone during the course of his/her workday must determine whether such usage is appropriate under the circumstances existing at the time of the usage. In making such as determination, employees must consider the cost of using the cellular phone in comparison with the cost and practicality of locating a customary telephone service. 53 179902v9 2. During work hours personal phone calls will be acceptable in those circumstances where it is necessary to briefly contact someone concerning important matters. Calls of this nature shall be as brief as possible and should be made only when circumstances prevent timely access to customary telephone services. It is the position of the City that it is less expensive to allow these types of phone calls than to release an employee from a work site in order to make the call from a customary phone service. 3. City employees having access to assigned City -owned cellular phones may make limited personal phone calls where service is free or when monthly minutes are not exceeded. Reimbursement may be required if minutes used are excessive or monthly minutes are exceeded. City employees who are assigned a take home City -owned phone will agree to be accessible for city business when necessary and practical after their regular work hours. 4. All cellular phones shall remain the property of the City and shall be returned to the City upon the termination of employment or if the cellular phone is no longer necessary for work-related purposes. Any inappropriate use of phones may be subject to discipline and any additional charges will be paid by the employee. SECTION 21- INTERNEVEMAIL SECTION 21-1 GENERAL This policy is intended to describe appropriate uses of City e-mail, voicemail, and Internet systems and consequences for inappropriate use. City e-mail, voicemail, and Internet access is provided for employees and supervisors to efficiently conduct City business. This policy applies to all City employees, including temporary/seasonal and part-time. SECTION 21-2 APPROPRIATE USE DEFINED 21-2.1 These systems are not to be used for personal gain or to support or advocate for non -city - related purposes. Personal use of the e-mail system is permitted on a limited basis, similar to phone calls. Like personal phone calls, personal use should be infrequent, of limited duration, and not in violation of any City policies, department work rules, or laws. 21-2.2 Certain Internet sites should never be accessed using City equipment or on City time. These include pornographic sites, non -work-related chat rooms, dating sites, sites containing what would generally be considered objectionable material, or any other site that would violate the sexual harassment policy or other personnel policies. 21-2.3 Other prohibited uses include solicitations of funds, political messages and correspondence which would circumvent the open meeting law, data practices act, or human or civil rights acts. 54 179902v9 21-2.4 While the City recognizes that the Internet contains a wealth of information that can and is being put to good use in the City, we are aware that it is very easy to lose hours of work time checking into web sites and researching information. Internet access, even for legitimate research purposes should be limited to that which is reasonable and necessary. SECTION 21-3 INTERNET USE EXPECTATIONS 1. Follow established network etiquette. Many sites have posted rules, which users must follow and all sites expect professional communication etiquette by all users. It is the user's responsibility to follow these rules of etiquette. 2. Safeguard confidential and non-public information. Use Internet for work-related research and communication purposes. 4. Do not send, access, or display text or graphics that would be a violation of the Personnel Policies. 5. Obey the law and regulations in their application to copyright, licensed software and data. 6. Access only non-commercial sites on the Internet. ("non-commercial" = sites free of charge) 7. Downloading of software off the network is strictly prohibited without review and approval from the IT staff; scan for viruses before opening attachments. 8. City employees that have a computer at their workstation with access to the Internet may also use it outside their normal work hours to access the Internet for personal use, subject to appropriate use. See section "Appropriate Use Defined" for more specific information. SECTION 21-4 CONFIDENTIALITY/SECURITY 21-4.1 While you may have a confidential password, remember that all City equipment and software, including e-mail and voicemail is the property of the City. To ensure appropriate use or to investigate complaints, the City may need to monitor use of computers, including Internet sites accessed, voicemail, and e-mail and to take action when violations of this policy or other city policies occur. SECTION 21-5 CONSEQUENCES OF MISUSE Abuse of this policy will be grounds for discipline in accordance with the City's Personnel Policies. Misuse of the Internet, e-mail, or voicemail can be grounds for dismissal, depending on the circumstances. 55 1799oav9 SECTION 22 - CITY VEHICLE USE SECTION 22-1 GENERAL City vehicles are to be used only by City employees for official business. City vehicles may not be used for personal business. All City vehicles shall have the City's logo prominently displayed on the side door panels. The following requirements apply to any employee driving a City vehicle: A. Employees that drive or may be required to drive City vehicles and equipment are responsible for maintaining a safe driving record and observing all traffic laws. Employees and all passengers must wear a seat belt at all times when operating any City vehicle. B. Drivers must carry a current, valid driver's license that is adequate for the type of vehicle being driven. An annual check of a driver's motor vehicle record will be conducted and the City's insurance carrier will review the record for potential liability. If an employee's record indicates a pattern of traffic violations that may increase the City's liability disciplinary action up to and including discharge may be taken. C. Employees must ensure that the City vehicle is in good operating condition and that all windows and lights are clean before operating the vehicle. When vehicles are not in use or in a secured area they must have the keys removed. Vehicles must be parked in the City garage after hours. D. Gasoline for City vehicles must be obtained from the Public Works Department facility. Mileage and gallons of fuel must be recorded after each refueling. SECTION 22-2 VEHICLE ACCIDENTS 22-2.1 Any employee involved in an accident while driving a City vehicle must report the accident at once to their supervisor. In severe accidents the employee must call 911 and wait until the police arrive. The employee must collect all necessary information from any other parties involved in the accident, including driver's license numbers, vehicle license number, insurance information, address, phone, etc. The employee must not admit liability and refer all legal questions to their supervisor and the City Administrator. 22-2.2 Any employee involved in an accident while driving a City vehicle must submit to a Drug and Alcohol Test, as provided for in relevant provisions of the applicable City Drug and Alcohol Testing Policy. 56 179902v9 ACKNOWLEDGMENT I have read and understand the terms of the City of Otsego Personnel Policy dated , 2015. I have been given the opportunity to ask any questions that I had regarding these Policies. Employee Name (Please Print) Employee Signature Date UPON COMPLETION, PLEASE RETURN THIS FORM TO THE FINANCE DEPARTMENT., 179902v9 57 CITY OF OTSEGO DRUG AND ALCOHOL TESTING POLICY FOR COMMERCIAL DRIVERS (DOT POLICY) L PURPOSE AND OBJECTIVES The City of Otsego ("City") has a vital interest in maintaining safe, healthful, and efficient working conditions for employees, and recognizes that individuals who are impaired because of drugs and/or alcohol jeopardize the safety and health of other workers as well as themselves. The City is concerned about providing a safe workplace for its employees, and while the City does not intend to intrude into the private lives of its employees, it is the goal to provide a work environment conducive to maximum safety and optimum work standards. Alcohol and drug abuse can cause unsatisfactory job performance, increased tardiness and absenteeism, increased accidents and workers' compensation claims, higher insurance rates, and an increase in theft of city property. The use, possession, manufacture, sale, transportation, or other distribution of controlled substance or controlled substance paraphernalia and the unauthorized use, possession transportation, sale, or other distribution of alcohol is contrary to this policy and jeopardizes public safety. In response to regulations issued by United States Department of Transportation ("DOT"), the City has adopted this Policy on Alcohol and Controlled Substances for employees who hold a commercial driver's license (CDL) to perform their duties. The City also has a separate Drug - Free Workplace Policy which applies to all full- and part-time employees and all applicants for employment who are required to undergo a pre-employment physical. Given the significant dangers of alcohol and controlled substance use, each applicant and driver must abide by this policy as a term and condition of hiring and continued employment. Moreover, federal law requires the City to implement such a policy. To ensure this policy is clearly communicated to all drivers and applicants, and in order to comply with applicable federal law, drivers and applicants are required to review this policy and sign the "Certificate of Receipt" portion. Because changes in applicable law and the City's practices and procedures may occur fiom time to time, this policy may change in the future, and nothing in this policy is intended to be a contract, promise, or guarantee the City will follow any particular course of action, disciplinary, rehabilitative or otherwise, except as required by law. This policy does not in any way affect or change the status of any at -will employee. Updated April 2015 Page 1 of 19 181091v1 Any revisions to the Federal Omnibus Transportation Employee Testing Act will take precedent over this policy to the extent the policy has not incorporated those revisions. II. DEFINITIONS "Accident," means an occurrence involving a commercial motor vehicle operating on a public road which results in a fatality; bodily injury to any person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident; or one or more motor vehicles incurring disabling damage as a result of the accident, requiring the vehicle to be transported away from the scene by a tow truck or other vehicle. The term "accident" does not include an occurrence involving only boarding and alighting from a stationary motor vehicle; an occurrence involving only the loading or unloading of cargo; or an occurrence in the course of the operation of a passenger car or a multipurpose passenger vehicle unless the vehicle is transporting passengers for hire or hazardous materials of a type and quantity that require the motor vehicle to be marked or placarded in accordance with 49 C.F.R. § 177.823; 49 C.F.R. § 382.303(a); 49 C.F.R. § 382.303(f). "Alcohol Concentration (or Content)," means the alcohol on a volume of breath expressed in terms of grams of alcohol per 210 liters of breath as indicated by an evidential breath test. 49 C.F.R. § 382.107. "Alcohol Use," means the consumption of any beverage, mixture, or preparation, including any medication, containing alcohol. 49 C.F.R. § 382.107. "Applicant," means a person applying to drive a commercial motor vehicle. 49 C.F.R. § 382.107. "Breath Alcohol Technician" or "BAT," means an individual who instructs and assists individuals in the alcohol testing process and operates an evidential breath testing device (EBT). 49 C.F.R. § 40.3. "City," means City of Otsego. "City Premises," means all job sites, facilities, offices, buildings, structures, equipment, vehicles and parking areas, whether owned, leased, used or under the control of the City. "Collection Site," means a place designated by the City where drivers present themselves for the purpose of providing a specimen of their urine or breath to be analyzed for the presence of alcohol or controlled substances. 49 C.F.R. § 40.3. "Commercial Motor Vehicle," means a motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the motor vehicle (1) has a gross combination weight rating or gross combination weight of 26,001 or more pounds, whoever is greater, Updated April 2015 Page 2 of 19 181091VI inclusive of a towed unit(s) with a gross vehicle weight rating or gross vehicle weight of more than 10,000 pounds, whichever is greater; or (2) has a gross vehicle weight rating or gross vehicle weight of 26,001 or more pounds, whichever is greater; or (3) is designed to transport sixteen (16) or more passengers, including the driver; or (4) is of any size and is used in the transportation of materials found to be in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act (49 U.S.C. 5103(b)) and which require the motor vehicle to be placarded under the Hazardous Materials Regulation. (49 C.F.R. part 172, subpart F) § 3 82.107. "Confirmation (or Confirmatory) Test," for alcohol testing means a second test, following a positive non -evidential test, following a positive non -evidential (e.g., saliva) screening test or a breath alcohol screening test with the result of 0.02 or greater, that provides quantitative data of alcohol concentration. For controlled substance testing, "Confirmation (or Confirmatory) Test" means a second analytical procedure to identify the presence of a specific controlled substance or metabolite which is independent of the screen test and which uses a different technique and chemical principal from that of the screen test in order to ensure reliability and accuracy. 49 C.F.R. § 382.107. "Controlled Substance," means those substances identified in 49 C.F.R. § 40.21(a). Marijuana, amphetamines, opiates, (including heroin), phencyclidine (PCP), cocaine,, and any of their metabolites are included within this definition. 49 (C.F.R. § 382.107; 49 C.F.R. § 40.21(a). "Department of Transportation" or "DOT," means the United States Department of Transportation. "DHHS," means the Department of Health & Human Services or any designee of the Secretary, Department of Health & Human Services. 49 C.F.R. § 40.3. "Disabling Damage," means damage which precludes departure of a motor vehicle from the scene of the accident in its usual manner in daylight after simple repairs, including damage to motor vehicles that could have been driven, but would have been further damaged if so driven. Disabling damage does not include damage which can be remedied temporarily at the scene of the accident without special tools or parts, tire disablement without other damage even if no spare tire is available, headlight or tail light damage or damage to turn signals, horn or windshield wipers which make them inoperative. 49 C.F.R. § 382.107. "Driver," means any person who operates a commercial motor vehicle. This includes, but is not limited to full-time, regularly employed drivers; casual, intermittent or occasional drivers; leased drivers and independent owner -operator contractors who are either directly employed by or under lease to the City or who operate a commercial motor vehicle at the direction of or with the consent of the City. For purposes of pre-employment testing, the term driver includes a person applying to drive a commercial motor vehicle. 49 C.F.R. § 382.107. Updated April 2015 Page 3 of 19 ialo9lvi "Drug," has the same meaning as "controlled substance." "Employee seeking a transfer," refers to an employee who is not subject to DOT regulations seeking a transfer to a position that will subject them to DOT regulations in the sought after position. "Evidential Breath Testing Device" or "EBT," means a device approved by the National Highway Traffic Safety Administration ("NHTSA") for the evidential testing of breath and placed on NHTSA's "Conforming Products List of Evidential Breath Measurement Devices." 49 C.F.R. § 40.3. "Federal Motor Carrier Safety Administration" or "FMCSA," means the Federal Motor Carrier Safety Administration of the United States Department of Transportation. "Medical Review Officer" or "MRO," means a licensed physician (medical doctor or doctor of osteopathy) responsible for receiving laboratory results generated by a controlled substance testing program who has knowledge of substance abuse disorders and has appropriate medical training to interpret and evaluate an individual's confirmed positive test result together with his or her medical history and any other relevant biomedical information. 49 C.F.R. § 40.3 "Performing (a Safety -Sensitive Function)," means any period in which a driver is actually performing, ready to perform, or immediately available to perform any safety -sensitive functions. 49 C.F.R. § 382.107. "Positive Test Result," means a finding of the presence of alcohol or controlled substance, or their metabolites, in the sample tested in levels at or above the threshold detection levels established by applicable law. "Reasonable Suspicion," means a belief a driver has engaged in conduct prohibited by the FMCSA controlled substance and alcohol testing regulations, except when related solely to the possession of alcohol, based on specific contemporaneous, articulable observations made by a supervisor or City official who has received appropriate training concerning the appearance, behavior, speech or body odors of the driver. The determination of reasonable suspicion will be made in writing on a Reasonable Suspicion Record Form during, just preceding, or just after the period of the work day that the driver is required to be in compliance with this policy. In the case of a controlled substance, the observations may include indications of the chronic and withdrawal effects of a controlled substance. "Safety -Sensitive Function," means all time from the time a driver begins to work or is required to be in readiness to work until the time he or she is relieved from work and all responsibility for performing work. Safety -sensitive functions include: • All time at a city plant, terminal, facility, or other property, or on any public property, Updated April 2015 Page 4 of 19 181091v1 • All time waiting to be dispatched, unless the driver has been relieved from duty by the employer; • All time inspecting equipment as required by 49 C.F.R. § 392.7 and 392.8 or otherwise inspecting, servicing, or conditioning any commercial motor vehicle at any time; • All time spent at the driving controls of a commercial motor vehicle in operation; • All time, other than driving time, in or upon any commercial motor vehicle except time spent resting in a sleeper berth ( a berth conforming to the requirements of 49 C.F.R. § 393.76); • All time loading or unloading a vehicle, supervising, or assisting in the loading or unloading, attending a vehicle being loaded or unloaded, remaining in readiness to operate the vehicle, or in giving or receiving receipts for shipments loaded or unloaded; and • All time repairing, obtaining assistance, or remaining in attendance upon a disabled vehicle. 49 C.F.R. § 382.107. "Screening Test (also known as Initial Test)," in alcohol testing, mean an analytical procedure to determine whether a driver may have a prohibited concentration of alcohol in her or her system. Screening tests may be conducted by utilizing a non -evidential screening device included by the National Highway Traffic Administration on its conforming products list (e.g., a saliva screening device) or an evidential breath testing device ("EBT") operated by a trained breath alcohol technician ("BAT"). In controlled substance testing, "Screening Test" means an immunoassay screen to eliminate "negative" urine specimens form further consideration. 49 C.F.R. § 382.107. "Substance Abuse Professional" or "SAP," means a licensed physician (medical doctor or doctor of osteopathy), licensed or certified psychologist, licensed or certified social worker, licensed or certified employee assistance professional, or licensed or certified addiction counselor (certified by the National Association of Alcoholism and Controlled Substance Abuse Counselors Certification Commission) with knowledge of an clinical experience in the diagnosis and treatment of alcohol and controlled substance -related disorders. 49 C.F.R. § 382.107. III. PERSONS SUBJECT TO TESTING & TYPES OF TESTS All employees are subject to testing whose job duties include performing "safety -sensitive duties" on City vehicles that: 1. Have a gross combination weight rating or gross combination weight of 26,001 pounds or more, whichever is greater, inclusive of a towed unit(s) with a gross vehicle weight rating or gross vehicle weight of more than 10,000 pounds, whichever is greater; or 2. Have a gross vehicle weight rating or gross vehicle weight of 26,0001 or more pounds whichever is greater; or 3. Are designed to transport 16 or more passengers, including the driver; or Updated April 2015 Page 5 of 19 181091VI 4. Are of any size and are used in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act (49 U.S.C. 5103(b)) and which require the motor vehicle to be placarded under the Hazardous Materials Regulations (49 CFR part 172, subpart F). The following functions are considered safety -sensitive: 1. all time waiting to be dispatched to drive a commercial motor vehicle 2. all time inspecting, servicing, or conditioning a commercial motor vehicle 3. all time driving at the controls of the commercial motor vehicle 4. all other time in or upon a commercial motor vehicle (except time spent resting in a sleeper berth) 5. all time loading or unloading a commercial motor vehicle, attending the same, giving or receiving receipts for shipments being loaded or unloaded, or remaining in readiness to operate the vehicle 6. all time repairing, obtaining assistance, or attending to a disable commercial motor vehicle. The City may test any applicant to whom a conditional offer of employment has been made and any driver for controlled substance and alcohol under any of the following circumstances: A. Pre -Employment Testing. All applicants, including current employees seeking a transfer, applying for a position where duties include performing safety -sensitive duties described above, will be required to take a drug test prior to the first time a driver performs a safety -sensitive function for the City. A driver may not perform safety -sensitive functions unless the driver has received a controlled substance test result from the Medical Review Officer ("MRO") indicating a verified negative test result. In addition to pre-employment controlled substance testing, applicants will be required to authorize in writing former employers to release alcohol test results of .04 or greater, positive controlled substance test results, refusals to test, other violations of drug and alcohol testing regulations, and completion of return to duty requirements within the preceding three years. All applicants, including current employees seeking a transfer, applying for a position where duties include performing safety -sensitive duties described above, will be required to take an alcohol test prior to the first time a driver performs a safety -sensitive function for the City, but only after a conditional offer of employment has been made. No applicant, including current employees seeking a transfer, will perform safety -sensitive functions unless the driver has received an alcohol test result from the MRO indicating a test result of .02 or less Blood Alcohol Content ("BAC"). The City will contact the candidate's DOT regulated previous and current employers within the last three years for drug and alcohol test results as referenced above, and review the testing history if feasible before the employee first performs safety -sensitive functions for the City. Updated April 2015 Page 6 of 19 laio9lvi B. Post -Accident Testing. As soon as practicable following an accident involving a commercial motor vehicle operating on a public road, the City will test each surviving driver for controlled substances and alcohol when the following occurs: • The accident involves a fatality or • The driver receives a citation for a moving traffic violation from the accident and an injury is treated away from the accident scene or • The driver receives a citation for a moving traffics violation from the accident and a vehicle is required to be towed from the accident scene. ThP fnttnvv;na (-,hart c„mmarizes, when DOT nost-accident testing needs to be conducted: _ _ ---a --- - -- -- Citation issued to Test must be performed FType of accident involved the DOT covered by the City CDL driver? YES YES i. Human fatality NO YES ii. Bodily injury with immediate medical treatment away from YES YES NO NO the scene iii. Disabling damage to any YES YES NO NO J motor vehicle requiring tow away I A driver subject to post -accident testing must remain readily available or the driver will be deemed to have refused to submit to testing. This requirement to remain ready for testing does not preclude a driver from leaving the scene of an accident for the period necessary to obtain assistance in responding to the accident or to obtain necessary medical care. Post —Accident Controlled Substance Testing Drivers are required to submit a urine sample for post -accident controlled substance testing as soon as possible. If the driver is not tested within thirty-two (32) hours after the accident, the City will cease its attempts to test the driver and prepare and maintain on file a record stating why the test was not promptly administered. Post- Accident Alcohol Testing Drivers are required to submit to post -accident alcohol testing as soon as possible. After an accident, consuming alcohol is prohibited until the driver is tested. If the driver is not tested within two (2) hours after the accident, the City will prepare and maintain on file a record stating why the test was not administered within that time. If eight hours have elapsed since the accident and the driver has not submitted to an alcohol test, the City will cease its attempts to test the driver and prepare and maintain on file a record stating why the test was not administered. Updated April 2015 Page 7 of 19 18109M The City may accept the results of a blood or breath test in place of an alcohol test and urine test for the use of controlled substances if: • The tests are conducted by federal, state, or local officials having independent authority for the test, and • The tests conform to applicable federal, state, or local testing requirements, and • The test results can be obtained by the City. Whenever such a test is conducted by a law enforcement officer, the driver must contact the City and immediately report the existence of the test, providing the name, badge number, and telephone number of the law enforcement officer who conducted the test. C. Random Testing. Every driver will be subject to unannounced alcohol and controlled substance testing on a random selection basis. Drivers will be selected for testing by use of a scientifically valid method under which each driver has an equal chance of being selected each time selections are made. These random tests will be conducted throughout the calendar year. Each driver who is notified of selection for random testing must cease performing safety - sensitive functions and report to the designated test site immediately. It is mathematically possible drivers may be selected be picked and tested more than once, and others not at all If a driver is selected for a random test while he or she is absent, on leave or away from work, that driver may be required to undergo the test when he or she returns to work. For 2014, federal law requires the City to test at a rate of at least fifty percent (50%) of its average number of drivers for controlled substance each year, and to test at a rate of at least ten percent (10%) of its average number of drivers for alcohol each year. These minimum testing rates are subject to change by the DOT. D. Reasonable Suspicion Testing. When a supervisor has reasonable suspicion to believe a driver has engaged in conduct prohibited by federal law or this policy, the City will require the driver to submit to an alcohol and/or controlled substance test. The City's determination that reasonable suspicion exists to require the driver to undergo an alcohol test will be based on "specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the driver." In the case of controlled substance, the observations may include indications of the chronic and withdrawal effects of a controlled substance. The required observations for reasonable suspicion testing will be made by a supervisor or other person designated by the City who has received appropriate training in identification of actions, appearance and conduct of a driver which are indicative of the use of alcohol or controlled substance. These observations leading to an alcohol or controlled substance test will be reflected in writing and signed by the supervisor who made the observations. The record will be retained by the City. The person who makes the determination that reasonable suspicion exists to conduct Updated April 2015 Page 8 of 19 181091VI testing, will not be the person conducting the testing, which shall instead be conducted by another qualified person. Alcohol testing is authorized only if the observations are made during, just before, or just after the driver has ceased performing such functions. If a reasonable suspicion alcohol test is not administered within two (2) hours following the determination of reasonable suspicion, the City will prepare and maintain on file a record stating the reasons the alcohol test was not promptly administered. If a reasonable suspicion alcohol test is not administered within eight (8) hours following the determination of reasonable suspicion, the City will prepare and maintain on file a record stating the reasons the alcohol test was not administered, and will cease attempts to conduct the alcohol test. Notwithstanding the absence of a reasonable suspicion test, no driver may report for duty or remain on duty requiring the performance of safety -sensitive functions while the driver is under the influence of or impaired by alcohol, as shown by the behavioral, speech, and performance indicators of alcohol use, nor will the City permit the driver to perform or continue to perform safety -sensitive functions until (1) an alcohol test is administered and the driver's alcohol concentration is less than .02; or (2) twenty-four (24) hours have elapsed following the determination of reasonable suspicion. E. Return -to -Duty Testing. The City reserves the right to impose discipline against drivers who violate applicable FMCSA or DOT rules or this policy, subject to applicable personnel policy and collective bargaining agreements. Except as otherwise required by law, the City is not obligated to reinstate or requalify such drivers for a first positive test result. Should the City consider reinstatement of a DOT covered driver, the driver must undergo a Substance Abuse Professional ("SAP") evaluation and participate in any prescribed education/treatment, and successfully complete return -to -duty alcohol test with a result indicating an alcohol concentration of less than 0.02 and/or or a controlled substance test with a verified negative result, before the driver returns to duty requiring the performance of a safety - sensitive function. The SAP determines if the driver has completed the education/treatment as prescribed. The employee is responsible for paying for all costs associated with the return -to -duty test. The controlled substance test will be conducted under direct observation. F. Follow -Up Testing. The City reserves the right to impose discipline against drivers who violate applicable FMCSA or DOT rules or this policy, subject to applicable personnel policies and collective bargaining agreements. Except as otherwise required by law, the City is not obligated to reinstate or requalify such drivers. Should the City reinstate a driver following a determination by a Substance Abuse Professional (SAP) that the driver is in need of assistance in resolving problems associated with alcohol use Updated April 2015 Page 9 of 19 181091VI and/or use of controlled substance, the City will ensure that the driver is subject to unannounced follow-up alcohol and/or controlled substance testing. The number and frequency of such follow-up testing will be directed by the SAP and will consist of at least six (6) tests in the first twelve (12) months following the driver's return to duty. Follow-up testing will not exceed sixty (60) months from the date of the driver's return to duty. The SAP may terminated the requirement for follow-up testing at any time after the first six tests have been administered, if the SAP determines such test is no longer necessary. The employee is responsible for paying for all costs associated with follow-up tests. Follow-up alcohol testing will be conducted only when the driver is performing safety -sensitive functions, or immediately prior to or after performing safety -sensitive functions. G. Cost of Required Testing, The City will pay for the cost of pre-employment, post- accident, random, and reasonable suspicion controlled substance and alcohol testing requested or required of all job applicants and employees. The driver must pay for the cost of all requested confirmatory re -tests, return -to -duty, and follow-up testing. IV. REQUIRED PRIOR CONTROLLED SUBSTANCE AND ALCOHOL CHECKS FOR APPLICANTS The City will conduct prior drug and alcohol checks of applicants for employment to drive a commercial motor vehicle. Applicants must execute a consent form authorizing the City to obtain the required information. The City will obtain (pursuant to the applicant's written consent) information on the applicant's alcohol test with a concentration result of 0.04 or greater, positive controlled substance test results, and refusals to be tested within the preceding three (3) years which are maintained by the applicant's previous employers. The City will obtain all information concerning the applicant which is maintained by the applicant's previous employers within the preceding three (3) years pursuant to DOT and FMCSA controlled substance and alcohol testing regulations. The City will review such records, if feasible, prior to the first time a driver performs safety -sensitive functions. V. PROHIBITED CONDUCT The following conduct is explicitly prohibited by applicable DOT and FMCSA regulations and therefore constitutes violation of City policy. A. Under the influence of alcohol when reporting for duty or while on duty. No driver may report for duty or remain on duty requiring the performance of safety -sensitive functions while having an alcohol concentration of 0.04 or greater. Drivers reporting for duty or remaining on duty to perform safety -sensitive functions while having an alcohol concentration of 0.02, but less Updated April 2015 Page 10 of 19 18109M than 0.04, will be removed from duty for 24 hours, escorted home and placed on vacation leave for hours missed from work. B. On -Duty Use of Alcohol. No driver may use alcohol while performing safety -sensitive functions. C. Pre -Duty Use of Alcohol. No driver may perform safety -sensitive functions within four (4) hours after using alcohol. If an employee has had alcohol within four hours, they are to notify their supervisors before performing any safety -sensitive functions. D. Alcohol Use Following an Accident. No driver required to take a post -accident alcohol test may use alcohol for eight (8) hours following the accident, or until the driver undergoes a post -accident alcohol test, which ever occurs first. E. Refusal to Submit to a Required Alcohol or Controlled Substance Test. No applicant or driver may refuse to submit to pre-employment, post -accident, random, reasonable suspicion or follow-up alcohol or controlled substance testing. In the event an applicant or driver does in fact refuse to submit to required alcohol or controlled substance testing, no test will be conducted. Refusal by a driver to submit to controlled substance or alcohol testing will be considered a positive test result, will cause disqualification from performing safety -sensitive functions, and may appear on the driver's permanent record. Drivers who refuse to submit to testing will be subject to discipline, up to an including termination. If an applicant refuses to submit to pre-employment controlled substance testing, any applicable conditional offer will be withdrawn. For purposes of this section, a driver is considered to have refused to submit to an alcohol or controlled substance test when the driver: • Fails to provide adequate breath for alcohol testing without a valid medical explanation after he or she has received notice of the requirement for breath testing. • Fails to provide adequate urine for controlled substance testing without a genuine inability to provide a specimen (as determined by a medical evaluation), after he or she 'has received notice of the requirement for urine testing. • Fails to report for testing within a reasonable period of time, as determined by the City. • Fails to remain at a testing site until testing is complete. • In the case of directly observed or monitored collection, fails to permit observation or monitoring. • Fails or declines to take a second test as required by the City and/or collector. • Fails to undergo a medical examination as directed by the City pursuant to federal law. • Refuses to complete and sign the alcohol testing form, to provide a breath or saliva sample, to provide an adequate amount of breath, or otherwise cooperate in any way that prevents the completion of the testing process. • Engages in conduct that clearly obstructs the test process. Updated April 2015 Page 11 of 19 181091VI F. Altering or attempting to alter a urine sample or breath test. A driver altering or attempting to alter a urine sample or controlled substance test, or substituting or attempting to substitute a urine sample, will be subject to providing a specimen under direct observation. Both specimens will be subject to laboratory testing. In such case, the employee may be subject to immediate termination of employment and any job offer made to an applicant will be immediately withdrawn. G. Controlled Substance Use. No driver may report for duty or remain on duty requiring the performance of safety -sensitive functions when the driver uses any controlled substance, except when the use is pursuant to the instructions of a licensed medical practitioner who has advised the driver in writing the substance does not adversely affect the driver's ability to safely operate a commercial motor vehicle. Drivers must forward this information regarding therapeutic controlled substance use to the City immediately after receiving any such advice. Having a medical marijuana card and/or a cannabis prescription from a physician does not allow anyone to use or possess that drug in the city's workplace. The federal government still classifies cannabis as an illegal drug. There is no acceptable concentration of marijuana metabolites in the urine or blood of an employee who performs safety -sensitive duties for the City. Employees are still subject to being tested under our policies, as well as for being disciplined, suspended or terminated after testing positive for cannabis while at work. H. Controlled Substance Testing. No driver may report for duty, remain on -duty or perform a safety -sensitive function if the driver tests positive for controlled substance. VI. COLLECTION AND TESTING PROCEDURES Drivers are required to report immediately upon notification to the collection site. For random tests conducted off site, employees may use a City vehicle to drive to the collection site. Drivers will be expected to provide a photo ID card for identification to the collection staff. All drivers will be expected to cooperate with collection site personnel request to remove any unnecessary outer garments such as coats, sweaters or jackets and will be required to empty their pockets. Collection personnel will complete a Federal Custody and Control Form ("CCF") which drivers providing a sample will sign as well. A. Alcohol Testing. Employees will be tested for alcohol just before, during, or immediately following performance of a safety -sensitive function. If a driver is also taking a DOT controlled substance test, generally speaking, the alcohol test is completed before the urine collection process begins. Screening tests for alcohol concentration will be performed utilizing a non -evidential screening device included by the National Highway Traffic Safety Administration on its conforming products list (e.g., a saliva screening device) or an evidential breath testing device ("EBT") operated by a trained breath alcohol technician ("BAT") at a collection site. An alcohol test usually takes approximately 15 minutes if the result is negative. If a driver's first Updated April 2015 Page 12 of 19 181091v1 attempt is positive (with an alcohol concentration of .02 or greater), the driver will be asked to wait at least 15 minutes and then be tested again. The driver may not eat, drink or place anything in his/her mouth (e.g., cigarette, chewing gum) during this time. All confirmation tests will be conducted in a location that affords privacy to the driver being tested, unless unusual circumstances (e.g., when it is essential to conduct a test outdoors at the scene of an accident) make it impracticable to provide such privacy. Any results less than 0.02 alcohol concentration is considered a "negative" test result. If the driver attempts and fails to provide an adequate amount of breath, he/she will be referred to a physician to determine if the driver's inability to provide a specimen is genuine or constitutes a refusal to test. Alcohol test results are reported directly to the City by the collection site staff. B. Controlled Substance Testing. The City will use a "split urine specimen" collection procedure for controlled substance testing. Collection of urine specimens for controlled substance testing will be conducted by an approved collector and will be conducted in a setting and manner to ensure the driver's privacy. Controlled substance testing generally takes about 15 minutes. At the collection site, the driver will be given a sealed container and must provide at least 45 ml of urine for testing. Once the sample is provided the collection personnel will check the temperature and color and look for signs of contamination. The urine is then split into two separate specimen containers (A, or "primary," and B, or "split") with identifying labels and security seals affixed to both. The collection facility will be responsible for maintaining a proper chain of custody for delivery of the sample to a DHHS-certified laboratory for analysis. The laboratory will retain a sufficient portion of any positive sample for testing and store that portion in a scientifically -acceptable manner for a minimum 365 -day period. If an employee fails to provide a sufficient amount of urine to permit a controlled substance test (45 milliliters of urine), the collector will discard the insufficient specimen, unless there is evidence of tampering with that specimen. The collector will urge the driver to drink up to 40 ounces of fluid, distributed reasonably over a period of up to three hours, or until the driver has provided a sufficient urine specimen, whichever occurs first. If the driver has not provided a sufficient specimen within three hours of the first unsuccessful attempt, the collector will cease efforts to attempt to obtain a specimen. The driver must then obtain, within five calendar days, an evaluation from a licensed physician, acceptable to the MRO, who has expertise in the medical issues raised by the employee's failure to provide a sufficient specimen. If the licensed physician concludes the driver has a medical condition, or with a high degree of probability could have, precluded the driver from providing a sufficient amount of urine, the City will consider the test to have been canceled. If a licensed physician cannot make such a determination, the City will consider the driver to have engaged in a refusal to test, and will take appropriate disciplinary action under this policy. Updated April 2015 Page 13 of 19 181091VI The primary specimen is used for the first test. If the test is negative, it is reported to the MRO who then reports the result, following a review of the CCF Form for compliance, to the City. If the initial result is positive or non -negative, a "confirmatory retest" will be conducted on the primary specimen. If the confirmatory re -test is also positive, the result will be sent to the MRO. The MRO will contact the driver to verify the positive result. If the MRO is unable to reach the driver directly, the MRO must contact the City who will direct the driver to contact the MRO. VII. REVIEW OF TEST RESULTS The MRO is a licensed physician with knowledge and clinical experience in substance abuse disorders, and is responsible for receiving and reviewing laboratory results of the controlled substances test as well as evaluating medical explanations for certain drug test results. Prior to making a final decision to verify a positive test result, the MRO will give the driver or the job applicant an opportunity to discuss the test result, typically through a phone call. The MRO, or a staff person under the MRO's supervision, will contact the individual directly, on a confidential basis, to determine whether the individual wishes to discuss the test result. If the employee or job applicant wishes to discuss the test result: • The individual may be required to speak and/or meet with the MRO, who will review the individual's medical history, including any medical records provided. • The individual will be afforded the opportunity to discuss the test results and to offer any additional or clarifying information which may explain the positive test result. If the employee or job applicant, believes a mistake was made at the collection site, at the labor, on a chain -of -custody form, or that the drug test results are caused by lawful substance use, the employee should tell the MRO. • If there is some new information which may affect the original finding, the MRO may request the laboratory to perform additional testing on the original specimen in order to further clarify the results; and • A final determination will be made by the MRO that the test is either positive or negative, and the individual will be so advised. If the MRO upholds the positive, adulterated or substituted drug determination, that test result will be provided to the City. There is no opportunity to explain a positive alcohol test provided in the DOT regulations. The driver can request the MRO to have the split specimen (the second "B" container) tested at the driver's expense. This includes all costs that may be associated with the re -test. There is no split specimen testing for an invalid result. The driver has 72 hours after they have been notified of the positive result to make this request. If the employee requests an analysis of the split specimen, the MRO will direct the laboratory to send the split specimen to another certified laboratory for analysis. Updated April 2015 Page 14 of 19 181091VI If an employee has not contacted the MRO within 72 hours, the employee may present information documenting that serious injury, illness, lack of actual notice of the verified test result, inability to contact the MRO, or other circumstances unavoidably prevented the employee from making timely contact. If the MRO concludes there is legitimate explanation for the employee's failure to contact within 72 hours, the MRO will direct the analysis of the split specimen. If the results of the split specimen are negative, the City may pay for all costs associated with the rest and there will be no adverse action taken against the employee or job applicant. VIII. NOTIFICATION OF TEST RESULTS A. Employs. The City will notify a driver of the results of random, reasonable suspicion, and post -accident tests for controlled substance if the test results are verified positive, and will inform the driver which controlled substance or substances were verified as positive. Results of alcohol tests will be immediately available from the collection agent. B. Right to Confirmatory Retest. Within seventy-two (72) hours after receiving notice of a positive controlled substance test result, an applicant or driver may request through the MRO a re -analysis (confirmatory retest) of the driver's split specimen. Action required by federal regulation as a result of a positive controlled substance test (e.g., removal from safety -sensitive functions) will not be stayed during retesting of the split specimen. If the result of the confirmatory retest fails to reconfirm the presence of the controlled substance(s) or controlled substance metabolite(s) found in the primary specimen, or if the split specimen is unavailable, inadequate for testing or untestable, the MRO will cancel the test. C. Dilute Specimens • Dilute Negatives Creatinine concentration of specimen is equal to or greater than 2 mg/dL, but less than or equal to S mg/dL If the City receives information that a driver has provided a dilute negative specimen, the City will direct a recollection, pursuant to the MRO's direction, under direct observation. • Creatinine concentration of specimen is greater than Smg/dL If the MRO advises the City that the employee's dilute negative specimen contains a creatinine concentration greater than five mg/dL, the City will direct the driver to take a second screening test, not under direct observation. The second screening test will be performed as soon as possible after the City receives word of the dilute negative specimen. Updated April 2015 Page 15 of 19 181091VI IX. CONSEQUENCES FOR DRIVERS ENGAGING IN PROHIBITED CONDUCT A. Job Applicants. Any applicable conditional offer of employment will be withdrawn from a job applicant or employee seeking a transfer who refuses to be tested or tests positive for controlled substance pursuant to this policy. B. Employees. Drivers who are known to have engaged in prohibited behavior with regard to alcohol misuse or use of controlled substance, as defined earlier in this policy, are subject to the following consequences: 1. Removal from Safety -Sensitive Functions No driver may perform safety -sensitive functions, including driving a commercial motor vehicle, if the driver has engaged in conduct prohibited by federal law. No driver who is found to have an alcohol concentration of 0.02 or greater but less than 0.04 may perform or continue to perform safety -sensitive functions for the City, including driving a commercial motor vehicle, until the start of the driver's next regularly scheduled duty, but not less than twenty-four (24) hours following administration of the test. If a driver tests positive under this policy, or is found to have an alcohol concentration of .02 or greater but less than .04, the driver will be removed from safety sensitive duties and escorted home; the driver should not drive home, but be escorted to his or her home. The driver will then be placed on vacation leave for hours missed from work. 2. Notification of Resources Available The City will advise each driver who has engaged in conduct prohibited by federal law or who has a positive alcohol or controlled substance test of the resources available to the driver in evaluating and resolving problems associated with the misuse of alcohol and use of a controlled substance, including the names, addresses, and telephone numbers of Substance Abuse Professionals and counseling and treatment programs. The City will provide this SAP listing in writing at no cost to the driver. 3. Discipline The City reserves the right to impose whatever discipline the City deems appropriate in its sole discretion, up to and including termination for a first occurrence, against drivers who violate applicable FMCSA or DOT rules or this policy, subject to applicable personnel policies and collective bargaining agreements. Except as otherwise required by law, the City is not obligated to Updated April 2015 Page 16 of 19 181091VI reinstate or requalify such drivers following a first positive confirmed controlled substance or alcohol test result. 4. Evaluation and Return to Duty Testing Should the City wish to consider reinstatement of a driver who engaged in conduct prohibited by federal law and/or who had a positive alcohol or controlled substance test, the driver must undergo a SAP evaluation, participate in any prescribed education/treatment, and successfully complete return -to -duty alcohol test with a result indicating an alcohol concentration of less than 0.02 and/or or a controlled substance test with a verified negative result, before the driver returns to duty requiring the performance of a safety - sensitive function. The SAP will determine what assistance, if any, the driver needs in resolving problems associated with alcohol misuse and controlled substance use and will ensure the driver properly follows any rehabilitation program and submits to unannounced follow-up alcohol and controlled substance testing. 5. Follow -Up Testing If the driver passes the return -to -duty test, he/she will be subject to unannounced follow-up alcohol and/or controlled substance testing. The number and frequency for such follow-up testing will be as directed by the SAP and will consist of at least six tests in the first twelve months. These tests will be conducted under direct observation. 6. Refusal to test All drivers and applicants have the right to refuse to take a required alcohol and/or controlled substance test. If an employee refuses to undergo testing, the employee will be considered to have tested positive and may be subject to disciplinary action, up to and including termination. Refer to Refusing to Test provided earlier in this policy. 7. Responsibility for Cost of Evaluation and Rehabilitation Drivers will be responsible for paying the cost of evaluation and rehabilitation (including services provided by a Substance Abuse Professional) recommended or required by the City or FMCSA or DOT rules, except to the extent that such expense is covered by an applicable employee benefit plan or imposed on the City pursuant to a collective bargaining agreement. X. LOSS OF CDL LICENSE FOR TRAFFIC VIOLATIONS IN COMMERCIAL AND PERSONAL VEHICLES Updated April 2015 Page 17 of 19 181091v1 Effective August 1, 2005, the FMCSA established strict rules impacting when CDL license holders can lose their CDL for certain traffic offenses in a commercial or personal vehicle. Employees are required to notify their supervisor immediately if the status of their CDL license changes in any way. XI. MAINTENANCE AND DISCLOSURE OF RECORDS Except as required or authorized by law, the City will not release driver's information that is contained in records required to be maintained by this policy or FMCSA and DOT regulations. In addition, a driver is entitled, upon written request, to obtain copies of any records pertaining to the driver's use of alcohol or a controlled substance, including any records pertaining to his or her alcohol or controlled substance tests. XII. POLICY CONTACT FOR ADDITIONAL INFORMATION If you have any questions about this policy or the City's controlled substance and alcohol testing procedures, you may contact your immediate supervisor to obtain additional information. Updated April 2015 Page 18 of 19 181091v1 CERTIFICATE OF RECEIPT I have read and understand the terms of the City's Drug -Free Workplace Policy. I have been given the opportunity to ask any questions that I had regarding this policy. Employee Name (Please Print) Employee Signature Date Updated April 2015 Page 19 of 19 181091VI