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HomeMy WebLinkAbout2019-11-12; City Council; Resolution 2019-220RESOLUTION NO. 2019-220 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD, CALIFORNIA, APPROVING A MEMORANDUM OF UNDERSTANDING (MOU) BETWEEN THE CITY OF CARLSBAD AND THE CARLSBAD POLICE MANAGEMENT ASSOCIATION (CPMA) AND REVISED ADMINISTRATIVE ORDER NO. 64, APPROVING A REVISED MANAGEMENT SALARY SCHEDULE AND MANAGEMENT COMPENSATION AND BENEFITS PLAN AND APPROVING $238,850 IN CARRY-FORWARD FUNDS FROM FISCAL YEAR 2018-19 (FY 2018-19) TO FISCAL YEAR 2019-20 (FY 2019-20). WHERAS, the City of Carlsbad and the Carlsbad Police Officers' Association (CPMA) have met and conferred in good faith pursuant to the Meyers-Milias-Brown Act regarding wages and other terms and conditions of employment; and WHEREAS, said representatives have reached agreement which they desire to submit to the City Council for consideration and approval; and WHEREAS, the City Council of the City of Carlsbad, California has determined the need to accept such an agreement in the form of 1) a Memorandum of Understanding (MOU) and 2) a revised Administrative Order No. 64; and WHEREAS, the City of Carlsbad Human Resources Department has reviewed the Management Salary Schedule and Management Compensation and Benefits Plan and determined revisions are necessary; and WHEREAS, the City Council has determined it to be in the public interest to accept such revisions in the form of the Management Salary Schedule, marked Attachment C, and the Management Compensation and Benefits Plan, marked Attachment D, and incorporated by reference herein; and WHEREAS, the City Council of the City of Carlsbad, California has determined that funds in the amount of $27,600 were previously appropriated to the fiscal year 2019-20 General Fund budget for the negotiated MOU changes for CPMA; and WHEREAS, the City Council of the City of Carlsbad, California has determined that funds in the amount of $238,850 will be carried forward from FY 2018-19 to FY 2019-20 to fund the remaining fiscal impact. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Carlsbad, California, as follows: 1. That the above recitations are true and correct. 2. That Attachment A, the MOU between CPMA and the City of Carlsbad, attached hereto is hereby adopted by the City Council and the city manager is directed to execute it. 3. That Attachment B, the revised Administrative Order No. 64, is hereby adopted. 4. That Attachment C, the revised Management Salary Schedule, is hereby adopted. Nov. 12, 2019 Item #1 Page 5 of 129 5. That Attachment D, the revised Management Compensation and Benefits Plan, is hereby adopted. 6. That the deputy city manager-administrative services is authorized to carry forward fiscal year 2018-19 budgetary savings of $238,850 from the General Fund. PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City Council of the City of Carlsbad on the 12th day of November 2019, by the following vote, to wit: AYES: Hall, Blackburn, Bhat-Patel, Schumacher. NAYS: None. ABSENT: None. ~1/!{f r~ 1/ecfLrC,mn Dtpu-1a '1" / . ._; BARBARA ENGLESON, City Clerk C1j (SEAL) Cle/IC Nov. 12, 2019 Item #1 Page 6 of 129 Attachment A MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF CARLSBAD AND THE CARLSBAD POLICE MANAGEMENT ASSOCIATION Tenn: January I, 2019 -December 3 I, 2021 TABLE OF CONTENTS Preamble Page 2 Article I Implementation Page 2 Article 2 Tenn and Renegotiation Page 2 Article 3 Authorized Agents Page 2 Article 4 Recognition Page 2 Article 5 Savings Clause Page 3 Article 6 Nondiscrimination Clause Page 3 Article 7 Management Rights Page 3 Article 8 Basic Work Week/Work Day Page 3 Article 9 Court and Hearings Page 3 Article 10 Sick Leave/Bereavement Leave Page 4 Article 11 Association Rights Page 6 Article 12 Overtime Page 7 Article 13 Call Back Page 7 Article 14 Seniority Page 8 Article 15 Peaceful Performance of City Services Page 8 Article 16 Discipline of an Employee Page 9 Article 17 Retirement Benefits Page 10 Article 18 Flexible Benefits Program Page 11 Article 19 Uniform Reimbursement Page 13 Article 20 Vehicles Page 14 Article 21 Long Tenn Disability Page 14 Article 22 Leave of Absence Page 14 Article 23 Disability Retirement Page 17 Article 24 Vacation Page 17 Article 25 Holidays Page 19 Article 26 Alcohol and Drug Policy Page 19 Article 27 Employer Searches Page 22 Article 28 Compensation Page 23 Article 29 Executive Leave Page 33 Article 30 Life Insurance and Voluntary Benefits Page 33 Article 31 Separation Compensation Page 33 Article 32 Physical Fitness Reimbursement Page 33 Article 33 Deferred Compensation Page 33 Article 34 Educational Incentive Page 34 Article 35 Re-opener Page 34 Article 36 Temporary Upgrade Pay Page 35 Article 37 Police Captain and City of Carlsbad Personnel Rules Page 35 and Regulations Article 38 Shift Differential Page Nov. 12, 2019 Item #1 Page 7 of 129 MEMORANDUM OF UNDERSTANDING This Memorandum of Understanding is made and entered into as of the date of formal approval hereof by the City Council of the City of Carlsbad, by and between designated management representatives of the City of Carlsbad (hereinafter referred to as the "city") and the designated representatives of the Carlsbad Police Management Association (hereinafter referred to as "CPMA"). PREAMBLE It is the purpose of the Memorandum of Understanding (hereinafter referred to as "Memorandum") to promote and provide for harmonious relations, cooperation and understanding between the city and the local safety police management employees covered under this Memorandum; to provide an orderly and equitable means of resolving any misunderstandings or differences which may arise under this Memorandum; and to set forth the agreement of the parties reached as a result of good faith negotiations regarding wages, hours and other terms and conditions of employment of the employees covered under this Memorandum, which agreement the parties intend jointly to submit and recommend for City Council approval and implementation. ARTICLE 1. IMPLEMENTATION This Memorandum constitutes a mutual recommendation to be jointly submitted to the City Council following ratification of the Memorandum by the membership of CPMA. It is agreed that the city will act in a timely manner to make the changes in city ordinances, resolutions, rules, policies and procedures and those of the Police Department necessary to implement this Memorandum. ARTICLE 2. TERM AND RENEGOTIATION 2.1 The term of this Memorandum shall commence on January 1, 20 I 9, and shall continue until December 31, 2021. 2.2 Negotiations for a successor Memorandum shall begin by the exchange of written proposals in approximately August 2021. ARTICLE 3. AUTHORIZED AGENTS For the purpose of administering the terms and provisions of this Memorandum: 3 .1 City's principal authorized agent shall be the City Manager or a duly authorized representative [Address: 1200 Carlsbad Village Drive, Carlsbad, California 92008; Telephone: (760) 434- 2821] except where a particular representative is specifically designated in connection with the performance of a specific function or obligation set forth herein. 3.2 CPMA's principal authorized agent shall be its President or duly authorized representative [Address: 2560 Orion Way, Carlsbad, CA, 92010] and PO RAC of California [Address: 4010 Truxel Rd. Sacramento, CA 95834-3725; Telephone: 916-928-3777]. ARTICLE 4. RECOGNITION The city recognizes CPMA as the majority representation of the bargaining unit that includes the classifications of Police Captain and Police Lieutenant. 2 Nov. 12, 2019 Item #1 Page 8 of 129 Attachment A ARTICLE 5. SAVINGS CLAUSE If any articles of this Memorandum should be found invalid, unlawful or unenforceable by reason of existing or subsequent enacted legislation or by judicial authority, all other articles and sections of this Memorandum shall remain in full force and effect for the duration of this Memorandum. ARTICLE 6. NONDISCRIMINATION CLAUSE Neither city nor CPMA shall interfere with, intimidate, restrain, coerce, or discriminate against employees covered by this Memorandum because of exercise of rights to engage or not engage in CPMA activity or because of the exercise of any right provided to the employees by this Memorandum. ARTICLE 7. MANAGEMENT RIGHTS The rights of the city include, but are not limited to, the exclusive right: to determine the mission of its major service areas, departments, commissions, and boards; to set standards of service; to determine procedures and standards of selection for employment and promotion; to direct its employees; to take disciplinary action; to relieve employees from duty because of lack of work or other legitimate reasons; to transfer employees among various department activities and work groups; to maintain the efficiency of city operations; to determine the methods, means and personnel by which city operations are to be conducted; to determine the contents of job classifications; to take all necessary actions to carry out its mission in emergencies; and to exercise complete control and discretion over its organization and the technology for performing its work. Nothing in this Memorandum shall require the city to meet and confer over the exercise of its management rights, however, in so doing; the city shall comply with all applicable provisions of this Memorandum. ARTICLE 8. BASIC WORK WEEK/WORKDAY 8.1 Police Captains are exempt from overtime requirements under the Fair Labor Standards Act. 8.2 In accordance with section 7(k) of the Fair Labor Standards Act, the official work period for sworn employees begins on Sunday at 00:01 hours and ends 14 days later at 23:59 hours. Overtime shall be compensated in the manner prescribed by Article 12 of this Memorandum. 8.3 References in the Memorandum to a 3/12 schedule refer to a schedule in which employees work three 12-hour shifts during one of the workweeks in a two-week pay period and three 12-hour shifts plus one 8-hour shift during the other workweek in the pay period, for a total of 80 hours worked in the pay period. 8.4 Members of this bargaining unit will be given two (2) fifteen-minute rest periods and one (I) half-hour lunch break each workday without loss of pay. 8.5 All unit members may be assigned to either a 3/12, 5/8, 4/10 or 9/80 work schedule. In general, unit members assigned to patrol shall work a 3/12 schedule. 8.6 For Police Lieutenants in Patrol, deployments shall be six months in length and shifts shall be bid one month in advance according to seniority. The Police Chief has discretion to alter shifts as reasonably necessary at any time based on department needs. There are no vested rights to a specific shift. 3 Nov. 12, 2019 Item #1 Page 9 of 129 ARTICLE 9. COURT AND HEARINGS 9.1 Compensation: Off duty Lieutenants who appear in court or at a hearing pursuant to an official request from a legally constituted body regarding matters arising out of, or associated with, their employment shall be compensated at a minimum of four (4) hours per day calculated at time and one-half the employee's regular rate of pay. Actual time spent in court over the four (4) hour minimum on the same day is compensable at time and one-half the Lieutenant's regular rate of pay. 9.2 Contiguous Time: This minimum hour guarantee shall not apply if the court or hearing appearance is contiguous with the commencement or end of the Lieutenant's regularly scheduled work shift. In that situation, the Lieutenant shall receive overtime compensation at the following rate. Any subpoena received with an appearance time of two (2) hours prior to the commencement of the employee's work shift will receive two (2) hours compensation at the overtime pay rate. Any subpoena received with an appearance time of one ( 1) hour prior to the commencement of the employee's work shift will receive one (I) hour compensation at the overtime pay rate. Lieutenants who receive subpoenas for separate cases on the same day that overlap minimum hour designations are entitled to contiguous time as opposed to separate three/four hour minimums. 9.3 Lunch Break Compensation: When personnel required to appear in court or at a hearing are held over during the normal lunch break for further appearance after lunch, they shall be entitled to credit for the lunch break as time worked. 9.4 Transportation: When available, Carlsbad Police Department vehicles shall be used for employee transportation. Mileage expenses will not be paid for appearances in court or at a hearing when the court or hearing location is within a 20 mile radius of the Carlsbad Police Department. If the court or hearing location is beyond a 20 mile radius of the Carlsbad Police Department and a Carlsbad Police Department vehicle is not available, the employee will receive reimbursement for mileage expenses to and from the court or hearing location, or the round trip distance between the court or hearing location and the Carlsbad Police Department, whichever is less. Employees shall be reimbursed for mileage expenses as set out in Council Policy Statement of the City of Carlsbad titled "Travel Policy" with an effective date of 12/14/99, including any subsequent changes to this policy. 9.5 Phone Testimony: When off duty Lieutenants provide court or hearing testimony via telephone, the employee shall be compensated for the actual time of the telephone testimony or a minimum of one (1) hour, whichever is greater, at time and one-half the employee's regular rate of pay. 9.6 District Attorney Conversation: When off duty Lieutenants receive calls from District Attorney personnel regarding criminal cases, employees will receive no compensation for conversations lasting less than 10 minutes. Lieutenants will receive compensation at time and one-half the employee's rate of pay for the actual time of the conversation or a minimum of one ( 1) hour, whichever is greater, for conversations lasting 10 minutes or longer. Lieutenants receiving multiple calls within the same one hour period shall only receive one hour compensation. 4 Nov. 12, 2019 Item #1 Page 10 of 129 Attachment A ARTICLE 10. SICK LEAVE/BEREAVEMENT LEAVE 10.1 Every employee will accrue sick leave at the rate of 16 minutes per calendar day. Sick leave may be used in 15-minute increments. 10.2 Accrued, unused sick leave may be carried over to succeeding years, but will not be paid out when an employee's employment with the city ends. 10.3 Employees shall be granted sick leave: (1) to recuperate from or receive treatment for personal injuries or illnesses; (2) to care for an injured or ill family member; or (3) to attend the employee's own or a family member's medical, dental, or optometry appointments. In addition, in the event of the death of an employee's family member, the employee may take up to three (3) shifts of paid time off for bereavement. In extreme circumstances, the Police Chief may allow the employee to take additional time off in the form of accrued sick leave or vacation or treated as leave without pay. For the purpose of this section, the term "family member" shall be defined in the personnel rules and regulations. 10.4 An employee who is absent because of a personal injury or illness or the injury, illness, or death of a family member must notify the employee's supervisor as soon as possible on the first day of the absence. An employee who needs to be absent to attend a medical, dental, or optometry appointment must have the absence approved in advance by the employee's supervisor. 10.5 Sick leave may not be taken as vacation time, nor compensated in cash at any time, except as provided for in this article. 10.6 If an absence is for more than three (3) consecutive workdays and/or if it is covered by workers' compensation, the pregnancy disability provisions of the California Fair Employment and Housing Act, the California Family Rights Act, or the federal Family and Medical Leave Act, the city may require the employee to provide a medical certificate supporting the need for the absence. 10. 7 Time off to take a physical examination for induction into or recall to active duty with the Armed Forces will be handled in accordance with applicable state and federal law. 10.8 An employee making a blood donation without charge will be given reasonable time off for that purpose. No charge will be made against the employee's sick leave or vacation when the absence is approved in advance by the employee's supervisor. 10.9 During the first pay period of each fiscal year, any regular employee who has accrued and maintains a minimum of one hundred ( 100) hours of sick leave will be permitted to convert up to ninety-six (96) hours of accrued, unused sick leave to vacation at ratio of twenty four (24) hours of sick leave to eight (8) hours of vacation. However, an employee will not be permitted to convert sick leave to vacation if the conversion would cause the employee to exceed the vacation accrual maximum specified in Article 24. 10.10 Any regular employee applying for retirement with the Public Employees' Retirement System may convert accrued and unused sick leave to service time at the rate specified in California Government Code section 20965. 5 Nov. 12, 2019 Item #1 Page 11 of 129 10.11 Nothing in this Article precludes the city from taking appropriate action in the event of abuse of sick leave. ARTICLE 11. ASSOCIATION RIGHTS 11.1 The city recognizes the right of the CPMA to govern its internal affairs. 11.2 The parties to this Memorandum fully support the concept of the Public Safety Officers Procedural Bill of Rights Act, Sections 3300, et seq., of the Government Code. 11.3 Upon the receipt of a written request and authorization from an employee for deduction of CPMA dues and other lawfully permitted deductions, the city shall withhold such dues and deductions from the salary of the employee and remit the withholdings to the CPMA. The city shall continue to withhold such deductions unless the employee files a statement with the city withdrawing authorization for the continued withholding of the deductions. The effective date of withholding, time of remitting withholdings to the CPMA, and all procedural matters shall be determined in accordance with the Rules and Regulations of the city. 11.4 The CPMA shall provide and maintain with the city a current list of the names and all authorized representatives of the CPMA. An authorized representative shall not enter any work location without the consent of the Police Chief or his designee or the City Manager or his designee. The Police Chief or his designee shall have the right to make arrangements for a contact location removed from the work area of the employee. 11.5 The CPMA shall be allowed to designate employee representatives to assist employees in: 11.5.1 11.5.2 Preparing and presenting material for Disciplinary Appeals hearings; Preparing and presenting material for any matter for which representation is granted pursuant to the provisions of California Government Code Sections 3300, et seq., known as the Public Safety Officers Procedure Bill of Rights Act. 11.6 Designated employee representatives shall be allowed reasonable release time from regularly scheduled duties to attend meet and confer sessions with the city. 11. 7 Designated employee representatives requesting time off under this Article shall direct such request to their immediate supervisors in writing within a reasonable time period to the date requested, in order to assure that the Department meets its staffing needs and to assure sufficient coverage of departmental assignments. 11.8 The city will furnish bulletin board space in the Police Department for the exclusive use of the CPMA. Material placed on the bulletin boards shall be at the discretion of the CPMA and shall be removed by management only in the event the material is obviously offensive to good taste or defamatory, and shall be removed only on prior notification to a CPMA representative. The CPMA shall be responsible for maintaining bulletin boards exclusively used by the CPMA in an orderly condition and shall promptly remove outdated materials. 6 Nov. 12, 2019 Item #1 Page 12 of 129 Attachment A 11.9 Use of City Facilities 11.9.1 11.9.2 ARTICLE 12. OVERTIME The CPMA may, with the prior approval of the City Manager, be granted the use of the city facilities for off-duty meetings of CPMA members, provided space is available. All such requests will be in writing to the City Manager. The use of city equipment other than items normally used in the conduct of business meetings, such as desks, chairs and blackboards, is strictly prohibited, the presence of such equipment in approved city facilities notwithstanding. 12.1 Overtime Pay: Lieutenants shall be entitled to overtime compensation for all time worked ( or regarded as having been worked because the employee is on an approved paid leave) in excess of the employee's regularly scheduled work day and/or in excess of eighty (80) hours per fourteen (14) day work period. The regular rate of pay shall be calculated in conformance with the FLSA. 12.2 Comp. Time Option: Lieutenants shall have the option (with the exception of "Pay Only Details") of earning compensatory time off hours at the rate of 1.5 hours per overtime hour worked in lieu of cash, subject to a maximum accumulation of one hundred and fifty ( 150) hours of compensatory time off. When a Lieutenant has accumulated the maximum number of hours of compensatory time off, he/she shall receive all overtime compensation in cash until such time as the Lieutenant's compensatory time off bank is no longer at the maximum. 12.3 Comp. Time Exception: Special details where the city is reimbursed for employees' compensation from an outside entity shall be for pay only. Lieutenants volunteering for such details are not eligible for compensatory time off in lieu of cash. ARTICLE 13. CALL BACK 13 .1 Only Lieutenants are eligible for Call Back Pay as described in this article. 13.2 Description: If an employee is required to return to his or her place of employment or other work location directed by the employer at a time that is not part of the employee's regularly scheduled work shift, that employee shall receive appropriate overtime pay, as described in Article 17, for the actual number of hours worked, subject to the following: 13.3 Scheduled Call Back Minimum: For Call Backs scheduled in advance, such as for training or firearms qualification, the employee shall receive a minimum of two hours of appropriate overtime compensation. No travel time is provided for scheduled call backs. 13.4 Non-scheduled Call Back Minimum: For Call Backs not scheduled in advance, the employee shall receive a minimum of four hours of appropriate overtime compensation. 13 .5 Travel Time: Travel time is included as part of the call back minimum compensation or the call back overtime if the call back (travel time plus detail time) exceeds the approved minimum guarantees. The maximum approved travel time is set as follows: (a) Police Department: If the call back is to the Carlsbad Police Department or other site within a 20 mile radius of the Carlsbad Police Department, the travel time is capped at a maximum of one hour round trip. 7 Nov. 12, 2019 Item #1 Page 13 of 129 (b) Other Site: If the call back is to a site outside of the 20 mile radius of the Carlsbad Police Department, travel time shall be the actual amount of time required to drive to the call back site and return to employee's residence. Employees who are called back for immediate service and who are required to return to his or her place of employment or other work location directed by the employer at a time that is not part of the employee's regularly scheduled work shift, are eligible for travel time. 13 .6 Transportation: Mileage reimbursement for expenses to the Carlsbad Police Department or to any site within a 20 mile radius of the Carlsbad Police Department will not be compensated. If an employee is directed to a site beyond a 20 miles radius of the Carlsbad Police Department, the employee will receive mileage reimbursement for expenses to and from the directed site or the round trip distance between the directed site and the Carlsbad Police Department, whichever is less. 13.7 Contiguous Time: These minimums shall not apply to situations where the call back is contiguous with the commencement or end of the employee's regularly scheduled work shift. In that situation, the employee shall receive applicable overtime compensation for all time actually worked beyond the regularly scheduled work shift. ARTICLE 14. SENIORITY 14.1 The seniority of an employee is based on the number of calendar months of continuous service in the Carlsbad Police Department. Within a rank, the seniority of an employee is based on the number of calendar months of continuous service in the Carlsbad Police Department in that rank. An employee promoted to a higher rank and later demoted back to the original rank shall have seniority calculated for all time of continuous service in the higher rank and the original rank combined. 14.2 If an employee voluntarily leaves the city's employ or is dismissed for cause, the employee will lose all seniority credited prior to then. Reemployment will not restore the lost seniority. Instead, if an employee is reemployed, seniority will be based on the reemployment date. This section does not apply to employees who successfully appeal a termination for cause and are ordered to be reinstated to employment. 14.3 An employee laid off will, after reinstatement, regain the seniority credit the employee possessed at the time of layoff, provided the reinstatement occurs within twenty-four (24) months of the layoff. 14.4 Refer to Article 22.3 for information re: the impact of a leave of absence on seniority. ARTICLE 15. PEACEFUL PERFORMANCE OF CITY SERVICES 15.1 During the term of the Memorandum, the CPMA, its representatives, or members shall not engage in, cause, instigate, encourage or condone a strike or work stoppage of any kind against the City of Carlsbad. 15 .2 During the term of the Memorandum, the city wil I not instigate a lockout over a dispute with the employees. 8 Nov. 12, 2019 Item #1 Page 14 of 129 Attachment A 15 .3 As used in this section, "strike or work stoppage" means the concerted failure to report for duty, the willful absence from one's position, the stoppage of work, or the abstinence in whole or in part from the full, faithful performance of the duties of employment for the purpose of inducing, influencing or coercing a change in the conditions of compensation, or the rights, privileges or obligations of employment. ARTICLE 16. DISCIPLINE OF AN EMPLOYEE 16.1 The city may only discipline regular employees for just cause. In the case of disciplinary action involving suspension, demotion or discharge, the employee shall be given notice of the action to be taken, the evidence or materials upon which the action is based, and an opportunity to respond to the Police Chief either orally or in writing, provided the employee requests the opportunity within seven (7) calendar days of the notice of the action. The above process will occur prior to the imposition of the discipline. 16.2 Except as provided in Section 22.4, all employees have the right to appeal their discipline according to the appeal procedure as set out below. Written notice of discipline shall inform and remind the disciplined employee of this right. Hearing Officer. The employee or employee organization and the city will attempt to develop a permanent list of five (5) mutually acceptable hearing officers. If a mutually acceptable list cannot be developed, the parties agree that the advisory hearing will be conducted before a hearing officer selected by the parties from a list provided by the California State Mediation and Conciliation Service. If the parties cannot mutually agree on the hearing officer they will use a strikeout procedure using a list of seven names provided by the California State Mediation and Conciliation Service. The appellant will have the prerogative of striking the first name. The city will bear all administrative costs associated with an appeal of discipline and the subsequent hearing including the hearing officer, court reporter and transcription costs, if any. The employee or employee organization will be responsible for the cost of his or her own representation or attorney fees and preparation of documents. 16.3 Once discipline has been imposed, the Police Chief or an authorized designee shall specify the period of time, from two to four years that the discipline will remain in the affected employee's personnel records, unless a longer period is required by law. At the end of the designated period of time, the disciplinary action shall be removed from the employee's personnel file. It is the responsibility of the employee to initiate a request for removal of disciplinary action from the employee's personnel file. The only permitted use of the removed disciplinary action shall be in a later disciplinary proceeding where there is an allegation of similar or cumulative activity or misconduct. 16.4 Nothing in this Memorandum shall be construed to require "cause" or "just cause" for the rejection of a probationary employee prior to the expiration of the probationary period. A probationary employee rejected during the probationary period shall not be entitled to appeal such rejection to the Hearing Officer, but shall be entitled to an opportunity to discuss the rejection with the Police Chief. 16.5 Right of Appeal. Any regular employee shall, within seven (7) calendar days, have the right to appeal to the Hearing Officer any disciplinary action. 9 Nov. 12, 2019 Item #1 Page 15 of 129 16.6 Method of Appeal. Appeals shall be in writing, subscribed by the appellant, and filed with the Human Resources Director, who shall, within ten ( 10) calendar days after receipt of the appeal, inform the Hearing Officer of the action desired by the appellant and the reasons why. The formality of a legal pleading is not required. 16. 7 Notice. Upon the filing of an appeal, the Human Resources Director shall set a date for the hearing on the appeal not less than ten (10) calendar days nor more than thirty (30) calendar days from the date of filing, unless the parties mutually agree to a later hearing date. The Human Resources Director shall notify all interested parties of the date, time, and place of the hearing. 16.8 Hearings. Unless physically unable to do so, the appellant shall appear personally before the Hearing Officer at the time and place of the hearing. The appellant may be represented at the hearing by any person or attorney the appellant selects and may produce any relevant oral or documentary evidence. The city shall bear the burden of proof; therefore, the city shall state its case first and, at the conclusion, the appellant may then present evidence. Rebuttal matter not repetitive may be allowed in the discretion of the Hearing Officer. Cross-examination of witnesses shall be permitted. The conduct and decorum of the hearing shall be under the control of the Hearing Officer, with due regard to the rights and privileges of the parties appearing before it. Hearings need not be conducted according to technical rules relating to evidence and witnesses. Hearings will be closed unless at least four ( 4) business days prior to the hearing the appellant, in writing, requests an open hearing. At the conclusion of the hearing, the hearing officer will make a recommendation. If either party disagrees with the Hearing Officer's recommendation, that party may request, within ten (10) calendar days, to present their case to the City Council before the City Council renders a final decision. 16.9 Findings and Recommendations. The Hearing Officer shall, as soon as possible after the conclusion of the hearing, certify his/her findings and decisions in writing to the City Council and to the appellant. The City Council shall review the findings and recommendations of the Hearing Officer and may then affirm, revoke or modify the action taken as, on its judgment, seems warranted, and the action taken shall be final. The Hearing Officer may submit a minority or supplemental finding and recommendation. In the case of suspension, discharge or demotion, the appointing power shall reinstate an employee to the employee's former status if the City Council determines that the action was for discriminatory reasons. 16.10 Disciplinary appeal hearing. During any disciplinary appeal hearing, either party may file a written motion with the City Clerk for the City of Carlsbad seeking authorization from the City Council to pursue an interlocutory writ in court to challenge a ruling or action by a hearing officer. The motion for authorization shall be heard in closed session, unless waived by the appellant. Either party's representative may make a statement to the City Council on the issue of whether authorization to seek a writ is justified. During this hearing on the motion for authorization to pursue a writ, neither party may discuss the merits or the factual basis of the underlying administrative hearing with the City Council. The parties should limit their discussion as to the ruling or action of the hearing officer and why the matter warrants the pursuit of an interlocutory writ before the conclusion of the disciplinary appeal hearing. The party appealing the discipline shall not be required to seek authorization from the City Council in order to pursue an interlocutory writ in court as to those issues in which the court has initial jurisdiction, including but not limited to, claims of a violation of the Public Safety Officers Procedural Bill of Rights Act. 10 Nov. 12, 2019 Item #1 Page 16 of 129 Attachment A ARTICLE 17. RETIREMENT BENEFITS 17.1 The city has contracted with CalPERS for the following retirement benefits: Safety "Classic" Members (those that do not qualify as "New Members" as defined below) • Safety Tier 1 -Employees entering City of Carlsbad safety CalPERS membership for the first time prior to October 4, 20 IO -The retirement formula shall be 3% @ 50; single highest year final compensation. • Safety Tier 2 -Employees entering City of Carlsbad safety CalPERS membership for the first time on or after October 4, 2010 -The retirement formula shall be 2%@ 50; three year average final compensation. • Safety Tier 3 -Employees entering City of Carlsbad safety CalPERS membership for the first time on or after January 1, 2013 -The retirement formula shall be 2.7%@ 57; three year average final compensation. "New Members" Employees who are "New Members" as defined by the California Public Employees' Pension Reform Act of2013 (PEPRA) (e.g., an employee hired on or after 1/1/2013 who has never been a CalPERS member or member of a reciprocal system or who has had a break in CalPERS service of at least 6 months or more) will be subject to all the applicable PEPRA prov1s1ons. 17.2. Employee Retirement Contribution The employee retirement contribution will be made on a pre-tax basis by implementing provisions of section 414(h)(2) of the Internal Revenue Code (IRC). Employees shall make the following employee retirement contributions through payroll deductions: • Safety employees subject to the 3% @ 50 and 2% @ 50 benefit formula shall pay all of the employee retirement contribution (9% ). • Safety employees who meet the definition of "New Member" under PEPRA shall pay the required PEPRA member contribution rate as established by CalPERS. 17.3 If the Employer Paid Member Contribution (EPMC) is greater than zero, the city shall report the value of the EPMC as additional (special) compensation to CalPERS for all CPMA represented employees designated as "classic members". ARTICLE 18. FLEXIBLE BENEFITS PROGRAM 18.1 Employees represented by the CPMA will participate in a flexible benefits program that includes medical insurance, dental insurance, vision insurance, AD&D insurance and flexible spending accounts (FSAs). Each of these components is outlined below. 18.2 Benefits Credits and Medical Insurance: During the entire term of this agreement, represented employees will be covered by the Public Employees' Medical and Hospital Care Act (PEMHCA) and will be eligible to participate in the CalPERS Health Program. The city will pay on behalf of all employees covered by this agreement and their eligible dependents and those retirees designated in Section 18.6 of this Article, the minimum amount per month required under Government Code Section 22892 of the PEMHCA for medical insurance through the California 11 Nov. 12, 2019 Item #1 Page 17 of 129 Public Employees' Retirement System (CalPERS). If electing to enroll for medical benefits, the employee must select one medical plan from the variety of medical plans offered. The city shall contribute monthly amounts ( called "Benefits Credits") on behalf of each active employee and eligible dependents toward the payment of medical premiums under the CalPERS Health Program. The city contribution shall be based on the employee's medical coverage level and shall include the mandatory payments to CalPERS. If the actual total premiums exceed the city's total contributions, the employee will pay the difference. Waiver Provision: CPMA-represented employees who do not wish to participate in the CalPERS Health Program will have the choice of waiving the city's medical insurance program, provided they can show that they are covered under another group insurance program. The benefits credits associated with waiving medical coverage will be set equal to 50% of the benefit credits associated with Employee Only medical coverage level. If this results in a situation where the unused benefit credits associated with any medical plan exceed the benefit credits associated with waiving medical coverage, the benefit credits associated with waiving medical coverage will be set equal to one dollar ($1) above the unused benefit credits associated with that medical plan. Excess and Unused Benefits Credits: If the Benefits Credits exceeds the cost of the medical insurance purchased by the employee, the employee will have the option of using any "excess credits" to purchase city-sponsored dental insurance, vision insurance, accidental death and dismemberment (AD&D) insurance or to contribute to a healthcare or dependent care flexible spending account (FSA). Unused Benefits Credits will be paid to the employee in cash and reported as taxable income. The Benefits Credits for calendar year 2019 shall increase as shown in the table below. To provide CPMA represented employees with the value of the increase in 2019 Benefits Credits, with the payroll for the first full pay period after ratification of this Memorandum by the City Council, the city shall make a one-time taxable (non-PERSable) cash payment equal to the increase in benefits credits for CPMA members employed by the city on that date. The increase in Benefits Credits shall be given to each employee based on the employee's medical coverage level in the pay period in which the cash amount is paid and pro-rated based on the employee's benefit-eligibility date (i.e., the date they became eligible for city benefits). Employees hired during subsequent pay periods in calendar year 2019 shall receive a cash payment for this increase in Benefits Credits in the pay period in which they become benefit-eligible. Medical Prior Monthly 2019 Monthly Monthly Coverage Level Benefits Credits Benefits Credits Increase Employee $573.00 $577.00 $4.00 Employee+ 1 $1,146.00 $1,158.00 $12.00 Family $1,502.00 $1,528.00 $26.00 Waive Medical $286.50 $416.68 $130.18 Effective the pay periods that include 1/1/2020, 1/1/2021 and 12/31/2021 the city monthly benefit credits associated with each medical coverage level will be set to dollar amounts that equate to 80% of the average health (medical, dental and vision) premium for Employee, Employee Plus One and Family coverage levels, rounded to the nearest whole dollar based on the premiums that will take effect on January I of the respective calendar year. 18.3 Dental Insurance 12 Nov. 12, 2019 Item #1 Page 18 of 129 Attachment A CPMA employees may choose to enroll in or opt out of the city-sponsored dental insurance plan at any coverage level. 18.4 Vision Insurance CPMA employees may choose to enroll in or opt out of the city-sponsored vision insurance plan at any coverage level. 18.5 Accidental Death & Dismemberment (AD&D) Insurance CPMA employees may choose to enroll in or opt out of the city-sponsored Accidental Death & Dismemberment (AD&D) insurance plan at any coverage level. 18. 6 Retirees Each retired employee who was a member of this bargaining unit is covered by the Public Employees' Medical and Hospital Care Act and is eligible to participate in the California Public Employees' Retirement System (CalPERS) Health Program. Represented employees who retire from the city, either service or disability, shall be eligible to continue their enrollment in the Ca!PERS Health Program when they retire, provided that the individual is enrolled or eligible to enroll in a Ca!PERS medical plan at the time of separation from employment and their effective date of retirement is within 120 days of separation. The city will contribute the minimum amount per month required under Government Code Section 22892 of the PEMHCA toward the cost of each retiree's enrollment in the Ca!PERS Health Program. Direct authorization may be established for automatic deduction of payments for health insurance administered by CalPERS. Employees who retire from the city, either service or disability, shall be eligible to elect, upon retirement, to participate in the city's dental and/or vision insurance programs as a retiree. The cost of such dental and/or vision insurance for the retiree and eligible dependents shall be borne solely by the retiree. An individual who does not choose coverage upon retirement, or who chooses coverage and later drops it is not eligible to return to the city's dental and vision insurance programs. The city will invoice the retiree for his/her monthly premiums for dental and/or vision insurance and the retiree must keep such payments current to ensure continued coverage. ARTICLE 19. UNIFORM REIMBURSEMENT Retroactive to the pay period that includes January 1, 2019, reimbursement to represented employees for the cost of purchasing and maintenance of required uniforms shall be $34.62 per pay period. Under PEPRA, this benefit is not reported to Ca!PERS as special compensation for new members. ARTICLE 20. VEHICLES Each represented employee who is working in the assignment of Professional Standards and Services Division Lieutenant, Investigations Lieutenant, Traffic Lieutenant, and all Police Captains shall be assigned a designated vehicle and shall be entitled to use the vehicle on each duty shift; provided, however, such assignment of a designated vehicle is expressly conditioned on the availability of vehicles and does not extend to any Lieutenant/Captain assigned in addition to the number assigned as of the date of this Memorandum. 13 Nov. 12, 2019 Item #1 Page 19 of 129 ARTICLE 21. LONG TERM DISABILITY During the term of this Memorandum, city agrees to continue to provide long term disability insurance. The insurance shall provide for a thirty (30) day waiting period prior to payment eligibility. In all other respects, the insurance shall continue unchanged. ARTICLE 22. LEAVE OF ABSENCE 22.1 Occupational Injuries or Illnesses 22.1.1 A sworn employee who is temporarily unable to work due to an occupational illness or injury will receive full pay for up to one year as provided in Section 4850 of the Labor Code ("4850 benefits"). The employee may not receive 4850 benefits concurrently with sick leave or any other form of paid time off. If the employee continues to be unable to work after the employee's 4850 benefits have been exhausted and the employee has not been retired, the employee will receive workers' compensation temporary disability payments as provided in the Labor Code. To the extent these benefits are less than the employee's full regular pay, the employee shall supplement them by using accrued sick leave, vacation, and/or compensatory time to reach the amount equal to the employee's full regular pay until the employee's leave balances reach zero, at which time the employee would commence an unpaid leave of absence. An employee shall not use accrued sick leave after the city approves the employee's Industrial Disability Retirement (IDR). The employee who is approved for an IDR may choose to cash out up to 50% of their sick leave balance upon separation of employment. The remaining sick leave balance shall be converted to CalPERS service credit. 22.2 Non-Occupational Injuries or Illnesses 22.2.1 An employee who is temporarily unable to work due to a non-occupational illness or injury will receive those disability benefit payments for which the employee is eligible and applies. To the extent that these benefits are less than the employee's full regular pay, the employee shall supplement them by using accrued sick leave, vacation, and/or compensatory time to reach the amount equal to the employee's full regular pay until the employee's leave balances reach zero, at which time the employee would commence an unpaid leave of absence. 22.2.2 Leaves of absence for pregnancy-related disabilities will be handled in the same manner as leaves of absence for non-occupational illnesses or injuries, subject to the pregnancy disability provisions of the California Fair Employment and Housing Act. 22.3 Extended Leave of Absence Upon completion of either 84 consecutive calendar days ( 12 weeks) of leave of absence (paid or unpaid and except when leave is ordered by the city or when an employee is on an active duty 14 Nov. 12, 2019 Item #1 Page 20 of 129 Attachment A military leave) or completion of a leave of absence related to Section 4850 of the Labor Code, whichever occurs later, an employee will not be eligible for the benefits listed below: 1. accrual of sick leave and vacation, 2. holiday pay, 3. cell phone allowance and 4. shift differential On the day that the employee returns to work from the extended leave of absence, the employee will resume eligibility for the abovementioned benefits and the employee's vacation anniversary date and seniority will be adjusted for each calendar day the leave of absence lasted beyond either 84 consecutive calendar days or the completion of a leave of absence related to Section 4850 of the Labor Code, whichever was longer. During or immediately following a leave of absence, if an employee returns to work for fewer than 14 calendar days before subsequently going back on a leave of absence (paid or unpaid and except when leave is ordered by the city or when an employee is on an active duty military leave), the second leave of absence shall be considered a continuation of the first leave of absence. Exception for a Probationary Newly Hired Employee When a probationary newly hired employee is on a leave of absence (paid or unpaid) that extends beyond 14 consecutive calendar days the probationary period shall be extended for each calendar day the employee was on a leave of absence. Other than this exception, all other provisions in this Extended Leave of Absence section apply to a probationary newly hired employee. 22.4 Leave of Absence Without Pay A. General Policy Any employee may be granted a leave of absence without pay pursuant to the recommendation of the Police Chief and the approval of the City Manager. An employee shall utilize all his/her vacation, and/or sick leave (if applicable) prior to taking an authorized leave of absence without pay. B. Authorization Procedure Requests for leave of absence without pay shall be made upon forms prescribed by the City Manager or his/her designee and shall state specifically the reason for the request, the date when the leave is desired to begin, the probable date of return, and the agreement to reimburse the city for any benefit premiums paid by the city during the leave of absence. The request shall normally be initiated by the employee, but may be initiated by the Police Chief, and, upon written recommendation of the Police Chief that it be granted, modified or denied, shall be promptly transmitted to the City Manager or his/her designee. A copy of any approved request for leave of absence without pay shall be delivered promptly to the Human Resources Director. C. Length of Leave and Extension A leave of absence without pay may be made for a period not to exceed six months, unless otherwise approved by the City Manager or his/her designee. The procedure for 15 Nov. 12, 2019 Item #1 Page 21 of 129 granting extensions shall be the same as that in granting the original leave provided that the request for extension is made no later than fourteen ( 14) calendar days prior to the expiration of the original leave. D. Return From Leave E. When an employee intends to return from an authorized leave of absence without pay either before or upon the expiration of such leave, he/she shall contact the Police Chief at least fourteen ( 14) calendar days prior to the day he/she plans to return. The Police Chief shall promptly notify the City Manager or his/her designee of the employee's intention. The employee shall return at a rate of pay not less than the rate at the time the leave of absence began. Leave Without Pay -Insurance Payments An employee on leave without pay may continue his/her city insurance benefits by reimbursing the city for the costs of insurance on a monthly basis during the period of the leave. Failure to reimburse the city for such benefits during the term of a leave of absence will result in the employee's coverage terminating on the first day following the month in which the last payment was received. 22.5 To the extent permitted by law, a leave of absence under this article will run concurrently with any leave of absence an employee is entitled to receive under the California Family Rights Act or the federal Family and Medical Leave Act. 22.6 Police Captains are exempt from overtime requirements under the Fair Labor Standards Act. Police Captains are paid on a salary basis versus an hourly basis. Pursuant to FLSA regulation 29 CFR Section 541.5d, the city can make deductions from salary or leave accounts for partial day absences for personal reasons or sickness because the city has a policy and practice of requiring its employees to be accountable to the public that they have earned their salaries. A partial day absence is an absence of less than the employee's regular work day. Pursuant to FLSA regulation 29 CFR Section 541.118 (a)(2) and (a)(3), the city may make salary or leave reductions based upon full day absences. Partial day or full day absences shall be first charged against the exempt employee's vacation, sick, or executive leave account. In the event the exempt employee does not have sufficient time in his/her leave account to cover the absence, deductions without pay will be made on full days only. 22.7 Jury Duty When called to jury duty, an employee shall be entitled to his/her regular compensation. Employees released early from jury duty shall report to their supervisor for assignment for the duration of the shift. Employees shall be entitled to keep mileage reimbursement paid while on jury duty. A Department Head may, at his/her sole discretion, contact the court and request an exemption and/or postponement of jury service on behalf of an employee. Employees released early from jury duty shall report to their supervisor for assignment for the duration of the work day. At the discretion of the supervisor, an employee may be released from reporting back to work if an unreasonable amount of the work day remains in light of travel time to the job site after release. 16 Nov. 12, 2019 Item #1 Page 22 of 129 Attachment A ARTICLE 23. DISABILITY RETIREMENT An employee's eligibility for disability retirement will be determined in accordance with the standards and procedures contained in California Government Code sections 20000 et seq. ARTICLE 24. VACATION 24.1 For employees active on payroll as of the first day of the pay period following City Council ratification of this MOU, retroactive to January 1, 2019, vacation accrual shall be as follows. Beginning with the first (1 st) working day through the completion of five (5) full calendar years of continuous service -14 minutes/day Beginning the sixth ( 6th) year of continuous employment through the completion of ten (10) full calendar years of continuous service -21 minutes/day Beginning the eleventh (11 th) year of continuous employment through the completion of fifteen (15) full calendar years of continuous service -26 minutes/day Beginning the sixteenth ( 16th) year of continuous employment, vacation time shall be accrued, and remain at a rate of 33 minutes/day for every full calendar year of continuous employment thereafter. CPMA-represented employees with comparable service in local government agencies may be granted credit for such service for the purpose of computing vacation at the discretion of the City Manager. 24.2 Vacation Accrual Maximum No employee will be allowed to accrue vacation hours in excess of the four hundred eighty (480) hour maximum. The Police Chief will encourage the taking of accrued vacation leave. Although employees are responsible for actively managing their leave balances, the Police Chief will not unreasonably deny requests for vacation time off. If there are unusual circumstances that would require an employee to exceed the vacation accrual maximum, he/she must submit a request in writing to the Police Chief and the City Manager or his/her designee. The Police Chief and the City Manager or his/her designee may grant such a request if it is in the best interest of the city. Requests will be handled on a case-by-case basis and will be considered only in extreme circumstances. 24.3 Vacation Conversion Once each January, employees will be allowed to voluntarily convert up to one hundred sixty ( 160) hours of accrued vacation to cash, provided they have used at least eighty (80) hours of vacation, executive time or floating holidays during the pay periods that fall within the prior calendar year. 24.4 Compensation for City Work During Vacation Occasionally employees on vacation leave are needed for work assignments. Employees returning to work during vacation leave will be compensated as follows: 17 Nov. 12, 2019 Item #1 Page 23 of 129 24.5 (a) Court --For Lieutenants only, mandated court appearances during the time of an employee's paid vacation leave from city service will be compensated at time and one half the employee's regular rate of pay, with a minimum of four (4) hours. (b) Duty Time -Employees returning to their regularly scheduled work time while on vacation leave shall be paid their applicable regular rate of pay and not be charged the corresponding vacation time. (c) Non-Duty Time -Lieutenants returning to work at a time other than their regularly scheduled work time while on vacation leave shall be paid at time and one half the employee's regular rate of pay. (d) Recall -This clause shall not limit the city's right to recall an employee from vacation in the event of an emergency. Scheduling Vacations An employee may take his/her annual vacation leave at any time during the year, contingent upon determination by the Police Chief that such absence will not materially affect the department. Each employee must consider the needs of the service when requesting annual vacation leave. An employee shall normally provide forty-eight ( 48) hour notice in advance of the day( s) he/she is requesting vacation time off. When a family emergency arises which necessitates the use of vacation time, an employee shall provide as much advance notice as possible considering the particular circumstances. 24.6 Terminal Vacation Pay The dollar value of an employee's accrued vacation balance as of the employee's last day on payroll shall be paid to the employee upon separation of employment at the employee's base rate of pay at separation. ARTICLE 25. HOLIDAYS 25.1 The city agrees to observe eleven (11) scheduled paid holidays per year. The holiday schedule shall not interfere with, influence, or otherwise change the scheduling of shift employees by the department. Effective the first day of the first full pay period after ratification of this MOU employees will accrue 2 floating holidays. Subsequently, employees will accrue 2 floating holidays each year on July 1st. The floating holiday must be used in full day increments. There is no partial day use of a floating holiday. The floating holiday will be treated in the same manner as the other 11 holidays except that unused floating holidays will not carry over to the next fiscal year and will not be paid out upon separation of employment. 25.2 The holiday schedule for the term of this agreement is as follows: New Year's Day Martin Luther King's Birthday President's Day Memorial Day Independence Day 18 Nov. 12, 2019 Item #1 Page 24 of 129 Labor Day Columbus Day Veterans Day Thanksgiving Day Thanksgiving Friday Christmas Day Attachment A 25 .3 CPMA-represented employees who work a 5/8 schedule will be paid eight (8) hours of straight time for each holiday. CPMA-represented employees who work a 9/80 schedule will be paid nine (9) hours of straight time for each holiday. CPMA-represented employees who work a 4/10 schedule will be paid ten ( 10) hours of straight time for each holiday. CPMA-represented employees who work a 3/12 schedule will be paid twelve (12) hours of straight time for each holiday. 25.4 Lieutenants will be compensated in cash or compensatory time off (CTO) for holidays in the pay period in which they occur. Lieutenants scheduled to work on a holiday who desire the day off will utilize vacation or CTO. Captains will be compensated in cash for holidays in the pay period in which they occur. Captains scheduled to work on a holiday who desire the day off will utilize vacation or executive time. For purposes of this section, a shift trade will be considered part of an employee's regularly scheduled work shift. ARTICLE 26. ALCOHOL AND DRUG POLICY I. POLICY It is the policy of the City of Carlsbad to provide, for its employees, a work environment free from the effects of drugs and alcohol consistent with the directives of the Drug Free Workplace Act. The City of Carlsbad agrees to use a clinical laboratory which is certified by the National Institute on Drug Abuse (NIDA), now known as the Substance Abuse & Mental Health Services Administration (SAMHSA). All procedures and protocols for collection, chain of custody and testing will be conducted consistent with standards required under SAMHSA certification. This policy will be interpreted consistent with the provisions of the Public Safety Officers Procedural Bill of Rights (Government Code Section 3300 et seq.). This policy is intended to accomplish that objective. A. Definitions -As Used in This Policy: 1. "Drug" means any substance which produces a physical, mental, emotional or behavioral change in the user, including but not limited to, prescription medications, heroin, cocaine, morphine and its derivatives, P.C.P., methadone, barbiturates, amphetamines, methamphetamines, alcohol, marijuana, and other cannabinoids. 2. "Workplace" means any site where city-assigned work is performed, including city premises, city vehicles or other premises or vehicles, while city-assigned work is being conducted, or within a reasonable time thereafter. 19 Nov. 12, 2019 Item #1 Page 25 of 129 B. C. 3. "Reasonable suspicion" means a standard for evidence or other indication of impairment of normal physical or mental skills by alcohol or drugs where such impairment could negatively affect work performance or could pose a threat to public or employee safety. Employee Responsibilities I. As a condition of employment, employees shall: a. not engage in the unlawful manufacture, distribution, dispensation, possession or use of alcohol or drugs nor be under the influence of alcohol or drugs in the workplace or while on-call; b. submit to an alcohol and drug analysis and remain on the premises when requested to do so by city management, acting pursuant to this policy, or by law enforcement personnel; c. notify the city of any conviction under a criminal drug statute (including any pleas of nolo contendere), if such conviction was based on a violation which occurred in the workplace, no later than five days after such conviction; (notification under this subsection does not relieve an employee from the disciplinary consequences of the conduct upon which a criminal conviction is based); and d. abide by all terms of this policy. 2. Employees are required to notify their supervisors when taking any medication or drugs, prescription or non-prescription ( over-the-counter medications), which interfere with safe or effective performance of their duties or operation of city equipment. 3. Off-duty involvement with any controlled substance including, but not limited to manufacture, distribution, dispensing, possession, use or any conviction under a criminal drug statute whose scope and employment are relevant to city employment may result in disciplinary action up to and including termination if there is relevant nexus between such off-duty involvement and the employee's employment with the city, consistent with the legal requirements for disciplinary due process. Consequences of Violation of Policy I. Failure to abide by the terms of this policy shall be grounds for disciplinary action, up to and including termination. 2. In addition to any disciplinary action, an employee who fails to abide by this policy may also be directed or allowed to satisfactorily participate in an approved alcohol or substance abuse assistance or rehabilitation program. 20 Nov. 12, 2019 Item #1 Page 26 of 129 Attachment A II. DRUG AND ALCOHOL ANALYSIS A. Pre-employment Drug and Alcohol Analysis I. Upon receiving a conditional offer of employment, an otherwise successful candidate must submit to a drug and alcohol analysis. At the city's discretion, this analysis may be in the form of "breathalizer," urine, or blood analysis. 2. Persons whose results are positive for either drugs or alcohol will be rejected for city employment. B. Employee Drug and Alcohol Analysis I. If a manager or supervisor of the city has reasonable suspicion that an employee is under the influence of drugs or alcohol while in the workplace or subject to duty, the employee shall be: a. Prevented from engaging in other work; and b. Required to submit to a drug and alcohol analysis. At the city's discretion, this analysis may be in the form of "breathalizer," urine, or blood analysis. c. An employee may also be required to remain on the premises for a reasonable time until arrangements can be made to transport the employee to his or her home. 2. Some examples of "reasonable suspicion" as defined in Section l.A.3. include, but are not limited to, the following, when confirmed by more than one person having supervisory authority: a. slurred speech. b. alcohol odor on breath; c. unsteady walking or movement not related to prior injury or disability; d. an accident involving city property having no obvious causal explanation other than possible employee responsibility; e. physical or verbal behaviors that are disruptive, non-responsive, unusual for that employee or otherwise inappropriate to the workplace situation; f. attributable possession of alcohol or drugs; g. information obtained from a reliable person with personal knowledge that would lead a reasonably prudent supervisor to believe that an employee is under the influence of alcohol or drugs. 21 Nov. 12, 2019 Item #1 Page 27 of 129 III. C. 3. Refusal to remain on the premises or to submit to a drug and alcohol analysis when requested to do so by city management or by law enforcement officers shall constitute insubordination and shall be grounds for discipline, up to and including termination. 4. A drug and alcohol analysis may test for the presence of any drug which could impair an employee's ability to effectively and safely perform the functions of his or her job. 5. A positive result from a drug and alcohol analysis may result in disciplinary action, up to and including termination. 6. City agrees to take steps to protect the chain of custody of any drug test sample. 7. Employee will be placed on paid administrative leave pending the completion of any testing process and any investigation deemed necessary by the city. Random Selection Testing Any CPMA-represented employee who operates a commercial vehicle (e.g., the Public Safety Command Post vehicle) during the course of employment shall be subject to random substance abuse tests. Refer to Administrative Order No. 64 for more information re: the drug and alcohol testing policy for employees in safety sensitive positions. EMPLOYEE ASSISTANCE PROGRAM A. The city has a well established voluntary Employee Assistance Program (EAP) to assist employees who seek help for substance abuse problems. The EAP is available for assessment, referral to treatment, and follow-up. Any employee of the city wishing confidential assistance for a possible alcohol or drug problem can call the EAP office and arrange for an appointment with a counselor. B. Employees who are concerned about their alcohol or drug use are strongly encouraged to voluntarily seek assistance through the EAP. All self-referral contacts are held in confidence by the EAP. C. Participation in the employee assistance program will not replace normal disciplinary procedures for unsatisfactory job performance or for violation of any city policy. ARTICLE 27. EMPLOYER SEARCHES For the purpose of enforcing city or department policies, directives, and work rules, the city reserves the right to search, with or without prior notice to the employee, all work areas and property in which the city maintains full or joint control with the employee, including, without limitation, city vehicles, desks, lockers, file cabinets, and bookshelves. These areas and property remain part of the workplace context even if the employee has placed personal items in them. Employees are cautioned against storing personal belongings in work areas and property under full or joint city control since such work areas may be subject to investigation or search under this article. 22 Nov. 12, 2019 Item #1 Page 28 of 129 Attachment A Employer searches may occur when there is a reasonable suspicion that the employee has violated a city or department policy, directive, or work rule and that the area or property to be searched may contain evidence of that violation. Searches will be conducted by persons having supervisory and/or other legal authority to conduct them. Searches will not normally occur without the concurrence of more than one supervisor. If the Public Safety Officers Procedural Bill of Rights Act (Government Code sections 3300 et seq.) is applicable to a particular search, then the city will comply with the Act notwithstanding anything to the contrary in this article. Nothing in this article will prevent the city from taking appropriate action if there is inadvertent discovery of evidence of a policy, directive, or work rule violation. ARTICLE 28. COMPENSATION All CPMA-represented employees active on payroll upon ratification of this MOU shall receive a base salary increase depending on their job classification as shown below retroactive to January 1, 2019. Increase Base Pay Police Captain 3.75% $174,330.30/yr Police Lieutenant 5.25% $70.56/hour Effective January 1, 2020, all CPMA-represented employees active on payroll shall receive a base salary increase depending on their job classification as shown below. Increase Base Pay Police Captain 3.75% $180,867 .68/yr Police Lieutenant 5.25% $74.26/hour Effective January 1, 2021, all CPMA-represented employees active on payroll shall receive a base salary increase depending on their job classification as shown below. Increase Base Pay Police Captain 3.75% $187,650.22/yr Police Lieutenant 5.25% $78.16/hour ARTICLE 29. EXECUTIVE LEA VE Police Captains shall receive sixty-four (64) hours per fiscal year for executive leave. The sixty-four (64) hours will be credited at the beginning of each fiscal year to individual leave balances. This leave must 23 Nov. 12, 2019 Item #1 Page 29 of 129 be used within the same fiscal year. Upon the first day of the first full pay period following ratification of this MOU, Police Captains will receive eight (8) additional hours of executive leave to reflect the increase from fifty-six hours to sixty-four hours that occurred in Fiscal Year 2019-20. The City Manager is authorized to provide ten ( I 0) additional hours of executive leave per year to any CPMA-represented employee who is required to work extended hours due to emergencies such as fires, storms, floods, or other emergencies. ARTICLE 30. LIFE INSURANCE AND VOLUNTARY BENEFITS All unit members shall receive City paid life insurance in an amount equal to two times the basic yearly earnings. To determine benefits, the amount of insurance is rounded to the next higher $1,000 multiple, unless the amount equals a $1,000 multiple. The City provides various voluntary benefits available at the employee's cost. Employees may select among various levels of coverage. For information regarding these benefits, contact the Human Resources Department at 760-602-2440. ARTICLE 31. SEPARATION COMPENSATION All employees involuntarily separated from the City service due to budget cutbacks, layoffs, contracting out of service or for other reasons not due to misconduct which would justify involuntary separation shall receive one month's salary computed at the employee's actual salary at the time of separation. ARTICLE 32. PHYSICAL FITNESS REIMBURSEMENT All employees shall be eligible for reimbursement ofup to the amount of four hundred fifty dollars ($450) during each fiscal year for the costs associated with physical fitness. Each employee claiming reimbursement shall be required to submit proof of payment to the Human Resources Department for approval and reimbursement. The physical fitness reimbursement is offered to employees to promote optimum health. Services include, but are not limited to: health assessment testing and examinations, computerized heart risk profile, complete blood profile, fees paid to physical fitness providers ( effective January 1, 2019), nutritional assessment and diet program. ARTICLE 33. DEFERRED COMPENSATION The City shall provide deferred compensation plan(s) which may be utilized by any employee. The City reserves the right to accept or reject any particular plan and to impose specific conditions upon the use of any plan. The City and the CPMA agree to work with the City's deferred compensation provider (currently ICMA Retirement Corporation) to implement a personal loan provision for represented employees as soon as administratively possible. It is acknowledged that the City will assist in the administrative set-up of this benefit but that the City has no liability if an employee should default on the repayment of such a loan. 24 Nov. 12, 2019 Item #1 Page 30 of 129 Attachment A ARTICLE 34. EDUCATIONAL INCENTIVE Level I Level II Applicable to all employees in CPMA as of the pay period to include January 1, 2019. (a) Requirement: Present proof to the Professional Standards Division Sergeant, Carlsbad Police Department, of evidence of the award of an Advanced certificate issued by the State of California Commission on Peace Officer Standards and Training. (b) Compensation: Satisfactory fulfillment of the above requirement shall be compensated at the rate of two hundred fifty-eight ($258) biweekly. Eligibility for receiving the compensation will be based upon the date the employee provides evidence of eligibility to the Professional Standards Division Sergeant. It is the sole responsibility of the employee to make notification of eligibility for the education incentive pay. Applicable to all employees in CPMA as of the pay period to include January 1, 2019. (a) Requirement: Present proof to the Professional Standards Division Sergeant, Carlsbad Police Department, of evidence of the award of a Management certificate issued by the State of California Commission on Peace Officer Standards and Training. (b) Compensation: Satisfactory fulfillment of the above requirement shall be compensated at the rate of four hundred fifty-two ($452) biweekly. Eligibility for receiving the compensation will be based upon the date the employee provides evidence of eligibility to the Professional Standards Division Sergeant. It is the sole responsibility of the employee to make notification of eligibility for the education incentive pay. An employee who meets the criteria for compensation under more than one level, above, shall receive compensation for only the highest such level for which he or she qualifies. ARTICLE 35. RE-OPENER 35.1 Technology At any time during the term of this Memorandum, the city may reopen negotiations on the implementation of technological changes affecting the Police Department. CPMA acknowledges that the city has the management right to decide to change the technology used in the Police Department and that any negotiations shall be regarding the effects of the city's decision on CPMA members. At any time during the term of this Memorandum, the city may reopen negotiations on the issue of health insurance benefits in order to reduce or eliminate penalties under the ACA. 35.2 CalPERS Rate At any time during the term of the MOU, after CalPERS announces its actual rate of return for the prior fiscal year, if the CalPERS actual rate of return is less than CalPERS' expected rate of return (the expected rate of return or "discount rate" in effect during that same prior fiscal year), 25 Nov. 12, 2019 Item #1 Page 31 of 129 35.3 the City may reopen negotiations on the issue of employee cost sharing toward the City's required contribution to CalPERS for CPMA members. Any changes shall be by mutual agreement only. Disability Insurance At any time during the term of the MOU, the City may reopen negotiations to discuss the disability insurance benefits for CPMA members. ARTICLE 36. TEMPORARY UPGRADE PAY Whenever the perceived needs of the City require an employee to temporarily perform all of the duties of a job classification that has a higher pay range than the pay range associated with their current job classification for a period of more than twenty-one (21) consecutive calendar days, the employee shall be designated as being in an acting assignment and shall receive additional temporary upgrade pay while in the acting assignment. In such cases, the employee shall be paid at an appropriate level which will assure an increase of not less than five percent ( 5%) and not more than fifteen percent ( 15%) greater than his/her current base salary. Subsequent to designation in an acting assignment, in the event that the City does not need the employee to serve in an acting assignment for at least twenty-one (21) consecutive calendar days, the employee shall receive the temporary upgrade pay for that period of time the acting assignment lasts. In the event that at the beginning of an acting assignment, it is not perceived that the acting assignment will last at least twenty-one (21) consecutive calendar days, and the acting assignment nonetheless extends beyond twenty-one (21) consecutive calendar days, the employee in the acting assignment shall receive the temporary upgrade pay retroactive to the first day of the acting assignment. Temporary upgrade pay is reported to CalPERS except for those employees who are "New Members" as defined by the California Public Employees' Pension Reform Act of2013 (PEPRA). The additional pay shall commence on the first (1st) calendar day of the temporary reassignment of the performance of duties of the higher classification. The recommendation that an employee be required to perform duties of the higher classification shall be placed in writing by the Police Chief and submitted to the Human Resources Director for approval. An employee may not serve in an acting capacity for more than six (6) months without prior approval from the Police Chief. A person appointed to an acting assignment shall be eligible to receive merit increases in his/her regular position during the acting assignment. The Human Resources Director shall obtain the employee's acknowledgement of the temporary performance of all of the duties of the higher classification prior to the employee's assuming or continuing the duties and additional compensation. The acknowledgement form shall clearly state that it is understood that a reduction in salary shall be effected to his/her original salary rate upon the expiration of the need for the performance of the duties of the higher classification. ARTICLE 37. POLICE CAPTAIN AND CITY OF CARLSBAD PERSONNEL RULES AND REGULATIONS Article 6 (Examinations), Article 7 (Employment Lists) and Article 8 (Method of Filling Vacancies) of the City of Carlsbad Personnel Rules and Regulations do not apply to the Police Captain job classification. 26 Nov. 12, 2019 Item #1 Page 32 of 129 Attachment A ARTICLE 38. SHIFT DIFFERENTIAL Effective upon the first day of the first full pay period following ratification of the MOU, all Police Lieutenants who work or who take paid leave for a night shift (i.e., a shift in which five or more hours of their shift are after 1700 hours and before 0600 hours) shall be eligible for Shift Differential Pay. Shift Differential Pay shall be equal to three percent (3%) of the base pay rate and will be paid for the night shift (all hours worked), inclusive of all paid leave or paid time during a leave of absence, except 1) when the employee is on an extended leave of absence as defined in Article 22.3 or 2) time off due to a shift trade. Shift Differential Pay shall be included in the regular rate of pay in conformance with the FLSA as it relates to calculating overtime pay. Shift Differential Pay shall not be included in the definition of "straight time" for purposes of calculating holiday pay as defined in Article 25. A person regularly scheduled on a shift that meets the requirements defined in this section who temporarily works on another shift that does not meet the requirements defined in this section will not receive the Shift Differential Pay. This is not a vested right and is not grievable. 27 Nov. 12, 2019 Item #1 Page 33 of 129 IN WITNESS WHEREOF. the pa1ties hereto have caused their duly authorized representatives to execute this Memorandum to be effective as stated herein. Date APPROVED AS TO FORM: ~-uA1~-= CELIA BREWER. City Attorney CARLSBAD POLICE MANAGEMENT ASSOCIATION ~~- GREGORY KORAN. President Nov. 12, 2019 Item #1 Page 34 of 129 Administrative Order No. 64 (Revised 11/12/2019) This order supersedes Administrative Order No. 64 dated 09/10/2019 Date: 10/12/19 To: All City Departments From: Scott Chadwick, City Manager {Cityof Carlsbad Subject: DRUG AND ALCOHOL TESTING POLICY FOR EMPLOYEES IN SAFETY SENSITIVE POSITIONS PURPOSE: To implement a drug and alcohol testing policy for employees who operate commercial vehicles to ensure that employees are fit for duty and to protect our employees and the public from risks posed by the use of alcohol and controlled substances. This policy also complies with the policy of the U.S. Department of Transportation and Federal Motor Carrier Safety Administration's regulations. POLICY: See Attachment A BACKGROUND: The City of Carlsbad implemented a Drug and Alcohol Testing Policy for Commercial Drivers in 1997 in response to a Federally mandated program governed by the Department of Transportation. Periodically, the Department of Transportation amends its policy for commercial drivers and the Federal Motor Carrier Safety Administration amends its policy. The attached City of Carlsbad policy is updated to reflect the recent changes mandated by these federal agencies. ACTION: This Administrative Order is effective immediately. scoffcHAow1cK City Manager City Hall 1200 Carlsbad Village Drive I Carlsbad, CA 92008 I 760-434-2820 I 760-720-9461 fax I www.carlsbadca.gov Nov. 12, 2019 Item #1 Page 35 of 129 Attachment A CITY OF CARLSBAD DRUG & ALCOHOL TESTING POLICY FOR EMPLOYEES IN SAFETY SENSITIVE POSITIONS 2 Nov. 12, 2019 Item #1 Page 36 of 129 CITY OF CARLSBAD DRUG & ALCOHOL TESTING POLICY FOR EMPLOYEES IN SAFETY. SENSITIVE POSITIONS TABLE OF CONTENTS SECTION A. PURPOSE B. C. D. E. F. G. H. I. J. K. L. M. N. 0. P. Q. R. S. CONT ACT FOR POLICY QUESTIONS COVERED EMPLOYEES SAFETY SENSITIVE FUNCTIONS PROHIBITED CONDUCT CONSEQUENCES FOR VIOLATIONS REFUSAL TO SUBMIT TO AN ALCOHOL OR DRUG TEST DRUG TESTING ALCOHOL TESTING TYPES OF TESTS REQUIRED 1. Pre-employment/Pre-Duty Testing 2. Post-Accident 3. Random Testing 4. Reasonable Suspicion 5. Return-to-Duty/Follow-up PRESCRIPTION DRUG USE CONSEQUENCES OF POSITIVE TEST RES UL TS SUBSTANCE ABUSE PROFESSIONAL COVERED EMPLOYEE ASSISTANCE PROGRAM RECORD KEEPING ACCESS TO RECORDS TRAINING NOTICE TO COVERED EMPLOYEES COMPLIANCE WITH FEDERAL LAW APPENDIX A -LIST OF COVERED CLASSIFICATIONS APPENDIX B-DEFINITIONS APPENDIX C-TESTING PROCEDURES 3 PAGE NUMBER 4 5 5 5 6 7 7 8 10 IO 1 1 12 13 14 14 14 15 15 15 16 17 17 17 18 19 23 Nov. 12, 2019 Item #1 Page 37 of 129 DRUG & ALCOHOL TESTING POLICY FOR EMPLOYEES IN SAFETY SENSITIVE POSITIONS The City of Carlsbad is committed to a workplace free from the influence and effects of drugs and alcohol that may adversely affect a covered employee's work performance, efficiency, safety and health. It is important to ensure the welfare and safety of all covered employees to perform their work in a drug-free environment. In support of this commitment, the City's Drug and Alcohol Policy has been established for all covered employees consistent with the Drug Free Workplace Act. For those employees whose job requires specific use of a commercial vehicle, this policy has been established to outline requirements consistent with the Department of Transportation regulations related to commercial drivers. Any covered employee who violates this policy, jeopardizes the safety or welfare of themselves or others, or creates risk of property loss or damage may be subject to disciplinary action including termination of employment. A. PURPOSE This policy establishes guidelines in compliance with the Federal Drug-Free Workplace Act of 1988, the Omnibus Transportation Employee Testing Act of 1991 (Omnibus Act), the Federal Transportation Administration, Federal Motor Carrier Safety Administration, (FMCSA) regulations of 1994 (49 C.F.R. parts 40 and 382 et seq.), the California Drug-Free Workplace Act of 1990, and Section 34520(a) of the California Vehicle Code. DOT Regulations require that regular drug and alcohol testing be performed on employees in safety-sensitive positions who operate specified commercial vehicles. The purpose of this policy is to assure that City commercial vehicles are operated in a safe manner and that the public is protected from risks associated with the use of alcohol or drugs in the operation of City commercial vehicles. Members of the Carlsbad City Employees' Association (CCEA) are still required to comply with the provisions of the drug and alcohol policy included in any applicable Memorandum Of Understanding (MOU). The obligations and requirements set forth below are in addition to existing provisions, and shall prevail where provisions in the MOU conflict with this Policy. Covered employees are required to submit to alcohol and drug testing administered in accordance with federal regulations as a condition of employment. Covered employees shall be asked to sign a statement certifying that they have each received a copy of this policy and understand its contents. This policy complies with 49 CFR Part 655, as amended, 49 CFR Part 382, as amended, and 49 CFR Part 40, as amended. Copies of Parts 655, 382, and 40 can be found on the internet at the Department of Transportation Office of Drug and Alcohol Policy and Compliance website http://www.dot.gov/odapc. 4 Nov. 12, 2019 Item #1 Page 38 of 129 B. C. D. CONTACT FOR POLICY QUESTIONS Covered employees having any questions regarding their rights and obligations under this policy should submit their questions to the Human Resources Department. COVERED EMPLOYEES Individuals who are required to have or utilize a commercial driver's license to operate (i.e., drive) the following commercial motor vehicles are considered "covered employees": 1. a vehicle with a gross combination weight of at least 26,001 pounds or more, inclusive of a towed unit with a gross vehicle weight rating of more than 10,000 pounds; 2. a vehicle with a gross vehicle weight of at least 26,001 pounds; 3. a vehicle designed to transport 16 or more passengers, including the driver; or 4. a vehicle of any size required to be placarded under Department of Transportation hazardous material regulations. The City of Carlsbad job classifications listed in Appendix A require or utilize a commercial driver's license, and are therefore subject to the provisions of this policy. However, a covered employee may be given a written exemption from this policy signed by the Human Resources Director if the covered employee's classification is listed in Appendix "A" but the covered employee does not operate, and is not expected to operate, the commercial motor vehicles listed above. All covered employees will be subject to pre-employment, reasonable suspicion, post- accident, random, return-to-duty, and follow-up drug and/or alcohol testing. Applicants for safety-sensitive positions will not be hired, nor will current covered employees be assigned to safety sensitive functions unless they pass a drug test. Pre-employment Ing_uiries Applicants for classifications listed in Appendix A will be subject to inquiries about any violations from prior employers within the past ten years which shall include, but not be limited to, testing positive or refusal to take a pre-employment test. SAFETY SENSITIVE FUNCTIONS Covered employees shall not be under the influence or in possession of alcohol or controlled substances during work hours, standby hours, or when engaged in any of the following safety sensitive functions involving a commercial motor vehicle (CMV): 1. Driving or being in a CMV. 2. Performing maintenance on a CMV. 3. Inspecting or servicing a CMV. 4. Loading or unloading a CMV. 5. Supervising or assisting the loading or unloading of a CMV. 6. Attending a vehicle being loaded or unloaded. 5 Nov. 12, 2019 Item #1 Page 39 of 129 E. 7. Waiting to load or unload a CMV or waiting to be dispatched. 8. While in readiness to operate a CMV. 9. While obtaining assistance or remaining in attendance on a disabled CMV. 10. Performing all other functions in or upon a CMV (except resting in a sleeper berth). 11. When submitting to a test required by this policy. PROWBITED CONDUCT Covered employees shall not engage in any of the following conduct while performing, preparing to perform, or waiting to perform a safety-sensitive function: l. Covered employees are prohibited from reporting for duty or staying on duty: a. with a blood alcohol concentration of 0.02 or greater; b. if in possession of alcohol or products containing alcohol; c. if consuming alcohol; d. within four hours after using alcohol; or e. with a quantifiable presence of marijuana, cocaine, phencyclidine (PCP), opiates or amphetamines in the body above the minimum thresholds required by law. 2. Covered employees who have been involved in an accident may not use alcohol until post-accident testing is done (see Section 1-2) or for a period of eight (8) hours after the accident, whichever occurs first. 3. Covered employees may not report for duty or stay on safety sensitive duty if the covered employee uses any controlled substance. Exceptions may be made in the case of controlled substances prescribed by a licensed medical practitioner, provided the licensed medical practitioner has indicated that the substance will not adversely affect the covered employee's ability to perform safety-sensitive functions, and such usage is reported by the covered employee to the employee's supervisor. 4. Covered employees may not report for duty or stay on safety sensitive duty if they have tested positive on a drug and/ or alcohol test or have adulterated or altered a specimen as evidenced by test results showing either a substance that is not a normal constituent for that type of specimen or showing an abnormal concentration of an endogenous substance. A "positive test" includes a blood alcohol concentration equal to or greater than 0.02 on an alcohol test, and/ or a positive finding for controlled substances on a drug test. 5. Covered employees shall not directly or through a third party, manufacture, sell, distribute, dispense, or otherwise attempt to manufacture, sell, or distribute alcohol, drugs, or controlled substances during work hours, including meal or rest breaks or while on City premises. 6. Covered employees shall not possess alcohol or drugs while on duty, while on City property, or in a City vehicle nor shall they use City property or premises to manufacture, sell, or distribute alcohol, drugs, or controlled substances. 6 Nov. 12, 2019 Item #1 Page 40 of 129 7. Covered employees shall not refuse to submit to drug or alcohol testing as required by federal law or regulation (see Section G), or report to duty or remain on duty to perform any safety sensitive function after refusing to submit to testing. 8. A covered employee's absences or tardiness as a result of having been under the influence of alcohol, drugs, or controlled substances during non-work time shall be considered unexcused absences. F. CONSEQUENCES FOR VIOLATIONS Following a positive drug or alcohol (BAC at or above 0.04) test result or test refusal, the covered employee will be immediately removed from safety- sensitive duty and may be referred to a Substance Abuse Professional. Following a BAC of 0.02 or greater, but less than 0.04, the covered employee will be immediately removed from safety-sensitive duties for at least eight (8) hours unless a retest results in the covered employee's alcohol concentration being less than 0.02. G. REFUSAL JO SUBMIT TO AN ALCOHOL OR DRUG JEST A covered employee who refuses to submit to alcohol or drug testing required by the City pursuant to this policy, shall be prohibited from performing or continuing to perform safety sensitive functions. A covered employee's refusal to submit to alcohol or drug testing required by the City for any reason shall be considered an act of insubordination and may result in disciplinary action, up to and including termination. Refusal to submit includes, but is not limited to: 1. Failure to provide adequate quantity of breath for alcohol testing, without valid medical explanation, after being notified of the requirement for breath testing; 2. Failure to provide an adequate quantity of urine sample for drug testing, without a genuine inability to provide a specimen (as determined by medical evaluation), after being notified of the requirement for urine testing; 3. Engaging in conduct that clearly obstructs the testing process, i.e., failure to permit monitoring or observation of provision of a sample; 4. Refusal to sign any required forms, or refusal to otherwise cooperate with the testing process; 5. Not reporting to the collection site in the time allotted by the supervisor or manager who directs the covered employee to be tested; 6. Failure to remain at the testing site until the testing process is complete; 7 Nov. 12, 2019 Item #1 Page 41 of 129 7. Leaving the scene of an accident without authorization from a supervisor or manager charged with determining whether or not testing is necessary; 8. Consuming alcohol during the eight (8) hours immediately following an accident and prior to testing; 9. If the Medical Review Officer (MRO) reports that you have a verified adulterated or substituted test result; 10. Failure to take a second test if required by the supervisor or manager, or the test collector; and 11. Failure to undergo a medical exam or evaluation as directed by the MRO, as part of the verification process. In the case of pre-employment controlled substance testing this does not apply unless a contingent offer of employment has been made. H. DRUG TESTING Drug testing involves urine sampling and shall be conducted in strict accordance with the procedures required by the Department of Transportation. The sample shall be collected in a private location, and split into two specimens for the purpose of retesting if necessary. Testing shall be conducted by a laboratory certified by the Department of Health and Human Services. Urine specimens shall be screened for the following substances: 1. Amphetamines/Methamphetamines/MDMA (i.e. speed and crystal); 2. Cocaine metabolites; 3. Opiates (i.e. codeine, heroin, and morphine); 4. Phencyclidine (PCP), and 5. THC (Marijuana). Drug testing is a two-stage process. If an initial screening is positive for one or more of the above drugs, then a second "confirmation" test will be performed for each identified drug using state-of-the-art gas chromatography /mass spectrometry (GC/MS) analysis. GC/MS is used to perform specific test which positively identifies the presence of a particular substance. The urine samples also undergo validity testing. This testing evaluates the specimen to determine if it is consistent with normal human urine. The purpose of validity testing is to determine whether certain adulterants orforeign substances were added to the urine, if the urine was diluted, or if the specimen was substituted. MRO Verification of Positive Test Results A Medical Review Officer (MRO) will review and verify all positive drug test results and dilute results. The MRO will be a licensed physician (medical doctor or doctor of osteopathy) with knowledge of substance abuse disorders and appropriate medical 8 Nov. 12, 2019 Item #1 Page 42 of 129 training to interpret and evaluate art affected covered employee's test result, medical history, and other relevant biomedical information. Prior to verifying a positive drug test result, the MRO will contact the affected covered employee, on a confidential basis, to provide the covered employee with an opportunity to discuss the test result. If, after making reasonable efforts, the MRO is not able to contact the affected covered employee directly, the MRO will contact the City Designated Employer Representative (DER). The DER will, in a confidential manner, immediately contact the covered employee and request that the covered employee contact the MRO immediately. The DER will then notify the MRO that this request has been made of the covered employee. The DER will also inform the covered employee of the consequences of failing to contact the MRO within the next 72 hours. The MRO may verify the positive and dilute test result without input from the affected employee: I. If the employee specifically declines to discuss the test result; or 2. If, after making reasonable efforts, neither the MRO nor the DER is able to contact the affected covered employee within 10 days after the MRO receives the positive test result from the laboratory; or 3. If the covered employee fails to contact the MRO within 72 hours after being requested to do so by the DER. 4. In the case of a dilute result the MRO may request the covered employee to submit to a repeat test upon learning of this result. The recollection may be ordered under observation and with a minimum of advanced notice. If a serious injury or illness or other unavoidable circumstances prevented the covered employee from contacting the MRO within the above time frames, the covered employee may present documentation of the injury, illness or circumstances to the MRO within 60 days of the verification. The MRO may elect, based on the information, to reopen the verification and allow the covered employee an opportunity to provide a legitimate explanation for the positive test result. If the MRO concludes that there is a legitimate explanation the MRO will declare the test result to be negative. Notification of Tests Results by MRO and Testing of Split Specimen Ifthe MRO verifies a positive drug test result, the MRO will notify the DER. In addition, the MRO will notify and advise the affected covered employee that the covered employee has 72 hours from the time of notification in which to request a test of the split specimen. If the covered employee makes such a request, the MRO will direct the laboratory who conducted the primary test to provide the split specimen to another certified laboratory for analysis. If the analysis of the split specimen fails to reconfirm the presence of drugs or if the split specimen is unavailable, inadequate for testing, or untestable, the MRO shall 9 Nov. 12, 2019 Item #1 Page 43 of 129 cancel the test and report the reasons for the cancellation to the Department of Transportation, the City DER and the affected covered employee. If the split specimen is reconfirmed, the MRO shall notify the DER and the covered employee of the test results. If a serious injury or illness or other unavoidable circumstances prevented the covered employee from contacting the MRO within 72 hours to request a test of the split specimen, the covered employee may present documentation of the injury, illness or circumstances to the MRO. If the MRO concludes that there is a legitimate explanation for the covered employee's failure to contact the MRO within 72 hours, the MRO shall direct that the analysis of the split specimen be performed. Notification of Test Results by City The Designated Employer Representative will notify an applicant of the results of a pre-employment drug test if the applicant requests the results within 60 calendar days after having been notified of the disposition of the employment application. The Designated Employer Representative will notify a covered employee of the results of a random, reasonable suspicion, or post-accident drug test if the test results are verified positive. The Designated Employer Representative will also notify the covered employee which drug(s) were verified as positive. I. ALCOHOL TESTING J. Alcohol testing will meet federal regulations requiring the use of an evidential breath- testing device (EBT) approved by the National Highway Traffic Safety Administration (NHTSA). The alcohol screening will be performed by a trained and certified Breath Alcohol Technician (BAT). An alcohol testing form will be completed by the covered employee and the BAT to ensure the results are properly recorded. Two breath tests are required to determine if the covered employee has a prohibited alcohol concentration. An initial screening test will be conducted first, and any result less than 0.02 alcohol concentration will be considered a negative test with no further testing required. If the alcohol concentration is 0.02 or greater, a second "confirmation" test shall be conducted. When a confirmation test is required, the EBT equipment shall print the screening and confirmation test numbers in sequential order. The device shall also print the result, date and time of both tests, along with the name and serial number of the EBT equipment in order to ensure the reliability of the results. TYPES OF TESTS REQUIRED The following tests are required by the regulations for covered employees who perform safety sensitive functions: 1. Pre-employment/Pre-Duty Testin,: Pre-employment alcohol tests are conducted after making a conditional offer of employment or transfer. All applicants for classifications which are covered by 10 Nov. 12, 2019 Item #1 Page 44 of 129 this policy, including covered employees who transfer from non-covered to covered classifications, will be required to submit to pre-employment/pre-duty drug testing after a conditional offer of employment or transfer is made and prior to performing safety sensitive functions. Applicants will not be hired, assigned and/ or transferred to a safety sensitive function if they refuse to take a drug test or have a positive test result. Similarly, a negative pre-employment drug test result is required before covered employee can first perform safety- sensitive functions. If a pre-employment test is cancelled, the individual will be required to undergo another test and successfully pass with a verified negative result before performing safety-sensitive functions. Covered applicants who have previously failed or refused a DOT pre- employment drug and/ or alcohol test with a prior employer must provide proof of having successfully completed a referral, evaluation, and treatment plan meeting DOT requirements. 2. Post-Accident Post-accident alcohol testing will be conducted on all covered employees as soon as practicable following: a. an accident involving a human fatality; QI . b. an accident for which the covered employee receives, within eight hours after the accident, a traffic citation for a moving violation and one of following also occurs: (1) bodily injury necessitating immediate receipt of medical treatment away from the accident scene; or (2) vehicle damage necessitating the vehicle be towed away from the accident scene. In addition, any other covered employee whose performance could have contributed to the accident, as determined by the City using the best information available at the time of the decision, will be tested. The above testing requirements do not applyto: a. an accident involving only boarding or alighting from a stationary motor vehicle; b. an accident involving only the loading or unloading of cargo; or c. an accident that occurs in the course of operating a passenger car or a multipurpose passenger vehicle unless the motor vehicle is transporting passengers for hire or the motor vehicle is required to be placarded under the Department of Transportation hazardous material regulations. II Nov. 12, 2019 Item #1 Page 45 of 129 Post-accident alcohol tests should be administered within 2 hours, but not later than 8 hours following an accident. A post-accident dru~ test must be conducted within 32 hours following the accident. If an alcohol test is not administered within 2 hours or a drug test is not administered within 32 hours following an accident, the City shall prepare and maintain a record stating the reasons the test was not promptly administered. A covered employee who is subject to post-accident testing must remain readily available for such testing or may be deemed as refusing to submit to testing. However, this requirement should not prohibit a covered employee from leaving the scene of an accident to request assistance in responding to the accident, or delay obtaining necessary emergency medical treatment for any injured people. A covered employee will not be allowed to consume any alcohol for up to 8 hours after an accident unless the covered employee has already been tested re~ardin~ the specific accident or the covered employee has been specifically released from the testing obligation. 3. Random testiue: Random drug and alcohol tests are unannounced and unpredictable, and the dates for administering random tests are spread reasonably throughout the calendar year. Covered employees will be subject to and must submit to random drug and alcohol testing as follows: Each year the City will conduct a number of random alcohol tests equal to at least 10%of the average number of covered employees. This percentage rate may be adjusted in the future based on the nationwide violation rates. A random alcohol test will only be administered just prior to or while the covered employee is performing a safety sensitive function, or just after the covered employee has stopped performing a safety sensitive function. Each year the City will conduct a number of random dru~ tests equal to at least 50%of the average number of covered employees. This percentage rate may also be adjusted in the future based on the nationwide violation rates. A random drug test may be administered at any time while on duty, regardless of the functions being performed. The City will select covered employees for random alcohol and controlled substances using a scientifically valid method, such as a random number table or a computer-based random number generator that is matched with employee numbers or other comparable identifying numbers. Tests will be unannounced and spread throughout the calendar year. Under the selection process used, each covered employee shall have an equal chance of being tested each time selections are made. Consequently, some 12 Nov. 12, 2019 Item #1 Page 46 of 129 covered employees may be tested more than once a year, while other may not be tested at all. Once a covered employee has been notified that he or she has been selected for testing, he or she must be available for testing and must proceed to the testing site immediately . . 4. Reasonable Suspicion The City will require a covered employee to submit to an alcohol and/or drug test whenever a trained City official or supervisor has reasonable suspicion that the covered employee has violated the prohibitions in this policy concerning alcohol and drug use. The determination that reasonable suspicion exists for alcohol and/ or drug testing must be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the covered employee. For drug testing, the observations may also include indications of the chronic and withdrawal effects of drugs. Alcohol testing under this section will only occur if the observations described above are made just prior to or while the· covered employee is performing safety-sensitive functions, or just after the covered employee has stopped performing such functions. The alcohol test should be administered within two hours, but cannot be administered any later than eight hours, following the determination that there is reasonable suspicion for the test. If the alcohol test is not administered within eight hours, the DER shall prepare and maintain a record stating the reasons for not administering the test. Even when a reasonable suspicion alcohol test is not administered under this section, if a trained City official or supervisor has reasonable suspicion that a covered employee is under the influence of or impaired by alcohol, the covered employee may not report for or perform safety-sensitive functions until either: a. An alcohol test is administered and the covered employee's alcohol concentration measures less than 0.02; or b. Twenty-four hours have elapsed following the reasonable suspicion determination. The trained City official or supervisor who made the observations leading to a reasonable suspicion alcohol or drug test must make and sign a written record of those observations within 24 hours of the observations or before the results of the test are released, whichever is earlier. To ensure that supervisors are trained to make reasonable suspicion determinations, those vested with such authority will attend at least one hour of training on drug use and at least one hour of training on alcohol misuse. The training will cover the physical, behavioral, speech and performance indicators of probable alcohol misuse and use of drugs. 13 Nov. 12, 2019 Item #1 Page 47 of 129 s. Return-to-duty/Follow-up Any covered employee who has violated the provisions of this policy, and who the City continues to employ, must submit to a return-to-duty alcohol or drug test before they can return to their safety-sensitive position. The alcohol test must indicate an alcohol concentration of less than 0.02 and the drug test must have a verified negative result. In addition, if a covered employee tests positive on an alcohol or drug test administered under this policy and the City decides to continue to employ this individual, the covered employee will be evaluated by a Substance Abuse Professional (SAP) to determine what assistance the covered employee needs in resolving problems associated with alcohol misuse or drug use. If the SAP determines that the covered employee requires such assistance, the covered employee will be subject to unannounced follow-up alcohol or drug tests following the employee's return to duty. The number and frequency of the follow-up tests shall be determined by the SAP, but will consist of at least six unannounced follow-up tests in the first 12 months following the covered employee's return to duty and the testing period may continue up to a period of 60 months. Follow-up alcohol testing will be conducted just prior to or while the covered employee is performing safety-sensitive functions, or just after the covered employee has stopped performing such functions. K. PRESCRIPTION DRUG USE L. Prescription drugs shall not be possessed or used by a covered employee other than the covered employee for whom the drug is prescribed by a licensed medical practitioner. A prescription drug shall be used only in the manner, combination, and quantity prescribed. A covered employee must advise his or her supervisor of the use or influence of any prescription drug prior to beginning work, when taking the medication or drug could interfere with the safe and effective performance of duties, or the operation of a City vehicle, such that the covered employee poses a direct threat to the health and safety of himself /herself or others. A covered employee's failure to provide this notice in a timely manner can result in discipline, up to and including termination of employment. In the event there is a question regarding a covered employee's ability to safety and effectively perform assigned duties while using such medications or drugs, clearance from a qualified physician may be required. CONSEQUENCES OF POSITIVE TEST RESULTS If results of a post-accident, random, or reasonable suspicion alcohol or drug test are positive, or if a covered employee has refused a test (including adulterating or substituting a urine sample), the City will take the following actions: 1. Immediately remove any covered employee who has engaged in prohibited drug or alcohol use from his or her safety sensitive functions. 14 Nov. 12, 2019 Item #1 Page 48 of 129 M. 2. A covered employee whose alcohol test indicates an alcohol concentration level of greater than 0.02, but less than .04, will be removed from his or her safety sensitive duties and other assigned duties for at least 24 hours, and will be subject to disciplinary action, up to and including termination. The covered employee will be retested before returning to safety sensitive duties. 3. If a covered employee tests positive for drugs, or if the alcohol concentration level is 0.04 or greater, the covered employee will be removed from his or her safety-sensitive position until an evaluation has been completed by a Substance Abuse Professional (SAP) 1 and any recommended treatment is concluded as determined by the SAP. A satisfactory return-to-duty test must be achieved before the covered employee can return to safety sensitive duties. 4. A positive alcohol or drug test will be the basis for disciplinary action, up to and including termination. 5. A violation of this policy also constitutes a violation of the City's general Drug and Alcohol policy, and disciplinary action will be implemented, up to and including termination. Discipline may be imposed regardless of whether or not a covered employee is convicted of any crime related to any violation of this policy. 6. A covered employee's violation of the City's Drug and Alcohol policy that may constitute criminal conduct or violation of the DOT regulations may be reported to the appropriate law enforcement agencies or subject the covered employee to civil penalties. SUBSTANCE ABUSE PROFESSIONAL The City will provide only an assessment by a Substance Abuse Professional. If employment is continued, the City has no obligation to provide or pay for further treatment or rehabilitation, as this is the responsibility of the .covered employee. However, some financial assistance may be available under the City's health insurance plan. N. COVERED EMPLOYEE ASSISTANCE PROGRAM The City has retained the services of an Employee Assistance Program (EAP). Covered employees with drug or alcohol problems are encouraged to consult with the EAP and obtain services in accordance with regular City procedures. o. RECORD KEEPING Records shall be maintained on test results, prevention programs, policies, training, drug use and alcohol misuse, refusals to submit to testing, covered employee evaluations, and the annual summary of the City's testing program. The retention period for the records is as follows: 1 A Substance Abuse Professional is a licensed physician. psychologist, social worker, or addiction counselor 15 Nov. 12, 2019 Item #1 Page 49 of 129 P. 1. Five-Year Retention Period This pertains to the results of alcohol tests of 0.02 or higher, verified positive drug tests, documentation of any covered employee who has refused to submit to a required drug or alcohol test, calibration documents, covered employee assessments and referrals by the Substance Abuse Professionals, documents related to the administration of the testing program, and each calendar year summary. 2. Two-Year Retention Period This pertains to records documenting the collection process for the drug and alcohol tests, and training of supervisors. 3. One-Year Retention Period This pertains to any alcohol test results that are less than 0.02 and the documentation of any negative or canceled drug test. Indefinite Retention Period This pertains to records of the education and training of breath alcohol technicians, screening test technicians, supervisors, and covered employees. These recordsshall be maintained by the City ( or, where appropriate, the City's testing agent) during the period the individual who is the subject of the records performs the functions which require the training and for two years after the individual ceases to perform those functions. Confidentiality of Records Laboratory reports or test results shall not appear in a covered employee's general personnel folder, except when a covered employee is disciplined because of the results of those tests. All test results and report information will be contained in a separate confidential medical file that will be kept under the control of the DER. Test results may be disclosed to City management on a need-to-know basis and to the tested covered employee, or to the designated representative of the tested covered employee upon written request from the covered employee. All records will be kept strictly confidential; however, the regulations require that they be made available for inspection at the City within two business days following a request by an authorized person as listed below. ACCESS IP RECORDS The following agencies shall have access to all testing records without the verbal or written consent of covered employees: 1. the City of Carlsbad decision-makers in proceedings initiated either by the City or the covered employee as a result of testing; 2. the Department of Transportation or any state or local official with regulatory authority over the City or any of its covered employees; or 3. the National Transportation Safety Board when conducting an investigation of an accident where drug and/ or alcohol testing was performed. 4. All who are listed in FMCSR's (382.405) 16 Nov. 12, 2019 Item #1 Page 50 of 129 Q. TRAINING R. s. The City will provide information concerning the City's procedures regarding drug use and alcohol misuse to supervisors and covered employees. City training shall include one (I) hour of training for covered employees and two (2) hours of training for supervisors on the topics required by the Department of Transportation. NOTICE TO COVERED EMPLOYEES · Covered employees will receive a copy of this policy prior to its effective date. Covered employees who are hired after the effective date shall be given a copy at the time they begin employment with the City. COMPLIANCE WITH FEDERAL LAW At all times, the City will comply with the current applicable federal law concerning drug and alcohol testing. Issues or inconsistencies that are not addressed in this policy will be determined by referring to the law and official regulations outlining policies and procedures, etc. relative to the law. Due to the complexities involving the law and this type of policy, not all of the particulars may necessarily be covered in this policy. The City reserves the right to make changes to this policy that are mandated by law at any time. 17 Nov. 12, 2019 Item #1 Page 51 of 129 APPENDIX A LIST OF COVERED CLASSIFICATIONS The following job classifications require or utilize a commercial driver's license, and are therefore subject to the provisions of this policy: PARKS AND RECREATION Bus Driver, part-time (if employee possesses a commercial driver's license) Park Maintenance Worker II (if employee possesses a commercial driver's license) Park Maintenance Worker III (if employee possesses a commercial driver's license) Parks/Trees Supervisor (if employee possesses a commercial driver's license) Senior Recreation Leader, part-time (if employee possesses a commercial driver's license) Tree Trimmer I & II Tree Trimmer Leadworker PUBLIC WORKS Equipment Service Worker (if employee possesses a commercial driver's license) Equipment Technician I (if employee possesses a commercial driver's license) Equipment Technician II Lead Equipment Technician Maintenance Worker (if employee possesses a commercial driver's license) Public Works Supervisor (if employee possesses a commercial driver's license) Sanitation Systems Operator I, II & III Senior Storm Drain Maintenance Worker Street Maintenance Worker II & III Utilities Supervisor (if employee possesses a commercial driver's license) Utility Worker I, II & III Wastewater Utility Worker I, II & III POLICE: Any employee in a CPOA-represented classification or CPMA-represented classification who operates a commercial vehicle ( e.g., the Public Safety Command Post vehicle) during the course of employment. Revised 11/12/19 18 Nov. 12, 2019 Item #1 Page 52 of 129 Appendix B DEFINITIONS 1. "Accident" -an incident involving a commercial motor vehicle in which there is a fatality, or a citation was issued and either an injury is treated away from the scene, or a vehicle is required to be towed from the scene. 2. "Actual knowledge" means actual knowledge by an employer that a covered employee has used alcohol or controlled substances based on the employer's direct observation of the covered employee, information provided by the covered employee's previous employer(s), a traffic citation for driving a CMV while under the influence of alcohol or controlled substances or a covered employee's admission of alcohol or controlled substance use, except as provided in Sec. 382.121. Direct observation as used in this definition means observation of alcohol or controlled substances use and does not include observation of covered employee behavior or physical characteristics sufficient to warrant reasonable suspicion testing under Sec. 382.307. 3. "Adulterated Specimen" -A specimen that contains a substance that is not expected to be present in human urine, or contains a substance expected to be present but is at a concentration so high that it is not consistent with human urine. 4. "Alcohol" -means the intoxicating agent in beverage alcohol, ethyl alcohol. or other low molecular weight alcohols including methyl or isopropyl alcohol. References to use or possession of any beverage, mixture or preparation containing ethyl alcohol (including any medication containing alcohol). 5. "Alcohol Test" -A test conducted by a Breath Alcohol Technician, or any other person approved by the DOT rules, using an Evidential Breath Testing Device to measure the amount of alcohol concentration in a volume of breath, or any other test used to detect the presence of alcohol that is approved by the Federal Highway Administration (FHW A). 6. "Alcohol Use" -the consumption of any beverage, mixture, or preparation, including any medication containing alcohol. 7. "ASD" -Alcohol Screening Device (a non-evidential tester). 8. "Breath Alcohol Technician (BAT)" -means an individual trained to proficiency and certified in the use of an evidential breath testing device. 9. "Cancelled Test" -means a test has been declared invalid by a Medical Review Officer (MRO) for drug testing or for alcohol under 40.273 ( 1-3) of 49 CFR. 10. "CD L" -means a Commercial Driver's License. 11. "CFR" -Code of Federal Regulation. 12. "Chain of Custody" -the procedures used to document the handling of the urine specimen from the time the covered employee gives the specimen to the collector until the specimen is destroyed. This procedure uses the Federal Drug Testing Custody and Control Form (CCF). The CCF also ensures the integrity of each urine specimen by tracking its handling and storage from the point of specimen collection to its final disposition. 13. "Collection Site" -a place where individuals present themselves for the purpose of providing breath or body fluid to be analyzed for specific controlled substances. The site possesses all necessary personnel, materials, equipment, facilities and supervision to provide for the collection, security, temporary storage, and transportation or shipment of the specimens to a laboratory. 14. "Commercial Motor Vehicle" -a motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the motor vehicle: 19 Nov. 12, 2019 Item #1 Page 53 of 129 a) Has a gross combination weight of 26,001 or more pounds inclusive of a towed unit with a gross vehicle weight rating of more than 10,000 pounds; or b) Has a gross vehicle weight rating of 26,001 or more pounds; or c) Is designed to transport 16 or more passengers, including the driver; or d) Is of any size and is used in the transportation of hazardous materials requiring placards. 15. "Confirmation Test" -for alcohol testing, a confirmation test means a second test following a screening test with a result ofD.02 or greater, that provides a quantitative data of alcohol concentration. Confirmation of the screening test must be by an Evidential Breath Testing (EBT) device listed on the National Highway Traffic Safety Administration's (NHTSA) Conforming Products List (CPL), and must be capable of printing out each test result and air blank, and must sequentially number each test. For controlled substances testing, a confirmation test means a second analytical procedure to identify the presence of specific drug metabolite which is independent of the screen test and which uses a different technique and chemical principle from that of the screen in order to ensure reliability and accuracy. Gas Chromatography/Mass Spectrometry (GCMS) is the authorized confirmation method for cocaine, marijuana, opiates, amphetamines, and phencyclidine. 16. "Controlled Substances/Drugs" -for purposes of these procedures, controlled substances or drugs are cocaine, marijuana, opiates, amphetamines, phencyclidine and any other substance determined by the U.S. Department of Transportation to be a controlled substance. 17. "Controlled substance ( or Drug) Test" -a method for determining the presence of controlled substances in a urine sample using a scientifically reliable method performed in accordance with procedures specified in 49 CFR 40. 18. "CPL" -Conforming Products List. 19. "DER" -Designated Employer Representative 20. "DHHS" -means the United States Department of Health & Human Services. 21. "DOT" -means the United States Department ofTransportation. 22. "Drug & Alcohol Policy" -policy set up by the City of Carlsbad to provide the necessary elements to promote a drug free working environment. Hereinafter referred to as Policy. 23. "EAP" -means an Employee Assistance Program provided by the City of Carlsbad to assist its covered employees in dealing with drug or alcohol dependency or other personal problems. 24. "Employee" -means any person employed by the City of Carlsbad. 25. "Employer" -means a person or entity employing one or more employees (including an individual who is self- employed) that is subject to DOT agency regulations requiring compliance with this part. Employer also means the entity responsible for overall implementation of DOT drug and alcohol program requirements, including individuals employed by the entity who take personnel actions resulting from violations of this part and any applicable DOT agency regulations. Service agents are not employers. 26. "Evidential Breath Testing Device (EBT)" -a device approved by the NHTSA and placed on NHTSA's Conforming Products List and is used for the evidential testing of breath. 27. "FHWA" -Federal Highway Administration. 20 Nov. 12, 2019 Item #1 Page 54 of 129 29. "Fl'A" -Federal TransportationAdministration 30. "MIS" -Management Information Systems. 31. "Medical Review Officer (MRO)" - a licensed physician (medical doctor or doctor of osteopathy) responsible for receiving laboratory results generated by the drug 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. 32. "NHTSA" -National Highway Traffic Safety Administration. 33. "NIST" -National Institute of Standard and Technology. 34. "Non-negative Test Result (alcohol breath test result)" -an alcohol breath test result between .02 and .039. 35. "NPRM" -Notice of Proposed Rule Making. 36. "On Duty Time" -all time from the time a covered employee begins to work or is required to be available. "On Duty Time" shall include: a) All time at a Carrier or shipper plant, terminal, facility, or other property, or on any public property, waiting to be dispatched, unless the covered employee has been relieved from duty by employer, b) All time spent inspecting, servicing, or conditioning any commercial motor vehicle or any equipment at anytime, c) All driving time, d) All time spent. other than driving time, in or upon any commercial motor vehicle except time spent resting in a sleeper berth, e) All time spent 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 orunloaded, f) All time spent performing the covered employee requirements relating to accidents, g) All time spent repairing, obtaining assistance, or remaining in attendance upon a disabled vehicle. 37. "Performing a Safety-Sensitive Function" - a covered employee is considered to be performing a safety-sensitive function during any period in which he or she is actually performing, ready to perform, or immediately available to perform any safety-sensitive function. 38. "QAP"-Quality Assurance Program. 39. "Refusal to Submit (to an alcohol or controlled substances test) means that a covered employee:" I) fails to appear for any test (except a pre-employment test) within a reasonable time, as determined by the employer, consistent with applicable DOT agency regulations, after being directed to do so by the employer. 2) fails to remain at the testing site before the testing process is complete, provided that the covered employee leaves the testing site before the testing process commences. 3) fails to provide a urine specimen for any drug test required by any DOT agency regulations; 4) in the case of a directly observed or monitored collection in a drug test, fails to permit the observation or monitoring of the covered employee's provision of a specimen; 5) fails to provide a sufficient amount of urine when directed, and it has been determined, through a required medical evaluation, that there was no adequate medical explanation for the failure 6) fails or declines to take a second test the employer or collector has directed the covered employee to take; 7) fails to undergo a medical examination or evaluation, as directed by the MRO as part of the verification process, or as directed by the DER under this policy. In the case of a pre-employment drug test, the covered employee is deemed to have refused to test on this basis only if the pre-employment test is conducted following a contingent offer of employment; 21 Nov. 12, 2019 Item #1 Page 55 of 129 8) fails to cooperate (refuses to empty pockets when so directed by the collector or behaves in a confrontational way that disrupts the collection process); 9) is reported by the MRO as having a verified adulterated or substituted test result. Any covered employee who has been determined to have "refused to test" will face the same consequences as testing positive and will be immediately removed from performing safety-sensitive functions until all return-to-duty requirements are met. 40. "Safety-Sensitive Function" -any of the following duties: Operating a revenue service vehicle, including when not in revenue service ( covered employees and others required to operate revenue vehicles as part of their job duties): Operating a non-revenue service vehicle, when required to be operated by a holder of a Commercial Driver's License; Controlling dispatch or movement of a revenue service vehicle ( dispatchers or those who as part of their job duties fill in for a dispatcher or cross-train): Maintaining a revenue service vehicle or equipment used in revenue service (mechanics, service mechanics, service helpers, and vehicle washers); Any other employee required to hold a CDL as part of their job requirements (site Supervisors, Operations Supervisors, Site Office Personnel, etc.) 4 I. "Substance Abuse Professional (SAP)" -a licensed physician (medical doctor or doctor of osteopathy}, or a licensed or certified psychologist, social worker, employee assistance professional, or addiction counselor (certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission) with knowledge of and clinical experience in the diagnosis and treatment of alcohol and controlled substance-related disorders. 42. "Screening Test (also known as an initial test)" - In alcohol testing, a screening test means an analytical procedure to determine whether a covered employee may have prohibited concentration of alcohol in his or her system. In controlled substances testing, a screening test means an immunoassay screen (or other DHHS-approved test) to eliminate "negative" urine specimens from further consideration. 43. "Service Agent" -any person or entity, other than an employee of the employer, who provides services specified under this part to employers and/or covered employees in connection with DOT drug and alcohol testing requirements. This includes, but is not limited to. collectors, BA Ts. laboratories. MROs, substance abuse professionals, and TPAs. To act as service agents, persons and organizations must meet the qualifications set forth in applicable sections of this part. Service agents are not employers for purposes ofthis part. 44. "Split Sample" -an additional sample collected with the original specimen, to be tested in the event the original specimen tests positive. 45. "SIT" -Screening Test Technician. 46. "Substituted Specimen" -a specimen with creatinine and specific gravity values that are so diminished that they are not consistent with human urine. 47. Third Party Administrator (TPA)" -a service agent that provides or coordinates the provision of a variety of drug and alcohol testing services to employers. TP A's typically performing administrative tasks concerning the operation of the employers' drug and alcohol testing programs. This term includes, but is not limited to, groups of employers who join to administer, as a single entity, the DOT drug and alcohol testing programs of its members. TPA's are not "employers" for purposes ofthis part. 48. "Verified Negative Drug Test Results" -a drug test result reviewed by a Medical Review Officer and determined to have no evidence of prohibited drug use. 49. "Verified Positive Drug Test Results" -a drug test result reviewed by a Medical Review Officer and determined to have evidence of prohibited drug use. 22 Nov. 12, 2019 Item #1 Page 56 of 129 Appendix C TESTING PROCEDURES A. GENERAL URINE SPECIMEN COLLECTION PROCEDURES A collector is a trained person who instructs and assists covered employees at a collection site, who receives and makes an initial inspection of the urine specimen provided by those covered employees, and who initiates and completes the Federal Drug Testing Custody and Control Form (CCF). The collector assures the integrity of the specimen and collection process, and has to be sensitive to the covered employee's privacy. The following are the basic steps and guidelines used in a DOT urine drug screen collection: 1. A restroom or stall with a toilet is provided for the covered employee to have privacy while providing the urine specimen. A source of water for washing hands, or moist towelettes must be provided. 2. Unauthorized persons are not allowed at the testing site during the collection. 3. The collector will prepare the site, taping off water supplies, removing soap and cleaning agents, and will blue the toilet water. 4. The covered employee must provide appropriate identification (photo ID, or ID by a company representative) to the collector. The covered employee can request the full name and employer of the collector. The collector fills in the Custody and Control Form. 5. The covered employee must remove any outer garments and leave handbags, etc. with the collector. The covered employee may keep his/her wallet and may request a receipt for the belongings left with the collector. The covered employee must also empty his/her pockets and display the items in them. If none of the items can be used to adulterate a specimen, the covered employee may place the items back into his/her pockets. If any of the items could be used to adulterate a specimen and appear to have been brought to the collection site for that purpose, a directly observed collection will be taken. · Failure to comply with this requirement constitutes a refusal to test. The covered employee is to wash hands prior to urination. 6. The collector allows the covered employee to select the collection kit, and unwraps or breaks the seal on the container in the presence of the covered employee. 7. The collector instructs the covered employee to provide a specimen of at least 45 ml, not to flush the toilet, and to bring the specimen out to the collector. 8. The collector is to pay close attention to the covered employee during the entire process to note any conduct that clearly indicates an attempt to substitute or adulterate a specimen. The collector ensures the temperature of the specimen falls within the prescribed range, checks the volume, and inspects the specimen for any unusual objects, color or smell. 9. After the covered employee hands the collection container to the collector, the collector unwraps or opens the specimen bottles. The collector pours at least 30 ml ofurine from the collection container into one specimen bottle (A), and 15 ml into the other specimen bottle (8). The bottles are closed and the correct seals are placed over each cover. The collector writes the date on each seal and the covered employee initials under each date. 10. With the bottles now sealed with tamper-evident tape, the specimen does not have to be under the covered employee's direct observation and the covered employee is allowed to wash their hands if they desire. 11. The collector completes the collector's portion of the Custody and Control Form, and has the covered employee complete the certification statement in step 5 of copy 2 of the CCF. 12. The collector places the specimen bottles and copy I of the CCF inside the plastic pouch and seals both pouches. The covered employee is given copy 5. 23 Nov. 12, 2019 Item #1 Page 57 of 129 13. The excess urine is discarded and the specimen pouch is put in a shipping container. The covered employee is now allowed to leave the collection site. 14. The collector is responsible for ensuring the security and the integrity of the specimen until the courier picks up the specimen for transport to the laboratory. 8. PROCEDURES WHEN COVERED EMPLOYEE CANNOT PRODUCE THE REQUIRED AMOUNT OF URINE (SHY BLADDER) The term "shy bladder" refers to a situation when the covered employee does not provide a sufficient amount of urine ( 45 ml) for a DOT required drug test. If a covered employee tells the collector. upon arrival at the collection site, that he or she cannot provide a specimen, the collector must still begin the collection procedure regardless of the reason given. The collector should tell the covered employee that most individuals can provide 45 ml of urine, even when they think they cannot urinate. and direct the covered employee to make the attempt to provide the specimen. If the covered employee provided an initial insufficient specimen. the collector discards the insufficient specimen. and makes a note on the CCF starting the time-line of the "shy bladder" procedure. The collector explains to the covered employee the process for a shy bladder collection and urges the covered employee to drink up to 40 ounces of fluids, distributed reasonably through a period of up to three hours, or until the individual has provided a sufficient urine specimen, whichever occurs first. The covered employee must be monitored during this time. and the collector must specifically tell the covered employee that they are not to leave the collection site. If the covered employee leaves the collection site or refuses to make the attempt to provide a sufficient urine specimen, this is considered a refusal to submit to a test. A refusal to test will carry the same consequences as a positive test result. If the covered employee has not provided a sufficient specimen within three hours of the first unsuccessful attempt to provide a specimen, the collector must discontinue the collection. note the fact on the CCF, and immediately notify the DER that the covered employee's inability to provide a specimen will require a medical evaluation. Failure to produce a sample of urine will result in an immediate referral for an evaluation from a licensed physician who can determine in his or her reasonable judgment the safety-sensitive covered employee's inability to provide an adequate amount of urine. If no medical reason is found substantiating an inadequate sample, the incident will be treated as a "refusal to test" and will carry the same consequences as a positive testresult. Whenever there is reason to believe that a particular individual has altered or substituted the urine specimen, a second specimen shall be obtained as soon as possible under direct observation of a same gender collection site person. Reasons for observed testing include temperature of the specimen out of normal range, discoloration or unusual odor of the sample or suspicious behavior. C. GENERAL BREATH ALCOHOL TESTING PROCEDURES A breath alcohol technician (BAT) is a person who has completed all necessary training and is qualified to perform a DOT breath alcohol test. The BAT will instruct and assist the covered employee in providing a breath alcohol sample, and will complete the Federal DOT Breath Alcohol Testing Form (ATP). The BAT assures the integrity of the test and testing process and has to be sensitive to the covered employee's privacy. The following are the basic steps and guidelines used in a DOT breath alcohol test: 1. The collection site must afford visual and aural privacy to the covered employee, sufficient to prevent unauthorized persons from seeing or hearing test results. 2. The covered employee must provide appropriate identification (photo ID, or ID by a company representative) to the BAT. The covered employee can request the full name and employer of the BAT. The BAT explains the testing process and completes step I of the ATP. 24 Nov. 12, 2019 Item #1 Page 58 of 129 3. The BAT then directs the covered employee to complete step 2 of the A IF and sign the certification. If the covered employee refuses to sign this certification, the BAT will note this on the ATF, and immediately notify the DER. This is a refusal to submit to testing. 4. The BAT will prepare the evidentiary breath-testing device (EBT), conduct an air blank test and obtain a new test number. The covered employee is to see the blank test is 0.0 and to confirm the test number for his/her test. 5. The BAT will select and open a sealed mouthpiece and insert it into the EBT. The covered employee is now instructed to blow forcefully into the mouthpiece until a sufficient amount of breath has been obtained. (If after two attempts an insufficient amount of breath is provided, the test is cancelled, the result noted on the A TF, and the . DER notified. This is a refusal to submit). 6. The BAT will show the covered employee the test result and complete step 3 of the ATF. The printed result will be initialed by the covered employee and affixed to the A TF with tamper evident tape. The result will also be entered into the logbook. 7. If the test result is less than .02 the test is complete. The covered employee is given copy 2 of the ATF and is allowed to leave the test site. 8. If the initial-screening test is greater than .02 breath alcohol content, the covered employee must submit to a confirmation test. 9. The covered employee must be observed for 15 minutes at which time they are not allowed to eat, drink, or put any substance in their mouth and to the best extent possible, not belch. This waiting period is required to prevent any accumulation of mouth alcohol leading to an artificially high reading. I 0. After 15 minutes but before 30 minutes the covered employee will submit to a confirmation test conducted the same as the screening test. 11. Confirmation test results shall be deemed to be the final result upon which any action under operating administration rules shall be based. D. PRE-EMPLOYMENT TESTING PROCEDURES The FT A regulations require that all applicants for employment in safety-sensitive positions or individuals being transferred to safety-sensitive positions from non-safety-sensitive positions must be given pre-employment drug tests. I. Applicants may not be hired or assigned to a safety-sensitive function unless they pass a drugtest. 2. Applicants will be informed in writing of the testing requirements prior to conducting the test. 3. All drug test results must be reviewed by the Medical review Officer (MRO). 4. Applicants that initially test positive are notified of the results by the MRO and are given an opportunity to discuss the results. E. REASONABLE SUSPICION TESTING PROCEDURES The FT A regulations also require a safety-sensitive covered employee to submit to a test when the employer has a reasonable suspicion that the safety-sensitive covered employee has used a prohibited drug or has misused alcohol as defined in the regulations and company policy. The request to undergo a reasonable suspicion test must b-e based on specific, contemporaneous, articulable observations concerning appearance, behavior, speech, or body odor of the safety-sensitive covered employee. 25 Nov. 12, 2019 Item #1 Page 59 of 129 1. Designated covered employees with supervisory responsibilities shall receive training in order to identify behaviors that might be indicators of drug use and/or alcohol misuse. Training includes the procedures for how to deal with covered employees suspected of drug use and/or alcohol misuse. 2. If a supervisor observes behavior that might be indicative of drug use and/or alcohol misuse, the supervisor will direct the safety-sensitive covered employee to stop work and escorts the safety-sensitive covered employee to an area to be questioned and observed in private. 3. The supervisor must ensure that.the safety-sensitive covered employee does not continue to operate in a safety- sensitive function after identified reasonable suspicion testing. If there is a decision to test based on observable symptoms, the safety-sensitive covered employee is ordered to submit to a drug and/or alcohol test and is taken to the collection site by an employer representative and at the completion of testing, an offer of transportation to home will be made. 4. If there is a confirmed breath alcohol test of between .02% and .039%, the safety-sensitive covered employee will be relieved from safety-sensitive duty immediately for a minimum of (24) hours or until the next scheduled work day. 5. If there is a confirmed breath alcohol test (.04 or above) and/or confirmed positive drug test the safety-sensitive covered employee will be removed from his/her safety-sensitive duty immediately. A safety-sensitive covered employee cannot return to work until he/she has been released by a SAP, successfully completes the required rehabilitation, and passes a return-to-duty test. 6. If an alcohol test is not administered within two hours following the determination for reasonable suspicion testing, the supervisor shall prepare and maintain on file a record stating the reasons the alcohol test was not promptly administered. If the alcohol test is not administered in eight hours following the determination for reasonable suspicion testing, the supervisor will cease all attempts and shall state the reasons for not administering the test. 7. A written record shall be made of the observations leading to a controlled substance or alcohol misuse reasonable suspicion test, and signed by the supervisor or company official who made the observations within 24 hours of the observed behavior or before the results of the controlled substance test are release. whichever is earlier. F. POST-ACCIDENT TESTING PROCEDURES FORFMCSA The FMC SA regulations require testing for prohibited drugs and alcohol in the case of certain commercial motor vehicle accidents. Post-accident testing is mandatory for accidents where there is a loss of human life and for other non-fatal accidents. I. The supervisor ensures that all injured people receive proper medical care. 2. A post-accident test is determined by the following situations: Type of Accident Involved: Citation Issued: Test Must be Performed: Human Fatality YES YES NO YES Bodily injury with immediate medical YES YES treatment away from the scene NO NO Disabling damage to any motor YES YES vehicle requiring tow away NO NO Exceptions: You must not conduct a FMCSA DOT test if the following exceptions occur; ► An occurrence involving only barding or alighting from a stationary motor vehicle; or ► 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 by an employer unless the motor vehicle is transporting passengers for hire or placarded hazardous materials 26 Nov. 12, 2019 Item #1 Page 60 of 129 3. The safety-sensitive covered employee will be taken to the collection site and tested as soon as practicable following the accident. The breath alcohol test should be performed within two hours of the accident. If the breath alcohol test is not performed within two hours, the supervisor shall prepare and maintain on file a record stating the reasons why the test was not administered. If the breath alcohol test still cannot be administered within eight hours following the accident, the supervisor shall cease all attempts and update the records accordingly. The safety- sensitive covered employee should remain readily available for breath alcohol testing for up to eight hours following an accident and for drug testing up to 32 hours after the accident, including notifying his/her location, or he/she may be deemed to have refused to submit to testing. The City of Carlsbad will document all accidents of covered employees and their decision whether to test under FMCSA's rule or The City of Carlsbad's authority. 4. If the safety-sensitive covered employee is injured and needs medical treatment, provisions will be made to perform an alcohol test within eight hours and a drug test within 32 hours of the accident. 5. The safety-sensitive covered employee is prohibited from using alcohol for eight hours, prior to testing. 6. Pending the results of a drug test, the safety-sensitive covered employee will be returned to his/her safety-sensitive position if medically cleared to be returned to work, on a case-by-case basis. In the interest of safety, the supervisor, or designee, may transfer a safety-sensitive covered employee to a non-safety-sensitive status pending the results of the test. 7. If the safety-sensitive covered employee is tested for alcohol, and the test is positive (.04 or greater), the safety- sensitive covered employee will be removed from duty and referred to the SAP. If the test is .02 -.039, the safety- sensitive covered employee will be removed from duty for at least 24 hours. 8. If the safety-sensitive covered employee refuses to be tested or if the test is confirmed positive, the safety-sensitive covered employee is removed from duty and referred to the SAP. 9. Safety-sensitive covered employees who test positive for drugs or alcohol will be subject to disciplinary action up to and including termination. G. RANDOM TESTING PROCEDURES The FT A regulations require random testing for prohibited drugs and alcohol misuse for all safety sensitive covered employees. Random testing identifies covered employees who are using drugs or misusing alcohol but are able to use the predictability of other testing methods to escape detection. More importantly, it is widely believed that random testing serves as a strong deterrent against covered employees beginning or continuing prohibited drug use and misuse of alcohol while on the job. 1. Random drug and alcohol testing only applies to safety-sensitive covered employees. An identification number (commonly your SS#) will be included in a selection pool. 2. Random drug and alcohol testing is accomplished by a scientifically valid, tamper-proof, computer-generated selection process. The City of Carlsbad will randomly select individuals for testing through a random test selection program·-without showing discrimination. The program uses a special algorithm, which helps to avoid potential concerns a covered employee may have concerning selection for a random test. When selected by random, covered employees/leased drivers will submit to testing immediately at a pre-established place or "On Location" testing site. A surplus will be randomized to allow for selected covered employees.who are not available. "Not available" is limited to covered employees who are not at work due to vacation, sick leave, disability, or scheduled time off. This does not mean that the covered employee cannot be tested when they return to work. 3. At the time of random selection, a primary list containing the names of the covered employees selected for random drug and/or breath alcohol test is transmitted confidentially to the DER from the Third Party Administrator. No covered employee will be removed from the random pools following selection, and every covered employee will 27 Nov. 12, 2019 Item #1 Page 61 of 129 continue to be subject to selection throughout the year. Every covered employee in the random pool has an equal chance of being selected every time. 4. Random testing will be conducted during all hours ofoperation, all shifts, and all days of the week including weekends so long as The City of Carlsbad is in operation or a safety-sensitive covered employee is conducting safety-sensitive functions. No shift is exempt from testing. 5. The total number of alcohol tests completed annually must equal at a minimum of 10% of the average number of eligible safety-sensitive covered employees in the random pool. The total number of drug tests completed each year must equal at a minimum of 50% of the average number of safety-sensitive covered employees. 6. Random drug testing may be conducted concurrently with random alcohol testing or at any time during a covered employee's shift. Random alcohol testing will be conducted just before the covered employee is scheduled to perform a safety-sensitive function, while the covered employee is performing safety-sensitive functions or just after the covered employee performs a safety-sensitive function. The covered employee must proceed to the test site immediately after being notified that he or she has been selected for testing. 7. A manager or supervisor will notify safety-sensitive covered employees of their random selection. If applicable, a supervisor shall document a covered employee's random test notification. Once notified, the safety-sensitive covered employee must submit to a drug and/or alcohol test. Failure to cooperate with the collection procedures, or failure to submit to the test in any way constitutes a refusal to test, which results in the same consequences as a positive test result. 8. If there is a confirmation breath alcohol test of between .02% and .039%, the safety-sensitive covered employee will be relieved from duty immediately. The safety-sensitive covered employee will not be permitted to perform or continue to perform safety-sensitive functions, until the start of the safety-sensitive covered employee's next regularly scheduled duty period, but not less than 24 hours following administration of the test. 9. If there is a confirmed positive breath alcohol test (0.04% or above) and/or confirmed positive drug test, the covered employee will be removed from safety-sensitive duty immediately. The safety-sensitive covered employee cannot return to work until he/she has been released by a SAP, successfully completes the required rehabilitation, and passes a return-to-duty test. I 0. Safety-sensitive covered employees who test positive for drugs or alcohol will be subject to disciplinary action up to and including termination. If, for some reason a covered employee who has been selected for a random test, but is not able to take the test in the allotted time frame, documentation will be made and forwarded to the Third Party Administrator for proper documentation of why the test was not performed. H. RETURN-TO-DUTY AND FOLLOW-UP TESTING PROCEDURES Before any safety-sensitive covered employee can be allowed to return-to-duty to perform a safety-sensitive function following a verified positive drug test, a positive breath alcohol test, a refusal to submit to a test, or engaging in conduct prohibited by the regulations regarding alcohol misuse or controlled substance use, the safety-sensitive covered employee must first be evaluated by a Substance Abuse Professional (SAP) and pass the return-to-duty test ordered by the SAP. Return-to-duty Testiue 1. If a safety-sensitive covered employee tests positive (.04 >) for alcohol or positive for prohibitive drugs, refuses to test, or substitutes/adulterates his/her specimen, the SAP must evaluate the covered employee and prescribe a rehabilitation program at which time the covered employee must complete and then be re-evaluated by the SAP to determine whether tl).e covered employee may be released to be considered for return to a safety-sensitive position. 2. The SAP will schedule the safety-sensitive covered employee for a return-to-duty drug and/or breath alcohol test. If the return-to-duty drug and/or alcohol test is positive, it counts as a second positive. 28 Nov. 12, 2019 Item #1 Page 62 of 129 3. If the return-to-duty drug test is positive, a split sample can be analyzed ifrequested by the safety-sensitive covered employee. The result will be reviewed by the MRO. If it is verified positive, the safety-sensitive covered employee will not be returned to duty and the test is considered a second positive. 4. Safety-sensitive covered employees who test positive for drugs or alcohol on a return-to-duty test will be subject to disciplinary action up to and including termination. Follow-vu Testing 1. Once a covered employee returns to a safety-sensitive position, the covered employee shall be subject to unannounced follow-up testing for at least 1 year but no more than 60 months. The type, frequency and duration of the follow-up testing will be recommended by the SAP; however, a minimum of six tests shall be performed during the first 12 months after the safety-sensitive employee has been returned to duty. Followup testing does not exclude a covered employee from the random testing program. This means that a safety- sensitive covered employee is subject to random testing as well as follow-up testing and could occur at the same time or the same day orthereafter. 2. Follow-up alcohol testing shall be performed either just before, during or just after the safety-sensitive covered employee performs a safety-sensitive function. 3. Ifany follow-up drug and/or alcohol test is verified positive, the safety-sensitive covered employee will be immediately removed from the safety-sensitive position. Disciplinary action will be imposed up to and including termination. 29 Nov. 12, 2019 Item #1 Page 63 of 129 JOB TITLE Police Chief Assistant Police Chief Deputy City Manager Fire Chief Senior Assistant City Attorney Assistant City Attorney Assistant Fire Chief Chief Innovation Officer Community & Economic Dev. Director Finance Director Parks and Recreation Director Utilities Director Fire Division Chief Human Resources Director Information Technology Director Library and Cultural Arts Director Transportation Director Utilities Manager Assistant Finance Director Building & Code Enforc. Manager Management Salary Schedule (Base Pay) 11/12/19 GRADE MINIMUM 8B $ 153,324 8A $ 144,509 8A 8A 8A 7B $ 131,325 7B 7B 7B 7B 7B 7B 7A $ 121,128 7A 7A 7A 7A 7A 6 $ 103,206 6 Business Intelligence & Analytics Manager 6 City Communications Manager 6 City Traffic Engineer 6 City Planner 6 Deputy City Attorney 6 Deputy Library Director 6 Economic Development Manager 6 Environmental Manager 6 Engineering Manager 6 Fire Battalion Chief 6 Fire Marshal 6 Geographic Info. Systems Manager 6 Information Technology Manager 6 Municipal Property Manager 6 Parks Services Manager 6 Project Portfolio Manager 6 Public Works Manager 6 Recreation Services Manager 6 Transportation Planning and Mobility Manager 6 * Ranges for Police Chief and Assistant Police Chief are effective 1/1/2019 Page 1 Attachment C MIDPOINT MAXIMUM $ 187,858 $ 222,391 $ 177,057 $ 209,605 $ 160,938 $ 190,550 $ 147,136 $ 173,143 $ 126,381 $ 149,556 Nov. 12, 2019 Item #1 Page 64 of 129 Management Salary Schedule (Base Pay) 11/12/19 JOB TITLE GRADE MINIMUM Assistant to the City Manager 5 $ 94,657 City Clerk Services Manager 5 Development Services Manager 5 Emergency Medical Services (EMS) Manager 5 Facilities Manager 5 Finance Manager 5 Finance Payroll Information Technology Mgr 5 Human Resources Manager 5 Information Technology Project Manager 5 Information Technology Security Manager 5 Municipal Projects Manager 5 Police Communications Manager 5 Principal Planner 5 Public Safety Info. Technology Manager 5 Parks Superintendent 5 Public Works Superintendent 5 Real Estate Manager 5 Risk Manager 5 Senior Engineer 5 Utilities Asset Manager 5 Utilities Supervisor 5 Cultural Arts Manager 4 $ 80,855 Emergency Preparedness Manager 4 Park Planning Manager 4 Public Information Officer 4 SCADA Supervisor 4 Senior Accountant 4 Senior Program Manager 4 Senior Management Analyst 4 Special Projects Manager 4 Video Production Manager 4 Community Relations Manager 3 $ 66,435 Executive Assistant 3 Management Analyst 3 Meter Services Supervisor 3 Parks/Trees Supervisor 3 Principal Librarian 3 Program Manager 3 Public Works Supervisor 3 Recreation Area Manager 3 Senior Crime Intelligence Analyst 3 Utilities Maintenance Planner 3 Page 2 Attachment C MIDPOINT MAXIMUM $ 112,528 $ 130,398 $ 95,996 $ 111,137 $ 78,795 $ 91,155 Nov. 12, 2019 Item #1 Page 65 of 129 JOB TITLE Aquatic Supervisor Associate Analyst Crime Intelligence Analyst Programs and Venues Coordinator Communications Coordinator Community Arts Coordinator Community Volunteer Coordinator Graphic Production Supervisor Management Assistant Management Salary Schedule (Base Pay) 11/12/19 GRADE MINIMUM 2 $ 57,062 2 2 2 1 $ 51,912 1 1 1 1 Page 3 Attachment C MIDPOINT MAXIMUM $ 67,774 $ 78,486 $ 61,594 $ 71,276 Nov. 12, 2019 Item #1 Page 66 of 129 Attachment D MANAGEMENT COMPENSATION AND BENEFITS PLAN TABLE OF CONTENTS Section 1 Section 2 Section 3 Introduction ............................................................................ Page 2 Compensation ........................................................................ Page 2 Pay Ranges ....................................................................... Page 2 Compensation Adjustments ............................................ Page 3 Survey Market.. ................................................................ Page 3 Benefits and Other Types of Pay ........................................... Page 4 Life Insurance and Voluntary Benefits ............................ Page 4 Retirement ........................................................................ Page 4 Leave of Absence ............................................................. Page 5 1. Vacation .............................................................. Page 6 2. Executive Leave ................................................. Page 7 3. Sick Leave .......................................................... Page 7 4. Bereavement Leave ............................................ Page 8 5. Leave Without Pay ............................................. Page 8 6. Pregnancy Disability Leave ................................ Page 9 7. FMLA ................................................................. Page 10 8. Military Leave .................................................... Page 10 9. Jury Duty ............................................................ Page IO 10. Extended Leave of Absence ............................... Page 10 Separation Compensation ................................................ Page 11 Holidays ........................................................................... Page 11 Health Benefits ................................................................. Page 11 Health Insurance for Retirees ........................................... Page 13 Physical Fitness Reimbursement ..................................... Page 14 Long-Term Disability Insurance (LTD) .......................... Page 14 Deferred Compensation ................................................... Page 14 Drug and Alcohol Policy ................................................. Page 14 Uniform Reimbursement and Reporting the Value of Uniforms to CalPERS .................................................. Page 14 Fire Safety Management .................................................. Page 15 Special Assignment and Temporary Upgrade Pay .......... Page 15 Educational Incentive Pay ................................................ Page 16 Nov. 12, 2019 Item #1 Page 67 of 129 Management Compensation and Benefits Plan SECTION 1: INTRODUCTION The Management Compensation and Benefits Plan contains three parts: 1) an introduction, 2) an overview of compensation and 3) a description of benefits for management employees. Definitions 1. Management Employees -Management employees are defined as those employees whose classifications are listed on the Management Salary Structure. Except as to those management employees subject to an applicable law, all management employees are considered "at-will" and have no property rights to their position. At will employment with the City may be terminated at any time by either party, with or without cause, for any reason or no reason whatsoever, and with or without advance notice. At will employees do not have the right to appeal. 2. City Council Appointed Employees -The City Manager and City Attorney are hired by and responsible directly to the City Council. The salaries for these positions shall be set by the City Council. The City Manager and City Attorney will not be subject to the provisions of the Compensation program as outlined in Section 2 of this document. The schedule of management benefits (as outlined in Section 3 of this document) will apply to these positions, except as otherwise provided by the City Council. SECTION 2: COMPENSATION Pay Ranges Each management job classification is assigned to a specific pay range. An employee may be paid anywhere in the pay range associated with their job classification. Any employee may be advanced in the pay range regardless of the length of time served at the employee's present pay rate. This advancement requires the written recommendation of the employee's manager and the approval of the employee's department head and City Manager (or City Attorney, for management employees in the City Attorney's Office)1• If, as a result of a pay range adjustment, an employee's base salary falls below the minimum of the pay range, the employee's salary will be increased to the new range minimum as of the date City Council approves the pay range adjustment. Periodically the Human Resources Department will bring forth salary range movement recommendations to City Council that are based on market and economic conditions, and may include one or more salary ranges. 1 Hereafter, all references to the City Manager include, with regard to management employees in the City Attorney's Office, the City Attorney. 2 Revised 11/12/19 Nov. 12, 2019 Item #1 Page 68 of 129 Management Compensation and Benefits Plan Compensation Adjustments Effective January 1, 2020, all management employee salaries will be increased by three percent (3%). As a result, all management salary ranges will be adjusted to reflect this increase. An employee's salary may not exceed the maximum of the pay range for their classification. Survey Market In keeping with the City Council's philosophy of surveying the total compensation oflocal agencies, the agencies listed below will be considered in the survey market for management classifications. • City of Chula Vista • City of Coronado • City of Del Mar • City of El Cajon • City of Encinitas • City of Escondido • City of Imperial Beach • City of La Mesa • City of National City • City of Oceanside • City of Poway • City of San Marcos • City of Solana Beach • City of San Diego • City of Santee • City of Vista • County of San Diego In addition to the agencies listed above, the following agencies will be considered in the survey market only for Utilities Director, Utilities Manager and Utilities Supervisor classifications. • Encina Wastewater Authority • Helix Water District • Olivenhain Municipal Water District • Otay Water District • Padre Dam Municipal Water District • Vallecitos Water District • Vista Irrigation District The Human Resources Department will compare salary and benefits information on each City of Carlsbad benchmark classification with appropriate classifications in the survey market. Those classifications that are considered benchmarks are those in which there was a substantial match between the competencies and duties required for jobs at the City of Carlsbad and those for jobs in the survey market. Each City of Carlsbad job classification is assigned to a specific pay range. The non-benchmark positions are assigned to a pay range based on internal relationships, responsibility and/or 3 Revised 11 /12/ 19 Nov. 12, 2019 Item #1 Page 69 of 129 Management Compensation and Benefits Plan knowledge, skills and abilities of jobs. The benchmark salary data will be surveyed regularly and the benchmark comparisons will be modified when the classifications change within the organization. The City Council delegates to the City Manager the authority to create and change job classifications and assign job classifications to a specific pay range, based on both benchmark salary information and internal relationships within the organization. SECTION 3: BENEFITS AND OTHER TYPES OF PAY Life Insurance and Voluntary Benefits All management employees shall receive City paid life insurance in an amount equal to two times the basic yearly earnings. To determine benefits, the amount of insurance is rounded to the next higher $1,000 multiple, unless the amount equals a $1,000 multiple. The City provides various voluntary benefits available at the employee's cost. Employees may select among various levels of coverage. For information regarding these benefits, contact the Human Resources Department at 760-602-2440. Retirement All management employees shall participate in the California Public Employees' Retirement System (CalPERS). The specific retirement formula applied will be determined based on whether the position is deemed safety or miscellaneous. All positions not deemed eligible for safety retirement will be deemed miscellaneous under the CalPERS system. Optional benefits unique to the City of Carlsbad's contract with CalPERS are outlined in the contract between the city and CalPERS. A copy of this contract is kept on file in the Human Resources Department. Management employees who are considered fire safety employees are eligible for the same retirement benefit formula and are subject to the same optional retirement benefits described in the City of Carlsbad CalPERS safety contract ( and are the same as those provided to employees represented by the Carlsbad Firefighters' Association, Inc.). Unrepresented sworn police management employees are eligible for the same retirement benefit formula and are subject to the same optional retirement benefits described in the City of Carlsbad CalPERS safety contract ( and are the same as those provided to employees represented by the Carlsbad Police Officers' Association). A. The City has contracted with CalPERS for the following retirement benefits: Miscellaneous "Classic" Members (those that do not qualify as "New Members" as defined below) a) Employees entering City of Carlsbad miscellaneous CalPERS membership for the first time prior to November 28, 2011 -The retirement formula shall be 3%@ 60; single highest year final compensation. b) Employees entering City of Carlsbad miscellaneous CalPERS membership for the first time on or after November 28, 2011 -The retirement formula shall be 2% @ 60; three year average final compensation. 4 Revised I I /12/19 Nov. 12, 2019 Item #1 Page 70 of 129 Management Compensation and Benefits Plan c) Employees entering City of Carlsbad safety CalPERS membership for the first time prior to October 4, 2010 -The retirement formula shall be 3%@ 50; single highest year final compensation. d) Employees entering City of Carlsbad safety CalPERS membership for the first time on or after October 4, 2010 -The retirement formula shall be 2% @ 50; three year average final compensation. "New Members" Employees who are "New Members" as defined by the California Public Employees' Pension Reform Act of2013 (PEPRA) (e.g., an employee hired on or after 1/1/2013 who has never been a CalPERS member or member of a reciprocal system or who has had a break in CalPERS service of at least 6 months or more) will be subject to all the applicable PEPRA provisions, which include but are not limited to the following retirement benefits. a) Miscellaneous employees -Retirement formula shall be 2% @ 62; three year average final compensation. b) Safety employees -Retirement formula shall be 2. 7% @ 57; three year average final compensation. B. Employee Retirement Contribution The employee retirement contribution will be made on a pre-tax basis by implementing provisions of section 414(h)(2) of the Internal Revenue Code (IRC). Employees shall make the following employee retirement contributions through payroll deductions: • • • • Leave of Absence miscellaneous employees subject to the 3%@ 60 benefit formula shall pay all of the employee retirement contribution (8%), miscellaneous employees subject to the 2%@ 60 benefit formula shall pay all of the employee retirement contribution (7%), safety employees subject to the 3%@ 50 or 2%@ 50 benefit formulas shall pay all of the employee retirement contribution (9%), and miscellaneous and safety employees who meet the definition of "New Member" under PEP RA shall pay one half of the normal cost rate associated with their benefit plan. Management employees are exempt from overtime requirements under the Fair Labor Standards Act. Management employees in the City are paid on a salary basis versus an hourly basis. Pursuant to FLSA regulation 29 CFR Section 541.5d, the City can make deductions from salary or leave accounts for partial day absences for personal reasons or sickness because the City has a policy and practice of requiring its employees to be accountable to the public that they have earned their salaries. A partial day absence is an absence of less than the employee's regular work day. Pursuant to FLSA regulation 29 CFR Section 541.118 ( a)(2) and ( a)(3 ), the City may make salary or leave reductions based upon full day absences. 5 Revised 11/12/19 Nov. 12, 2019 Item #1 Page 71 of 129 Management Compensation and Benefits Plan Partial day or full day absences shall be first charged against the exempt employee's vacation, sick, or executive leave account. In the event the exempt employee does not have sufficient time in his/her leave account to cover the absence, deductions without pay will be made on full days only. 1. Vacation a. Vacation Accrual Revised 11/12/19 Every management employee shall accrue vacation leave for each calendar year of actual continuous service dating from the commencement of said service, with such time to be accrued on a daily (calendar day) basis. Vacation leave can be used in 15 minute increments. All management employees (except Fire Battalion Chiefs) shall earn vacation on the following basis: Beginning with the first (1st) working day through the completion of five (5) full calendar years of continuous service -13 minutes/day. Beginning the sixth (6th) year of employment through the completion of ten (10) full calendar years of continuous service -20 minutes/day. Beginning the eleventh (11th) year of employment through the completion of eleven (11) full calendar years of continuous service -21 minutes/day. Beginning the twelfth (12th) year of employment through the completion of twelve (12) full calendar years of continuous service -22 minutes/day. Beginning the thirteenth ( 13th) year of employment through the completion of thirteen (13) full calendar years of continuous service -24 minutes/day. Beginning the fourteenth ( 14th) year of employment through the completion of fifteen ( 15) full calendar years of continuous service -25 minutes/day. Beginning the sixteenth (16th) year of continuous employment, vacation time shall be accrued, and remain at a rate of 26 minutes/day for every full calendar year of continuous employment thereafter. Management employees with comparable service may be granted credit for such service for the purpose of computing vacation at the discretion of the City Manager. All management employees shall be permitted to earn and accrue up to and including three hundred and twenty (320) hours of vacation, and no employee will be allowed to earn and accrue vacation hours in excess of the three hundred and twenty (320) hour maximum.* The City Manager shall be responsible for the granting of vacation to all management personnel, except in the case of the City Attorney's Office, where the City Attorney shall be responsible for granting vacation. * If there are unusual circumstances that would require an employee to exceed the vacation accrual maximum, he/she must submit a request in writing to the Department Head and the City Manager or Designee. The Department Head and the City Manager or Designee may grant such a request if it is 6 Nov. 12, 2019 Item #1 Page 72 of 129 Management Compensation and Benefits Plan in the best interest of the City. Requests will be handled on a case-by-case basis and will be considered only in extreme circumstances. Fire Battalion Chiefs shall accrue vacation in the same manner and up to the same maximum as Carlsbad Firefighters' Association (CF A) represented employees. b. Vacation Conversion Each February, management employees will be allowed to voluntarily convert up to 80 hours of accrued vacation to cash, provided that they have used 80 hours of vacation, executive time or floating holiday during the prior calendar year. Fire Battalion Chiefs that work 112 hours per bi-weekly pay period will be allowed to voluntarily convert up to 112 hours of accrued vacation to cash, provided that they have used 112 hours of vacation, executive time or floating holiday during the prior calendar year. c. Vacation Payout An employee separating from the City service who has a balance of unused accrued vacation leave shall be entitled to be paid for the remainder of their unused accrued vacation leave as of their last day on payroll. 2. Executive Leave (E-time) Effective July 1, 2018, all management personnel shall receive sixty-four ( 64) hours per fiscal year for executive leave. The sixty-four (64) hours will be credited upon hire or promotion into management and at the beginning of each fiscal year to individual leave balances. This leave must be used within the same fiscal year. The City Manager is authorized to provide ten ( 10) additional hours of executive leave per year to any management employee who is required to work extended hours due to emergencies such as fires, storms, floods, or other emergencies. 3. Sick Leave Sick leave can be used in 15 minute increments. Sixteen (16) minutes of sick leave are accrued per calendar day. Accumulation is unlimited (employees cannot receive payment for unused sick leave). Fire Battalion Chiefs that work 112 hours per bi-weekly pay period shall accrue sick leave commensurate with CF A represented employees that work at 112 hours per bi-weekly pay period. Any management employee who has accrued and maintains a minimum of one hundred (100) hours of sick leave shall be permitted to convert up to twelve (12) days of sick leave and uncompensated sick leave to vacation at a ratio of three (3) sick leave days per one (1) day of vacation. The sick leave conversion option will be provided during the first week of each fiscal year. Conversion can only be made in increments of full day vacation days. Employees will not be allowed to convert sick leave to vacation if such conversion would put them over the vacation accrual maximum. 7 Revised I 1/ I 2/19 Nov. 12, 2019 Item #1 Page 73 of 129 Management Compensation and Benefits Plan Any permanent employee applying for retirement with the Public Employees' Retirement System may convert accrued and unused sick leave time to extend service time in the system at the ratio of twenty-five (25) days of accrued sick leave to one month of extended service. 4. Bereavement Leave An employee may use up to an equivalent of three work days of paid leave ifrequired to be absent from duty due to the death of a member of the employee's immediate family. Additional time off may be authorized by the Department Head and charged to accrued vacation or sick leave or, when no accrued leave is available, treated as leave without pay. The "immediate family" shall be defined in the personnel rules and regulations. The employee may be required to submit proof of relative' s death before final approval of bereavement leave is granted. 5. Leave of Absence Without Pay a. General Policy Any employee may be granted a leave of absence without pay pursuant to the approval of his/her Department Head for less than two calendar weeks. If the duration of the leave of absence will be longer, the approval of the City Manager or his/her designee is required. An employee shall utilize all his/her vacation, e-time and/or sick leave (if applicable) prior to taking an authorized leave of absence without pay. A leave without pay may be granted for any of the following reasons: I. Illness or disability. 2. To take a course of study which will increase the employee's usefulness on return to his/her position in the City service. 3. For personal reasons acceptable to the City Manager and Department Head. b. Authorization Procedure Revised 11/12/19 Requests for leave of absence without pay shall be made in writing and shall state specifically the reason for the request, the date when the leave is desired to begin, the probable date of return, and the agreement to reimburse the City for any benefit premiums paid by the City during the leave of absence. The request shall normally be initiated by the employee, but may be initiated by his/her Department Head, and, if applicable, shall be promptly transmitted to the City Manager or his/her designee for approval. A copy of any approved request for leave of absence without pay with a duration equal to or greater than two calendar weeks shall be delivered promptly to the Directors of Finance and Human Resources. 8 Nov. 12, 2019 Item #1 Page 74 of 129 Management Compensation and Benefits Plan c. Length of Leave and Extension A leave of absence without pay may be made for a period not to exceed six months, unless otherwise approved by the City Manager. The procedure for granting extensions shall be the same as that in granting the original leave provided that the request for extension is made no later than fourteen (14) calendar days prior to the expiration of the original leave. d. Return From Leave When an employee intends to return from an authorized leave of absence without pay either before or upon the expiration of such leave, he/she shall contact his/her Department Head at least fourteen (14) calendar days prior to the day he/she plans to return. The Department Head shall promptly notify the Human Resources Department of the employee's intention. The employee shall return at a rate of pay not less than the rate at the time the leave of absence began. e. Insurance Payments and Privileges An employee on leave without pay may continue his/her City insurance benefits by reimbursing the City for the employee's costs of insurance on a monthly basis during the period of the leave. Failure to reimburse the City for such benefits during the term of a leave of absence will result in the employee's coverage terminating on the first day following the month in which the last payment was received. Upon the employee's return to paid status, any sums due to the City shall be repaid through payroll deductions. This applies to sums due for insurance as well as other payment plans entered into between the City and the employee ( e.g., computer loan). Upon eligibility for COBRA, the employee will be notified of the opportunity to continue benefit coverage via the COBRA process. An employee on leave of absence without pay shall not have all of the privileges granted to regular employees (e.g., holiday pay), unless required by law. 6. Pregnancy Disability Leave Pregnancy Disability Leave shall be authorized and/or administered in accordance with the provisions of State and Federal law. An employee disabled by pregnancy shall be allowed to utilize a combination of accrued sick leave and vacation time and leave without pay to take a leave for a reasonable period of time, not to exceed four months. An employee shall utilize all accrued leave prior to taking leave without pay. Reasonable period of time means that period during which the employee is disabled on account of pregnancy, childbirth, or related conditions. An employee who plans to take a leave pursuant to this article shall give the City reasonable notice of the date the leave shall commence and the estimated duration of the leave. 9 Revised 11/12/19 Nov. 12, 2019 Item #1 Page 75 of 129 Management Compensation and Benefits Plan 7. Family and Medical Leave of Absence (FMLA) An employee may be granted a FMLA of up to 12 weeks in a 12 month period for one or more of the following reasons: for the birth/placement of a child for adoption or foster care, to care for an immediate family member with a serious health condition, or to take medical leave when the employee is unable to work because of a serious condition. FMLA may be paid or unpaid and may be granted concurrently and in conjunction with other leave and benefit provisions. Specific details regarding the provisions of this leave are available by contacting the Human Resources Department. 8. Military Leave Military leave shall be authorized in accordance with the provisions of State and Federal law. The employee must furnish satisfactory proof to his/her Department Head, as far in advance as possible, that he/she must report to military duty. 9. Jury Duty When called to jury duty, an employee shall be entitled to his/her regular compensation. Employees released early from jury duty shall report to their supervisor for assignment for the duration of the shift. Employees shall be entitled to keep mileage reimbursement paid while onjury duty. A Department Head may, at his/her sole discretion, contact the court and request an exemption and/or postponement of jury service on behalf of an employee. Employees released early from jury duty shall report to their supervisor for assignment for the duration of the work day. At the discretion of the supervisor, an employee may be released from reporting back to work if an unreasonable amount of the work day remains in light of travel time to the job site after release. 10. Extended Leave of Absence Upon completion of 84 consecutive calendar days ( 12 weeks) of leave of absence (paid or unpaid and except when leave is ordered by the city or when an employee is on an active duty military leave) or completion of a leave of absence related to Section 4850 of the Labor Code, whichever occurs later, an employee will not be eligible for the benefits listed below: • accrual of sick leave and vacation, • cell phone allowance, • car allowance and • holiday pay for Fire Battalion Chiefs. 10 Revised I I/ 12/19 Nov. 12, 2019 Item #1 Page 76 of 129 Management Compensation and Benefits Plan On the day that the employee returns to work from the extended leave of absence, the employee will resume eligibility for the abovementioned benefits and the employee's vacation anniversary date and seniority (calculation of continuous service with the City) will be adjusted for each calendar day the leave of absence lasted beyond 84 consecutive calendar days or the completion of a leave of absence related to Section 4850 of the Labor Code, whichever was longer. Separation Compensation All management employees involuntarily separated from the City service due to budget cutbacks, layoffs, contracting out of service or for other reasons not due to misconduct which would justify involuntary separation shall receive one month's salary computed at the employee's actual salary at the time of separation. Holidays All management employees shall be paid holidays in accordance with the schedule of eleven (11) holidays as established by the City Council. Fire Battalion Chiefs are subject to the same holiday schedule that is outlined for management employees. However, they are compensated for holidays in the same manner as CFA represented employees that work 112 hours per bi-weekly pay period. The scheduled paid holidays that will be official City holidays shall be as follows: New Year's Day Martin Luther King's Birthday Presidents' Day Memorial Day Independence Day Labor Day Columbus Day Veteran's Day Thanksgiving Day Thanksgiving Friday Christmas Day Only employees who are on employed status on their last scheduled work day before a holiday shall be entitled to the paid holiday except where otherwise required by law. Effective July 1, 2019, all management employees will receive two floating holidays per fiscal year, each year on July 1st. The floating holiday may be used at the discretion of the employee with prior approval of the employee's supervisor. The floating holiday must be taken as a full day off. There is no partial day use of a floating holiday. The floating holiday pay is paid at straight time equal to the number of hours in the employee's regular work shift on that day. Unused floating holidays will not carry over to the next fiscal year and will not paid out upon separation of employment. Health Benefits Management employees will participate in a flexible benefits program which includes medical insurance, dental insurance, vision insurance, flexible spending accounts (FSAs) and Accidental Death & Dismemberment insurance (AD&D). Each of these components is outlined below. 11 Revised 11/12/19 Nov. 12, 2019 Item #1 Page 77 of 129 Management Compensation and Benefits Plan 1. Medical Insurance Management employees will be covered by the Public Employees' Medical and Hospital Care Act (PEMHCA) and will be eligible to participate in the California Public Employees' Retirement System (CalPERS) Health Program. The City will pay on behalf of all management employees and their eligible dependents and those retirees mentioned in the section of this document titled, "Health Insurance for Retirees," the minimum amount per month required under Government Code Section 22892 of the PEMHCA for medical insurance through the California Public Employees' Retirement System (CalPERS). If electing to enroll for medical benefits, the employee must select one medical plan from the variety of medical plans offered. Effective January 1, 2018, the City will contribute the following monthly amounts ( called "Benefits Credits") on behalf of each active management employee and eligible dependents toward the payment of 1) medical premiums under the CalPERS Health Program, 2) contributions in the name of the employee to the City's flexible spending account(s), 3) dental premiums 4) vision premiums and/or 5) accidental death and dismemberment (AD&D) premmms: (a) (b) (c) For employees with "Employee" coverage, the City shall contribute five hundred seventy-three ($573) per month that shall include the mandatory payments to CalPERS. If the actual total premiums exceed the City's total contributions, the employee will pay the difference. For employees with "Employee Plus One" coverage, the City shall contribute one thousand one hundred forty-six dollars ($1,146) per month that shall include the mandatory payments to CalPERS. If the actual total premiums exceed the City's total contributions, the employee will pay the difference. For employees with "Family" coverage, the City shall contribute one thousand five hundred two dollars ($1,502) per month that shall include the mandatory payments to CalPERS. If the actual total premiums exceed the City's total contributions, the employee will pay the difference. Subsequently, effective January 1 of each calendar year, the City monthly Benefits Credits will change for each coverage level. The monthly Benefits Credits will be set to dollar amounts that equate to 80% of the average health (medical, dental and vision) premium for Employee, Employee Plus One and Family coverage levels, rounded to the nearest whole dollar based on the premiums that will take effect on January 1 of the respective calendar year. Unused Benefits Credits as outlined above will be paid to the employee in cash and reported as taxable income. If the amount contributed by the City (Benefits Credits) exceeds the cost of the medical insurance purchased by the employee, the employee will have the option of using any "excess credits" to purchase dental, vision, or accidental death and dismemberment (AD&D) insurance or to contribute to a healthcare or dependent care flexible spending account (FSA), instead of receiving taxable cash. All management employees who work three quarter-time or less will receive prorated Benefits Credits. 12 Revised 1 l/ 12/ 19 Nov. 12, 2019 Item #1 Page 78 of 129 Management Compensation and Benefits Plan 2. Dental Insurance Management employees will be eligible to enroll in or waive enrollment in a City-sponsored dental plan at any coverage level. 3. Vision Insurance Management employees will be eligible to enroll in or waive enrollment in a City-sponsored vision insurance plan at any coverage level. 4. Waiver Provision Management employees who do not wish to participate in the CalPERS Health Program will have the choice of waiving the City's medical insurance program, provided they can show that they are covered under another group insurance program. The dollar amount paid by the City for employees who elect the waiver provision may change in the first pay period of each calendar year. The Benefits Credits associated with waiving medical coverage will be set equal to 50% of the Benefits Credits associated with Employee medical coverage. If this results in a situation where the unused benefit credits associated with any medical plan exceed the benefit credits associated with waiving medical coverage, the benefit credits associated with waiving medical coverage will be set equal to one dollar ($1) above the unused benefit credits associated with that medical plan. Unused Benefits Credits as outlined above will be paid to the employee in cash and reported as taxable income. Health Insurance for Retirees Effective January 1, 2001, management employees will be covered by the Public Employees' Medical and Hospital Care Act and will be eligible to participate in the California Public Employees' Retirement System (CalPERS) Health Program. Management employees who retire from the City, either service or disability, shall be eligible to continue their enrollment in the CalPERS Health Program when they retire, provided that the individual is enrolled or eligible to enroll in a CalPERS medical plan at the time of separation from employment and their effective date of retirement is within 120 days of separation. The City will contribute the minimum amount per month required under Government Code Section 22892 of the PEMHCA toward the cost of each retiree's enrollment in the CalPERS Health Program. Employees who retire from the City, either service or disability, shall be eligible to elect, upon retirement to participate in the City's dental and/or vision insurance programs as a retiree. The cost of such dental and/or vision insurance for the retiree and eligible dependents shall be borne solely by the retiree. An individual who does not choose coverage upon retirement, or who chooses coverage and later drops it is not eligible to return to the City's dental and vision insurance program. The City will invoice the retiree for his/her monthly premiums for dental and/or vision insurance and the retiree must keep such payments current to ensure continued coverage. 13 Revised 11/12/19 Nov. 12, 2019 Item #1 Page 79 of 129 Management Compensation and Benefits Plan Physical Fitness Reimbursement All management employees shall be eligible for reimbursement of up to the amount of four hundred fifty dollars ($450) during each fiscal year for the costs associated with physical fitness. Each employee claiming reimbursement shall be required to submit original receipts to the Human Resources department for approval and reimbursement. The physical fitness reimbursement is offered to management employees to promote optimum health. Services include, but are not limited to: health assessment testing and examinations, computerized heart risk profile, complete blood profile, fees paid to physical fitness providers, nutritional assessment and diet program. Long-Term Disability Insurance (LTD) Long-term disability is available for all management personnel after 30 calendar days of disability. The LTD premium cost is paid by the City. Employees shall be entitled to combine accumulated vacation leave ore-time with LTD payments for the purpose of achieving the equivalent of their pre-disability salary to the extent allowed by law during any period of nonindustrial disability. Accumulated sick leave may not be combined with LTD payments. Under no circumstances shall the combination of accumulated leave and LTD payments exceed the employee's pre-disability salary. Deferred Compensation The City shall provide deferred compensation plan(s) which may be utilized by any management employee. The City reserves the right to accept or reject any particular plan and to impose specific conditions upon the use of any plan. It is acknowledged that the City will assist in the administration of this benefit but that the City has no liability if an employee should default on the repayment of such a loan. Drug and Alcohol Policy It is the policy of the City of Carlsbad to provide a work environment free from the effects of drugs and alcohol consistent with the directives of the Drug Free Workplace Act. The City provides a voluntary Employee Assistance Program (EAP) to assist employees who seek help for substance abuse or other personal problems affecting work or family life. This program is available to employees and their family members and offers 24-hour access to confidential professional EAP assistance for emergency or urgent situations. For more specific information, contact the Human Resources Department or visit the City's intranet site. Uniform Reimbursement & Reporting the Value of Uniforms to CalPERS Reimbursement to the Police Chief and Assistant Police Chief for the cost of purchasing and maintenance of required uniforms shall be $34.62 per pay period. 14 Revised l I /12/19 Nov. 12, 2019 Item #1 Page 80 of 129 Management Compensation and Benefits Plan Effective May 31, 2010, all fire management employees who are required to wear City-provided uniforms will have the amount of $17.31 reported to CalPERS bi-weekly as special compensation related to the monetary value of the required uniforms, excluding boots. Under PEPRA, this benefit is not reported to CalPERS as special compensation for new members. Fire Safety Management 1. Post-Retirement Healthcare Trust Employees promoted into a fire safety management classification from a position represented by CF A, Inc. after the establishment of the post-retirement healthcare trust by CF A, Inc. shall contribute into the post-retirement healthcare trust established by CF A, Inc. via payroll deductions until participation by CF A, Inc., in this type of trust is terminated. The employee contribution amount shall be equal to the amount established for employees represented by CF A, Inc. In addition, the city will make monthly contributions per fire safety management employee who is contributing to the trust. The city contribution amount will be equal to the amount established for employees represented by CF A, Inc. The City has no administrative responsibilities or liabilities related to this benefit, other than processing of payroll contributions as described above. 2. Overtime The classifications of Fire Chief, Fire Division Chief, Fire Battalion Chief and Fire Marshal are exempt from overtime requirements under FLSA. However, Fire Battalion Chiefs are paid straight time for overtime when they are covering the duty for a Battalion Chief who is on a leave of absence and when they are directed to attend a mandatory training class associated with the rank of Battalion Chief on a non-scheduled work day. Through the California Fire and Rescue Mutual Aid System and California Fire Assistance Agreement (CFAA), and at the request of the California Governor's Office of Emergency Services (Cal OES), California Department of Forestry and Fire Protection (CAL FIRE), Federal Fire Agencies or other fire agencies, City of Carlsbad Fire Department personnel can be assigned to locations throughout California in the event of a local, State, or Federal emergency. In the event this occurs, employees in the classification of Fire Division Chief and Fire Marshal who are assigned to the emergency location are paid straight time for overtime (portal to portal) beginning at the time of dispatch to the return to jurisdiction and employees in the classification of Fire Battalion Chief who are assigned to the emergency location are paid at a rate of 1.5 for overtime (portal to portal) beginning at the time of dispatch to the return to jurisdiction. Special Assignment and Temporary Upgrade Pay Whenever the needs of the City require an employee to temporarily perform the duties of a job classification that has a higher pay range than the pay range associated with their current job classification for a period of more than twenty-one (21) calendar days, the employee shall be designated as being in a special assignment and receive additional temporary upgrade pay. In such cases, the employee shall be paid at an appropriate level which will assure an increase of not less than five percent (5%) greater than his/her current salary. Subsequent to designation in a special assignment, in the event that the situation changes and the City does not need the employee to serve in the assignment for at least twenty-one (21) consecutive calendar days, the employee shall receive 15 Revised I l /12/ I 9 Nov. 12, 2019 Item #1 Page 81 of 129 Management Compensation and Benefits Plan the temporary upgrade pay for that period of time the assignment lasts. In the event that at the beginning of a special assignment, it is not perceived that the assignment will last at least twenty- one (21) consecutive calendar days, and the assignment nonetheless extends beyond twenty-one (21) consecutive calendar days, the employee in the assignment shall receive the temporary upgrade pay retroactive to the first day of the acting assignment. No employee shall be required to perform any of the duties of a higher classification unless that employee is deemed to possess the minimum qualifications of the higher classification by the Human Resources Director as recommended by the affected Department Head. Exceptions to the minimum qualifications criteria may be recommended by the affected Department Head on a case by case basis. If the employee does not meet the minimum qualifications for the higher classification he/she shall receive not less than 2.5% temporary upgrade pay. The temporary upgrade pay shall commence on the first (1st) calendar day of the special assignment. The recommendation that an employee be placed in a special assignment shall be put in writing by the affected Department Head and submitted to the Human Resources Director for approval. The employee shall not serve for more than one hundred and eighty (180) calendar days in a special assignment unless approved by the City Manager or his/her designee. If an employee is on a leave of absence (paid or unpaid and except when leave is ordered by the city) for more than twenty-one (21) calendar days, the temporary upgrade pay associated with their special assignment shall cease on the twenty-second (22nd) day. On the day that the employee returns to work, if the supervisor determines that the employee is required to continue to perform the duties of the special assignment, the temporary upgrade pay will resume as of the day the employee returns to work. A person in a special assignment shall be eligible to receive pay increases in his/her regular position during the special assignment. The Human Resources Director shall obtain the employee's consent for the special assignment prior to the employee's assuming or continuing the duties and additional compensation, which shall clearly state that it is understood that a reduction in salary will occur due to cessation of the temporary upgrade pay upon the expiration of the need for the special assignment. Educational Incentive Effective January 1, 2019, employees in the classifications of Police Chief and Assistant Police Chief who present proof to the Professional Standards Division Sergeant, Carlsbad Police Department, of evidence of the award of a Management certificate issued by the State of California Commission on Peace Officer Standards and Training (POST) will be eligible to receive educational incentive pay in the amount of four hundred sixty-two dollars ($462) biweekly. Eligibility for receiving the compensation will be based upon the date the employee provides evidence of eligibility to the Professional Standards Division Sergeant. It is the sole responsibility of the employee to make notification of eligibility for the educational incentive pay. 16 Revised 11/12/19 Nov. 12, 2019 Item #1 Page 82 of 129