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Item 4E - Current Employee Handbook CITY OF SOUTHLAKE 1i I Employee Handbook Table of Contents Policies Approved by City Council, City Manager, or Assistant City Manager. Policy Approval 1 . Chapter 1: Purpose Resolution # 89-16 2. Chapter 2: Definitions Resolution # 89-16 3. Chapter 3: Probation Resolution # 89-16 4. Chapter 4: Wage & Salary Administration Resolution # 89-16 Revised: Resolution # 04-043 5. Chapter 5: Disciplinary Procedures Resolution # 89-16 6. Chapter 6: Employee Benefits Resolution # 89-16 Revised: Resolution # 99-56 Revised: Resolution # 99-80 Revised: Resolution # 0 1-072 Revised: Resolution # 03-043 Revised: Shana Yelverton, Sept., 1 , 2009 7. Chapter 7: Safety Resolution # 89-16 8. Employee Grievance & Appeal Policy Shana Yelverton, February, 1 , 2011 9. Tuition Reimbursement Resolution # 89-16 10. Criminal History Checks Shana Yelverton, November 19, 1997 11 . Nepotism Policy Resolution # 99-80 12. Uniform/Dress Code/Grooming Resolution # 00-31 13. Tobacco Use Policy Resolution # 00-16 14. Mobile Telephone Use Shana Yelverton, December 3, 1998 15. FMLA Leave Resolution # 00-63 Revised: January 16, 2009 16. Wage Continuation Resolution # 00-72 17. Technology Policy Resolution # 00-97 18. Travel Policy City Council, November 17, 2015 19. Drug Free Workplace Agenda Item # 5F; 08/06/91 20. Drug & Alcohol Testing for DOT Resolution # 00-81 21 . Code of Ethics and Conducts Ordinance # 635 Revised: June 6, 2006 Revised: October 2, 2007 Revised: November 3, 2015 22. Employee Business Code of Conduct Resolution # 06-029 23. Media Relations Policy Resolution # 02-049 24. Interim Status Pay Policy Resolution # 03-023 Revised: Resolution # 07-014 25. ADA Accommodation and Return to Work Billy Campbell, July 1 , 2003 Procedure 26. Reduced Work Schedule Resolution # 03-038 27. Health Insurance Portability and Resolution # 04-020 Accountability Act (HIPPA) Privacy Policy 28. Workplace Conduct Policy Resolution # 04-071 29. Modified Duty Assignments Resolution # 07-014 30. Employee Standards of Conduct- Fraud Shana Yelverton, April 15, 2008 31 . Alternate Work Schedule Shana Yelverton, September 8, 2008 32. Breastfeeding Support Policy Shana Yelverton, September 1 , 2015 City of Southlake, Texas M E M O R A N D U M ' September 20 , 1990 TO : All City of Southlake Employees We are members of a unique organization . Few private companies , if any, can equal any level of government in diversity of activities , and municipal government provides more essential services to daily life than any other level of government. we are a public service organization . As municipal employees , we have an opportunity to make a meaningful, contribution to society. We are participants in shaping the world' we live in. What we do can have a significant impact on the daily lives of others . The quality of life in the City of Southlake is determined by the contribution of the citizens , elected and appointed officials , and' we City employees working together in partnership. The measure of the City, is the measure of us . Each one of us is the City. We are what makes the difference between a typical government organization and an excellent one . We recognize that our organizational values will make the difference. We support City policy, and in so doing we uphold the principles of the democratic process and the American Ideal . We do right by people , treating Citizens and fellow employees with fairness , respect, and human dignity. We are cost--conscious , recognizing .that the public• we serve expects us to spend their dollars effectively. We seek accomplishments ,, to provide the level of service the public desires . We are proud of the City of Southlake . Through teamwork and dedication we will do our .part to make Southlake the City of the ` 90s in North Central Texas . Curtis h �k City Manager City of Southfake, Texas EQUAL EMPLOYMENT OPPORTUNITY POLICY STATEMENT Statement of policv It is the policy of the City of Southlake , Texas , to : - recruit , employ , promote , provide compensation and other employment benefits., and set conditions of employment without regard to race , color , religion , sex , age , or national origin, and to • provide productive employment opportunities for the handicapped by whenever possible placing such individuals in positions where their abilities can be effectively utilized; make all personnel decisions on the basis of bona fide occupational qualifications; monitor and regularly review its employment _practices to assure that ' established personnel policies , procedures , or rules do not unlawfully discriminate against any individual or protected group. Application of Policy This policy shall be uniformly applied at all levels of operation in every work unit of the City. EEO Coordinator The City Manager , Curtis E . Hawk, shall be the designated EEO. Coordinator . EEO Complaint Procedure The City has developed an EEO Complaint Procedure for resolving employee . complaints alleging unlawful employment discrimination . This procedure is separate from any other complaint and grievance procedure . Employees who feel they have been discriminated against in their employment or conditions of employment solely because of age, sex , race , religion , national origin , or handicap condition shall have the right to file an EEO complaint with the City Manager. G Fick s , Mayor COMMUNITY PROFILE Southlake is located in northeast Tarrant County , bounded on the east by the City, of Grapevine , on the south byCo.11,evville, on the west by Keller and the towns of Trophy Club a.nd Westlake , and by Grapevine Lake on the north . Southlake is approximLtely 20 miles from the downtowns .of Dallas and Fort Worth , only five minutes ffom DIFW Airport , and only a few minutes more from the new Alliance Airport . The land area is approximately 23 square miles . The City of Southlake is a home rule , Council-Manager government, with a mayor and five Councilmembers elected at-large to staggered terms . The area around Southlake is the site of the first permanent settlement in Tarrant County . The first Anglo-American pioneers arrived in 1845 , and started the Lonesome Dove settlement. A year later , they organized the Lonesome Dove Baptist Church, and according to one historian , " . . .not a Protestant church stood between the Lonesome Dove Church and the Pacific ocean. " Today, more than 140 years later, the church still meets on it original site in present-day Southlake . Throughout its first 1.00 years , the Southlake area was sparsely settled by farming families . in the 1950s , it began experiencing moderate growth, spurred by the completion of Grapevine Lake by the S . Army Corps of Engineers in 1952 , and by its proximity to the post-World War 12 growth of neighboring Dallas and Fort Worth. The Town of Southlake was incorporated under the general laws of the state in 1956; the town became a city in 1965; and Southlake became a Home Rule Charter city in 1987 . Today, the area around the little settlement of Lonesome Dove has emerged .as the City of Southlake , one of the fastest growing cities - in Texas let alone the Dallas/Fort Worth metroplex. It has posted a 9 . 97 percent compound growth rate for the decade of the 180s , the second highest in Tarrant County . our population has increased from 2, 808 in 1980 , to a 1990 population estimated by the U. S . Census Bureau to be approximately 7 , 050 . The number of households has also increased significantly from 983 in 1960 , to 2 , 445 in 1990 . Growth has been slow in Southlake due to the lack of municipal sewers . With the availability of sewer through contracts with the Trinity River Authority , significant growth demand is anticipated . The City has taken steps to put in place the necessary controls to assure quality, responsible growth , both residential and commercial. City of Southlake CHAPTER 1 PURPOSE OF PERSONNEL POLICIES Section 1: Purpose of Personnel Policies The purpose of these Personnel Policies is to provide for the proper administration of the affairs of the City; to provide a reference for employees about what is expected of the employee, and what the employee can expect from the City as an employer. Section 2: Role of City EmplQyee The purpose of City government is to serve the community. Employees of the City are public employees, subject to public scrutiny, with a responsibility to the people of Southlake. The quality of service provided by the City to the people of Southlake depends upon the quality of the City's work force. Thus, the strength and future of the community depends in a large part upon employee contributions, that is, employee conduct on the job, and the way employees perform their duties. Indeed, contacts which employees may have with the public are oftentimes the only basis on which the City government is judged. Section 3: Applicabilily These Policies shall apply to all employees. All employees are charged with the responsibility of being thoroughly familiar with all provisions of these Policies. Department heads may initiate rules which apply to their operations as long as they are approved by the City Manager and are not in conflict with these policies, or other established rules, regulations, procedures, and policies. Section 4: Employment Polic It is the policy of the City to recruit, select, compensate, provide benefits and conditions of employment, and promote employees solely on the basis of qualifications and merit, and to prohibit unlawful employment discrimination based upon age, race, color, religion, sex, national origin, or political afliations. It is also the policy of the City to provide productive employment opportunities for the handicapped by placing such individuals in positions where their abilities can be effectively utilized. Section 5: Authorily and Res onsibili With the exception of matters reserved to the City Council, the general and final authority for personnel administration rests with the City Manager. The City Manager may make changes in the format of these Policies as may be necessitated for clarification or proper administration. The City Manager may change or attend the provisions of these Policies as deemed necessary for the proper administration of the affairs of the City, subject to the approval of the City Council. The interpretation of these Policies is reserved to the City Manager. 1-1 Chapter 1 —Purpose of Personnel Policies Each department head is responsible for enforcing the provisions of these Policies. City employees are responsible for complying with and adhering to these Policies, all rules of their department and to the directions provided by departmental management in the fulfillment of these Policies, and all other City rules, policies, ordinances, the City Charter, and the laws of the State of Texas and the United States. Section 6: Date of Adoption These policies are adopted and effective immediately upon approval by the City Council. PASSED AND APPROVED THE 2I T DAY OF FEBRUARY, 1989, RESOLUTION 89-16 1-2 City of Southlake CHAPTER 2 DEFINITIONS The words and terms used in these Policies shall have the meaning indicated as follows unless the context clearly indicates otherwise: ADDRESS — The street and number of a residence and the post office box mailing address, if applicable. ANNIVERSARY DATE -- The month and date at which one (1) year or additional year of employment with the City is attained by an employee. CITY- The City of Southlake, Texas. CLASSIFICATION---All jobs, regardless of departmental location, that are sufficiently alike in duties and responsibilities to: (1) be called by the same descriptive title; (2) be accorded the same pay scale under like conditions; and (3) require substantially the same education, experience and skills. COMPENSATORY TIME--Time off in lieu of monetary overtime compensation. DEMOTION—An assignment of an employee from a position in one classification to a position in another classification having a lower salary and/or less job responsibilities. DEPARTMENT — A major functional unit of City government established as an administrative department by the City Chamber or by Ordinance of the City Council. DEPARTMENT BEAD or DEPARTMENT DIRECTOR—Any person appointed by the City Manager who is responsible for the administration of an administrative department of the City. EMPLOYEE -Any person employed and paid a salary or wages by the City, and includes a person employed on a temporary or part-tune basis, but does not include an independent contractor, or member of the City Council. EXEMPT EMPLOYEE -- Any employee who occupies an executive, administrative, professional, or certain seasonal positions, as defined by the Fair Labor Standards Act(FLSA). GRADE--A division of a salary and classification schedule with specified rates and/or ranges of pay into which a job is classified according to the level of difficulty and responsibility. 2-1 Chapter 2-Definitions HOURS WORKED—In general, all time that an employee is required to be on duty and all time during which the employee is working "on-the-job" for the City. Hours paid but not worked (vacation, sick, military, etc.), except holidays, will not be counted as hours worked toward overtime eligibility. IMMEDIATE FAMILY — The husband, wife, son, daughter, father, mother, father-in-law, mother-in-law, brother or sister, grandfather, grandmother or grandchildren or any other relative of an employee, who may be residing in the same household with the employee. INDEPENDENT CONTRACTOR—A private employer or an individual that has contracted to perform a service for the City. JOB — A collection of tasks, duties, and responsibilities regularly assigned to and performed by an individual or individuals when the magnitude of the job is such that it cannot be performed by one person. The term "position" is synonymous with "job" when it can be performed by one person. LAYOFF—A separation from City service because of a shortage of funds or materials, abolition of a position, or other reasons necessary for the proper administration of the affairs of the City as determined by the City Manager, and not reflecting discredit upon the employee. LEAVE WITH PAY — An authorized temporary absence with pay, for administrative reasons, not charged to any other authorized leave such as vacation, sick leave, holiday, etc. LEAVE WITHOUT PAY—An authorized temporary absence without pay. MILITARY LEAVE--Any authorized absence of an employee for active duty or training in the United States armed forces including the reserves and National Guard. MONTH—One (I) calendar month. NONEXEMPT EMPLOYEE — Any employee who does not occupy an executive, administrative, or professional position, as defined by the Fair Labor Standards Act. OVERTIME — Any authorized time worked by a nonexempt employee which exceeds that employee's scheduled work time during the workweek. PART-TIME EMPLOYEE — Any employee scheduled to work less than thirty (30) hours per week. PHYSICIAN—Any physician licensed by the Texas State Board of Medical Examiners. PRORATION --A period required to be worked in a position before a nonexempt employee will acquire regular employee status. 2-2 Chapter 2-Definitions PROMOTION — An assignment of an employee from a position in one classification to a position in another classification having a higher salary and/or:increased job responsibilities. REGULAR EMPLOYEE — Any employee working full-time and who has satisfactorily completed his or her probationary period,who is not appointed as a temporary employee. RESIDENCE—The actual place of abode of an employee. RETIREMENT DATE — The first day an eligible employee becomes entitled to receive retirement benefits. SEPARATION—Cessation of employment with the City. SUPERVISOR--Any person responsible to a superior for-directing the work of others. SUSPENSION—An involuntary discontinuance of pay and performance of work for a specified period of time. TEMPORARY EMPLOYEE—Any employee appointed to any of the following: 1. an assignment or job scheduled to last less than seven(7) months; 2. a cooperative work-study program with an educational institution; 3. a seasonal position, in an assignment that does not last for more than seven (7) months; 4. a position which, by City policy and practice, is intended as a trainee position as provided under the FLEA. TERMINATION—Cessation of employment with the City. TRANSFER — Any change of an employee from one position to another position, but which does not result in either promotion or demotion. VOLUNTEER--A person who performs without compensation, services for the City. WORK DAY or WORKING DAY — Any one shift during which a department is open for business or on which an employee is scheduled to work. WORK DAY SHIFT—Shift or shift hours to be established by the Department Director. WORK WEEK— The number of hours regularly scheduled to be worked during any seven (7) consecutive day period. 2-3 City of Southlake CHAPTER 3 PROBATION Section l: Probationary Period Employees, with the exception of fire and police uniformed personnel, selected for appointment to a regular employee position, either entry level or promotional, shall be required to serve a probationary period of six (6) months. Fire fighters and police officers shall be required to serve a probationary period of twelve (12) months. The probationary period allows time for supervisors to closely observe and evaluate the work of probationary employees and to aid and encourage them in adjusting to the job. Section 2: Review of Work During the probationary period, the probationary employee's work unit supervisor is responsible for reviewing the quality and efficiency of the employee's work. A. The supervisor of a probationary employee shall submit to the department head a written statement of evaluation concerning the work performance of the employee at the end of each three (3) months period of probation. The department head shall forward the evaluation to the City Manager within five (5) days of receipt. B. The Department Head of each probationary employee shall submit a final evaluation of the employee, and a Personnel Action Form, to the City Manager two (2) weeks before the employee's probation period ends, recommending whether the employee should: be hired as a regular employee; be dismissed; or, have the probationary period extended. C. The evaluations and the Personnel Action Form at the end of the probationary period will explain the reasons for the supervisor's evaluation and recommendation, and will be placed in the employee's permanent personnel file. Section 3: Application Procedures for evaluation of probationary employees apply to both new hires and employees who are promoted, transferred, or demoted. Section 4: Removal of Probation No regular employee appointment shall be made until satisfactory completion of the probationary period. 3-1 Chapter 3—Probation Section 5: Right to Revert An employee promoted to a new position whose work has not been satisfactory during the probationary period may, with the approval of the department head, revert back to the employee's former job position,providing a vacancy exists for the position. Section 6: Right of ApWpe l A. An initial hire employee who has been dismissed from City service for failure to successfully complete probation shall not have the right to appeal, except as provided under the unlawful discrimination complaint procedures as set out in the City's Complaint and Grievance Procedure. B. Regular employees who have been recommended for termination for failure to successfully complete probation have the right of appeal as set out in the City's Complaint and Grievance Procedure. Section 7: Effect of Probationary Period The successful completion of the probationary period, and the existence of and access to the appeal procedure shall not constitute any limitation on the rights of the City of Southlake to manage its affairs. All employees hold their positions at the will and pleasure of the City and such positions may be terminated or otherwise adversely affected with or without cause, when in the opinion of the City Manager such action is in the best interest of the City. 3-2 City of Southlake CHAPTER 4 WAGE AND SALARY ADMINMSTRATION Section I: CIassification and Compensation Plan A classification and compensation plan shall be prepared annually by the City Manager and submitted to the City Council for approval as part of the annual budget. Section 2: Salary Rates In order to keep City salary rates current, uniform and equitable, the City Manager or the City Manager's designee may prepare an annual analysis of prevailing salaries for similar positions in the City and the City's competitive labor market, taking into account the variables which may be pertinent in establishing salaries or recommending changes to existing salary rates. The City Manager or the City Manager's designee may recommend whatever adjustments or revisions, including cost-of-living adjustments that in their opinion may be necessary in order to maintain both the internal and external integrity of the salary rate structure. Section 3: Salary Increases Eligibility for salary increases is dependent upon both job and performance. Salary increases are not automatic, but rather must be earned. Salary increases for each regular employee shall be considered and reviewed,taking into account the factors indicated in Section 2 of this chapter, on the anniversary date of an employee's date of hire. Section 4: Salary Reduction Department heads, with the approval of the City Manager, may reduce the salary of any employee under their control at any time when they deem it necessary for the proper administration of the affairs of the City. Such decisions which affect regular employees are subject to appeal through the City's complaint and grievance procedure. Section 5: Total Remuneration No employee shall be paid at a base rate more than the maximum for a position's classification. Budgeted salaries shall be considered maximum salaries. 4-1 U Chapter 4—Wa-e and Salary Administration Revised: Resolution No.03-043 Effective: October 1,2003 Wt' Section 6: Oriinal_Appointment The minimum rate of salary for a classification normally shall be paid upon original appointment. However, with the approval of the City Manager, a new employee may be started above the minimum rate of salary for a classification based upon circumstances such as experience, unique skills or other factors deemed important by management. After the probationary period, if merited, the salary may be raised, not to exceed the maximum allocated for the position, as listed in the current budget. Section 7: Compensation of Temporary and Part-Time Employees An employee who regularly works less than the established hours of employment for each month may be paid by the hour or pursuant to a wage scale proportional to the amount of time worked. The salary rate or hourly pay must be set by the City Manager or the City Manager's designee. Section S: Overtime A. Employees may from time to time be required to work hours in excess of their official hours, when determined necessary by departmental management. Specific extra work assignments shall be rotated and allocated as evenly as possible among employees qualified to do the work. Employees are expected to respond to a reasonable request to work extra hours and may be subject to disciplinary action for failure to stay or report for such hours. B. Regular, probationary, part-time and temporary nonexempt employees shall receive overtime compensation. Employees in positions that meet the executive, administrative or professional exemption tests in the Fair Labor Standards Act (FLSA) regulations are not eligible for overtime compensation. C. The City Manager or City Manager's designee is responsible for determining the exempt/nonexempt status of positions in accordance with guidelines established by the federal government applicable to the Fair Labor Standards Act. D. overtime shall be paid to nonexempt employees at one and one-half(1-112) times the regular rate of pay for hours worked over forty (40) hours in the work week. Hours worked is defined as those actually worked, and/or holiday hours, on behalf of the employer excluding paid sick leave and other paid time off other than holiday hours. E. Nonexempt employees performing work at any time other than authorized working hours is strictly forbidden unless authorized in writing by the employee's supervisor. Prior to working on such occasions, employees must check with their supervisors to make certain that overtime is or will be authorized. F. Compensatory Time Off in Lieu of Overtime: 4-2 Chapter 4—Wage and Salary Administration Revised:Resolution No.03-043 Effective: October 1,2003 (1) A nonexempt employee may request from his or her supervisor, that the employee be given compensatory time off in lieu of monetary overtime pay. Compensatory time is accrued at the rate of one and one-half(1-112)hours comp time for each hour of overtime worked. (2) Whenever possible, compensatory time off should be taken by the employee during the pay period in which it accrues or the following pay period. Use of compensatory time off is subject to approval of the employee's supervisor. (3) Employees may accrue a maximum of 48 hours in compensatory time off. All other overtime worked shall be paid in wages. Section 9: On-Call and Call Backs A. On-call is all time after regularly scheduled working hours when a nonexempt employee is designated to be available for call-back. The employee is free to pursue personal activities but must respond to summons within designated guidelines set by the department head. Employees are expected to accept assignments by the supervisors to be on-call. B. A nonexempt employee will be considered to be officially scheduled and designated as on-call when on-call need has been identified by the department head, and instructions have been communicated by the department head to the employees concerned. Call-back procedures shall be established for each department by the department head, subject to approval by the City Manager. Section 10: Method of Payment Salaries shall be paid in twenty-six (26) pay periods for regular employees and twenty-four(24) pay periods for Fire Services employees. Checks will be released to employees on Fridays on a biweekly basis for regular employees and semi-monthly basis for Fire Services employees. If a scheduled payday falls on a holiday,paychecks will be issued the day proceeding the holiday. Section 11: Terminal Pay. All employees who leave the service of the City for any reason shall receive all pay which may be due them with the following qualifications: A. Only regular employees who have completed twelve months of continuous employment shall be paid for unused vacation time, not to exceed 240 hours (360 hours for fire shift personnel); B. Any indebtedness to the City, which the employee may have incurred, shall be deducted from the final paycheck. C. With the approval of the City Manager, employees who have completed twenty (20) or more years of continuous service with the City of Southlake and separate 4-3 Chapter 4—Wage and Salary Administration Revised:Resolution No.03-043 Effective:October I,2003 from City employment for any reason except by involuntary termination, or who retire from City employment under the City's retirement program with at least ten (10) or more years of continuous service with the City of Southlake, shall be paid for accumulated sick leave upon retirement or separation. Such payment shall not exceed an amount equivalent to four hundred (400) hours of leave time. Section 12: Advance Pav No full or partial advance payment of salary will be made to any employee. Section 13: Payroll Records All department heads are required to furnish the City Manager an accurate payroll report of all employees. The payroll report submitted by each department head should reflect the pay status for each employee in the department on each day during the payroll period. The City Manager shall review all payroll reports and status papers and, if approved, shall submit them for the issuance of salary paychecks. Section 14: Credit Union All employees are eligible to become members of an employee credit union. As a credit union member, employees may elect to have savings deducted from their paychecks. Section 15: Deferred Compensation Consistent with federal and/or state laws, the City may offer employees the option of deferring compensation and thereby reduce an individual employee's income tax liability. The City Manager or the City Manager's designee shall administer any deferred compensation programs and may promulgate any necessary rules and regulations. Section 16: Retirement The City of Southlake is a member of the Texas Municipal Retirement System. The purpose of the Texas Municipal Retirement System is to provide a dependable plan for the retirement of employees of Texas municipalities. All eligible employees are required to become a member of the TMRS. 4-4 City of Southlake CHAPTER S DISCIPLINARY PROCEDURES Sections 1: Purpose The purpose of the standard disciplinary procedure is to provide a certain consistency by applying similar penalties for similar offenses and thereby avoiding favoritism of one person over another. However, supervisors have the discretion to take circumstances into account when taking disciplinary action. Department heads and work unit supervisors have the responsibility and the authority to instruct, correct, reprimand, suspend, and recommend termination of employees who misbehave or perform their work in an unsatisfactory manner. An employee who violates established City and departmental rules, policies, procedures, or a code of conduct is subject to disciplinary action. Section 2: Types of Action Action to correct or reprimand may be in the form of verbal warning, written warning, demotion, reduction in pay, disciplinary layoff, and suspension with or without pay, and termination. Section 3: Procedures for Reprimands and Terminations A. Written reprimands must be signed by the supervisor and should be signed by the affected employee. The original goes to the employee and a copy to the Personnel Files. B. The approval of the City Manager is required to terminate an employee. Should the department head become convinced that termination of an employee is necessary; the department head shall confer with the City Manager prior to initiating discharge action. C. Any disciplinary action, with the exception of an oral reprimand, shall be presented in written form to the employee specifying: 1. The type of disciplinary action taken, i.e., written reprimands, suspension, demotion, or discharge; 2. Specifics concerning the policy(s) violated and the incident(s) causing the action; 3. The employee's right to appeal to a specific office within a specified time; and 5-1 Chapter 5—Disciplinary Procedures 4. The finality of the action if the employee fails to appeal within the specified time. D. Errors or defects in the form or preparation of written notices of disciplinary action shall not nullify the action. Section 4: Possible Reasons for Action Disciplinary action will be undertaken whenever deemed necessary for the proper administration of the City. Employees are subject to disciplinary action including termination for conduct detrimental to the efficiency of City service, including, but not limited to: • Sexual harassment; • Insubordination--including refusal or failure to perform assigned work or refusal or failure to report to work after being notified by the employee's immediate supervisor(or higher management) to so perform or report; • Willful discourtesy to the public while in the line of duty; • Absence from duty without notice to and permission from the immediate supervisor except in circumstances beyond control which prevent giving notice; • Violating safety policies or conduct creating a safety hazard; • Neglect or carelessness resulting in personal injury or damage to the City's property or equipment; • Fighting or horseplay; • Sleeping on duty; • Willful destruction of City property or equipment; • Theft of City property; • Failing to consent to a search request; • Refusal to cooperate in an official investigation of a violation of a city, state, or federal law, rule, regulation, or policy; • The illegal use or possession of any controlled substance, narcotic or drug, or the use of intoxicating liquors, while in City uniform or on City property; • Reporting to work under the influence of liquor and/or drugs; • Repeated incompetence or inefficiency in the performance of duties; • Accumulating more than two written warnings during a twelve (12) month period, or three in five years; • Violation of the Personnel Policies or other rules and regulations of the City or department; • Falsifying personnel records or any other City records; • Disclosing confidential information; • Repeated abuse of sick leave; • Unacceptable conduct as set out in the Personnel Policies or other City and departmental rules and regulations or any conduct prejudicial to good order. 5-2 Chapter 5—Disciplinary Procedures Section 5: Type of Disciplinary Action In making a decision as to what discipline should be recommended, the supervisor should consider such factors as the type and severity of the offense or offenses, the employee's work record, and any mitigating circumstances, which may be relative to the situation. Disciplinary action should be taken only after consideration of: • How serious was the offense? • How often has the employee misbehaved in the past? • What is the employee's entire previous record? • What is necessary to correct the employee's behavior? • Is the employee unable or unwilling to behave or do satisfactory work? • Impact of employee's behavior on work force. Section 6: Pending Investigations When an employee is suspected of a violation of a city, state or federal law, rule, regulation or policy, which, if proven, would justify disciplinary action, but an investigation determining the exact nature and extent of the violation is in progress or incomplete, the employee may be administratively placed on leave with or without pay pending the outcome of the investigation and/or the imposition of disciplinary action, whenever deemed appropriate by the City Manager. Section 7: Procedures to Appeal Disciplinary Actions A. Any employee dissatisfied with any disciplinary action by that employee may file and appeal under the provisions of the City's complaint and Grievance Procedure. All appeals must be filed in a timely fashion or the disciplinary action will be deemed final. B. Any written appeal must contain the following information: 1. the type of disciplinary action being appealed and the effective date of the action; 2. the specific reason the discipline is judged to be unjust or otherwise in error; 3. the remedy or solution sought; and 4. the signature of the disciplined employee. C. Errors or defects in the form or preparation of written appeals of disciplinary action shall not nullify the appeal S-3 Chapter S—Disciplinary Procedures D. Employees in any position filled by the City Council or the City Manager have no appeal rights under this section. 5-4 City of Southlake CHAPTER 6 EMPLOYEE BENEFITS Section 1: Holidays A. Paid holidays are extended to every regular employee. Every other employee is extended the official holiday, without pay. B. The following official holidays will be observed: 1. New Years Day(January 1); 2. Martin Luther King, Jr. Day(third Monday in January); 3. Good Friday (Friday before Easter); 4. Memorial Day (last Monday in May); 5. Independence Day(July 4); 6. Labor Day / September 11 (observed) for Fire personnel (first Monday in September); 7. Thanksgiving Day (fourth Thursday in November); 8. Day after Thanksgiving (fourth Friday in November); 9. Christmas Eve (December 24); and 10. Christmas Day(December 25). C. When an official holiday falls on a weekend, the following alternative schedule applies: 1. A holiday which falls on a Saturday will be taken on the Friday before the holiday; and 2. A holiday which falls on a Sunday will be taken on the Monday after the holiday. D. A regular full-time employee shall receive holiday pay equivalent to a standard eight (8) hour workday, unless the employee is on a reduced work schedule as provided for in the Reduced Work Schedule policy, in which case, the Reduced Work Schedule policy applies. E. In a department in which employees regularly work on holidays, the department head shall arrange schedules to allow each employee who works on a holiday a substitute holiday either before or after the holiday, but within a reasonable period of time. F. An employee will not receive pay for a holiday if he or she is: 6-1 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 1. Absent without leave either the day before or the day following an official holiday; or 2. Absent without leave on a holiday on which the employee is normally scheduled to work. G. An official holiday occurring while vacation leave or sick leave is being taken will be reflected as a holiday on the payroll and no deduction from the vacation or sick leave balance will be made for the holiday. H. An employee on military leave, court leave, or death-in-family leave when a holiday occurs may take the holiday at a subsequent date convenient to his or her department. L Since final settlement of monies due an employee separated from the payroll because of death or termination for cause is paid in a lump sum, no holiday occurring after the date of death or termination will be included in the determination of the settlement. Section 2: Vacation Leave A. Employees with the exception of those appointed to part time or temporary positions accrue vacation leave during their first year of employment, but vacation leave may not be used until twelve months of continuous service is completed. Vacation leave does not vest until the completion of twelve months continuous service. Vacation leave is forfeited if employment is terminated before completion of twelve months continuous service. B. A person reappointed to a position accrues vacation leave at a rate determined by the number of years of continuous full-time service and may both accrue and use vacation leave during his or her probation after reappointment. C. Employees in regular positions shall receive vacation leave at the following rates: 1. After twelve (12) months of continuous employment, 80 hours (2 weeks) of annual vacation leave, accrued at the rate of 3.08 hours per pay period for all employees with the exception of those that work 24 hours on and 48 hours off (2912 employees). After twelve (12) months of continuous employment, 2912 employees will earn 120 hours (2 weeks) accrued at the rate of 5 hours per pay period. 2. After five (5) years of continuous employment, 120 hours (3 weeks) of annual vacation leave, accrued at the rate of 4.62 hours per pay period with the exception of 2912 employees. After five (5)years of continuous employment, 2912 employees will earn 180 hours (3 weeks) at the rate of 7.5 hours per pay period. 3. After ten (10) years of continuous employment, 184 hours (4 weeks, 3 days) of annual vacation leave, accrued at the rate of 7.08 hours per pay period with 6-2 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 the exception of 2912 employees. After ten (10) years of continuous employment, 2912 employees will earn 264 hours (4 weeks, 3 days) accrued at the rate of I I hours per pay period. 4. After twenty (20) years of continuous employment, 208 hours (5 weeks, 1 day) of annual vacation leave, accrued at the rate of 8.00 hours per pay period with the exception of 2912 employees. After twenty (20) years of continuous employment, 2912 employees will earn 288 hours (5 weeks, I day) accrued at the rate of 12 hours per pay period. All vacation leave accrual rates shall be based upon the employee's anniversary date. D. Vacation Leave Balances 1. Except as set forth in paragraph D(2), regular employees shall not be permitted to accrue more than two hundred forty (240) hours of vacation leave at any time. Vacation leave will cease to accrue when a regular employee's vacation leave balance reaches two hundred forty (240)hours. 2. Fire shift personnel (2912 employees) shall not be permitted to accrue more than three hundred sixty (360) hours of vacation leave at any time. Vacation leave will cease to accrue when a fire shift employee's vacation leave balance reaches three hundred sixty(360)hours. E. Requests for vacation leave are subject to approval by an employee's department head prior to the request being granted. Vacation requests by department heads are subject to the approval of the City Manager. A department head shall schedule an employee's vacation giving consideration to the ability of the remaining staff to perform the work of the department. The employee has the responsibility to assure that the leave request is made within a reasonable length of time prior to the commencement of the leave. F. Upon termination of service, a regular employee who has completed twelve (12) months of continuous employment will be paid for any unused vacation time, not to exceed 240 hours (360 hours for fire shift personnel). G. An official holiday occurring during an employee's vacation will not be considered as vacation leave. H. Vacation leave cannot be taken in increments of less than four(4)hours. L Temporary and part-time employees are not eligible for vacation leave. J. An employee on disciplinary suspension forfeits all claims to use of vacation leave for the duration of the disciplinary suspension. In no case shall vacation 6-3 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 time be granted an employee during the course of a disciplinary suspension as a means to supplement pay lost as a result of the disciplinary suspension. K. Vacation leave shall not accrue during leave of absences without pay. Section 3: Sick Leave A. The intent of sick leave is to prevent loss of income to employees who are absent due to illness or injury, which is not job-related. B. Part time or temporary employees are not eligible for sick leave. C. With the exception of fire shift personnel, regular employees shall accrue sick leave at the rate of 3.08 hours per pay period (10 days per year), up to a maximum of 720 hours. Fire shift personnel shall accrue sick leave at the rate of 7.5 hours per pay period (7.5 shifts per year), up to a maximum of 720 hours. Sick leave accruals shall cease when an employee's sick leave balance reaches 720 hours. D. Sick leave shall not be granted in increments of less than two (2) hours without prior approval of the employee's department head. E. Sick leave may be allowed in case of doctor appointments, personal illness, physical incapacity of an employee, or when it is necessary to care for a family member residing in the employee's household who is ill or incapacitated. F. Whenever possible, notice of absence due to an illness, injury or other unexpected reason must be given by the employee to a supervisor within two (2) hours before starting time. The employee shall report on each succeeding day of absence. Failure to give notice may result in the employee being declared absent without leave and subject to disciplinary action. G. An employee may be required to furnish his or her supervisor or the City Manager with a statement from an attending licensed physician when: 1. there is reasonable cause to question the merits of an employee's claim that his or her absence was due to illness or injury of the employee or of a family member residing in the employee's household; or 2. the employee's safety or ability to work is in question; or 3. there is a question of sick leave abuse; or 4. the safety or efficiency of the work unit is in question, or 5. The employee has been absent from work for three (3) work days or longer. H. An employee who has been absent because of illness or injury may be required to submit to a physical examination by a licensed physician selected by the City. In 6-4 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 such cases, (1) The employee may return to work upon certification by the examining physician that the employee is physically or mentally fit to return to work. (2) If the employee is certified fit for limited or light duty, but not his or her regular duty, the employee may, at the discretion of the City, be required to report for light or limited duty. L An employee who is released by an examining physician to return to regular or light duty and refuses to report for work or perform his or her assigned duties is subject to disciplinary action, up to and including termination. J. Absences in excess of ninety (90) days will be evaluated and consequent action will be determined by the City Manager in consultation with the department. K. Sick leave will not be advanced, nor will sick leave accrue during leaves of absence without pay. L. Employees shall not be entitled to sick leave when absent from work due to illness or injury resulting from a job with another employer. M. Employees who are separated from City employment for any reason shall not be entitled to receive pay for accumulated sick leave, except that, an employee will be granted, upon retirement or separation, a lump sum payment of sick leave remaining to his or her credit in any amount that does not exceed four hundred (400)hours when he or she: 1. (a) retires from City employment under the City sponsored program and is immediately eligible to receive retirement payments; and (b) has at least ten (10) years of continuous employment with the City of Southlake; or 2. separates from employment for any reason except for involuntary termination, with twenty(20) or more years of continuous full-time service. Section 4: Death-in-Family Leave A. An allowance of up to five (5) working days, per incident, with pay may be extended to any employee when an employee's spouse, child(ren), or stepchildren die. B. An allowance of up to three (3) working days, per incident, with pay may be extended to any employee when a member of the employee's immediate family, other than those listed in section 6.4.A, dies. 6-5 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 Section 5: Court Leave A. Employees shall be granted court leave with pay, when summoned for jury duty or when appearing as a witness on behalf of the City or as a consequence of his or her official City duties. B. Employees must notify their supervisors upon receiving a summons for which court leave is requested, and shall submit appropriate documentation verifying the nature and duration of absence in order to receive court leave with pay. C. All fees paid and expenses reimbursed by the court may be retained by the employee, provided that the City did not furnish travel, meals, lodging or miscellaneous expenses and further, that the employee is not appearing as a witness on behalf of the City or is appearing as a consequence of his or her official City duties. Section 6: Leave without Pay A. Leave without pay is granted as a matter of administrative discretion. No employee may demand leave without pay as a matter of right, but it may be granted to any employee when deemed appropriate by the City Manager, including but not limited to the following reasons: 1. To participate in training that would result in increased job ability; 2. To achieve an educational level necessary to advancement in the City; 3. To perform a service that will contribute to the public welfare; 4. Authorized leave for family and medical reasons pursuant to the Family Medical Leave Act of 1993 and the City's FMLA Leave policy. B. An employee who requests and is granted an extended leave without pay shall have no guarantee of any particular job upon return to work, but shall be subject to the availability of the particular job. C. An employee granted leave without pay must physically return to work to retrieve sick leave credit, but will be paid for any vacation leave balance due if the employee terminates. Payment of the vacation leave balance will be at the pay rate in effect at the beginning of the leave without pay. Section 7: Family Medical Leave Eligible employees are authorized leave for family and medical reasons in accordance with the provisions of the Family Medical Leave Act of 1993, and as provided for in the City's FMLA Leave policy. Section 8: Voting 6-6 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 Employees are urged to register and to vote; however, regular employees should make every effort to vote outside of normal working hours or to vote absentee. Section 9: Military Leave Policy updated effective 9/30/2001 by Resolution Number 01-072 on 12/18/01 The following policy is the updated version. Military Leave I. Military Training Leave A. Eligibility A regular employee, who is a member of the National Guard or reserves of the United States armed forces shall, upon notification to the department head and submission of appropriate documentation, be granted leave for a period required to perform active duty for training. Temporary employees will be given authorized leave without pay for this purpose. B. Definition Active duty for training means to be engaged in short periods of authorized military training such as cruises, training schools, weekly or weekend drills, and other similar activities. C. Length of Leave In accordance with § 431.005, Texas Government Code, a regular employee engaged in authorized military training or duties will receive pay and accrue benefits as if the employee were on the job, for up to 15 work days (three calendar weeks) in any one year. D. Leave in excess of 15 days An employee eligible for military leave who is ordered or authorized to participate in training or other duty for more than 15 work days in one calendar year will be placed on leave without pay for any time in excess of 15 work days. 6-7 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 E. Notice to Department Head An employee shall give notice to his supervisor within 72 hours of receiving written or verbal military orders regarding dates for military training leave. Annual or quarterly training schedules should be given to the department head as the schedules become available to the employee. F. Rescheduled Work Days An employee who participates in weekend military training that occurs on a scheduled workday may reschedule a workday rather than have the absence charged to military leave, if the employee reschedules the workday within the same workweek. H. Military Active Duty Leave A. Active Duty 1. Eligibility A regular employee, who leaves a position with the City for the purpose of entering any branch of the United States armed forces for extended active duty, shall be placed in military active duty status and granted a leave of absence. The employee should give the department head advance notice of the employee's intent and, for reemployment purposes, submit a copy of the orders for inclusion in the employee's personnel record. 2. Length of Active Duty In accordance with § 4312, Title 38, United States Code, an employee may serve a total of five (5) years on active duty in the armed forces, (six (6)years for Navy Nuclear Program) and still be eligible for reemployment. An employee's right to reemployment is not protected for periods of military active duty longer than five (5)years (six (6)years for Navy Nuclear Program). 3. Reemployment A full-time employee who returns from active duty in the armed forces of the United States is entitled to reemployment in the same position held upon entrance to active duty, or in a position of comparable status and pay, if the employee: a. is physically and mentally qualified to perform the duties of the position; b. was discharged, separated, or released from military active duty under honorable or general conditions; 6-8 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 C. has not been on military active duty leave for more than five (5) years (six(6)years for Navy Nuclear Program); and d. makes a written application for reappointment after discharge, separation, or release from military active duty and presents evidence of the discharge, separation, or release from military active duty, according to the following time lines defined by the Uniformed Services Employment and Re-employment Rights Act (USERRA) 38 U.S.C. §§ 4301 through 4333: (1) Less than 31 days Active Duty: The employee must report to work at the next regular scheduled work period after a reasonable time to return home safely and an 8-hour rest period. (2) Between 30 to 181 days Active Duty: The employee must submit a written application within 14 days of release of service. (3) More than 181 days Active Duty: The employee must submit a written application within 90 days of release of service. B. Credit for Military Service A regular employee with the city upon reemployment from military active duty, will be allowed full credit for time spent in the military service for the purpose of computing seniority, vacation and sick leave, and service longevity. III. Military Partial Pay and Benefits A regular employee called to active duty in a reserve component of the armed forces will be granted leave and employee benefits in the following manner. A. Military Partial Pay defined Subject to funding availability, an employee will receive military partial pay for up to six (6) months beginning the first day on active military duty, only if the total monthly military salary is less than the total monthly city salary. If the total monthly military salary is greater than the employee's total monthly city salary, the employee may elect to use paid leave as described in section III B of this policy. Otherwise, military partial pay will be calculated as the difference between the employee's total monthly salary from the City at the time the employee was called to active duty and the employee's total monthly military salary during the first six (6) months of active military duty. At the end of the 6-9 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 first six (6) months, the City Manager may, for good cause, at his discretion extend the military partial pay period for an additional six (6) months. The employee must inform his/her supervisor of any changes in the employee's military pay while receiving military partial pay from the City. B. Use of other Paid Leave At the end of the six (6) month partial pay period, the employee may elect to use any accrued paid military training leave (defined in section L), and/or accumulated vacation and compensatory time leave balances. If the employee elects to use these leave balances, the leave must be taken in amounts consistent with the employee's regular work schedule with the City. For example, if the employee was regularly scheduled to work forty (40) hours per week for the City, the leave must be used at a rate of forty (40) hours per week. C. Insurance Benefits The City will continue to pay its portion of the employee's insurance benefits paid prior to the employee beginning active military duty, with the employee continuing to be financially responsible for the employee's portion of the premium for the selected coverage. Payment of insurance benefits will continue in this manner during the six (6) month military partial pay period, and may be continued an additional six (6) months if the military partial pay period is extended by the City Manager for an additional six (6) months. If the employee elects to use other accumulated paid leave immediately after the six (6) month partial pay period expires, insurance benefits will continue until all available paid leave has been exhausted. Upon exhaustion of paid leave, the employee may then elect to continue health insurance coverage for a maximum of eighteen (18) months at a cost to the employee of not more than 102% of the full premium under the City's plan. D. Non-Accrual of Additional Leave Paid leave will not continue to accrue while an employee is on a military leave of absence. Section 10: Worker's Compensation A. Any City employee becomes eligible for worker's compensation when injured in the scope of his or her employment for the City of Southlake. B. Texas state law prescribes that an employee will receive worker's compensation payments during the recovery and recuperation period. An injured employee is entitled to medical aid and hospital services which are required at the time of injury, and at any time thereafter, as may be necessary to cure and relieve the effects of the injury. 6-10 Chapter 6—Employee Benefits Revised:City Manager Effective: September 1,2009 C. The City Manager or designee is responsible for administering, pursuant to the requirements of state law, the City's worker's compensation program. Section 11: Bad Weather If weather conditions are such as to make travel conditions hazardous, the City Manager will make a determination whether City offices shall open late or be closed. The City Manager shall advise the dispatch office of this determination. This determination affects only nonessential personnel. For purposes of this section, all fire and police personnel are deemed essential employees as well as other emergency crews. In lieu of such emergency declaration, any staff member not reporting or reporting late to work may be charged with vacation leave, sick leave, or if such is not available, leave without pay. Section 12: Employee Assistance Program A. The City Manager may, if approved by the City Council, administer an employee assistance program to provide aid to employees in resolving problems that may affect job performance, attendance, and employee morale. Some of the broad categories that may be covered by this program are related to personal, family, marriage, legal, financial, drug and alcoholism problems. B. The City Manager or designee may promulgate rules and regulations necessary to implement any employee assistance program. 6-11 City of Southlake CHAPTER 7 SAFETY SECTION 1: Safety Responsibilily A. Department directors and division heads have the full authority to, and total responsibility for, maintaining safe and healthful working conditions within their area of jurisdiction, whether in the field or in the office. B. Supervisors of each work unit shall: a. Be responsible for safe and healthful working areas for employees under their direction or control; b. Be accountable for preventable accidents, injuries, and liabilities caused by employees under their direction or control. C. Department directors, division heads, and work units supervisors of each work unit are responsible for orienting all employees under their control on City safety procedures. D. All employees are required as a condition of employment to exercise due care in the course of their work. To prevent or minimize injuries to themselves and their co- workers, and to protect and conserve City equipment, each employee shall: a. Obey all safety rules and follow published work instructions; b. Report to immediate supervisor all unsafe conditions; c. Keep work areas clean and orderly at all times; d. Report all accidents immediately to the immediate supervisor; e. Operate only machines or equipment that he/she has been authorized to operate. E. Department directors, division heads, and work unit supervisors are required to consider and employee's safety record in the basic criteria used to evaluate the employee's performance. SECTION 2: On-the-Job_Injury and Accident Reports A. Employees are required to immediately report to their immediate supervisor all accident resulting in personal injury and/or damage to the City equipment, City vehicles, or any other property. B. Work unit supervisors must report all on-the-job injuries and accidents to their respective department head. C. Department heads must report all on-the-job injuries and accidents to the City Manager's Office as soon as possible so that the necessary reports can be properly processed. D. Specific reporting procedures shall be carried ou in the manner developed by the City Manager's Office. SECTION 3: Operation of Motorized Equipment 7-1 Chapter 7—Safety A. All employees who operate or drive a motorized vehicle owned or used by the City shall be responsible for the proper use and operation of the vehicle, and shall obey all City and State traffic laws and regulations. B. All operators of motorized vehicles shall report to their supervisors any defects that exist or may occur in their vehicle. 7-2 City of Southlake Personnel Policies Section: Rules and Regulations Topic: Employee Grievance & Appeal Policy Effective Date: February 1, 2011 Approyed By: Revision Date: N/A 1.0 Purpose To settle matters on as low an administrative level as possible, as soon as possible after the applicable event, and to discover, whenever possible, mutually satisfactory solutions to problems which arise. 2.0 Definitions 2.1 Grievance — An allegation that an employee's nonspecific employment conditions, rights, or benefits specifically provided by law, policy, personnel rule, or previous employer action (such as overtime pay, fringe benefits, or pay rate) has been adversely affected, denied or misapplied. 2.2 Disci lina A eal — The process for requesting a formal change to an official decision or disciplinary action. 2.3 Business Days — Monday through Friday, 8 a.m. to 5 p.m., excluding holidays. 2.4 Department Director —The Director of the department, Police Chief or Fire Chief. 2.5 Discipline Review Panel -- The Discipline Review Panel is comprised of the Human Resources Director, Assistant City Manager and Assistant City Manager/Director of Public Safety. 3.0 Probationary and Temporary Employees Probationary and temporary employees may use this procedure, except in cases involving their performance evaluation or termination of employment. However, in cases where the employee considers performance evaluation or termination of employment to be improperly based upon the employee's age, sex, race, Employee Grievance and Appeal Policy Effective: February 1, 2411 Page 2 of 13 religion, national origin, or handicap condition, the employee shall have the right to such relief pursuant to Section 4.0 below. 4.0 Unlawful Discrimination Grievance Any employee who feels that he or she has been unlawfully discriminated against in matters relating to working conditions of employment solely because of the employee's age, sex, race, religion, national origin or handicap condition shall have the right to file a Workplace Conduct Complaint directly with the Human Resources Department, as set out under the Workplace Conduct Complaint policy. 5.0 Freedom from Reprisal Employees wishing to file a grievance or disciplinary appeal under this procedure shall be assured of freedom from restraint, interference, or reprisal from their supervisors or other employees. 6.0 Grievance Policy In the interest of employee efficiency and morale, City employees shall have the opportunity to discuss grievances with their supervisor after decisions are made. 7.0 Grievance Procedure 7.1 Timely Initiation — Grievances shall be filed promptly after complained of events occur. Matters under this procedure must be presented to the Human Resources Department within five (5) business days from the occurrence of the challenged action, or from the time the employee first became aware (or with the exercise of reasonable diligence should have become aware) of its occurrence, in order to be considered. 7.2 Grievance Procedure — An employee shall, within five (5) business days of the date the incident occurred or from which he or she could have become knowledgeable of the incident, file the grievance with the Human Resources Department. If the grievance is against the Human Resources Director, the employee shall file the grievance with the Assistant City Manager. In presenting the grievance, the complainant must complete the Grievance Form which includes the following information: ■ The nature of the matter; ■ The act or acts of commission or omission out of which the dispute arose; ■ The exact date (if uncertain, the approximate date) of the act or acts of commission or omission; Employee Grievance and Appeal Policy Effective: February 1, 2011 Page 3 of 13 • The identity of the party or parties alleged to have caused the problem; and • The remedy which is sought. The Director of Human Resources, or his or her designee, shall be responsible for coordination of the grievance procedures and for the maintenance and control of grievance records. 7.3 Grievance Review Steps — Depending on the nature of the grievance filed, the Human Resources Director, or his or her designee, shall forward the grievance to the appropriate individual for review. 7.3.1 Within five (5) business days of receipt of the Grievance, the Department Director shall meet with the complainant to discuss the matter. Following that meeting, the Department Director shall thoroughly review and investigate by meeting with all other persons having any information on the matter. 7.3.2 The Department Director shall respond in writing to the complainant with his or her decision and/or action taken within ten (10) business days after meeting with the complainant. 7.3.3 If the Department Director's response is unsatisfactory, the complainant may file a written appeal to the Assistant City Manager within five (5) business days after receipt of the decision. The appeal shall be submitted to the Human Resources Department on the Grievance Form. The appeal shall state the basis for the appeal and resolution sought. The Human Resources Department shall notify the Assistant City Manager of the appeal. 7.3.4 The Assistant City Manager shall thoroughly review the original grievance, Department Director's response and complainant appeal and investigate as necessary. The Assistant City Manager shall respond to the employee in writing with his or her decision and/or action taken within ten (10) business days. The decision of the Assistant City Manager is final. 7.3.5 A copy of the grievance and the responses shall be maintained in the complainant's personnel file. 7.4 Extension of Deadline — The Director of Human Resources, Department Director, or Assistant City Manager may extend the Department Director or Assistant City Manager response deadline by notifying the employee in writing. Employee Grievance and Appeal Policy Effective: February 1, 2011 Page 4 of 13 8.0 Discipline Appeal_ Policy City employees dissatisfied with any disciplinary action that results in a written reprimand, suspension, demotion or termination of employment may file an appeal with the Human Resources Department. All appeals must be filed within five (5) business days of the disciplinary action or the disciplinary action will be deemed final. 9.0 Discipline Appeal Procedure 9.1 Timely Initiation — Discipline appeals must be presented in writing to the Human Resources Department within five (5) business days from the occurrence of the disciplinary action in order to be considered. 9.2 Disciplinary Appeal Procedure — An employee may, within five (5) business days of the disciplinary action, file an appeal with the Human Resources Department. In presenting the appeal, the employee shall complete the Discipline Appeal Form which includes the following information: ■ The type of disciplinary action being appealed and the effective date of the action; • The specific reason the discipline is judged to be unjust or otherwise in error; • The remedy or solution sought; and • The signature of the disciplined employee. The Director of Human Resources, or his or her designee, will be responsible for coordination of the discipline appeal procedures and for the maintenance and control of appeal records. 9.3 Appeal Review Steps — Depending on the type of disciplinary action appealed, the Director of Human Resources, or his or her designee, will forward the appeal to the appropriate individual for review. 9.3.1 Procedures to Appeal a Written Re rimand a) An employee who receives a written reprimand shall have the right to appeal that decision to the Department Director by filing a written appeal within five (5) business days with the Human Resources Department. In the event that the Department Director, Assistant City Manager or City Manager has issued the written reprimand, the action shall be final and non-appealable. b) Within five (5) business days of receipt of the Disciplinary Appeal, the Department Director shall meet with the employee Employee Grievance and Appeat Policy Effective: February 1, 2011 Page 5 of 13 to discuss the facts surrounding the disciplinary action. A careful review of the charges and evidence of the action and/or omission shall be conducted by the Department Director. c) The Department Director shall respond in writing to the employee with his or her decision and/or action taken within ten (10) business days after meeting with the employee. The Department Director may sustain, reverse, modify, or amend the action taken as he or she determines is appropriate given all the facts and circumstances of the case. The decision of the Department Director is final and non-appealable. d) A copy of the original disciplinary action, appeal and Department Director response shall be maintained in the employee's personnel file. 9.3.2 Procedures to Appeal a Suspension a) An employee who receives a suspension shall have the right to appeal that decision to the Department Director by filing a written appeal within five (5) business days with the Human Resources Department. In the event that the Department Director issued the suspension, the employee's appeal shall be heard by the Discipline Review Panel in accordance with Section 9.3.2 (e) below. b) Within five (5) business days of receipt of the Disciplinary Appeal, the Department Director shall meet with the employee to discuss the facts surrounding the disciplinary action. A careful review of the charges and evidence of the action and/or omission shall be conducted by the manager. c) The Department Director shall respond in writing to the employee with his or her decision and/or action taken within ten (10) business days after meeting with the employee. The manager may sustain, reverse, modify, or amend the action taken as he or she determines is appropriate given all the facts and circumstances of the case. d) If the Department Director's response is unsatisfactory, the complainant may file a written appeal to the Discipline Review Panel within five (5) business days after receipt of the decision. The appeal shall be submitted to the Human Resources department on the Discipline Appeal Form. The appeal shall state the basis for the appeal and resolution sought. The Employee Grievance and Appeal Policy Effective: February 1, 2011 Page 6 of 13 Human Resources Department shall notify the Discipline Review Panel of the appeal. e) Within ten (1 D) business days of receipt of the Disciplinary Appeal, the Panel shall meet with the employee to discuss the facts surrounding the disciplinary action. A careful review of the charges and evidence of the action and/or omission shall be conducted by the Panel. f) The Panel shall respond in writing to the employee with its decision and/or action taken within ten (14) business days after meeting with the employee. The Panel may sustain, reverse, modify, or amend the action taken as it determines is appropriate given all the facts and circumstances of the case. The decision of the Panel is final and non-appealable. g) A copy of the original disciplinary action, appeal and responses shall be maintained in the employee's personnel file. 9.3.3 Procedures to Appeal a Demotion a) An employee who receives a demotion shall have the right to appeal that decision to the Department Director by filing a written appeal within five (5) business days with the Human Resources Department. In the event that the Department Director issued the demotion, the employee's appeal shall be heard by the Discipline Review Panel in accordance with Section 9.3.3 (e) below. b) Within five (5) business days of receipt of the Disciplinary Appeal, the Department Director shall meet with the employee to discuss the facts surrounding the disciplinary action. A careful review of the charges and evidence of the action and/or omission shall be conducted by the manager. c) The Department Director shall respond in writing to the employee with his or her decision and/or action taken within ten (1 Q) business days after meeting with the employee. The manager may sustain, reverse, modify, or amend the action taken as he or she determines is appropriate given all the facts and circumstances of the case. d) If the Department Director's response is unsatisfactory, the complainant may file a written appeal to the Discipline Review Panel within five (5) business days after receipt of the decision. The appeal shall be submitted to the Human Resources Employee Grievance and Appeal Policy Effective: February 1, 2011 Page 7 of 13 department on the Discipline Appeal Form. The appeal shall state the basis for the appeal and resolution sought. Human Resources shall notify the Discipline Review Panel of the appeal. e) Within ten (10) business days of receipt of the Disciplinary Appeal, the Discipline Review Panel shall meet with the employee to discuss the facts surrounding the disciplinary action. A careful review of the charges and evidence of the action and/or omission shall be conducted by the Panel. f) The Panel shall respond in writing to the employee with its decision and/or action taken within ten (1 0) business days after meeting with the employee. The Panel may sustain, reverse, modify, or amend the action taken as it determines is appropriate given all the facts and circumstances of the case. The decision of the Panel is final and non-appealable. g) A copy of the original disciplinary action, appeal and responses shall be maintained in the employee's personnel file. 9.3.4 Procedures to Appeal a Termination a) An employee whose employment is terminated shall have the right to appeal that decision to the Department Director by filing a written appeal within five (5) business days with the Human Resources Department. In the event that the Department Director issued the demotion, the employee's appeal shall be heard by the Discipline Review Panel in accordance with Section 9.3.4 (e) below. b) Within five (5) business days of receipt of the Disciplinary Appeal, the Department Director shall meet with the employee to discuss the facts surrounding the disciplinary action. A careful review of the charges and evidence of the action and/or omission shall be conducted by the manager. c) The Department Director shall respond in writing to the employee with his or her decision and/or action taken within ten (10) business days after meeting with the employee. The Director may sustain, reverse, modify, or amend the action taken as he or she determines is appropriate given all the facts and circumstances of the case. d) If the Department Director's response is unsatisfactory, the complainant may file a written appeal to the Discipline Review Employee Grievance and Appeal Policy Effective: February 1, 2011 Page 8 of 13 Panel within five (5) business days after receipt of the decision. The appeal shall be submitted to the Human Resources department on the Discipline Appeal Form. The appeal shall state the basis for the appeal and resolution sought. The Human Resources Department shall notify the Discipline Review Panel of the appeal. e) Within ten (10) business days of receipt of the Disciplinary Appeal, the Panel shall meet with the employee to discuss the facts surrounding the disciplinary action. The Panel, in consultation with the City Manager, shall conduct a review of the charges and evidence of the action and/or omission. f] The Panel shall respond in writing to the employee with its decision and/or action taken within ten (10) business days after meeting with the employee. The Panel may sustain, reverse, modify, or amend the action taken as it determines is appropriate given all the facts and circumstances of the case. The decision of the Panel is final. g) A copy of the original disciplinary action, appeal, and responses shall be maintained in the employee's personnel file. 9.4 Extension of Deadline — The Director of Human Resources, Department Director, or Assistant City Manager may extend the time frame by notifying the employee in writing. 9.5 Inapplicability -- Employees in any position filled by the City Council and Department Directors have no appeal rights under this section. 9.6 Errors or defects in the form or preparation of written appeals of disciplinary action shall not nullify the appeal. 10.0 Failure to Follow Procedures 10.1 Failure of an employee to follow procedures set out above, or failure to appear at a grievance or disciplinary appeal meeting, shall result in the loss of further appeal rights by the employee. 11.0 Freedom from Re risal 11.1 Employees wishing to file a complaint or grievance under this procedure shall be assured of freedom from restraint, interference, or reprisal from their supervisors or other employees. Employee Grievance and Appeal Policy Effective: February 1, 2011 Page 9 of 13 12.0 Effect of Procedure 12.1 The existence of and access to this procedure shall not constitute any limitation on the rights of the City of Southlake to manage its affairs. All employees hold their positions at the will and pleasure of the City and such positions may be terminated or otherwise adversely affected with or without cause. CITY Cif SOUTHLAKE GRIEVANCE FORM NATURE OF MATTER (check one) -- Employment Conditions Employment Rights or Benefits El Other Appeal of Grievance Decision EMPLOYEE INFORMATION Name: Job Title: Department: Name of Supervisor: DATE, TIME AND LOCATION OF INCIDENTS): Date of Occurrence: Time: Location: STATEMENT OF COMPLAINT (give full details): (Attach additional page(s) if necessary) REMEDY SOUGHT: What action(s) do you wish the City to take in order to resolve the grievance: AFFIRMATION: I swear or affirm that the above information is true to the best of my knowledge, information, and belief: Signature Date Have you filed this grievance with any state or federal enforcement agency? Yes: and No: Agency Date filed C . I-I Y (.)I SOUTHLAKE DISCIPLINE APPEAL FORM TYPE OF DISCIPLINE ISSUED (check one) Written Reprimand Suspension Demotion Termination Appeal of Disciplinary Appeal Decision EMPLOYEE INFORMATION Name: Joh Title: Department: Name of Supervisor: Date of Action: REASON FOR APPEAL (give full details): (Attach additional page(s) if necessary) REMEDY SOUGHT: What action(s) do you wish the City to take: AFFIRMATION: I swear or affirm that the above information is true to the best of my knowledge, information, and belief: Signature Date TUITION REIMBURSEMENT PROGRAM I. Purpose The Tuition Reimbursement Program is an administrative policy of the City of Southlake The purpose of the Tuition Reimbursement Program is to provide an opportunity and an incentive for employees to increase their individual level of education and expertise in their related job duties,thereby enhancing their job skills and degree of professionalism and subsequently improving the ability for staff to provide continued quality service to the community. II. Application A. This directive applies to all departments and divisions within the City. B. Participation in the Tuition Reimbursement Program is subject to availability of fiend in the City's Annual Operating Budget and prior approval of the City Manager. III. Definitions State School—Those schools which are financially supported through local, state, and federal funds, including, but not limited to, county level junior colleges. Private School—Those learning centers which are financially supported through private funds. IV. Procedures A. The City will reimburse the employee 100% of tuition, Iaboratory, and registration fees and 50% of required textbooks. Tuition reimbursement will only be granted for courses taken at or through a state school and which are part of an approved degree plan. A copy of the degree plan must be on file with the respective learning institution and the employee's Department Head, and which meets the other criteria established herein. For coursework taken at a private school, the employee pays the difference in the tuition rates between the average rates for state schools within the region as determined by the City Manager. B. The degree plan and related courses must be related to the employee's present or potential position with the City. Individual courses outside of the degree plan, but which are directly related to the employee's present or potential position with the City, may be considered for tuition reimbursement under this plan on a case-by-case basis, with the final determination on approval made by the City Manager. Tuition Reimbursement Page 2 C. At the completion of the course,the top portion of the Tuition Reimbursement Request Form must be completed and submitted for approval to the Department Head and the City Manager prior to course registration. D. The employee will pay the initial tuition and related costs in advance and will be granted reimbursement only after the grade slips have been received. A grade point level of"C" or better in the course is required for reimbursement. Such reimbursement is based on the employee's official school receipts. E. After completion of the course,the bottom portion of the Tuition Reimbursement Request Form must be completed and submitted for approval to the Department Head and the City Manager Disbursement of the form White--Finance Department; Yellow— Department Head; Pink—Personnel File. F. Only regular employees are eligible for reimbursement. Those employees who cease employment with the City prior to completion of the course are ineligible for the tuition reimbursement benefit. G. The time expended by the employee :involved in a course approved under this plan shall note be considered as"on-duty"time. Expenses related to travel,meals, or lodging are the cost of the employee and are not considered for reimbursement under this plan H. This plan is not related to courses, seminars, conferences, and similar training sessions that are required, offered, or paid by the City. -il TUITION ffi REIMBURSEMENT REQUEST '�_ w • ONLYREGULAR, FULL-TIME EMPLOYEES WHO HAVE SUCCESSFULLY COMPLETED PROBATIONARE ELIGIBLE FOR TUITIONREIMBURSEMENT. • THE CITY WILL NOT REIMBURSE TUITIONABOVE THE AVERA GE STATE TUITION RATE. Complete Prior to Registration: Employee Name: Dept/Div: Requested Courses: Semester Hours Day(s) & Time of Course(s) School: Degree Plan: Estimated Cost: Department Director Date City Manager Date Complete for Reimbursement: Semester hours earned: Is grade level "C" or higher? Is evidence of expense, hours, course title, and grade attached? Yes ❑ No ❑ Is evidence of required textbooks attached? Yes ❑ No ❑ Cost of tuition, laboratory, and registration fees: $ Cost of required textbooks: x .50. $ Total Amount Eligible for Reimbursement: $ I hereby certify that all criteria known to me has been met, and I have received no reimbursement from any other source for the amount of this request. Employee Signature Date Department Director Date City Manager Date LAHuman ResourcesTormslTuition Reimbursement Form.doe Revised 02/10/2404 Ci of Southlake Personnel Policies Section: Rules and Regulations Topic: Criminal History Checks Effective Date: November 19, 1997 Approved S LDS/SKY Revision Date: 1.0 Purpose To delineate the process for conducting state criminal history checks on potential employees, contractors and volunteers to bring a level of protection to both the City and vulnerable program participants who are unable to protect themselves. To provide a process for utilizing criminal background check information during the hiring process and during annual criminal history checks. 2.0 Definitions 2.1 Criminal HistoKy Record Information - Information collected about a person by a criminal justice agency that consists of identifiable descriptions and notations of arrests, detentions, indictments, information, and other formal criminal charges and their dispositions. The term does not include: -identification information, including fingerprint records, to the extent that the identification information does not indicate involvement of the person in the criminal justice system; or -driving record information maintained by the Texas Department of Public Safety. 2.2 Employee or Employee Applicant - A person who is performing, or will perform for remuneration, any service that involves the care of or access to a child (16 years old or younger), an elderly person, or a person who is mentally incompetent, mentally retarded,physically disabled, ill or incapacitated. Employee applicants are those candidates for such positions who have received a conditional offer of employment. Examples of an employee would include, but are not limited to, a Recreation Supervisor, Recreation Specialist, Recreation Leader, Recreation Aide, Community Services Coordinator, and Teen Court Coordinator. Page 1 of 6 Criminal History Checks Policy 2.3 Volunteer or Volunteer Applicant - A person who is performing, or will perform without remuneration, any service that involves the care of or access to a child (16 years old or younger), an elderly person, or a person who is mentally incompetent, mentally retarded, physically disabled, ill or incapacitated. Examples of a volunteer may include, but are not limited to, park volunteer, Teen Court volunteer, coaches in city-sponsored recreation programs, and city volunteers. 2.4 Contractor - Any person employed by or associated with an entity which has a contractual relationship with the City to provide any service that involves the care of or access to a child (16 years old or younger), an elderly person, or a person who is mentally incompetent, mentally retarded, physically disabled, ill or incapacitated. Examples of a contractor may include, but are not limited to, contract recreation instructors and Metroport Meals on Wheels employees. 2.5 Justified Business Necessity - The city may rescind a conditional job offer, terminate an active employee, terminate a written agreement with a contractor, or refuse services of a volunteer, provided it can demonstrate that the history shows conduct which indicates unsuitability for a particular position based on the following factors: -the nature and gravity of the conviction(s), -time passed since conviction and/or completion of the sentence, and -the nature of the job sought. This provision does not alter the City's status as an at-will employer. 3.0 Individuals Affected 3.1 Employee applicants who have received a conditional offer of employment for a position which performs a service that involves care of or access to a child (16 years old or younger), an elderly person and/or a person who is mentally incompetent, mentally retarded, physically disabled, ill or incapacitated. 3.2 Employees whose positions require the performance of a service that involves care of or access to a child (16 years old or younger), an elderly person and/or a person who is mentally incompetent, mentally retarded, physically disabled, ill or incapacitated. 3.3 Contractors who have a contractual relationship with the City to provide any service that involves the care of or access to a child (16 years old or younger), an Page 2 of 6 Criminal History Checks Policy elderly person, or a person who is mentally incompetent, mentally retarded, physically disabled, ill or incapacitated. 3.4 Volunteers or volunteer applicants who will perform or are performing without remuneration, a service that involves care of or access to a child (16 years old or younger), an elderly person and/or a person who is mentally incompetent, mentally retarded,physically disabled, ill or incapacitated. 3.5 Juvenile employees (16 years old or younger) are required to work with an employee at least 17 years old or older since juvenile records are sealed and no criminal check can be conducted. 4.0 Policy 4.1 It is the policy of the City of Southlake to obtain criminal background information on employee applicants, employees, contractors, volunteers, and volunteer applicants who have signed the consent form provided by the city. This policy is intended to protect children, the elderly, or disabled persons served by city programs and to limit the City's liability. 4.2 It is the policy of the City of Southlake that arrest or conviction records may not be used as an absolute bar to employment, and that records alone will not be used to exclude persons from employment. Instead, the City must be able to establish any exclusion as a justified business necessity. Therefore, the seriousness of the offense, the remoteness of the offense and the duties of the position sought shall be considered in malting an employment decision. Criminal histories may not be used to discriminate against an individual because of the person's race, sex, age, disability, religion, color or national origin. 4.3 It is the policy of the City that criminal history checks will be conducted during the post offer stage for employee applicants and contractors, and annually for employees or for regularly used contractors who perform a service that involves care of or access to a child, an elderly person and/or a person who is mentally incompetent, mentally retarded, physically disabled, ill or incapacitated. Prior to beginning service as a volunteer, and annually thereafter, criminal history checks will be conducted for volunteers and volunteer applicants. 4.4 If an applicant makes a false statement or omits information relating to a prior conviction in the application, he or she will be disqualified from consideration for employment. 4.5 It is the policy of the City of Southlake to treat all criminal history information as confidential, and the city shall limit the number of people who have access to criminal history information. Page 3 of 6 Criminal History Chocks Policy 4.5 The Director of Human Resources and a representative from Southlake's Department of Public Safety will attend training sessions regarding the proper analysis of criminal history transcripts received from the Texas Department of Public Safety. Access to criminal history information will be limited to those who have completed the appropriate training. 4.7 To the extent permitted by law, all records pertaining to criminal histories shall be destroyed no later than thirty (30) days after having received the inquiry response. The City of Southlake will keep criminal records in a secure, locked drawer until such time as the records are destroyed. Under no circumstances will the City record in any way the information contained in the transcript. 4.8 It shall be the responsibility of the Director of Human Resources to make a final decision regarding the suitability of the employee, employee applicant, contractor, volunteer or volunteer applicant for the position. Should the Director determine that the criminal history results indicate that the employee applicant, contractor, or volunteer applicant is unsuitable for the position sought, based on a justified business necessity, the conditional offer of employment, contract or volunteer opportunity shall be rescinded. Regular employees, contractors or volunteers whose annual criminal history check provides information determined to be unsuitable for the position shall be immediately terminated from the position. This provision does not alter the City's status as an at-will employer. 49 While employees, employee applicants, contractors, volunteers or volunteer applicants will be permitted to review his or her criminal history record transcript during the time it is in the possession of the city, under no circumstances shall the city allow the applicant to keep or photocopy the transcript. 5.0 Grievance Procedure 5.1 Employee applicants, contractors, and volunteer applicants who dispute the information provided on the criminal history report, may file a written grievance with the Director of Human Resources. All complaints must be forwarded to the Director within five (5) working days of notification that the offer is being rescinded. The written grievance will be forwarded to the Volunteer Center of Dallas for their records. The individual filing the grievance will be given the opportunity to request a criminal history resolution report. 5,2 If an applicant disputes information that is on the criminal history record transcript, he or she may file a written grievance with the Director of Human Resources. All complaints must be forwarded to the Director within five (5) working days of notification that employment will not be offered. The written grievance will be forwarded to the Volunteer Center of Dallas for their records. Page 4 of 6 Criminal History Checks Policy The individual filing the grievance will be given the opportunity to request a criminal history resolution report. Employees whose employment is terminated due to the analysis of the annual criminal history check may file a grievance with the City, as specified in the City's "Employee Complaint and Grievance Procedure." Regular contractors whose contracts are terminated due to the analysis of the annual criminal history check may file a grievance with the City, as provided in the executed"Personal Services Agreement." Page 5 of 6 Criminal History Checks Policy CONSENT FOR CRIMINAL BACKGROUND HISTORY CHECK AUTHORIZATION/WAIVER/INDEMMTY Each employee, employee applicant, contractor,volunteer or volunteer applicant who is to be screened must sign an authorization/waiver/indemnity form, giving approval for the City of Southlake and the Volunteer Center of Dallas to perform the criminal background search. I hereby give my permission for the City of Southlake to obtain information related to my criminal history record through the Volunteer Center of Dallas County. The criminal history record, as received from the reporting agencies, may include arrest and conviction data as well as plea bargains and deferred adjudication. I understand that this information will be used in part to detertnine my eligibility for an employment/contract/voluttteer positior: with the City of Southlake. I also understand tit at as long as I remain an enrployeeIcontractor/volcttiteer with the City of Southlake, the criminal history records check may be repeated at any time. I understand that I will have an opportunity to review the criminal history and a procedure is available for clarification, if I dispute the record received. I, the undersigned, do,for myself, my heirs, executors and administrators, hereby remise, release and forever discharge and agree to indemnify the Volunteer Center of Dallas County and the City of Southlake and each of their officers, directors, employees, and agents Harmless from and against any and all causes of action, suits, liabilities, costs debts and sums of money, claims and detnands whatsoever, and any and all related attorneys'fees, court costs, and other expenses resultingfrom the investigation of my background in connection with my application to become an atnpioyee%ontractor/volurtxteer. Last Name First Name MI Other Names(Alias,married,maiden) Date of birth Sex Race B or W Drivers License No. State Applicant's Signature Date Page 6 of 6 City of Southlake Personnel Policies Section: Rules and Regulations Tonic: Nepotism Policy Effective Date: December 8, 1999 Approval: Resolution#99-80 Revision Date: X.0 Purpose To prohibit the employment of relatives within the same department, to eliminate the potential for favoritism shown to relatives or bestowal of patronage by reason of blood, adoption, or marital relationship, and to minimize the potential for conflict whenever the performance or exercise of official powers or duties may be influenced by relatives. 2.0 Definitions 2.1 Applicant - A person who has applied for employment with the City or an employee who has applied for a different position within the City. 2.2 Employee - Includes probationary, regular full-time, regular part-time, seasonal, and temporary employees of the City of Southlake. 2.3 Department - Any department created by the City Council, identified in Chapter 4, Section 1, of the City of Southlake Charter. 2.4 Relative - 2.4.1 A person related by blood or adoption to the employee as follows: a) parent(mother/father); b) children(daughter/son); c) siblings (sister/brother); d) parent's parents, i.e., grandparents (grandmother/grandfather); e) children's children, i.e., grandchildren (granddaughter/grandson); f) sibling's children(niece/nephew); g) grandparent's children (aunt/uncle) h) grandparent's grandchildren, i.e., aunt/uncle's children (first cousins), or i) the employee's spouse, those persons in the above categories related to the employee's spouse, or those persons married to a person specified in 2.4.1. Page I of 3 Nepotism Policy 3.0 Policy 3.1 Disclosure by Applicants - An applicant for employment with the City of Southlake is required to disclose any relative who is employed by the City of Southlake, as well as any relative who serves as the mayor or as a city council member. 3.2 Relatives of Current Qy Council, Mayor, or Council Appointments -No person who is related within the second degree by affinity (marriage) or within third degree by consanguinity (blood) as defined by the Texas Government Code, to the mayor, any member of the city council, council appointed employees, or any other Council appointed positions will be eligible for employment. 3.3 Relatives of Elected.fjjy Council Ma or or Qijy Manager - An employee or officer who is or becomes related within the second degree by amity or within the third degree by consanguinity to a person who is elected as mayor, council member, or city manager will not be eligible for continued employment, unless the employee or officer has been continuously employed by the City for not less than two (2) years prior to the election. The Director of Human Resources will evaluate eligibility for continued employment pursuant to the provisions of the Texas Government Code, Section 573.062, and Chapter 2, Section 13 of the City of Southlake Charter. 3.4 Applicants Related to Current Employees— 3.4.1 No applicant who is a relative of a current city employee may be offered or accept employment in the same department or where such employment would constitute a condition of conflict, where the performance, or exercise of official powers or duties may be influenced by the applicant's relative. 3.4.2 No applicant who is a relative of an employee who is appointed by the city council is eligible for employment with the City. No applicant who is a relative of a department head is eligible for employment with the City except for appointment in seasonal or temporary positions outside of the department head's department. Additionally, no applicant who is a relative of any employee in the City Manager's Office or the Human Resources Department is eligible for employment with the City. 3.5 Placement of Current Employees — An employee who is a relative of another employee may not be placed: 3.5.1 in a position that would place one employee in the position of immediate supervision of the other; or Page 2 of 3 Nepotism Policy 3.5.2 in a position where a condition of conflict would exist, where the performance or exercise of official powers or duties may be influenced by the employee's relative. 3.6 Exceptions for Current Employees -- An employee who is a relative of another employee may be employed in the same department if: a) the employees were related and employed in the same department before the effective date of this policy; b) a reorganization approved by the City Manager results in related employees being placed in the same department; or c) a reorganization approved by the City Manager results in an employee being removed from the department in which that employee has a relative. If the affected employee wishes to return to the original department, he or she must formally apply for an available position in the department within 90 days of the effective date of the reorganization. 3.7 Relatives after Employment - If an employee becomes a relative of another employee after employment, and works in the same department as another employee, the Director of Human Resources, in conjunction with the City Manager, will evaluate and determine whether both employees will be allowed to continue employment in the same positions. Such determination will be made by what is considered to be in the best interest of the City of Southlake, taking into consideration such factors as whether the employees work in the same division, and whether it would place one in the position of immediate supervision of the other. 3.8 Disclosure by Current Employees 3.8.1 An employee who, on the effective date of this policy, is a relative, as described in section 2.4, of another employee who works in the same department shall disclose this relationship to the Director of Human Resources within 30 days of the effective date of this policy. 3.8.2 An employee who becomes a relative of an employee who works in the same department is required to disclose the relationship to the Director of Human Resources within 30 days of the date the employees became relatives. Page 3 of 3 Dress/Uniform/Grooming Policy Effective May 1, 2000 Page 1 Ci of Southlake Personnel Policies Section: Rules and Regulations Topic: Uniform/Dress Code/ Grooming Effective Date: May 1, 2000 Approved By: Res 00-31 Revision Date: 1.0 Purpose The City of Southlake desires to project a positive and professional image of employees representing the City. Employees are expected to dress in a conservative, professional manner that is appropriate to their position and to observe good habits of grooming and personal hygiene. Presenting a professional image creates a favorable impression for the City, promotes confidence in the services the City provides, promotes respect among co- workers, and encourages higher working standards. This policy provides guidelines for appropriate appearance, uniform, and grooming. 2.0 Application This policy applies to all employees(regular and temporary)and volunteers at all times. Due to many types of jobs within the City, several different dress standards are necessary. An employee who is in doubt as to which dress standard applies, should contact his or her supervisor. Department of Public Safety employees shall comply with the requirements of the Public Safety Department as issued in the DPS General Orders Manual. In instances where this policy conflicts with the DPS General Orders, the more restrictive policy will apply. 3.0 Business Dress Policy 3.1 Standard Dress for Non-Uniformed Office Employees Each employee should maintain a professional,business-like,and clean appearance to symbolize the employee's professional standing and public recognition of the position that the individual represents. An employee shall wear standard dress when: a. the employee's duties involve constant contact with the public where standard dress is appropriate or desired; Dress[Uniform/Grooming Policy Effective May 1, 2000 Page 2 b. representing the City during formal presentations, attending community meetings; C. or when representing the City in appointments outside the city offices; or at professional association meetings. 3.1.1 Males—Examples of appropriate standard dress for males include business suits,dress slacks with appropriate shirt(long or short sleeve with collar)and dress-type footwear worn with socks. Neckties may be required in positions where extensive public contact takes place. Sport coats and suit coats are optional,but are recommended for a professional appearance when attending meetings outside of City offices. Examples of inappropriate standard dress for males includes tee-shirts, sleeveless shirts,jeans(any color or type),sweatsuits,sandals,and canvas or athletic-type shoes. 3.1.2 Females — Examples of appropriate standard dress for females include business suits, dresses, skirts, or dress slacks with appropriate blouse, sweater, or jacket with dress-type footwear and socks or hose. Examples of inappropriate dress for females include tee shirts, tank tops, sundresses, shorts,jeans (any color or type), sweatsuits, leggings, sandals, canvas or athletic-type footwear. 3.1.3 An employee shall refrain from wearing apparel that is low-cut, back-less, tank top style, excessively tight, or excessively short. 3.2 Exceptions to Standard Dress Policy The above-stated provisions apply in normal work situations;however,there may be instances where exceptions may be made, such as special work assignments or inclement weather. In times of extreme snow or ice, when a specific short-term situation dictates or when medical conditions exist, a Department Director may authorize exceptions to this policy. 4.0 Casual Dress Policy Casual attire allows the employee to dress in a neat and professional appearance but is considered less formal than the standard dress. Each Department Director shall determine whether non-uniformed department employees may dress with more casual attire on a day-to day basis and require that standard dress be worn on specific days, depending on the circumstances. Dress/Uniform/Grooming Policy Effective May 1, 2040 Page 3 4.1 Office Employees (Non-uniformed) 4,1.1 Males—Examples of appropriate dress for casual attire include dress or khaki pants. Shirts may include long sleeves with banded collars,short sleeve sport shirts,golf shirts,and denim shirts and vest. Shirts must have sleeves and be tucked in at all times. Appropriate (enclosed) footwear shall be worn with socks. Ties are not required. Examples of inappropriate dress for casual attire include tee shirts,sleeveless shirts,flannel shirts,jeans(any color or type),shorts,sweatsuits,sandals,and canvas or athletic-type shoes. 4.1.2 Females— Examples of appropriate dress for casual attire include dress or khaki pants, skirts, and dresses. Shirts may include long sleeve blouses, sleeveless blouses with jacket or sweater, short sleeve sport shirts, turtlenecks,golf shirts and denim shirts. Appropriate footwear shall be worn with socks. Examples of inappropriate dress for casual attire include tee shirts,tank tops, flannel shirts, strapless tops,halter tops,sleeveless blouse without jacket or sweater, sleeveless dresses, shorts, jeans (any color or type), sweatsuits, barefoot sandals, and canvas or athletic-type footwear. 4.2 Department Shirts A Department Director may provide each employee with one or two shirt(s)with a city logo available at no charge. This casual shirt may be either an oxford and/or a golf shirt to wear as part of the accepted casual attire. The employee must pay for any additional shirts furnished the employee. Additional shirts purchased by the employee must be approved shirts by the Department Director. 5.0 Uniformed Employees 5.1 Determination of Uniformed Employees Each Department Director,subject to approval by the City Manager,shall determine the uniform requirements for each position. Each Department Director shall maintain a descriptive list of the acceptable uniform attire and components for each position consistent with these guidelines. The City will provide uniform attire to the employees required to wear uniforms. The field employees of the following Departments shall wear uniforms on a daily basis: - Public Safety including police and fire employees, building inspectors and code enforcement officers Dress/Uniform/Grooming Policy Effective May 1, 2000 Page 4 - Public Works including streets and drainage,water maintenance, and construction inspection employees - Community Services including parks maintenance and recreation employees 5.2 Uniform Appearance Requirements 5.2.1 Ate.. An employee shall wear uniform shirts which shall be kept buttoned and tucked in when possible at all times. Long pants (uniform trousers, if issued,) will be worn at all times. Some recreation staff are authorized to wear uniform shorts. Pants,uniform trousers,and shorts must be free of rips,holes,or tears. Each Department Director will determine what type of shoes the departmental employees shall wear based on the safety needs of the job. 5.2.2 Maintenance. An employee shall maintain each piece of the uniform in a clean and neat appearance, insofar as is practical. The City recognizes that some positions require tasks in which the uniform becomes soiled. However, each employee should strive to maintain a positive and professional image. Upon completion of a task that generates excessively soiled clothing, and when practical to do so, an employee should change into appropriate clean attire. An employee shall repair any piece of the uniform or daily apparel that is damaged or in a state of disrepair immediately, or if beyond repair, replaced 'immediately. Each employee shall replace attire that is worn,faded, stained, or is otherwise unfit for service. 5.3 Supervisor Responsibility Supervisors should periodically review employees' attire to ensure that they meet the required standards and to detect and correct deficiencies. Each supervisor is responsible for insuring that employees under his or her supervision maintain a neat, professional appearance in accordance with this policy. Each supervisor is authorized to order a component or piece of equipment or attire to be repaired or replaced due to damage or excessive wear or incompatibility with the professional standards of the City. 5.4 Attire as an Identifier The selected attire is an identifier of an individual's association and position within the organization. As such, it serves as a symbol of professionalism, authority, and respect. An employee shall wear only authorized attire and equipment as a part of the daily wear. Whenever reasonable and practical to do so, an employee should wear Dress/Uniform/Grooming Policy Effective May 1,2000 Page s some type of engraving or nametag that identifies the person by name as an employee of the City of Southlake. Uniformed employees shall refrain from the wearing of any buttons,badges,medals, or similar symbols,which are not authorized by written directive of the Department Director or higher authority. 6.0 Grooming Each employee shall maintain personal hygiene,grooming and general appearance standard that is neat, clean, professional, reflective of the City's philosophy on pride and professionalism, and is commensurate with accepted general business practices. Such grooming standards prohibit exotic, ostentatious, gaudy, or other similarly unprofessional appearances. Examples include,but are not necessarily limited to spiked hair,mohawks,ear- plates,visible body piercing(except for earrings),visible tattoos,unkempt or unclean hair,a lack of personal hygiene, or scraggly facial hair. Facial hair shall be kept clean and neatly trimmed. Nothing in this policy shall prohibit a supervisor from restricting clothing or other personal grooming attributes that may create a safety hazard based on the employee's job duties. 7.0 Accessories Each employee shall wear attire that is void of logos (other than the City logo or small manufacturing logo/.names); sayings, signs, or symbols; extreme or outrageous color schemes; or other accessories,accouterments or designs deemed by the supervisor or higher authority to be inappropriate or objectionable. Except for the exposed front of T-shirts worn with an open collar,an employee shall wear undergarments and insulated clothing in such a manner so as to be concealed by outer clothing. 8.0 Wearing of ClothiII with City Logo Outside of Work 8.2 An employee shall refrain from wearing any portion of the employee's uniform attire or attire which displays the City's logo that readily identifies the employee as a member of the City, except when on duty or representing the City, or in route to or from such duty. An employee shall refrain from wearing AU attire while off-duty that identifies the person as a member of the City while engaging in conduct or activity that by virtue of the association discredits the City or places either the employee or the City in disrepute or discredit. 8.3 An exception to this provision is that an employee may wear informal apparel such as a t-shirt or ball cap,which displays the City logos while off-duty and not otherwise in violation of City or Departmental policy. 9.0 Return of CIothing Upon Termination DresslUniforrnlGrooming Policy Effective May 1, 2000 Page 6 9.1 An employee shall return all City owned apparel upon termination from the City, except that the Department Director may authorize the person to retain selected items that have been worn,not contain any City identifiers, and are determined to have no value to the City. 9.2 An employee who has purchased Department shirts shall submit such shirts to the City upon termination. City of Southlake Personnel Policies Section: Rules and Regulations Topic: Tobacco Use Policy Effective Date: May 1, 2000 Approved-By: Resolution 00-15 Revision Date: 1.0 Purpose To prohibit tobacco product use inside all City buildings, City facilities, and City vehicles. Tobacco use will only be allowed in designated areas as set forth in this Policy. 2.0 Individuals Affected All City employees, including probationary, regular full-time, regular part-time, seasonal, temporary, and contract employees of the City of Southlake, and all vendors, clients and visitors to the City facilities. 3.0 Definitions Tobacco Product: Any product or preparation containing tobacco, including chewing tobacco, dip, snuff, smokeless tobacco,cigarettes, cigars,or pipe tobacco. 3.0 Policy An employee shall not smoke, chew or dip any tobacco product in any building or vehicle owned or leased by the City,except in the following designated Tobacco use areas: ■ Administrative Offices: Back porch of Administration Building ■ City Hall: Picnic table behind City Hall ■ Parks and Recreation Service Center: Yard area South of building ■ Community Center: West exit ■ Planning Offices: Back porch of Planning Building ■ Public Works Center: Northwest corner entrance, adjacent to Water Water Division ■ Senior Center Back porch If any City department has a policy that is more restrictive, the employee shall comply with the more restrictive policy. Page 1 of I City of Southlake Personnel Policies Section: Rules and Regulations Topic: Mobile Telephone Usage Policy Effective Date: December 3, 1998 Approved By: SKY 1.0 Purpose Employees will be assigned mobile telephones for use when it is necessary to conduct business in a timely and efficient manner. The use of technology, such as mobile telephones, has been an important aspect of ensuring timely and professional service delivery. However,judicious and appropriate use of this technology is critical since city employees have the responsibility to provide service to the community in a fiscally responsible manner. This policy provides guidelines for the prudent use of city-issued mobile telephones. 2.0 Application This policy is intended to apply to all employees who are issued a mobile telephone by the City of Southlake or personnel to whom mobile telephones are assigned for multi-person use, such as in vehicles or through the mobile telephone pool. This policy is applicable to DPS personnel,who must also meet the requirements of the department as issued in the General Orders Manual. 3.0 Policy 3.1 Appropriate Use. City employees are authorized to use city-issued mobile telephones for bona fide City of Southlake activity in instances where there is a need to communicate, but where no other reasonably effective or efficient means of communication is readily available, Examples of appropriate use include,but are not necessarily limited to: 1)communication on city business matters between employee and supervisor or other city personnel when the employee is in the field or otherwise away from city offices, 2) communication between the employee and a customer, when such communication is the most practical means of providing service, 3) communication with a vendor, contractor, or other service provider, when such communication is the most practical means of providing service or assistance to a resident,resolving a complaint,or otherwise conducting city business and when such Page I of 3 Mobile Telephone Usage Policy communication is the most practical means of achieving the immediate objective, 4) DPS communication as described in the general orders manual. and 5) in emergencies when other means of communication are not available. 3.2 Initiating/Receiving Calls. The following are acceptable methods for initiating or receiving calls on city-issued mobile phones: a. Direct Dial: This is the most desirable method of conducting approved mobile phone communication. b. Incoming Calls: Employees receiving telephone calls have few means by which to determine the nature of the call until it has been received. This means of communication is acceptable,provided that employees take the responsibility for notifying any caller of the limitations in the use of mobile phones and discontinue any call which are outside the parameters of acceptable mobile telephone use. c. Operator-Assisted Calls: Employees should only initiate operator or directory assistance for placing calls when no other option exists for carrying out the duties of their job. d. Long Distance Calls: Long distance calls are conducted under the same parameters established for standard local calls;however, such calls should only be placed when an operational necessity exists. Employees should refrain from placing long distance calls on city-issued mobile telephones unless a documentable business necessity exists. e. Roaming Charges: Employees should refrain from incurring roaming charges, unless business necessity dictates use of the mobile phone outside the service area. 3.3 Employee to Employee Communication Using Mobile Telephones. The use of mobile telephones by two employees(sending and receiving)to conduct city business is discouraged. City employees should refrain from using mobile phones as a means of communicating with other city employees in lieu of other city-provided communication tools. For example,employees are encourage to use radios,pagers or other communication methods as necessary. 3.4 Maintenance. Mobile telephones may be assigned to an individual, placed in a specific vehicle or used through a pool. Employees who are personally assigned a mobile telephone, use a telephone located in a vehicle, or assigned a telephone through the pool are responsible for its care. When a telephone fails to perform properly,the user should report the problem immediately to his or her supervisor,or the Deputy Director for Support Services in DPS. Maintenance requests will be handled as quickly as possible,and a substitute phone will be provided as necessary. Page 2 of 3 Mobile Telephone Usage Policy 3.5 Removal of Mobile Telephones from Assigned Vehicles. Employees should only remove mobile telephones from assigned vehicles when it is necessary to efficiently conduct city business. Employees are responsible for returning the telephone to the appropriate vehicle in a timely manner. Employees should remove the mobile telephone from their vehicle when it is transported to any service or repair facility. Upon the return of the vehicle, the employee is responsible for ensuring the appropriate return of the mobile telephone to the designated vehicle. Employees should refrain from adding, removing, or exchanging component parts; affixing or removing any specific markings, or modifying any functions or special key operations without the prior approval of the Deputy Director of Support Services. 3.6 Personal Use of Mobile Telephones. Personal use of city-issued mobile telephones in marked city vehicles is prohibited. Personal use of telephones issued to individual employees is discouraged but not prohibited;however,payment of charges incurred for personal calls is required. Personal phone calls during regular business hours is discouraged for all employees. Page 3 of 3 City of Southlake Personnel Policies Section: Rules and Regulations Topic: FMLA Leave Effective Date: July 4, 2000 (Resolution 00-63) Approved By: City Manager Revision Date: January 16, 2009 1.0 Purpose The City of Southlake shall provide authorized leave for family and medical reasons to eligible employees in accordance with the provision of the Family Medical Leave Act of 1993. The purpose of this policy is to enable eligible employees to take absences from work for up to twelve (12) weeks during a 12- month period for new child leave; for medically-related reasons due to a serious health condition regarding self, spouse, child or parent; or for a qualifying exigency arising from a call to active duty. This policy will also enable eligible employees to take absences from work for up to twenty-six (26) weeks during a single 12-month period to care for an injured or ill service member. 2.0 Definitions Definitions unless amended by Federal Law are as follows: 2.1 Child - means a biological, adopted, or foster child, a stepchild, a legal ward, or a child of a person standing in loco parentis, who is under 18 years of age; or 18 years of age or older and incapable of self-care because of a mental or physical disability. 2.2 Child on Active Duty or Call to Active Duty Status — means the employee's biological, adopted, or foster child, stepchild, legal ward, or a child for whom the employee stood in loco parentis, who is on active duty or call to active duty status and who is of any age. 2.3 Child of a Covered Service Member — means the service member's biological child, adopted or foster child, stepchild, legal ward, or a child for whom the service member stood in loco parentis and who is of any age. 2.4 Health Care Provider - any health care provider from whom the City or City's group health plan's benefits manager will accept certification of the existence of a serious health condition to substantiate a claim for benefits. FMLA Policy; Revised January 16, 2009 Page 1 of 14 FMLA Policy Revised: January 16, 2009 Page 2 of 14 2.5 Intermittent Leave - FMLA leave taken in separate blocks of time due to a single qualifying reason. 2.6 Next of Kin of a Covered Service Member — means the nearest blood relative other than the covered service member's spouse, parent, son or daughter, in the following order of priority: Blood relatives who have been granted legal custody of the covered service member, brothers and sisters, grandparents, aunts and uncles, and first cousins, unless the covered service member has specifically designated in writing another blood relative as his or her nearest blood relative for purposes of military caregiver leave under the FMLA. 2.7 Parent — the biological, adoptive, step or foster parent of an employee or an individual who stood in loco parentis to an employee when the employee was a child. This term does not include parents "in law." 2.8 Qualifying Exigency -- arising from active duty or a call to active duty and includes events related to (i) short-notice deployment; (ii) military events and related activities; (iii) childcare and school activities; (iv) financial and legal arrangements; (v) counseling; (vi) rest and recuperation; (vii) post- deployment activities; (viii) additional activities arising out of the active duty or call to active duty provided that the City and employee agree that the leave qualifies as an exigency and agree to both the timing and duration of such leave. 2.9 Reduced Leave Schedule - a leave schedule that reduces the normally scheduled number of hours per week, or hours per workday, of an employee. 2.10 Work Week -- Full time employees who work five days a week are entitled to 60 days of FMLA leave in a 12 month period. Employees who work 4 days a week are entitled to 48 days of leave. 3.0 Eligibility Requirements 3.1 An employee is eligible for FMLA leave if the employee has been employed by the City: (1) for at least 12 months; and (2) for at least 1,250 hours of service during the previous 12-month period. The 12-month period an eligible employee must have been employed with the City to be eligible for FMLA leave need not be consecutive months. FMLA Policy, revised January 16, 2009 Page 2 of 14 FMLA Policy Revised: January 16, 2009 I, Page 3 of 14 V'v However, prior service which occurred more than seven years prior to the request for leave will not be considered in determining whether the employee worked for the City for at least 12-months. 3.2 An employee who is eligible for FMLA leave is entitled to take a total of 12 work weeks of leave during a 12-month period for one or more of the following reasons (unless amended by Federal Law): (1) Because of the birth of a child of the employee and in order to care for the child; (2) Because of the placement of a child with the employee for adoption or foster care; (3) In order to care for the spouse, child, or parent of the employee, if the spouse, child, or parent has a serious health condition; (4) Because of a serious health condition that makes the employee unable to perform the functions of the employee's position. (5) For any qualifying exigency arising out of the fact that the spouse, son, daughter, or parent of the employee is on active duty, or has been notified of an impending call to active duty status, in support of a contingency operation. 3.3 An employee who is eligible for FMLA leave is entitled to take 26 work weeks of leave during a single 12-month period for the employee to care for a spouse, child, parent or next of kin who is a service member undergoing medical treatment, recuperation, or therapy, is on out-patient status, or is on the temporary disabled retired list for injury or illness. Any leave taken pursuant to Section 3.2 above will reduce the amount of leave available to an employee by this Section 3.3. 3.4 An employee who takes FMLA leave must substitute and exhaust accrued vacation leave, sick leave, and compensatory leave with pay, before beginning leave without pay status. 3.5 FMLA leave shall run at the same time as leave taken by an employee as worker's compensation leave if the injury meets the criteria for a serious health condition. 3.6 If an employee is eligible for FMLA, under any of the requirements as stated above, the employee should submit an FMLA Request for Leave Form, which can be obtained from the Human Resources Department, or FMLA Policy, revised January 16, 2009 Page 3 of 14 FMLA Policy Revised: January 16, 2009 Page 4 of 14 notify the supervisor or Human Resources office as soon as it is known that leave is needed. 4.0 Leave Calculations 4.1 The 12-month period during which an employee is eligible for FMLA leave will be measured forward from the date the employee takes the first day of FMLA leave. 4.2 Entitlement to FMLA leave under the condition of the birth of a child or the adoption of a child, expires at the end of the 12 month period beginning on the date of the birth or placement of the child. 5.0 Intermittent Leave 5.1 Intermittent leave under FMLA will be allowed when medically necessary for: (1) the serious health condition of employee; (2) care for the employee's parent, son or daughter with a serious health condition; (3) care for a sick parent when both spouses work for the City; or, (4) care for a service member with a serious injury or illness. 5.2 FMLA leave may also be taken on an intermittent or reduced leave schedule basis: (1) for birth of a child or adoption of a child; or (2) due to a qualifying exigency. 5.3 Taking leave intermittently or on a reduced leave schedule shall not result in a reduction of leave for which the employee is entitled. 5.4 If an employee requests intermittent leave that is foreseeable based on planned medical treatment, the City may require the employee transfer temporarily to an available alternative position for which the employee is qualified and that: (1) has equivalent pay and benefits; and FMLA Policy, revised January 16, 2009 Page 4 of 14 FMLA Policy Revised: January 16, 2009 Page 5 of 14 (2) better accommodates recurring periods of leave than the regular employment position of the employee. 5.5 If a husband and wife are both employed by the City, the combined total leave is limited to 12 work weeks during any 12-month period, if the leave is taken: (1) for the birth or adoption of a child; (2) to care for a sick parent of the employee. 5.6 If a husband and wife are both employed by the City, the combined total leave is limited to 26 work weeks during any 12-month period, if the leave is taken to care for an injured or ill service member. 6.0 Responsibilities of Employee/Employer for FMLA leave 6.1 Notification for Birth or Adoption - When the necessity for FMLA leave under Section 3.2(1) or 3.2(2) is foreseeable because of an expected birth or placement, the employee shall provide their supervisor and the Human Resources Department notice of the employee's intention to take FMLA leave not less than 30 days before the date the leave is to begin. If the date of the birth or placement requires leave to begin in less than 30 days, the employee shall provide notice as soon as practicable. 6.2 Notification for Medical Treatment - When FMLA leave shall occur under Section 3.2(3), 3.2(4), 3.2(5) or 3.3, the employee shall make reasonable effort to schedule treatment or the qualifying exigency so as not to disrupt unduly the operations of the City, subject to approval of the health care provider; and shall provide his/her supervisor and the Human Resources Department with not less than 30 days' notice, before the date the leave is to begin; except, that if the date of the treatment or the qualifying exigency requires leave to begin in less than 30 days, the employee shall provide notice as soon as possible. 6.3 Requirement to Notify of Absence In the absence of unusual circumstances, nothing herein excuses an employee from complying with the requirement to timely notify his/her supervisor of an absence. 6.4 Eligibility Notification to Employee Within five (5) business days of receipt of notice from an employee requesting paid or unpaid leave, the Director of Human Resources, or designee, shall notify the employee of the employee's eligibility to take FMLA leave and the employee's rights and responsibilities for taking FMLA leave. This written information must FMLA Poficy, revised January 16, 2009 Page 5 of 14 FMLA Policy Revised: January 16, 2009 Page 6 of 14 be provided to the employee in a language in which the employee is literate. 6.5 Designation Notification to Employee Within five (5) business days of receipt of enough information to determine whether the leave is being taken for an FMLA-qualifying reason (e.g., after receiving certification) the City must notify the employee whether the leave will be designated and counted as FMLA leave. 7.0 Medical Certification and Documentation 7.1 Documentation for Leave Due to Medical Condition - The Human Resources Department may require, by giving a written request to an employee, that FMLA leave under Section 3.2(3) or (4) be supported by a certification issued by the health care provider of the employee or the child, spouse, or parent of the employee. A certification must be furnished within 15 days of receipt of this request. A certification must state: a. the date on which the serious health condition commenced; b. the probable duration of the condition; c. the appropriate medical facts within the knowledge of the health care provider regarding the condition; d. for purposes of leave under Section 3.2(3), a statement that the eligible employee is needed to care for the child, spouse, or parent and an estimate of the amount of time that the employee is needed to care for the child, spouse, or parent; e. for the purpose of leave under Section 3.2(4), a statement that the employee is unable to perform the functions of the position of the employee; f. in the case of certification for intermittent leave, for planned medical treatment, the dates on which the treatment is expected to be given and the duration of the treatment; g. in the case of certification for intermittent leave, under Section 3.2(4), a statement of the medical necessity for the intermittent leave, and the expected duration of the intermittent leave; h. in the case of certification for intermittent leave under Section 3.2(3), a statement that the employee's intermittent leave is FMLA Policy, revised January 16, 2009 Page 6 of 14 FMLA Policy Revised: January 16, 2009 Page 7 of 14j necessary for the care of the child, spouse, or parent who has a serious health condition, or will assist in their recovery, and the expected duration and schedule of the intermittent leave. 7.2 Documentation. for leave_ due to qualifying exigency -- The Human Resources Department may require that FMLA leave taken under Section 3.2(5) be supported by a certification that sets forth the following: a. a statement or description, signed by the employee, of appropriate facts regarding the qualifying exigency for which FMLA leave is requested. The facts must be sufficient to support the need for leave and should include information on the type of qualifying exigency for which leave is requested and any available written documentation which supports the need for leave; b. the approximate date on which the qualifying exigency commenced or will commence; c. if an employee requests leave because of a qualifying exigency for a single, continuous period of time, the beginning and end dates for such absence; d. if an employee requests leave because of a qualifying exigency on an intermittent or reduced schedule basis, an estimate of the frequency and duration of the qualifying exigency; and e. if the qualifying exigency involves meeting with a third party, appropriate contact information for the individual or entity with whom the employee is meeting and a brief description of the purpose of the meeting. 7.3 Documentation for Leave to Care for a Service Member — The Director of Human Resources, or designee, may require, by giving a written request to an employee, that FMLA leave under Subsection 3.3 be supported by a certification completed by an authorized health care provider of the covered service member. A certification must be furnished in a timely manner when requested. A certification must state: a. whether the covered service member's injury or illness was incurred in the line of duty on active duty; b. the approximate date on which the serious injury or illness commenced and its probable duration; FMLA Policy, revised January 16, 2009 Page 7 of 14 FMLA Policy Revised: January 16, 2009 Page 8 of 14 / c. a statement or description of appropriate medical facts regarding the covered service member's health condition for which FMLA leave is requested. The medical facts must be sufficient to support the need for leave. d. information sufficient to establish that the covered service member is in need of care, and whether the covered service member will need care for a single continuous period of time and an estimate as to the beginning and ending dates for this period of time; e. if an employee requests leave on an intermittent or reduced schedule basis for planned medical treatment appointments for the covered service member, whether there is a medical necessity for the covered service member to have such periodic care and an estimate of the treatment schedule of such appointments; f, if an employee requests leave on an intermittent or reduced schedule basis to care for the covered service member, other than for planned medical treatment, whether there is a medical necessity for the covered service member to have such periodic care; g. the following additional information: (i) the name and address of the employer of the employee requesting leave, the name of the employee requesting leave, and the name of the covered service member for whom the employee is requesting leave to care; (ii) the relationship of the employee to the covered service member; (iii) whether the covered service member is a current member of the Armed Forces, the National Guard or Reserves, and the covered service member's military branch, rank, and current unit assignment; (iv) whether the covered service member is assigned to a military medical facility as an outpatient or to a unit established for the purpose of providing command and control of members of the Armed Forces receiving medical care as outpatients and the name of the medical facility or unit; FMLA Policy, revised January 16, 2009 Page 8 of 14 FMLA Policy Revised: January 16, 2009 Page 9 of 14 / (v) whether the covered service member is on the temporary disabled retired list; and (vi) a description of the care to be provided to the covered service members and an estimate of the leave needed to provide the care. Invitational Travel Orders or Invitational Travel Authorizations issued to any family member to join an injured or ill service member at his or her bedside will be accepted in lieu of the required certification for the duration of the time specified in the orders or authorizations 7.4 Incomplete or Insufficient Certifications -- If the City determines that a medical certification provided for leave under Subsection 3.2(3), 3.2(4) or 3.3 is incomplete or insufficient, the City will provide the employee with seven (7) calendar days to cure any deficiency. If the deficiency is not cured, the City has the right to either deny FMLA leave or contact the health care provider for purposes of clarification and authentication of the medical certification. Any contact with a health care provider will be made only by a health care provider, the Human Resources Director or designated human resources professional, or the City Manager and, when necessary, upon receipt of a HIPAA authorization provided by the employee. If an employee refuses to provide a necessary HIPAA authorization and does not otherwise clarify the certification, the City may deny FMLA leave. 7.5 Second Opinion - If the City has reason to doubt the validity of the certification provided under Section 6.0, for leave under Section 3.2(3) or (4), the City may require, at the expense of the City, that the employee obtain the opinion of a second health care provider designated or approved by the City concerning any information certified under Section 6.0. A health care provider designated or approved under this paragraph may not be employed on a regular basis by the City. 7.3 Third Opinion _ If the second opinion described differs from the opinion in the original certification, the City may require, at the expense of the City, that the employee obtain the opinion of a third health care provider designated or approved jointly by the City and the employee concerning the information certified under Section 6. The opinion of the third health care provider concerning this information is final and binding on the City and the employee. FMLA Policy, revised January 16, 2009 Page 9 of 14 FMLA Policy Revised: January 16, 2009 Page 10 of 14j 8.0 Health Benefits 8.1 Continuation of Benefits - The City will provide health benefits to an employee while on FMLA leave at the level and under the conditions benefits would have been provided if the employee had continued in employment for the duration of the leave. If employees are considered at the status of leave without pay, the employee will be responsible for paying insurance premiums for dependants. 8.2 Recovering Costs of Benefits - The City may recover the cost that the City paid for the employee's health benefits during the period of unpaid leave if: (1) The employee fails to return to work after.the period of leave to which the employee is entitled has expired; and (2) The employee fails to return to work for a reason other than: a. the continuation, recurrence, or onset of a serious health condition that entitles the employee to leave under Section 3.2(3) or (4); or , b. other circumstances beyond the control of the employee. 9.0 Delay or Denial of FIVILA Benefits 9.1 The City may delay the taking of FMLA leave under the following circumstances: (1) if an employee fails to give timely advance notice when the need for FMLA leave is foreseeable, FMLA leave may be delayed until 30 days after the date the employee provides notice to the City of the need for FMLA leave; (2) if an employee fails to provide in a timely manner a requested medical certification to substantiate the need for FMLA leave, fails to provide clarification, or cooperate in the City's efforts to seek clarification the continuation of FMLA leave may be delayed or denied; (3) if an employee fails to provide a requested fitness-for-duty certification to return to work which addresses the employee's ability to perform the essential functions of the employee's job, the City may delay restoration until the employee submits the certificate; FMLA Policy, revised January 16, 2009 Page 10 of 14 FMLA Policy Revised: January 16, 2009 Page 11 of 14 (4) if an employment relationship terminates, an employee's right to continued maintenance of health benefits, and restoration to their position cease under FMLA; (5) if an employee fraudulently obtains FMLA leave, the City may deny job restoration or maintenance of health benefits. 10.0 Return To Work 10.1 Release-from Physician - Before reporting back to work under FMLA Leave because of a serious health condition, an employee must provide a written release to the Human Resources Department. The Human Resources Department will notify the employee's supervisor of the release to return to work. 10.2 Release for Unrestricted Work - If the release form contains any restrictions, before an employee can return back to work unrestricted and resume normal job duties as set forth in the employee's job description, a release must be completed and. signed by the physician indicating full release and the final date of release from medical care. This in turn, shall be provided to the Human Resources Department. The Human Resources Department will notify the employee's supervisor of the restrictions and determine if reasonable accommodations or a modified duty assignment is necessary and/or available. 11.0 Coordination with Worker's„Compensation Leave for a Worker's Compensation injury that also meets the definition of an illness or injury under Section 3.2(4) as stated above, will be designated as FMLA Leave and run concurrently with Worker's Compensation Leave. FMLA Policy, revised January 16, 2009 Page 11 of 14 CITY OF SOUTHLAKE TEXAS RETURN TO DUTY PHYSICIAN'S STATEMENT City of Southlake Name of Employee Date of Birth Title of Employee Name of Physician This statement is to determine the employee's ability to perform the physical requirements of his or her position. Please review the attached job description and indicate the employee's ability to perform the physical requirements of the job. If it is determined that the physical requirements may be performed with a reasonable accommodation, please indicate the necessary accommodation. This statement will be used to determine the employee's ability to safely and consistently perform the physical requirements of his or her job which may include enforcing and assisting with the safety and security of the public. This information will remain confidential. The employee's approval for the release of this information is indicated on the attached form. Diagnosis of injury/disease Nature of treatment (including surgery and medications prescribed, if any) Please indicate the employee's ability to perform the physical requirements indicated below: Please complete all unless indicated by N/A on the frequency line. Frequency Duration Lifting or carrying 50 lbs.. Lifting or carrying 50 - 100 lbs. Bending or stooping? Reaching above shoulder level? Driving equipment/vehicles? Operating heavy machinery? Working with machinery? Climbing ladders, stairs, etc.? FMLA Policy; Revised January 16, 2009 Page 12 of 14 Jumping/Stepping off equipment at heights up to 3 feet? Walking? Standing? Sitting? Exposure to extreme temperatures or humidity? Are there any other physical requirements of the employee's job that the employee cannot safely perform? (see attached job description) What modifications or accommodations can be made to allow this employee to perform the duties of his or her position: Would you certify this employee as able to return to full duty status and perform the physical requirements of his or her positions? Yes No If not, when will the employee be able to return to full duty status: Additional comments on the physical aspects of the job (limitations, therapy, etc.): Physician's Signature: Date: Printed/typed name: Add ress: FMLA Policy, revised January 16, 2009 Page 13 of 14 CITY OF SOUTHLAK.E TEXAS EMPLOYEE'S AUTHORIZATION FOR RELEASE OF INFORMATION To Whom It May Concern: I, hereby authorize any hospital, physician, medical (employee's name) practitioner, or medically related facility to disclose or furnish to the City of Southlake any and all information with respect to the illness or injury in question for a release to duty. The information provided to the City of Southlake is to be used solely for the determination of a release to duty, light duty or modified work. A photostatic copy of this authorization is to be considered as valid as the original and is effective for the duration of the process. Date Employee's Signature Printed FMLA Policy, revised January 16, 2009 Page 14 of 14 City of Southlake Personnel Policies Tonic: Workers' Compensation Wage Continuation Section: Rules and Regulations Effective Date: August 1, 2000 Approved By: Resolution 00-72 Revision Date: 1.0 Purpose — it is the policy of the City of Southlake that all regular and temporary City employees who are injured in the course and scope of their employment with the City of Southlake be afforded the protections guaranteed by the Worker's Compensation laws of the State of Texas. In addition with the legally required benefits, the City provides a wage continuation program, which offers supplemental earnings to employees receiving worker's compensation benefits from the City of Southlake. 2.0 Definitions: 2.1 iriiM- Damage or harm to the physical structure of the body or a part thereof, including any subsequent aggravation or re-injury that occurs while the employee is acting in the course and scope of the employee's employment, and for where compensation is payable under the act and is deemed applicable by the insurance carrier. An "injury" shall not include any illness, disease, or infection that is not directly caused by the employee's performance on the job. 2.2 Disease --- An abnormal condition of an organ or part that impairs normal physiological functioning, as a result of infection, inherent weakness, or environmental stress as deemed applicable by the insurance carrier. 2.3 First Report of lg ury — The Report provides information on the employee claimant, employer, insurance carrier and medical practitioner necessary to begin the claims process. The Act, requires an Employer's Fust Report of Injury or Illness (TWCC-1) to be filed with the injured worker's insurance carrier, and the injured claimant or the claimant's representative within eight (S) days after the employee's absence from work or receipt of notice of occupational disease. 2.4 Texas Worker's Compensation Act (the Act) — Chapter 401 et seq of the Texas Labor Code, as amended. 2.5 Wage Continuation-- A City benefit is designed to provide an employee with the employee's approximate normal "take-home" pay while unable to work due to occupational injury or disease. Workers' Compensation Wage Continuation Policy Resolution 00-72 Page 2 2.6 Subro ation Rig is — To recover benefits paid to the employee that are received by the employee for injuries incurred as the result of the negligence of a third party. 2.7 Income Benefits--Benefits that equal 70% of the difference between the employee average weekly wage and the employee's weekly wage after the injury. An employee becomes eligible for income benefits on the eighth day of disability. 3.0 Statutory Benefits: 3.1. TWCC Benefits - An employee who sustains an injury at work may be eligible to receive benefits prescribed by the Act. These benefits include income benefits, medical benefits as reasonably required to cure and relieve the effects of the injury or occupational diseases, and/or death benefits. 3.2. Calculation of TWCC Benefits - State law currently provides that an employee will be eligible for weekly indemnity payments beginning on the eighth calendar day of lost time following an occupational injury. Weekly indemnity payments for compensable injuries are temporary benefits, which will continue until the doctor certifies that the employee has received maximum medical improvement. Weekly indemnity payments for compensable injuries are made in accordance with state law. 3.3 TWCC Benefits Waiting Period - Compensation benefits are subject to qualifications and a seven (7) calendar day waiting period. After 28 calendar days of lost time, and subject to qualifications, the seven-day (7) waiting period will be paid retroactively. 4.0 Wage Continuation Program: 4.1 Start Time for Wage Continuation Benefits - As worker's compensation benefits provide nothing to an employee during the first seven (7) calendar days, wage continuation will provide the employee with his or her regular pay for that period. Should an employee miss twenty-eight (28) or more calendar days due to occupational injury and receive payment for the first seven (7) days, the City will recoup the amount of this payment through payroll deduction. 4.2. Maximum Time for Wage Continuation Benefits - Subject to the provisions outlined below, an employee who sustains an injury in the course and scope of employment and who is eligible for Worker's Compensation benefits, shall be eligible for wage continuation benefits, separate and distinct from and in addition to worker's compensation payments. Wage continuation benefits shall automatically terminate at the expiration of ninety (90) calendar days from the date the employee is first unable to work. In special cases deemed meritorious by Workers' Compensation Wage Continuation Policy Resolution 00-72 Page 3 the City Manager, such as an employee's application for disability benefits is pending, wage continuation benefits may be continued for up to an additional 30 calendar days. In no event will wage continuation benefits extend past 120 calendar days for any injury, including any later aggravation, relapse, or re-injury. Upon exhaustion of wage continuation benefits, refer to additional benefits described herein. 4.3 Use of Accrued Leave - Once wage continuation benefits have been exhausted, the employee may begin, at his or her option, to use vacation, sick, and compensatory leave to supplement Income Benefits to provide the employee with the equivalent of their "take-home pay", until the employee is released for full- time or restricted duty. After all vacation, sick and compensatory leave have been exhausted, the employee will receive only the worker's compensation income benefits until he or she is released for regular or restricted duty. 5.0 Oualffications to Receive Wage Continuation Benefits: 5.1 Reporting On-the-Job Injury—Any employee who sustains any on-the-job injury, however minor, and who is physically able, must report the injury immediately as the injury is noticed or by the end of the work shift to the employee's immediate supervisor and receive such medical treatment as may be necessary. If the injured employee is unable to physically report his/her injury, it is the responsibility of their immediate supervisor to make the on-the-job injury report as soon after the injury as possible. 5.2 Temporary and Seasonal Employees -- Temporary and seasonal employees are eligible for Wage Continuation Benefits for the first seven (7) days of lost time in which Income Benefits are not paid. They are eligible for Worker's Compensation payments. 5.3 Income Benefits — An employee must be receiving income benefits from the City's workers' compensation insurance provider to be eligible for wage continuation. 5.4 Wage Continuation Benefits After Notice of Retirement or Resi ation — An employee who is injured after giving notice of retirement or resignation or after receiving notice that the employee is to be laid off or discharged shall not receive and shall not be eligible for wage continuation benefits beyond the date the retirement, discharge,resignation, or layoff is to be effective. 5.5 Examination b Ci Physician — The City Manager or his designee may require an injured employee, in addition to medical treatment secured by the employee under worker's compensation laws, to submit to examination and treatment at City expense by a physician or psychologist chosen or approved by the City of Workers' Compensation Wage Continuation Policy Resolution 00-72 Page 4 Southlake as a condition of receiving or continuing to receive wage continuation benefits. 5.6 Restricted duty — An employee who is injured must accept restricted duty assignments if cleared and authorized by the employee's attending physician. Restricted duty assignments are given to the injured employee if available. The duties will accommodate the injury of the employee to prevent further irritation of the injury. 6.0 Release and Subrogation of Ci Rights: 6.1 Release to Return to Work — Before reporting back to work, an employee must provide a written release to his or her supervisor from the attending physician. The release should indicate the employee's fitness to return to duty, stipulate the type of duty permitted, specify any physical restrictions, and the date of the employee's release from medical care. The employee's supervisor shall forward this release to the Human Resources Department. 6.2 Subrogation lights of Ci --The City has subrogation rights granted by law or contract for other benefits, including worker's compensation. Therefore, the City shall be subrogated to the rights of the injured employee or the employee's beneficiary as a third party to the extent of the injured employee's wage continuation benefit payments paid to the employee under this policy. 7.0 Inefi 'bili and Wage Continuation Benefit Termination: An employee may forfeit all rights to initial and/or further wage continuation benefits if the employee: A. fails or refuses to comply with, follow, disregard, or violate the treating physician's instructions regarding treatment and/or rehabilitation of the employee's injury. B. refuses to perform restricted, partial, or part-time duty when offered by the City of Southlake and which has been authorized by the treating physician. C. refuses to accept or perform a different job with the City when offered by the City Manager and which has been authorized by the treating physician. D. falsifies or misrepresents the employee's physical condition or capacity. E. refuses to return to duty on the workday they have been released by the treating physician. Workers' Compensation Wage Continuation Policy Resolution 00-72 Pare 5 F. fails to contact the employee's immediate supervisor weekly, and notify the division head of the employee's condition and expected return to work date. This must continue until a physician's statement is received which states or estimates the period of time the employee will be unable to perform duty. In addition, each time the employee sees a doctor for consultation or treatment, the employee must submit a progress report from the physician to the employee's department head and the Human Resources Department. G. has been injured as a result of the employee's blatant disregard for customary and established safety policies, procedures, or instructions as determined by the employee's Department Director or City Manager as a result of an investigation into the facts. H. is found to be working, either part-time or full-time and either for pay or as a volunteer or otherwise, for or on behalf of himself or herself or any other person, firm or corporation, or any other person, firm or corporation, or any other employer. I. retires, dies, resigns, or is discharged for any reason while receiving wage continuation benefits. J. is injured as the result of the employee's violation of any Federal, State or local law, ordinance or statute. K. Workers' Compensation income benefit terminates. L. fails to keep medical appointments or refuses to submit to an examination or to such diagnostic test, x-rays, surgical procedures, or other as a physician or psychologist prescribes or recommends as medically necessary to identify, diagnose, treat, or cure the employee's injured condition. M. is injured: 1. while engaged in horseplay; 2. intoxicated by alcohol, controlled substances, glue, dangerous drugs, aerosol paint; or similar substances; 3. in willful efforts by employee to injure self, 4. by an act of a third person to injure for personal reasons other than through workplace violence; 5. through an act of God (tornado, flood, etc.), unless employment leads to more exposure to risk than the general public; 6. through voluntary participation in off-duty recreational or social activities; or Workers' Compensation Wage Continuation Policy Resolution 00-72 Page 6 7. while participating in activities that would be detrimental to recovery or refusing to participate in activities that will aid in healing. 8.0 Sick LeaveNaca#ion Accrual: Sick leave and vacation benefits will continue to accrue at the normal rate for an employee who is receiving wage continuation benefits for a maximum of 90 days. After 90 days of leave, an employee will discontinue accruing vacation and sick leave. 9.0 Coordination with Long-Term Disabilily (LTD): If an employee's worker's compensation leave fulfills the waiting period for LTD benefits, then the employee may apply for LTD benefits. LTD benefits will coordinate with the worker's compensation benefits, and the Wage Continuation program. At no time will the employee's total compensation exceed the employee's salary prior to the work-related injury. Workers' Compensation Wage Continuation Policy Resolution 00-72 Page 7 RETURN TO WORK PHYSICIAN'S STATEMENT City of Southlake Name of Employee Date of Birth Title of Employee Name of Physician This statement is to determine the employee's ability to perform the physical requirements of his or her position. Please review the attached job description and indicate the employee's ability to perform the physical requirements of the job. If it is determined that the physical requirements may be performed with a reasonable accommodation, please indicate the necessary accommodation. This statement will be used to determine the employee's ability to safety and consistently perform the physical requirements of his or her job which may include enforcing and assisting with the safety and security of the public. This information will remain confidential. The employee's approval for the release of this information is indicated on the attached for Diagnosis of injury/disease Nature of treatment(including surgery and medications prescribed, if any) Please indicate the employee's ability to perform the physical requirements indicated below: Please complete all unless indicated by NIA on the frequency line. Frequency Duration Lifting or carrying 50 lbs.? Lifting or carrying 50- 100 lbs. Bending or stooping? Reaching above shoulder level? Driving equipment/vehicles? Operating heavy machinery? Working with machinery? Climbing ladders, stairs,etc.? Jumping/Stepping off equipment at heights up to 3 feet? Walking? Standing? Sitting? Exposure to extreme temperatures or humidity? Workers' Compensation Wage Continuation Policy Resolution 00-72 Page 8 Are there any other physical requirements of the employee's job that the employee cannot safety perform?(see attached job description) What modifications or accommodations can be made to allow this employee to perform the duties of his or her position: Would you certify this employee as able to return to full duty status and perform the physical requirements of his or her positions? Yes No If not,when will the employee be able to return to full duty status: Additional comments on the physical aspects of the job(limitations,therapy, etc.): Physician's Signature: Date: Printed/typed name: Address: Workers' Compensation Wage Continuation Policy Resolution 00-72 Page 9 EMPLOYEE'S AUTHORIZATION FOR RELEASE OF INFORMATION To Whom It May Concern: I, hereby authorize any hospital, physician, (employee's name) medical practitioner, or medically related facility to disclose or furnish to the City of Southlake any and all information with respect to the illness or injury in question for a release to duty. The information provided to the City of Southlake is to be used solely for the determination of a release to duty, light duty or modified work. A photostatic copy of this authorization is to be considered as valid as the original and is effective for the duration of the process. Date Employee's Signature Printed Cily of Southiake Personnel Policies Section: Basic Objectives and Policy Statements Topic: Technology Policy Effective Date: November 7, 2000 Approval: Resolution 00-97 Revision Date: 1.0 Purpose Set forth standards for the acceptable use of the technical systems for the City of Southlake. The intent is to clarify the acceptable use of these systems and provide examples of uses which are acceptable or unacceptable. This policy does not enumerate all the possible acceptable and unacceptable uses. 2.0 Scope The rights, responsibilities and limitations specified in this policy apply to all regular and temporary employees, contract personnel, and volunteers whose access to or use of the technology systems is funded by the City or is available through equipment owned by the City. 3.0 Definitions 3.1. Internet Use — Internet services include but are not limited to Internet e-mail, file protocol (FTP), web browsing, and newsgroups. 3.2. Objectionable/Improver Use of Langgage or Material — Offensive language, graphic representations, pictures, posters, calendars, graffiti, objects, promotional materials, reading materials, or other materials that threatening, obscene, sexually explicit, or disparaging of others. 3.3. Tech olo.gy Systems — Including, but not limited to, computer internet, e-mail, computer network systems, software, facsimile, cellular phone, pagers, and Cellular Digital Packet Data(CDPD). 3.4. Unacceptable Uses — a use that conflicts with City 's or the individual Department's purpose, goal, or mission or with an employee's authorized job duties or responsibilities (See Section 4.4 of this policy) or which, otherwise violates departmental policy or federal, state, or local law. 3.5. g1y—The City of Southlake 3.6. Sniffer Software — Software designed to analyze the ports, services, messages, and protocols used over the computer/network system. Page I Technology Policy Effective Date: 11107/00 4.0 Use of the City's Technolou Systems 4.1, Acknowledged City Rights—The technology systems are business tools provided by the City. The City has a legitimate interest in protecting confidential information, preventing the abuse of the systems, and maintaining employee productivity. Therefore, the City expressly reserves the right to monitor, review, and audit an employee's use of these systems at any time. By using the City technology systems, the user consents to City monitoring. 4.2. User/Ernployge Responsibilities--Employees are representatives of the City in all their communications. Responsible use of the City's technology systems requires discretion, professionalism and awareness of potential liability. Employees should be aware that when they are utilizing certain technology systems, they are creating City documents. Employees must understand at all times that communication and use of any of the City's technology systems are matters of public record under the Public Information Act and may be subject to discovery requests. 4.3. Acceptable Uses -- City employees are granted the privilege of using the technology systems only in an authorized or acceptable manner. Examples of acceptable uses include, but are not limited to, the following: a. Communication with federal, state, and local government personnel or agencies, and private businesses with which the City transacts or may transact business; b. Communication with the public regarding City-related issues/matters; c. Communication for administrative purposes; d. Acquisition of information related to, or designed to facilitate the performance of regular assigned duties; e. Communication for personal purposes in a manner which does not infringe upon the employee's or the department's productivity and is not otherwise unacceptable. 4.4 Unacceptable Uses -- City employees may not abuse their access to the technology systems. Abuse may consist of either excessive or unacceptable use. Generally, a use is unacceptable if it conflicts with the following: 1) the City of Southlake's purpose, goal or mission; 2) the individual Department's purpose, goal or mission; or 3) an employee's authorized job duties or responsibilities. Examples of unacceptable uses include,but are not limited to,the following: a. Excessive personal use of the technology systems. Personal use will be deemed excessive if, in the opinion of the employee's immediate supervisor, Page 2 Technology Policy Effective Date: 11107/00 the use detracts from the individual employee's or the Department's productivity; b. Use of technology systems for personal business operations (including storage of financial records/transactions) or to advertise or solicit finds for political, religious, or other personal causes; c. Communication for illegal purposes including, but not limited to: violating copyright laws; using, downloading, or copying unauthorized software; or accessing restricted systems; d. Interference with or disruption of network users, services or equipment including, but not limited to: damaging equipment, knowingly spreading viruses, impersonating another user, destroying communications systems or electronic files, or accessing a system without authorization unless accessed to monitor, review, and/or audit an employees use of the system as described in Section 4.1 of this policy; e. Access or distribution of any communication which may constitute or contain intimidating, hostile, pornographic, offensive or discriminating material on the basis of sex, race, color, religion, national origin, or disability. £ Transmitting, downloading, viewing or storing of material that is threatening, obscene, sexually explicit or disparaging of others based on race, national origin, sex, age, disability, religious or political beliefs; g. Downloading files with copyright protection (i.e. MP3 files). If any doubt exists regarding copyright status, employees should contact the copyright owner to obtain written permission; h. Downloading executable (i.e. .exe, .com, .nim) programs or operating system software on the network server without proper authorization; i. Harassing individuals; j. Obtaining unauthorized access to any computer system; k. Using another individual's account or identity without explicit authorization from that individual; 1. Distributing or storing chain letters, solicitations, or offers to buy; m. Activity used for personal gain, outside employment or other financial profit; n. Playing or downloading computer games; o. Gambling or playing a game for money or other stakes; Page 3 Technology Policy Effective Date: 11107/00 p. Participating in news feeds, real audio, "chat " rooms or services including real-time or instantaneous messaging types of services) unless specifically job-related. 5.0 Internet Use 5.1 The Department Director has the authority to restrict Internet accessibility for any employee. 5.2 Assigned Login/Password — When accessing the Internet, employees may use only assigned login and password and do not have authority to use another person's account without that person's permission. 5.3 Encouraged Interest Use —The use of the Internet for those activities listed under Acceptable Uses (section 4.3) of this policy are encouraged. 5.4 Downloading Files — Employees shall show extreme caution when downloading files from the Internet to ensure that all data is free from viruses. 5.5 Personal Internet Use—Limited or incidental use of Internet services for personal use is acceptable. Such use must be infrequent and must not: a. Involve any activity listed in Section 4.4 of this policy; b. Interfere with the productivity of the employee or any co-worker; c. Involve downloading files onto the network that are not work related. 5.6 Public Scrutiny — Internet usage must be able to survive public scrutiny and/or disclosure. Except for use as a resource in criminal investigations, users must avoid accessing sites that may bring the City into disrepute or conflict with its ethics policy. 6.0 Electronic Mail 6.1 Confidential E-mail — Confidential or sensitive information shall not be transmitted by e-mail, which can be intercepted or otherwise received by unintended recipients. Written memorandum or personal conversation should communicate such information. 6.2 Ob'ectional E-mails — The City's e-mail network shall not be used to send objectionable, obscene, vulgar, racist, sexual, or harassing messages, as described in Section 4.4 of this policy. 6.3 Mailing Lists -- Employees shall not subscribe to any form of mailing list that creates an excessive volume of messages. Page 4 Technology Policy Effective Date: 11/07/00 6.4 Use of Signatures — Employees shall not send an e-mail message that uses someone else's name or signature, unless such activity has been authorized. 6.5 Use of other Employees E-mail -- Employees shall not attempt to read, delete, copy, or modify the e-mail of other Employees, except when such activity has been authorized. 6.6 City Property—E-mails sent or received from or to City-owned computers are the property of the City. All e-mails are subject to review by the department director or their designee or Technical Services at any time to ensure compliance with city policies on other laws or regulations, as described in Sections 4.1 and 4.2 of this policy. 6.7 E-mail Response—Employees should attempt to respond to all business-related e- mail messages within the same workday if possible or by the next workday at the latest. In the event of a planned extended absence for the office, employees should activate the Auto Reply feature of the system to ensure that a timely response is sent. 6.8 Deleting_E-mail -- When possible, all e-mail messages should be deleted after review. The e-mail system should not be used for archiving purposes. Important messages should be saved to the hard drive or personal directory and deleted from the e-mail system. 7.0 Computer/Network System 7.1. Interference of Com uter/Network Svstem — Under no circumstances shall users interfere with or interrupt other's access and use of the City computer system. Examples of such interference include, but are not limited to: a. Sending e-mail chain letters or excessive messages. b. Printing excess copies of documents, files, data or programs. c. Modifying system facilities, operating systems, or disk partitions. d. Intentionally damaging or vandalizing City computing facilities, equipment_, software or computer files. e. Intentionally altering/withholding password access from Systems Administrator (this restriction does not apply to the actions taken by the systems administrator). 7.2 Utilization of Computer/Network System — Employees shall utilize City computer/networking resources for acceptable uses outlined in Section 4.3 of this policy. Unacceptable uses are outlined in Section 4.4 of this policy. 7.3 Unauthorized Devices — Employees shall not connect or disconnect any unauthorized device to or from the network. Page 5 Technology Policy Effective Date: 11/07/00 7.4 Monitoring Networks --- Employees shall not monitor any network by any means including sniffer software. 7.5 Altering Operating System Software — Employees shall not alter such as operating system software settings or configuration under any circumstances. 7.6 Computer Games -- Employees shall not install or operate computer games on City-owned machines, 7.7 Disruptive Programs—EmpIoyees shall not intentionally develop or use programs that disrupt other computer users or which access private or restricted portions of the system and/or damage the software or hardware components of the system. Computer users must use great care to ensure that they do not use programs or utilities which interfere with other computer users or which modify normally protected or restricted portions of the system or user accounts. 7.8 Technology Purchases — Employees shall ensure that all technology/telecommunication related purchases are coordinated with the system administrator prior to the actual purchase. 7.9 Copyrights -- Employees, working with system administrator, should ensure that only legal versions of copyright protected software are used in compliance with vendor license requirements. Employees shall not make, use, or share illegal copies of copyrighted software, store such copies on City systems, or transmit them over City networks. 7.10 New Software — New software can only be loaded onto a computer under authorization of the system administrator 7.11 Software Storage— Software programs are to be stored in areas designated by the system administrator. 7.12 Copies — Employees may not make copies of files without the permission of the publisher or producer or if the software is Public Domain(non-copyrighted). 8.0 Facsimile 8.1 Cover Sheet— All facsimiles sent outside of the City should contain a transmittal cover sheet. Identified on this sheet shall be the City's logo, City web address, senders name, date, sender's fax number, sender's phone number, total number of pages included, name of the fax recipient, company that the recipient represents, recipient's fax number, recipient's phone number and reason for the facsimile. 8.2 Sending Facsimiles — Employees shall not send a facsimile that uses the name of another person as the originator unless otherwise authorized by that person. Page 6 Technology Policy Effective Date: 11/07/00 8.3 Received Faxes --- In general, received faxes should be forwarded to the intended party as soon as possible. Employees shall not read, modify, or delay delivery of facsimiles received by other employees. 8.4 City Property — However, facsimiles sent or received from or to City-owned machines are the property of the City of Southlake. All facsimiles are subject to review as described in Section 4.1 of this policy. 9.0 Mobile Telephone Use 9.1 Mobile Telephone Usage---Employees will be assigned mobile telephones for use when it is necessary to conduct business in a timely and efficient manner. The use of technology, such as mobile telephones, has been an important aspect of ensuring timely and professional service delivery. However, judicious and appropriate use of this technology is critical since city employees have the responsibility to provide service to the community in a fiscally responsible manner. This policy provides guidelines for the prudent use of city-issued mobile telephones 9.2 Appropriate Use — City employees are authorized to use city-issued mobile telephones for bona fide City of Southlake activity in instances where there is a need to communicate, but where no other reasonably effective or efficient means of communication is readily available. Examples of appropriate use include, but are not necessarily limited to: a. Communication on city business matters between employee and supervisor or other city personnel when the employee is in the field or otherwise away from city offices; b. Communication between the employee and a customer, when such communication is the most practical means of providing service; c. Communication with a vendor, contractor, or other service provider, when such communication is the most practical means of providing service or assistance to a resident, resolving a complaint, or otherwise conducting city business and when such communication is the most practical means of achieving the immediate objective; d. DPS communication as described in the general orders manual; and e. In emergencies when other means of communication are not available. 9.3 Initiating/Receiving Calls - The following are acceptable methods for initiating or receiving calls on city-issued mobile phones: a. Direct Dial — This is the most desirable method of conducting approved mobile phone communication. b. Incoming Calls -- Employees receiving telephone calls have few means by which to determine the nature of the call until it has been received. This means of communication is acceptable, provided that employees take the Page 7 Technology Policy Effective Date: 11107/00 responsibility for notifying any caller of the limitations in the use of mobile phones and discontinue any call which are outside the parameters of acceptable mobile telephone use. c. Operator-Assisted Calls—Employees should only initiate operator or directory assistance for placing calls when no other option exists for carrying out the duties of their job. d. Lona Distance Calls — Long distance calls are conducted under the same parameters established for standard local calls; however, such calls should only be placed when an operational necessity exists. Employees should refrain from placing long distance calls on city-issued mobile telephones unless a documentable business necessity exists; provided, however,that occasional use for other purposes is acceptable when the employee reimburses the City for any charges incurred. d. Roaming Charges—Employees should refrain from incurring roaming charges, unless business necessity dictates use of the mobile phone outside the service area. 9.4 EmWoyee to Employee Communication Using_Mobile Telephones — The use of mobile telephones by two employees (sending and receiving) to conduct city business is discouraged when the City incurs additional charges for these calls. City employees should refrain from using mobile phones as a means of communicating with other city employees in lieu of other city-provided communication tools. For example, employees are encouraged to use radios, pagers or other communication methods as necessary. 9.5 Maintenance -- Mobile telephones may be assigned to an individual, placed in a specific vehicle or used through a pool. Employees who are personally assigned a mobile telephone, use a telephone located in a vehicle, or assigned a telephone through the pool are responsible for its care. When a telephone fails to perform properly, the user should report the problem immediately to his or her supervisor. Maintenance requests will be handled as quickly as possible, and a substitute phone will be provided as necessary. 9.5 Removal of Mobile Telephones from Assigned.Vehicles — Employees should only remove mobile telephones from assigned vehicles when it is necessary to efficiently conduct city business. Employees are responsible for returning the telephone to the appropriate vehicle in a timely manner. Employees should remove the mobile telephone from their vehicle when it is transported to any service or repair facility. Upon the return of the vehicle, the employee is responsible for ensuring the appropriate return of the mobile telephone to the designated vehicle. Page 8 Technology Policy Effective Date: 11/07/00 Employees should refrain from adding, removing, or exchanging component parts; affixing or removing any specific markings, or modifying any functions or special key operations without the prior approval of his or her supervisor. 9.7 Personal Use of Mobile Telephones — Personal use of city-issued mobile telephones in marked city vehicles is prohibited. Personal use of telephones issued to individual employees is discouraged but not prohibited, however, payment of charges incurred for personal calls is required. Excessive personal phone calls during regular business hours is discouraged for all employees. 9.8 Employee Responsibility — Employees assigned cellular phones, either temporarily or full-time, are responsible for appropriate use and safekeeping. In the event of loss or damage, employees must provide immediate notification of such loss/damage to their supervisor. Employees may be financially responsible for such loss/damage if they are unable to show reasonable care. 9.9 Hands Free TechnolM—Using a mobile phone while operating a motor vehicle is discouraged. Employees are encouraged to use "hands free" technology when operating a motor vehicle. 10.0 Mobile Data Terminal(MDT)/Mobile Data Computer(MDQ ,Use 10.1 Instructions for Usa e — Instructions for using the MDT/MDC are published in the manufacturer's MDT/MDC operation guide. Copies of this material are available to each member of the Department of Public Safety through the Training Coordinator in order to become familiar with the MDT/MDC operations. 10.2 Signing On/Off— Personnel are responsible for signing on at the beginning of their tour of duty and signing off at the conclusion of their tour of duty. 10.3 Passwords — Personnel are charged with the responsibility for maintaining security of their password code. Personnel refrain from sharing their password code with unauthorized persons. The Manager of Information Services (MIS) maintains a secured log of passwords assigned to all Department of Public Safety personnel. The MIS director designates authorization for access to such passwords. Passwords are assigned, changed, or deleted only by approval of the MIS director. 10.4 Governing Rules and Laws — All rules and laws that govern radio transmissions are applicable during MDT/MDC operations. Departmental directives that contain applicable TCIC/NCIC guidelines apply to the operation of the MDT/MDC. Information obtained by operation of the MDT/MDC is maintained as confidential information in accordance with the law. 10.5 Message Restrictions—The MDT/MDC is restricted to messages and inquiries for Southlake Department of Public Safety job purposes only. Any "TO" message that is personal in nature is inappropriate. Messages are sent using only Page 9 Technology Policy Effective Date: 11/07/00 appropriate, professional terminology and/or common abbreviations. Messages sent through the MDT/MDC are to be as brief and concise as possible. 10.6 Documentation of Transmissions —A computer record of all MDT transmissions is stored at North Richland Hills Police Department. Transcripts of all MDT traffic are accessible and made available by North Richland Hills Police Department only upon authorized request. Periodic administrative audits are conducted by the Patrol Lieutenant to ensure compliance with this directive. A computer record of all MDC transmissions is stored at the Southlake Department of Public Safety. Transcripts of all MDC traffic are accessible and made available by MIS only upon authorized request. Periodic administrative audits are conducted by the Patrol Lieutenant to ensure compliance with this directive. If officers need to request information or documentation, these requests are forwarded through the shift sergeant to the Police Lieutenant 10.7 Use While_Operating a Vehicle — When a Department of Public Safety vehicle is operated as a single personnel unit, the operation of the vehicle takes priority over the operation of the MDT/MDC. If the vehicle contains two personnel, the non- driver serves as the primary MDT/MDC operator. Vehicle operators are responsible for the safe handling of the departmental vehicle. The operation of the MDT/MDC does not serve as a mitigating justification in the event that an accident occurs involving departmental vehicles. 10.8 MDT/MDCOperations — While undertaking MDT/MDC operations, personnel are to maintain a conscious awareness of their surroundings, remain alert to potential hazards, and practice safe tactics. 10.9 Maintenance — The maintenance of the base unit of the MDT system is the responsibility of the North Richland Hills Police Department. The maintenance of the base unit of the MDC system is the responsibility of the MID department of the City of Southlake. Maintenance of peripheral units is conducted in accordance with contracts as established by mutual agreement between or among North Richland Hills Police Department, the City of Southlake, Motorola Inc. and any other organization. Requests for repair service are forwarded to the shift Sergeant who reviews the request and contacts the appropriate repair facility to schedule the needed maintenance/repairs. 11.0 Computer System Maintenance Page 10 Technology Policy Effective Date: 11107/00 11.1 Audits —An audit of the City's records computer system is conducted annual by the Manager of Technical Services or an authorized designee. The audit maintains verification of all passwords, access codes, and/or access violations. The annual audit is routinely performed in January, and the records of the audit are sent to the Assistant City Manager for review and retention. 11.2 Computer File Back-up—The main file server containing personal network drives plus AS400 is backed up on a daily basis in accordance with retention laws devised by the State of Texas and the City Secretary. Back-up tapes are on a 30 day rotation, at the end of the rotation (one month) each tape is placed in the City archives. 11.3 Computer File Storage—All computer media, tapes, disks and/or drives are stored in an off-site secure environment. 11.4 File Destruction—All City software contains password protected functions which allow for court ordered expunction of files and/or records. City Records personnel are responsible for the process of expunction, which is reviewed by the Manager of Technical Services. Any media, disks, tapes, printed material, and/or computer drives which are deemed no longer needed for business operations shall be destroyed in an appropriate manner. 12,0 Violation of Policy Any violation of this policy may be subject to disciplinary action, including but not limited to the loss of access and other privileges, and/or termination of employment. Pape 11 CITY OF SOUTHLAKE TRAVEL POLICY I. PURPOSE The purpose of this Travel Policy is to establish regulations for the allowances of Travel Expenses related to City Business. Authorized travelers should neither gain nor lose personal funds as a result of City-related business expenses incurred on behalf of the City of Southlake (City). II. APPLICABILITY, RESPONSIBILITY AND AUTHORITY A. This policy applies to all City employees,volunteers, board appointees and City Council elected officials acting within an official City capacity (traveler). 1. The traveler and Authorized Approver(Approver) are responsible for understanding the provisions of this policy and conformance to the regulations. 2. Additionally, Approvers are responsible for authorization of Travel and to ensure Budgetary Requirements are met prior to spending funds for Travel. If Budgetary Requirements are not met, Approvers may deny authorization for City Travel,Travel Advances and Travel allowances. a. In accordance with Section 2.05 of the Home Rule Charter of the City of Southlake, City Council elected officials are entitled to reimbursement for expenses in the performance of their specific duties when approved by the Council. 3. Finance Administration (Finance) is responsible for administering the requirements of this policy, including issuing administrative procedures to accompany it. 4. Department Directors will provide oversight for adherence to the policy. B. A traveler's signature certifies the accuracy of all information and the justification of the Travel and expenses incurred during authorized Travel dates. The approval signature certifies the Travel was necessary and that requested allowances have been reviewed, authorized, and are within this policy's requirements. C. Unless specified otherwise, exceptions to this policy must be approved by the City Manager. III. DEFINITIONS See Defined Terms IV. ADMINISTRATIVE POLICY A. The City will pay all reasonable and necessary Travel Expenses related to City Business, if funds are available. B. Air, lodging and rental car arrangements must be made through a Purchasing Liaison (PL) using a City Procurement Card (P-Card). When making Travel arrangements, the PL may utilize the State Travel contract or most economical manner. C. Except for Mileage-Only expenses, travelers on City Business must have prior authorization in order to receive allowances for expenses. City of Southlake-Travel Policy Page 1 D. Approved Travel Plan and Authorization (TPA) and Travel Reimbursement form must be completed and submitted to Finance within the times specified within this policy. Failure to comply within the times specified within this policy may result in an Outstanding Travel Claim. E. Travel Expenses are open to the public pursuant to the Texas Public Information Act and must be able to sustain the test of public review. A traveler has a Fiduciary Responsibility to safeguard the public trust and the use of taxpayer dollars when making Travel arrangements. Therefore, travelers and Approvers are expected to complete Travel documentation while recognizing they are subject to public scrutiny and the use of public funds should be transparent. F. Official procedures and forms for this administrative policy have been adopted as part of this policy and are maintained on the City's intranet site. V. GENERAL REQUIREMENTS A. Travel Expenses include all reasonable and necessary expenses related to City Business. The use of City funds to accommodate personal comfort, preference or convenience is not permitted. B. The TPA and Travel Reimbursement form must be completed for each traveler. C. A traveler may not pay for another traveler's expenses while on Travel, including meals. 1. Unless specified otherwise, exceptions to this policy must be approved by the City Manager. D. Itemized Receipts and appropriate documentation will be required regardless of payment method as provided within this policy. E. At times,travelers may have expenses incurred as an officer, board member or presenter for a professional organization. The City will pay allowable expenses. However, an effort to have the requesting organization reimburse a portion or all of the expenses incurred is encouraged. The City must be reimbursed directly by the Third-Party Organization. 1. When a Third-Party Organization has offered to reimburse expenses, the Expenses to be Paid by a Third- Party Organization form must be completed prior to Travel. F. Expenses of accompanying spouses, dependents or others are the responsibility of the authorized traveler and are not reimbursable. See also Section X, Non-Reimbursable Expenses. G. Travel reservations should be made as far in advance as possible to obtain the most reasonable prices. travelers should justify the mode of Travel on the basis of the most economical use of time, the cost of the various Travel options and the requirements of the trip. H. Travel that does not require an Advance must be approved within five (5) business days from the Travel start date. 1. All Travel must have prior approval by an Approver. I. If the traveler does not have a P-Card, a Travel Card will be issued for M&IE and ground transportation. See Section XII, Travel Card. City of Southlake-Travel Policy Page 2 1. The Advance issued on the Travel Card will be determined by the TPA. The first and last day of Travel Meals and Incidental Expenses(M&IE) are calculated at 75%of the daily per diem rate set by the US General Services Administration (GSA). 2. Travel Card requests must be submitted to Finance within ten (10) business days from the Travel start date. J. Vacations or personal trips in conjunction with Travel require prior authorization, and the expenses incurred in connection with such,which are not related to City Business, are not reimbursable. K. Failure to meet the requirements of this policy may be considered unsatisfactory work performance and is subject to disciplinary action as outlined in the City of Southlake Employee Handbook. Other applicable administrative practices and policies, including the reporting of injuries, accidents or illness, are in force during Travel. While on Travel, if clarification of, and/or assistance with, existing policies and procedures is needed, the traveler should contact their Supervisor. L. Travel outside the continental United States requires prior approval by the City Manager. VI. REIMBURSEMENT REQUIREMENTS A. All Travel Claims for reimbursement must be documented on the Travel Reimbursement form. The Travel Reimbursement form and supporting documentation must be completed and submitted to Finance within five (5) business days from the Travel return date. B. Itemized Receipts for M&IE are required for each traveler's related expenses. See GSA per diem rate for the daily maximum allowable M&IE. C. Meal reimbursements will be paid in accordance with the specific meal allowance found under Section IX, Meals and Incidental Travel Expenses(M&IE) of this policy. D. Travel Advance and/or reimbursement requests may be denied if there are any Outstanding Travel Claims against the traveler. E. Travel Expenses reimbursable by any Third-Party Organization must be included on the Travel Reimbursement form. Until the Travel expenditure refund is received, all expenditures will be recorded within the requesting department's operating budget. F. The City will not reimburse any claim for Travel or related expenses without prior Travel authorization. VII. TRANSPORTATION The mode of transportation authorized should provide the most practical, cost-effective and economical use of time, based upon the requirements of Travel. Itemized Receipts for related transportation expenses are required. A. City Vehicle 1. The City provides vehicles that are available for City-related Travel. The use of a City vehicle is encouraged, if available. City of Southlake-Travel Policy Page 3 2. Gasoline, parking, tolls and emergency repairs to City vehicles are allowable expenses by the City. When possible, gasoline and service should be obtained from City facilities. 3. Non-City employees are not permitted in City vehicles unless on official City Business or prior approval. B. Privately-Owned Vehicle (POV) 1. If a traveler elects to Travel by POV rather than other means,the total transportation expenses reimbursed, including meals and lodging, may not exceed the cost of the most economical Travel mode available. a. Documentation is required to support the cost of the most economical mode of transportation. 2. If the traveler receives a car allowance and chooses to use a POV, mileage reimbursement is not permitted. 3. Reimbursement of POV expenses (in accordance with item B-1 above) are at the standard mileage rate, as set forth by the Internal Revenue Service, for miles traveled on official City Business, plus parking and toll fees when documented, in accordance with this policy. a. Travelers will not be reimbursed for automotive repair or breakdowns when using a POV. b. If a POV is used, only one (1) authorized traveler, per POV, may claim reimbursement for mileage. 4. When City-related Travel is from home directly to the destination without going to the workplace, and the traveler does not receive a car allowance,the traveler will be reimbursed for the distance from the workplace to the destination. 5. In cases where reimbursement for mileage is requested only, a Mileage-Only Expense Report is required. Driving directions using the most direct route that shows the distance in miles to and from the destination are required to be submitted. 6. The City's Travel Policy does not apply to one's normal commute. 7. Fees for storing or parking a POV will be reimbursed with a receipt. C. Rental Vehicles 1. The use of a rental vehicle is generally not permitted unless it is approved in advance and justified as a reasonable need. The rental vehicle chosen must be the most reasonable available, given the purpose for which the vehicle will be used. While on Travel together, travelers should share vehicles to minimize costs. a. Car rental arrangements must be made through a PL using a P-Card. When making Travel arrangements, the PL may utilize the State Travel contract or most economical manner. 2. The City will not provide additional pay for the use of a rental car to accommodate family members or non-business associates while on Travel with the authorized traveler. City of Southlake-Travel Policy Page 4 3. The acceptance of optional insurance for collision and comprehensive coverage by a traveler is not an allowable expense. The TML insurance provided by the City includes rental cars; Certificates of Coverage can be obtained from Finance prior to Travel. D. Public Transportation 1. The use of taxicabs, shuttle services, buses and public conveyance are encouraged. Tips are reimbursable when receipts are provided. 2. Other allowable transportation expenses include: ferry, road, tunnel and bridge tolls and parking charges. Receipts are required for reimbursement. 3. Reasonable effort must be made to obtain the most economical transportation to and from the airport. E. Air Travel 1. Air Travel arrangements must be made through a PL using a P-Card. When making Travel arrangements, the PL may utilize the State Travel contract or most economical manner. 2. If a traveler misses their flight due to unrelated City Business, any expenses incurred will be at the traveler's expense. 3. The City will allow for the cost of one(1) piece of luggage, with a receipt, if the airline charges to check luggage. a. The traveler is responsible for any additional fees charged by the airline if the bag exceeds weight or size limits. 4. The most economical available seat at the time of purchase must be chosen. Personal comfort, preference or convenience will be at the traveler's expense. 5. Travelers may not pay for another traveler's expenses during Travel, including baggage fees and the like. VIII. LODGING A. Lodging expenses are allowed when Travel exceeds one day and the destination is more than 75 miles (one- way)from the City. Itemized Receipts are required. 1. Lodging reservations must be made through a PL using a P-Card. When making Travel arrangements, the PL may utilize the State Travel contract or most economical manner. 2. Lodging expenses include the cost of lodging and any applicable taxes and fees. B. Separate rooms are permitted for each authorized traveler. C. If reserved accommodations are no longer needed, it is the responsibility of the traveler to ensure the room is canceled in accordance with the cancelation policy of the lodging entity. 1. If reserved accommodations are canceled by the traveler due to personal comfort, preference or convenience,the traveler is responsible for any expenses incurred if accommodations are not canceled in accordance with the cancelation policy of the lodging entity. City of Southlake-Travel Policy Page 5 D. Allowances for lodging expenses are not authorized for non-commercial lodging facilities, such as a relative or friend. IX. MEALS AND INCIDENTAL TRAVEL EXPENSES (M&IE) The daily maximum allowable M&IE includes the cost of meals and incidental expenses calculated using the rates set by the GSA. Travelers may receive an Advance for M&IE during authorized Travel. The zip code of the Travel destination will be used to determine the daily maximum allowable M&IE rate. The first and last day of Travel M&IE are calculated at 75% of the daily per diem rate set by the GSA. Itemized Receipts are required. A. Meals 1. For full-day Travel, meals are limited to the daily maximum allowable meal expenses rate set by the GSA. a. One (1) meal is permitted for One-Day Travel status with no overnight stay. b. Alcoholic beverages are not allowable expenses. 2. For longer than One-Day Travel, expenses will not be allowed for meals purchased less than 75 miles from the City. 3. A registration fee that includes a meal(s) is not subject to the meal allowance. 4. Unless the conference agenda includes an entertainment event, meals purchased at entertainment venues are not reimbursable. 5. While on Travel, a traveler may not pay for another traveler's meal—including authorized travelers or spouses. When possible, only meal expenses for the traveler should be included on the itemized receipt. 6. Groceries require prior approval and are limited to remote locations, as approved by the Chief Financial Officer. B. Incidental Expenses 1. For full-day Travel, incidental expenses are limited to the daily maximum allowable IE Rate set by the GSA. 2. Gratuities and tips for services for which a tip is customary, including, but not limited to taxis, shuttles and baggage handlers are reimbursable with a receipt. 3. Incidental expenses include, but are not limited to: non-meal tips, gratuities and hotel baggage checking/handling. X. NON-ALLOWABLE EXPENSES A. Expenses including, but not limited to the following,will not be allowed: 1. Alcoholic beverages City of Southlake-Travel Policy Page 6 2. Personal toiletry articles, medicines or other personal convenience items(hotel minibar or other) 3. Airline or trip insurance, passports or money orders 4. Loss of funds or loss/damage to personal belongings 5. Childcare, eldercare, babysitting or pet care costs 6. Barber or salon services 7. Gum, candy, cigarettes or other tobacco products 8. Penalties (airline or other) 9. Personal entertainment not related to the conference such as movies, cable fees, health clubs or golfing 10. Parking or moving violation fines, bail or legal fees 11. Donations 12. Medical expenses (Human Resources will need to be contacted if a work related injury occurs while on Travel) 13. ATM or banking service fees XI. PROCUREMENT CARD A. If the traveler has been issued a P-Card, it must be used for all expenses while on Travel. Use of the P-Card must comply with both the Purchasing Policy and the Travel Policy. The P-Card may be used for official purchases including lodging, transportation or other justifiable City-related Travel Expenses. B. Any expenses over the daily maximum M&IE allowance must be reimbursed by the traveler within five (5) business days from the Travel return date. The P-Card must not be used for items such as non-reimbursable expenses or personal items. See Section X, Non-Reimbursable Expenses and the Purchasing Policy. C. As a governmental entity, the City of Southlake is sales tax exempt. However, hotel and meal taxes during Travel are allowed. XII. TRAVEL CARD A. If the traveler does not have a P-Card, a Travel Card will be issued for M&IE and ground transportation. 1. The Advance issued on the Travel Card will be determined by the TPA form. The first and last day of Travel M&IE are calculated at 75%of the daily per diem rate set by the GSA. 2. Travel Card requests must be submitted to Finance within ten (10) business days from the Travel start date. a. For Travel less than a 48 hour notice, please contact Finance for Travel arrangement options. B. Travel Cards may not be requested, nor will they be provided for non-Travel purposes. C. Employees with a City P-Card may not request a Travel Card. City of Southlake-Travel Policy Page 7 D. A Travel Card request may be denied for reasons including, but not limited to, Outstanding Travel Claims, excessive amounts requested, insufficient processing time or incomplete request forms. Travelers with an Outstanding Travel Claim will not be permitted additional Advances. E. Travel Cards must be returned to the City if the trip is canceled or shortened for any reason within five (5) business days of the cancelation or trip shortening. Purchasing must also be notified. F. Itemized Receipts for allowable Travel Card expenses must be submitted. G. Travel Cards or any amount due to the City must be paid within five (5) business days from the Travel return date. XIII. OTHER ALLOWABLE EXPENSES A. When reasonable and necessary expenses are incurred by a prospective employee, approved expenses by the City Manager will be reimbursed in accordance with the City's Travel Policy. B. Unless contract requirements state otherwise, consultants and other vendors with the City may only charge the City for business-related Travel Expenses incurred in accordance with the City's Travel Policy. XIV. REIMBURSEMENT OF PAYMENT FROM TRAVELERS All unauthorized, improper, duplicate or mistakenly paid P-Card or Travel Card charges must be immediately reimbursed by the traveler to the City. Failure to do so may result in disciplinary action, as outlined in the City of Southlake Employee Handbook, if still unpaid past fourteen (14) business days of being notified of the need to reimburse. XV. POLICY ACKNOWLEDGEMENT It is the traveler's responsibility to read and comply with the provisions of the Travel Policy. The traveler has the right to ask questions about the policy; any questions should be directed to Finance. Violations of the policy may result in disciplinary action up to and including dismissal for City employees, and as to all travelers, curtailment of travel Advances and reimbursements. Approved: by City Council, 11/17/2015 Supersedes: Personnel Policies, Compensation, Travel Policy, 12/3/1996 City Council Expense Policy City of Southlake-Travel Policy Page 8 DEFINED TERMS Advance: Funds provided to a traveler prior to Travel. Authorized Approver: An individual designated by City Council elected officials, the City Manager, Department Director or designee with the authority to approve Travel related expenses. Budgetary Requirements: Funds that are set aside specifically for Travel purposes. City Business: Purpose of Travel is directly related to one's job. Fiduciary Responsibility: The responsibility of every City representative to safeguard the public trust and the use of taxpayer dollars. Groceries: Food items purchased for multiple meals or multiple days. Incidental Expenses(IE) Rate: Daily rate set by the US General Services Administration (GSA). It is a breakdown of the Meals and Incidental Expenses Rate (M&IE rate), and provides the cost of allowable incidental expenses for a specific area. The expenses are for gratuities and tips for services (i.e.taxis, shuttles, baggage handlers, etc.). Itemized Receipt: Receipts must include business name, date, items purchased, price of each item and total. Meals and Incidental Expenses(M&IE): Includes the allowable cost of meals and incidental expenses based upon the rate set by the US General Services Administration (GSA). Mileage-Only: Reimbursement for various errands related to City Business for those travelers without a car allowance. One-Day Travel: A Travel status given if Travel does not include an overnight stay, but requires more than four(4) hours away from the workplace. Traveler will be leaving from home and returning home the same day. Outstanding Travel Claim: Traveler owes the City funds from a previous trip and that is still unpaid more than fourteen (14) business days of being notified of the need to reimburse. Privately-Owned Vehicle: Vehicle not owned or leased by the City. Procurement Card(P-Card): City-issued bankcard used as a payment tool authorized by City staff for official City Business. The use of the P-Card is a substitute for a purchase order,which is a promise to pay, using City funds. All purchases must comply with the Purchasing Policy and Travel Policy. Purchasing Liaison: A purchasing and Travel expert selected by each department to receive regular training regarding any changes or updates to the Purchasing Policy,Travel Policy and related SOPS. The liaison will have access to book Travel using the State Travel contract and will have the resources to obtain the most economical form of Travel for their department. Third-Party Organization: A professional organization the City representative is affiliated with, other than the City. Travel: Includes expenses for conferences, conventions, workshops, seminars, educational and training courses, forums, and other business activities related to the administration of municipal government that includes One-Day Travel or an overnight trip. Travel Card: A temporary purchasing card only used for approved Travel-related purchases,for those individuals that have not been issued a Procurement Card (P-Card). City of Southlake—Travel Policy—Defined Terms Page 9 Travel Claim: An approved Travel Plan and Authorization (TPA), where the traveler has incurred expenses. Travel Expense: Ordinary and necessary expenses for Traveling away from home on City Business. Travel Reimbursement: A request for eligible Travel Expenses due to traveler. Travel Plan and Authorization (TPA): A request to Travel. Traveler and Purchasing Liaison have planned their Travel Expenses in advance;those Travel Expenses will be authorized based on budgeted funds. US General Services Administration (GSA): Government Agency that sets the Meals & Incidental Expense (M&IE) rates for US Federal Government agencies. City of Southlake—Travel Policy—Defined Terms Page 10 City of Southlake ADMINISTRATIVE PROCEDURES FOR IMPLEMENTATION OF THE "DRUG-FREE WORKPLACE POLICY" TABLE OF CONTENTS Page A. General Procedures I B. Pre-employment Testing Procedures 1 C. Accident Testing Procedures 2 D. Reasonable Suspicion Testing Procedures 3 E. Drug/Alcohol Testing Procedures 4 F. Proceudre to Insure Confidentiality 5 G. Drug-Free Workplace Program Phase-in Procedures 6 H. Amendments 7 Established Levels for Detection of Drugs/Alcohol 8 Drug Free Workplace Administrative Procedure Effective Date: August 1991 Pagel Administrative Procedures for Implementation of the "Drug-Free Workplace"Rules August 6, 1991 These procedures are designed to implement the "Drug-Free Workplace" Policy and facilitate its day-today administration. In the event of a conflict between the policy and procedures, the policy and not the procedure shall apply. A. General procedures for implementation of the "Drug-Free Workplace" Policy 1. The Policy shall be administered to promote a safe, healthy, and productive work environment. 2. Supervisors who identify an employee possessing drug paraphernalia shall seek confirmation from the Southlake Police Services Division before taking any disciplinary action. B. Pre-employment Testing Procedures All persons considered eligible for positions with the City of Southlake shall be required to flake a urine test for detection of drugs as a part of the routine physical exam before they are placed on the payroll as employees. 1. All job postings shall contain the following statement: a. "The City of Southlake is mandated by federal law to provide a drug-free working environment for the safety of its employees and the public. b. In order to provide a drug-free working environment, the City of Southlake will require each applicant for employment to produce a urine sample to be tested for the presence of certain drugs. This sample will be required at a time when the applicant is seriously considered for employment. C. A refusal to produce the sample, or any attempt to tamper with the sample or the test or a positive sample indicating the presence of drugs will result in automatic disqualification from employment." 2. An applicant will execute a written consent form before he/she is sent to the medical facility for the physical examination and urine test. 3. The City will inform all applicants that an offer of employment is contingent upon the results of the physical examination and the urine test. No person will be placed on payroll or otherwise allowed to report to work unless the test results have been received and are not positive for the presence of drugs above the allowable levels. Drug Free Workplace Administrative Procedure Effective Date: August 1991 Paget 4. If the test for drugs is positive, the City shall show the applicant the results of the test and inform the applicant that he/she is disqualified from employment with the City of Southlake. C. Accident Testing Procedures The immediate supervisor or department head may require any employee who has sustained an injury, who was involved in an accident, or who was involved in an unsafe act during Working Hours, to submit to a urine and or blood test for drugs and alcohol in the following situations: 1. When an accident or incident occurs where safety precautions were violated, unsafe instructions or orders were given, or unusually reckless acts were performed. 2. When a supervisor believes that an employee was in the immediate vicinity of an accident or incident and may have caused or contributed to the accident or incident through an unsafe act. 3. Employees in the immediate vicinity of an accident or incident who may have caused or contributed to the accident or incident through an unsafe act may be required to submit to a urine and/or blood test for drugs and alcohol. Employees involved in or knowledgeable of any incident are required to inform their supervisors within two (2) hours after an on the job accident, injury or unsafe act occurs. If the supervisor is not present, the employee shall contact the next available supervisor in the chain of command. If no supervisor from the employee's division is available, the employee shall contact the City Manager's Office. Failure to report an on-the-job injury, accident, or unsafe act involving a City employee to one's supervisor or an authorized substitute employee within two (2) hours of its occurrence may result in disciplinary action including termination. If the supervisor or department head determines that an employee drug and alcohol test is necessary, the supervisor of a designated person shall make arrangements to drive the employee or employees to the medical clinic for the urine and/or blood test. Under no circumstances should the employee be allowed to drive themselves to the medical clinic. If medical treatment is necessary, it should be obtained before the urine and/or blood test is given. If an employee is unconscious or seriously injured and will be taken to a hospital for treatment, a urine test may be given as a part of medical treatment. If blood is drawn as a part of the medical treatment, a blood test will be given. Otherwise, a blood test will not be given after an accident or incident unless a Competent Authority has a reasonable suspicion that the employee involved in an accident or incident has violated the drug or alcohol rules of the City of Southlake. Drug Free Workplace Administrative Procedure Effective Date: August 1991 Page3 The supervisor or designated employee shall stay with the employee being tested and shall drive him/her back to the employee's home after the test. D. Reasonable Suspicion Testing Procedures All employees who are suspected of drug or alcohol abuse by a competent authority under the reasonable suspicion standard shall be required to provide a urine sample and/or possibly a blood sample to be tested for specified drugs and alcohol. 1. Supervisors shall be trained by the City of Southlake to detect the use of alcohol or drugs by employees. 2. A written report of specific, articualable facts will be required before a drug or alcohol test can be ordered based on reasonable suspicion. 3. Supervisors shall document the exact reasons why they suspect that a certain employee has violated the drug or alcohol policy, including the symptoms exhibited by the employee, the actions of the employee, corroborating statements from other employees and other evidence that tends to establish a reasonable suspicion of drug or alcohol abuse. In the statement, conclusions such as "he looks stoned" or "she was drunk" should be avoided. Instead, Supervisors should make every effort to document the specific facts about an employee's behavior which could lead a reasonable person to the conclusion that the employee was abusing drugs and alcohol. The emphasis should be placed on how the behavior of the employee is affecting his/her job performance. 4. Reasonable suspicion can be created by an accident. However, other evidence of reasonable suspicion should be present and documented before an employee is required to submit to a urine and/or blood test under the reasonable suspicion standard. 5. An employee may be required to take a drug or alcohol urine and/or blood test if reasonable suspicion factors are present even though an employee sustains an injury due to the deliberate actions of another individual or the employee is bitten or attacked by an animal. 6. When it is determined by a Competent Authority that a drug or alcohol test should be taken by a particular employee, the City Manager's office should be contacted to arrange the test with the medical facility. 7. The supervisor or a designated person shall drive the employee being tested to the medical clinic. Under no circumstances should the employee be allowed to drive themselves to the medical clinic. 8. A urine sample normally will be given first to test for the presence of drugs and alcohol in the employee's body. However, a blood test may be ordered by the Drug Free Workplace Administrative Procedure Effective Date: August 1991 Page4 City Manager's office to determine the exact level of impairment of the employee. The City Manager will determine if a blood test is necessary. 9. The supervisor or a designated person shall stay with the employee being tested and shall drive him/her home afterward. The City will allow the employee to make arrangements to deliver the employee's personal vehicle to his/her home. The employee should not be allowed to drive themselves home after the drug or alcohol test is given. 10. An employee tested for drugs and alcohol under the reasonable suspicion standard shall be suspended with pay until the City receives the results of the test. 11. All responsible supervisors shall prepare and file statements with the City Manager's Office describing the circumstances and conditions which warrant the required testing. E. Drug/Alcohol Testing Procedures I. All persons taking a drug//alcohol test shall sign a consent form approved by the City Attorney and shall contain the following information: a. A listing of all the drugs tested and the allowable limits for drugs and alcohol. b. A statement showing the consequences of a refusal to provide a urine or blood sample within two (2) hours after it is requested or any attempt to tamper with the urine or blood sample or the testing procedure. C. A statement explaining the possible disciplinary actions which can be taken. d. A statement explaining the procedures for contesting a positive test result. C. A statement signed by the employee indicating that he/she has read the drug and alcohol policy and understands it. f A request for a listing of all of the prescriptions and over the counter drugs taken in the last twenty(20) days. 2. The medical facility designated by the City shall obtain urine samples and/or blood samples using procedures mutually determined between the facility and the City. A copy of the testing procedures is available from the City Manager's Office upon request. Drug Free Workplace Administrative Procedure Effective Date: August 1991 Pages It is the policy and intention of the City that any drug testing procedures employed preserve the dignity and privacy of the person being tested as much as possible. 3. Both urine and blood tests will be handled by the medical facility or laboratory under chain-of-custody procedures which would be sufficient in a court of law. 4. Urine and blood samples shall be processed by the laboratory using medically approved procedures mutually agreed upon between the City of Southlake and the testing laboratory. If the initial test is positive for the presence of drugs and alcohol at detectable levels, the laboratory shall automatically submit the same sample to an alternate analysis for confirmation. 5. Positive test results shall be given by telephone from the laboratory to designated representatives of the City of Southlake. Both positive and negative test results shall be followed with an original written copy of the test results signed by the person in charge of the laboratory. These copies shall be sent to the designated representatives of the City of Southlake by mail. b. Employees shall be called to the office of the City Manager to receive ail test results, whether positive or negative. F. Procedures to Insure Confidentiality The City shall use the following procedures to guarantee that records relating to the drug and alcohol testing process remain confidential. I. The City Manager's Office is the designated representative authorized to receive test results for the city of Southlake. If the City Manager's Office is unavailable, the City Manager shall appoint a designated representative to receive the test results. 2. No persons other than the designated representatives shall receive information on drug or alcohol test results unless required by Iaw or in defense of the City. 3. The City Manager's Office shall retain written results of a drug and alcohol test in a separate locked personnel file. 4. Test results and other written materials concerning a particular drug test shall not be kept in the general personnel files or individual departments. G. Procedures for Education of the Workforce The City shall implement the following procedures to inform employees about the Drug- Free Workplace Policy. Drug Free Workplace Administrative Procedure Effective Date: August 1991 Page6 1. The City shall inform all employees about the dangers of drug and alcohol abuse in the workplace and the City's policy of maintaining a drug-free workplace. The Drug-Free Workplace Policy shall be explained and each employee will be given a copy of all related rules. The employees will also be informed of any available drug counseling, rehabilitation programs and employee assistance programs. In addition, employees will be told of the penalties that may be imposed for drug and alcohol abuse violations occurring in the workplace. After presentation of the Drug-Free Workplace Policy, each employee shall acknowledge receipt of the policy by a signed document. 2. All supervisors shall attend a seminar given by the City of Southlake to learn to recognize the symptoms of chemical dependency and drug and alcohol abuse in the workplace. They will also be taught how to administer the drug and alcohol rules of the City and how to deal with drug and alcohol problems when they occur. H. Drug-Free Workplace Program Phase-in Procedures. 1. The Drug-Free Workplace Policy including drug and alcohol testing shall become effective sixty (60) days after the adoption of the Policy authorizing the rules. During this sixty (60) day period, employees are encouraged to seek assistance voluntarily for drug and alcohol problems. The sixty (60) day period is considered to be an amnesty period when employees can seek help for their drug or alcohol problems before the new rules go into effect. Normal employee benefits such as sick leave and group medical plans may be available during the treatment process. Certain community based treatment programs may also be available outside the City of Southlake employment benefits. No employee's job will be jeopardized if he/she seeks assistance for substance abuse voluntarily before he/she is required to submit to a drug or alcohol test. In order to obtain amnesty during the sixty (60) day phase-in period, the employee will be required to: a. Notify the immediate supervisor that be/she has an alcohol or drug problem, b. Seek professional assistance and enroll in a drug or alcohol treatment program, C. Accept and understand that if he/she does not correct the problem and maintain satisfactory job performance, he/she will be subject to discharge, d. Submit to drug and alcohol tests, both urine and/or blood tests, at the beginning of the treatment program, at periodic intervals during the treatment program and at the end of the treatment program. (Such drug Drug Free Workplace Administrative Procedure Effective Date. August 199I Pagel and alcohol tests must show a declining presence of drugs and alcohol as the treatment program is conducted), e. Submit to an interview and physical examination by a Medical Review Officer to determine the employee's fitness for duty, (Such Medical Review Officer shall be a licensed physician appointed by the City). in obtaining counseling for his/her chemical dependency problem, the employee will be protected from discipline if he/she continues to follow the requirements of this Section. However, this does not preclude the City's right to administer discipline, including termination for on-the-job conduct or other grounds, even though the circumstances may be related to the use of drugs and alcohol. The employee must also be fit for duty at all times when on the job. Information regarding an employee's personal problems will be kept in strict confidence, and information will only be released on a need-to-know basis unless required by law or in defense of the City. Any ongoing drug or alcohol testing program now in effect shall be exempted from the sixty (60) day requirement and shall continue until the end of the sixty (60) day period. After the sixty (60) day expiration of the amnesty period is completed, all drug and alcohol testing programs shall be governed by the rules listed in the Drug-Free Workplace Policy and Procedures. CITY OF SOUTHLAKE PERSONNEL POLICIES ,Section 10: Employee Standards of Conduct Topic: Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1, 2000 Approved By.- Resolution 00-51 Revision Date: LO Federal Mandate The City is required to comply with the Omnibus Transportation Employee Testing Act of 1991 as amended (the Act), and the regulations promulgated by the U.S. Department of Transportation,which require employers to test employees who drive commercial vehicles as part of their job duties, for the use of alcohol and drugs. The purposes of the provisions of the Act and the regulations are to deter misuse of alcohol and drugs and to protect the public from the damage such misuse may cause. To implement the Federal requirements,the City adopts and implements this policy. 2.0 ApplicabilitY This policy applies to: I. City employees who drive a commercial vehicle; 2. applicants for a position which includes,as a part of the job duties of the position,a requirement that the employee operate a commercial vehicle, either full-time,part- time, casual, intermittently, or occasionally; and 3. City employees who transfer into a position that includes, as a part of the job duties of the position, a requirement that the employee drive a commercial vehicle. 3.0 Definitions 3.1 Alcohol — The intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl alcohol. 3.2 Alcohol Concentration (or Contend - means the alcohol in a volume of breath expressed in terms of grains of alcohol per 210 liters of breath as indicated by an evidential breath test. 3.3 Alcohol Test-Test conducted by a Breath Alcohol Technician, or any other person approved by the U.S.Department of Transportation 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.(FHWA). Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1, 2000 Page 2 3.4 Alcohol Use - means the consumption of any beverage, mixture, or preparation, including medication, containing alcohol. 3.5 Breath Alcohol Technician AT - An individual who instructs and assists individuals in the alcohol testing process and operates the evidential breath testing device. 3.6 Cy- City of Southlake,Texas. 3.7 City-Designated Representative (CDR)-The primary contact person designated by the City to receive all information and reports from the Medical Review Officer,the Breath Alcohol Technician,the Substance Abuse Professional and the laboratories. The CDR is also the designated contact person for inquiries regarding this policy. The CDR for the City is the Director of Human Resources. 3.8 Commercial Motor Vehicle—A motor vehicle or a combination of motor vehicles used in a commerce to transport passengers or property if the motor vehicle: 1. 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; 2. has a gross combination weight of 26,001 or more pounds; 3. is designed to transport 16 or more passengers, including the driver; or 4. is of any size and is used in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act and which require the motor vehicle to be placarded under the Hazardous Materials Regulation(149 C.F.R. 172, subpart F). 3.9 Confirmation Test 1. for alcohol testing, a second test following a screening test with a result greater than 0.02 that provides 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. 2. for drug testing, a second analytical procedure to identify the presence of a specific drug or drug metabolite which is independent of the screen test and which uses a different technique and chemical principal from that of the screen Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 3 test in order to ensure reliability and accuracy. (Gas Chromatography/Mass Spectrometry (GC/MS) is the authorized confirmation method for cocaine, marijuana, opiates, amphetamines, and phencyclidine). 3.10 Driver—Any employee who holds a Commercial Driver's License and is subject to operating a Commercial Motor Vehicle at the direction of,or with the consent of the City including, but not limited to, full-time,part-time, regularly employed drivers, casual, intermittent or occasional drivers, or any person applying to the City for a position,the duties of which include driving a Commercial Motor Vehicle. 3.11 Drug -Includes cocaine, marijuana, opiates, amphetamines, and phencyclidine and any other substance determined by the U.S. Department of Transportation to be a drug or a controlled substance. 3.12 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 C.F.R. 40. 3.13 Employee -A person employed by the City of Southlake, 3.14 Evidential Breath Testing Device BT - A device approved by the National Highway Traffic Safety Administration (NHTSA) and placed on the NHTSA's Conforming Products List and is used for the evidential testing of breath. 3.15 Follow-up Test—An alcohol or drug test administered to a driver who has violated the prohibitions of this policy and who has been permitted to return to duty after passing a return-to-duty alcohol or drug test. 3.16 Medical Review Officer MRO -A licensed physician(medical doctor or doctor of osteopathy)responsible for receiving laboratory results generated by the City's 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. 3.17 On-Duty Time-All time spent providing a breath sample or primary urine specimen, including travel time to and from the collection site, in order to comply with the random, reasonable suspicion, post-accident or follow-up testing as directed by the City. 3.18 Post-Accident Test - An alcohol or drug test administered to a driver following an accident involving a city-owned vehicle or any vehicle used in the performance of City business when the employee was performing safety-sensitive functions with Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date:August I,2000 Page 4 respect to the vehicle and the accident involved a loss of human life, serious injury, or major property damage. 3.19 Pre-Emyloyment Test---An alcohol or drug test administered to a person prior to the first time the individual performs a safety-sensitive function upon appointment to a position requiring the person to hold a Commercial Driver's License. 3.20 Random Test - An alcohol or drug test administered to a driver who has been randomly selected by a scientifically valid method from among the pool of City drivers subject to such tests. 3.21 Reasonable Suspicion Test - An alcohol or drug test administered to a driver as a result of a trained supervisor's or trained City official's reasonable belief that the driver has violated the drug or alcohol prohibitions of this policy. A reasonable suspicion determination must be based on specific, contemporaneous, articulable observations concerning the appearance,behavior,speech,and/or body odors of the driver. The observations may include indications of the chronic or withdrawal effects of drug or alcohol and any of the following: 1. documentation of unsatisfactory work performance or on-the-job behavior; 2. evidence of the manufacture,distribution,dispensing,possession,or use of drugs, alcohol or other prohibited substances; 3. occurrence of a serious or potentially serious accident that may have been caused by human error; or 4. fights (physical contact), assaults, and flagrant disregard or violations of established safety, security or other work rules. 3.22 Refusal to Submit to a Drug.Alcohol or Controlled Substances Test—When a driver performs any of the following: 1. fails to provide an adequate amount of breath during testing without a valid medical explanation after he or she has received notice of the requirement for breath testing; 2. fails to provide adequate urine for drug testing without a valid medical explanation after he or she has received notice of the requirement for urine testing; 3. engages in conduct that obstructs or interferes with the testing process; Drug and AIcohol Testing for Employees Driving Commercial Vehicles Effective Date:August 1,2000 Page 5 4. fails to be readily available for post-accident testing; or 5. fails to report to, and undergo alcohol and drug testing, at a collection site as required. 3.23 Return-to-Duty Test - An alcohol or drug test administered prior to a driver being permitted to return to duty, when the driver has violated this policy. 3.24 Safety-Sensitive Function-A function performed by a driver whenever the driver: 1. begins work until the time the driver is relieved from work including time spent at a facility waiting to be dispatched; 2. is inspecting or servicing the vehicle; 3. is driving or at the controls of the vehicle; 4. is resting in the vehicle; 5. is loading or unloading the vehicle including the performance of any related paperwork; 6. is performing those duties required of a driver involved in a vehicle accident; 7. is repairing or attending to a disabled vehicle; or S. during all time while providing a breath sample or urine specimen including travel time to and from the collection site in order to comply with testing directed by the City. 3.25 Screening Test itial Test — 1. in alcohol testing, an analytical procedure to determine whether a driver may have a prohibited concentration of alcohol in his or her system; and 2. in drug testing, an immunoassay screen (or other DHHS-approved test) to eliminate "negative" urine specimens from further consideration. 3.26 Substance Abuse Professional (SAP) - A licensed physician (medical doctor or doctor of osteopathy), or a licensed or certified psychologist, social worker, 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 drug-related disorders. Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 6 3.27 Supervisor-A management or supervisory employee of the City. 3.28 Trained Supervisor or Trained City Official -Any City supervisor or any City , ., management employee who has received the requisite training in identifying the signs and symptoms of alcohol abuse or drag abuse. 4.0 Prohibited Acts 4.1 Prohibitions Regarding Alcohol -A driver shall not: 1. report for duty or remain on duty when the driver's ability to perform assigned functions is adversely affected by alcohol or when the driver's blood alcohol concentration is 0.04 or greater; 2. possess or use alcohol while on duty, or within four hours before reporting for duty; 3, perform safety-sensitive functions for 24 hours following an alcohol test result indicating an alcohol concentration of greater than 0.02 but less than 0.04; 4. use alcohol for eight hours following an accident or until the employee undergoes a post-accident alcohol test, whichever occurs first; or 5. refuse to submit to a pre-employment, post-accident, random, reasonable suspicion, return-to-duty or follow-up alcohol test. A driver who refuses to submit to an alcohol test shall not be allowed to perform safety-sensitive functions. 4.2 Prohibitions Regarding Drugs A driver shall not: I. report for duty or remain on duty when the driver is using any drug,except when the use is pursuant to the instructions of a physician who has advised the employee that the drug will not adversely affect the driver's ability to safely perform safety-sensitive functions; 2. report for duty,remain on duty,or perform a safety sensitive function if the driver tests positive for drugs; or Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date:August i, 2000 Page 7 3. refuse to submit to a pre-employment, post-accident, random, reasonable suspicion,return-to-duty or follow-up drug test. A driver who refuses to submit to a drug test shall not be allowed to perform safety-sensitive functions. 5,0 Disciplinary Action A driver is subject to disciplinary action, including termination, if the driver: 1. refuses to sign an employee acknowledgment form for a copy of the City's Drug and Alcohol Testing Policy upon receipt of a copy of the policy; 2. fails to report a conviction for operating a motor vehicle while under the influence of alcohol or drugs; 3. fails to report a conviction for operating a City motor vehicle or a motor vehicle operated in the performance of City business while under the influence of alcohol or drugs; 4. fails to report that the driver has been convicted of violating a statute related to drugs; 5. obstructs, interferes, or refuses to submit with the administration of any drug or alcohol testing; or 6. has an alcohol result indicating any concentration or level of alcohol in the system or tests positive for one or more drugs. 5.1 Consequences of a Driver Failing a Test— 5.1.1 If a driver has an alcohol test result indicating an alcohol concentration of 0.02 or greater, but less than 0.04, the driver shall be prohibited from performing a safety sensitive function: 1. for a minimum of 24 hours; and 2. until the driver has undergone a return-to-duty alcohol test with a test result less than 0.02. 5.1.2. If a driver has an alcohol test result indicating an alcohol concentration of 0.04 or greater or tests positive for one or more drugs, the driver may not perform a safety sensitive function until: 1. the driver undergoes evaluation by a substance abuse professional; Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 8 2. a substance abuse professional determines that the driver has successfully complied with any required rehabilitation; and 3. the driver undergoes a return-to-duty alcohol test with a result of less than 0.02 if the conduct involved alcohol or the driver undergoes a return-to- duty drug test with a verified negative result if the conduct involved drugs. 5.1.3 A driver shall not be paid for the period of time the driver is prohibited from performing safety sensitive functions. In addition to the other consequences provided in this section, a driver who tests positive for drugs or an alcohol concentration of 0.02 or greater is subject to disciplinary action, including termination, during any stage of the process. 6.0 Notices 6.1 Notice of Requirements - Before performing an alcohol or drug test under the requirements of the U.S.Department of Transportation regulations,the driver being tested shall be notified that the alcohol or drug test is required by 49 C.F.R.Part 3 82. 6.2 Notice of Results - The City shall notify an applicant or a driver of the results of a pre-employment drug test conducted under this policy, if the applicant or employee requests such results within 60 calendar days of being notified of the disposition of the employment application. The City shall notify a driver of the results of reasonable suspicion and post-accident tests, and notify drivers of the results of random tests, for drug conducted under this policy if the test results are verified positive. The City shall also inform the driver which drug were verified as positive. 6.3 Notice to Contact MRO - The CDR shall make reasonable efforts to contact and request each driver who submits a specimen,regardless of the driver's employment status,to contact and discuss the results of the drug test with a MRO who has been unable to contact the driver. 7.0 Testing Re uirements All alcohol and drug testing will comply with the procedures of Title 49 C.F.R. Part 40. 7.1 Pre-employment Testing 7.1.1 An applicant driver shall not perform a safety-sensitive function until the driver has undergone testing for alcohol and drugs and has achieved an alcohol test result indicating an alcohol concentration of less than 0.04 and has achieved a drug test result from the MRO indicating a verified negative Drug and AIcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 9 test result. If a driver has an alcohol concentration of 0.02 or greater but less than 0.04, the driver shall not perform a safety-sensitive function, until the start of the driver's next regularly scheduled duty period but not less than 24 hours following administration of the test. 7.1.2 As a condition of employment,a person applying for a position requiring the performance of a safety-sensitive function shall provide written authorization for previous employers to release to the City any and all test results,including records of the individual's refusal to test,administered in accordance with the Federal regulations concerning drug and alcohol use and testing. 7.1.3 An employee who seeks to move into a driver position must undergo pre- employment alcohol and drug tests. The alcohol test must indicate a concentration of less than 0.04. The drug test result from the MRO must indicate a verified negative result. If the test results do not meet these standards,the employee shall be disqualified from further consideration for the position. 7.1.4 If the City learns that an applicant for a safety-sensitive position tested positive for drugs or alcohol or refused to test while at a previous employer, the City shall verify the information, obtain proof that the applicant has completed a rehabilitation program and the return-to-duty test.The City shall not use a driver the City knows has tested positive for drugs or with an alcohol concentration of 0.04 or greater, and has not been re-certified and tested negative in return-to-duty testing. 7.2 Random Testing 7.2.1 At least 25% of the average number of the City's driver positions shall undergo random alcohol testing in each calendar year, or the number of drivers equal to an annual rate not less than the minimum annual percentage determined by the Federal Highway Administration Administrator. 7.2.2 At least 50% of the average number of the City's driver positions shall undergo random drug testing in each calendar year,or the number of drivers equal to an annual rate not less than the minimum annual percentage determined by the Federal Highway Administration Administrator. 7.2.3 The selection of drivers for random testing, the timing and frequency of random tests,and the number of drivers to be tested on any given day shall be determined by the City. The selection of drivers for random testing shall be made by a scientifically valid method Each driver shall have an equal chance of being selected for testing each time selections are made. Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date:August 1, 2000 Page 10 7.2.4 Random alcohol and drug tests shall be unannounced and shall be spread reasonably throughout the year. 7.2.5 A driver who is notified of selection for random alcohol or drug testing shall be required to proceed to the test site as instructed. 7.2.6 A driver, when randomly selected, may be required to submit to either an alcohol or drug test, or both. 7.2.7 In the event a driver who is selected for a random test is not at work that day, another driver will be selected. 7.2.8 A driver shall be subject to random alcohol testing only while the driver is performing a safety-sensitive function,just before the driver is to perform a safety-sensitive function, or just after the driver has ceased performing a safety-sensitive function. 7.3 Reasonable Suspicion Testing 7.3.1. A driver shall promptly submit to an alcohol and or drug test whenever a trained supervisor or trained City official has a reasonable suspicion to believe that the driver has violated the alcohol or drug prohibitions of this policy. 7.3.2 After the period of the work day that the driver is required to be in compliance with,this policy. 7.3.3 After determination of reasonable suspicion, the alcohol test shall be administered within two hours unless the supervisor or City official prepares and maintains on file a record stating the reasons the test was not administered within that time. The test may be conducted up to eight hours after the reasonable suspicion determination is made. If the test is not administered within eight hours after the determination, attempts to administer the test shall stop and the supervisor or city official shall record and maintain on file the reasons why the test was not conducted. 7.3.4 After determination of reasonable suspicion, the drug test shall be administered within 24 hours unless the supervisor or City official prepares and maintains on file a record stating the reasons the test was not administered within that time. If the test is not administered within 24 hours after the reasonable suspicion determination, attempts to administer the test Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 11 shall stop and the supervisor or City official shall record and maintain on file the reasons why the test was not conducted. 7.3.5 A trained supervisor or trained City official who makes the determination that reasonable suspicion exists to conduct an alcohol or drug test shall not conduct the alcohol or drug test of the driver. 7.3.6 The trained supervisor who made the observations shall make and sign a written record of the observations leading to a drug reasonable suspicion test within 32 hours of the observed behavior or before the results of the drug test are released, whichever is earlier. 7.3.7 The trained supervisor who made the observations shall make and sign a written record of the observations leading to an alcohol reasonable suspicion test within 24 hours of the observed behavior or before the results of the alcohol test are released,whichever is earlier. 7.4 Post Accident Testing 7.4.1 A driver shall be subject to post-accident alcohol and drug testing as soon as practicable following the accident. 7.4.2 A driver subject to post-accident testing shall be subject to a breath alcohol test not later than eight hours following the accident and to a drug test no later than 32 hours following the accident. 7.4.3 If an alcohol test is not administered within two hours following the accident, the trained supervisor or trained City official shall prepare and maintain on file a record stating the reasons the test was not administered. If an alcohol test is not administered within eight hours following the accident, the trained supervisor or trained City official shall cease attempts to administer an alcohol test and shall prepare and maintain the same record. If a drug test is not administered within 32 hours following the accident, the trained supervisor or City official shall cease attempts to administer a drug test,and prepare and maintain on file a record stating the reasons the test was not promptly administered. 7.4.4 A driver who is subject to post-accident testing shall remain readily available for such testing or shall be deemed to have refused to submit to testing. Nothing herein shall be construed to required the delay of necessary medical attention or to prohibit the driver from leaving the scene of the accident for the period of time necessary to obtain assistance in responding to the Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1, 2000 Page 12 accident, obtain necessary medical treatment for injured people,or to obtain materials necessary to secure the accident site. 7.5 Return-to-Duty Testing-A driver who has an alcohol test result indicating an alcohol concentration of 0.04 or greater or has a confirmed positive test for drugs,may at the City's discretion, be permitted to return to work subject to the following: 1. The driver has been evaluated by a substance abuse professional who has determined what assistance, if any, the driver needs in resolving problems associated with alcohol or drug use and the driver has successfully completed any prescribed rehabilitation; 2, if the driver has violated the alcohol prohibitions, the driver has undergone return-to-duty testing with a result indicating an alcohol concentration of less than 0.02; 3. if the driver has violated the drug prohibitions,the driver has undergone return- to- duty testing with a verified negative result for drug use. 7.6 Follow-up Testing-The driver shall be subject to such follow-up testing for either or both alcohol and drug use as recommended by the substance abuse professional. 1. The number and frequency of such tests shall be determined by the substance abuse professional, and shall consist of at least six tests in the first 12 months following the driver's return to duty, but follow-up testing shall not extend past 60 months after the driver's return to duty. 2. The substance abuse professional may terminate such tests at anytime after the first six tests have been administered upon determination that the tests are no longer necessary. 8.0 Testing Procedures $.1 Alcohol Tests 8.1.1 A Breath Alcohol Technician(BAT) shall administer alcohol tests using an Evidential Breath Testing device (EBT) except that if the Department of Transportation Federal Highway Administration approves administration of tests by persons other than BATs or approves the use of other methods or technologies for detecting the presence of alcohol,then the administration of tests by such other persons or the use of such other methods or technologies shall be permitted under this policy. Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 13 8.1.2 Alcohol testing shall be conducted in accordance with the following: 1. A driver directed to undergo alcohol testing shall proceed to the designated test site as instructed. 2. A driver shall follow all procedures and instructions given by the BAT including completing,signing,initialing,or dating any required forms or logbooks. If the driver takes the test but fails to sign the certification in Step 4 of the Breath Alcohol Technician Form, or fails to initial the log book entry, it will not be considered a refusal to test. 3. The testing site shall provide visual and aural privacy to the driver, sufficient to prevent unauthorized persons from seeing or hearing test results. 4. In order to prevent unauthorized persons from seeing or hearing test results,unauthorized persons shall not be permitted access to the testing location when the Evidential Breath Testing Device remains unsecured, or, at any time when testing is being conducted. 5. In unusual circumstances,a test may be conducted at a location that does not fully meet the requirements of paragraph(3)above. In such cases,the driver shall be provided visual and aural privacy to the greatest extent practicable. 6. The BAT shall supervise only one driver's use of the EBT at a time and shall not leave the alcohol testing location while the testing procedure for a driver is in progress. 7. Upon entering the test site, the driver shall be required to provide the BAT with positive identification. Positive identification may take the form of a photo ID card or identification by a supervisor or City official. On request of the driver,the BAT shall provide positive identification to the driver. 8. If a screening test of a driver indicates a breath alcohol concentration of less than 0.02,no further alcohol testing of the driver shall be conducted during this testing event;the BAT shall transmit the result to the City in a confidential manner. Drag and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 14 9. If the result of a screening test of a driver indicates a breath alcohol concentration of 0.02 or greater,the driver shall be required to undergo a confirmation test. 10. If the confirmation test will be conducted by a different BAT, the BAT who conducts the screening test shall complete and sign the Breath Alcohol Testing Form and log boob entry. The BAT shall provide the driver with Copy 2 of this form. 11. If a BAT other than the one who conducted the screening test is conducting the confirmation test,the driver shall be required to provide positive identification in accordance with paragraph(7)above,to the new BAT and the driver may request positive identification of the new BAT. 12. The driver shall not eat, drink, put any object or substance in his or her mouth and to the extent possible,not belch during a waiting period before the confirmation test. This waiting period begins with the completion of the screening test. 13. The confirmation test shall be conducted within 20 minutes of the completion of the screening test. 14. If a BAT other than the one who conducted the screening test is conducting the confirmation test,the new BAT shall initiate a new Breath Alcohol Testing form. The driver shall then complete Step 2 on the form, signing the certification. Refusal of the driver to sign the certification shall be deemed a refusal to test. 15. The driver's refusal to complete and sign the Breath Alcohol Testing form (Step 2) to provide breath, to provide an adequate amount of breath, or otherwise to fail to cooperate with the testing process in a way that prevents the completion of the test shall be noted by the BAT in the "Remarks" section of the form. The testing process shall be terminated and the BAT shall immediately notify the CDR. 16. The driver's refusal to complete and sign the Breath Alcohol Testing Form (Step 2), to provide breath, to provide an adequate amount of breath, or otherwise to fail to cooperate with the testing process in a way that prevents the completion of the test shall be deemed a refusal to test. A driver who refuses to submit to a required alcohol test shall be deemed to have tested at a level of 0.04 or greater for alcohol. Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 15 17. If a screening or confirmation test cannot be completed, or if an event occurs that would invalidate the test,the BAT shall, if practicable,begin a new screening or confirmation test, as applicable, using a new Breath Alcohol Testing form with a new sequential test number. 18. If the driver is unable, or alleges that he or she is unable, to provide an amount of breath sufficient to permit a valid breath test because of a medical condition, the BAT shall again instruct the driver to attempt to provide an adequate amount of breath. 19. If the driver refuses to make the attempt, the BAT shall immediately inform the CDR. 20. If the driver attempts and fails to provide an adequate amount of breath, the BAT shall so note in the"Remarks"section of the breath alcohol form and immediately inform the CDR. 21. If the driver attempts and fails to provide an adequate amount of breath, the CDR shall direct the driver to obtain, as soon as practicable after the attempted provision of breath, an evaluation from a licensed physician who is acceptable to the City concerning the driver's medical ability to provide an adequate amount of breath. 22. if the licensed physician determines, in his or her reasonable medical judgment, that a medical condition has, or with a high degree of probability,could have,precluded the driver from providing an adequate amount of breath, the driver's failure to provide an adequate amount of breath shall not be deemed a refusal to take a test. The physician shall provide to the City a written statement of the basis for his or her conclusion. 23. If the licensed physician, in his or her reasonable medical judgment, is unable to determine that a medical condition has,or with a high degree of probability,could have,precluded the driver from providing an adequate amount of breath,the driver's failure to provided an adequate amount of breath shall be deemed a refusal to take a test. The physician shall provide to the City a written statement of the basis for his or her conclusion. 8.2 Drug Tests-Testing for drugs shall be conducted by a laboratory certified by the U.S. Department of Health and Human Services and in accordance with the following procedures: Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 16 1. A driver directed to undergo a drug test shall proceed to the designated collection site as instructed by the supervisor. 2. A driver shall follow all procedures and instructions given by the collection site person. Failure to do so shall be considered a refusal to test. 3. The collection site person shall collect a urine sample from the driver in accordance with Federal Highway Administration procedures. 4. A driver shall provide at least 45 ml of urine for testing. A driver who fails to provide at least this amount shall be subject to the provisions of paragraph (r) below. 5. The collection site person shall divide the specimen into two containers. One container shall contain at least 30 ml of urine and shall be the primary specimen. The other container shall contain at least 15 ml of urine and shall be the split specimen. 6. Both containers shall be shipped to the laboratory in a single shipping container, together with copies 1 and 2 and the split specimen copy of the chain of custody form. 7. The laboratory shall log in the split specimen with the split specimen seal remaining intact. The laboratory shall store the split specimen securely in accordance with approved procedures. S. The primary specimen shall undergo a screening test for the presence of drugs. If the screening test detects the presence of a drug, the primary specimen shall undergo a confirmation test to verify the positive test result. 9. If the result of the test of the primary specimen is negative, the laboratory may discard the split specimen. 10. The MRO shall review all primary specimen results. If the result of the test of the primary specimen is confirmed positive for the presence of drugs,the MRO shall notify the driver that the driver has 72 hours in which to request a test of the split specimen. If the result of the test of the primary specimen is negative, the MRO is authorized to direct a driver to undergo a retest for the presence of drugs if, upon review of the original test results, the MRO has reason to believe the primary specimen has been adulterated. 11. If the primary specimen tests confirmed positive for the presence of drug, the driver may request, in writing, that the MRO direct that the split specimen be Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date:August 1,2000 Page 17 tested in a different DHHS-certified laboratory for presence of the drug or drug metabolites for which a positive test result was obtained in the test of the primary specimen. The MRO shall honor such request if it is made within 72 hours ofthe driver having been notified of a verified positive test result. The driver shall be responsible for any and all costs associated with having the split specimen tested. 12. If the driver has not contacted the MRO within 72 hours,the driver may present to the MRO information documenting that serious illness, injury, inability to contact the MRO, lack of actual notice of the verified positive test, or other circumstances unavoidably prevented the driver from timely contacting the MRO. If the MRO concludes that there is a legitimate explanation for the driver's failure to contact the MRO within 72 hours, the MRO shall direct that the reanalysis of the primary specimen or analysis of the split specimen, as applicable,be performed. The driver may not request a reanalysis of the primary specimen. 13. If the result of the test of the primary specimen is positive, the laboratory shall retain the split specimen in frozen storage for 60 days from the date on which the laboratory acquires it. Following the end of the 60-day period,if not informed by the MRO that the driver has requested a test of the split specimen,the laboratory may discard the split specimen. 14. If the MRO directs the first laboratory in writing to forward the split specimen to a second DHHS-certified laboratory,the second laboratory shall analyze the split specimen by GC/MS to reconfirm the presence of the drugs or drug metabolites found in the primary specimen. Such GC/MS confirmation shall be conducted without regard to the cutoff' levels established by DHHS. The laboratory conducting the analysis of the split specimen shall retain the sample in long-term storage for one year, or longer if litigation concerning the test is pending. 15. The result of the test of the split specimen shall be transmitted by the second laboratory to the MRO. 16. If the analysis of the split specimen fails to reconfirm the presence of the drug or drug metabolites found in the primary specimen, or if the split specimen is unavailable,inadequate for testing or un-testable,the MRO shall cancel the test and report the cancellation and the reasons for such to the CDR,the driver,and to the U.S. Department of Transportation. 17. A driver whose primary specimen tests confirmed positive for the presence of drug and who requests, in accordance with paragraph (k) above, that the split specimen be tested,shall not be permitted to return to work pending the outcome of such test but shall be suspended without pay and subject to further disciplinary Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1,2000 Page 18 action. If the test of the split specimen does not reconfirm the presence of the drug or drug metabolites found in the primary specimen,the driver shall be paid his wages for all regularly-scheduled shrifts the driver would have worked had the suspension not occurred, and shall be reimbursed for the costs associated with having the split specimen tested. 18. If the driver is unable to provide the required 45 ml of urine, the driver shall be instructed to drink not more than 24 ounces of fluids,and, after a period of up to two hours, again attempt to provide a complete sample using a fresh collection container. The original insufficient specimen shall be discarded. 19. If the driver is still unable to provide an adequate specimen, the insufficient specimen shall be discarded,testing discontinued,and the laboratory shall notify the City of the driver's inability to provide an adequate sample. 20. The MRO will then refer the driver for a medical evaluation to develop pertinent information concerning whether the driver's inability to provide an adequate specimen is genuine or constitutes a refusal to test. Upon completion of the examination,the MRO shall report his or her conclusions to the City in writing. 21. If the MRO determines that the driver's inability to provide an adequate sample is not genuine, the driver shall be deemed to have refused to test and shall be deemed to have tested positive for drugs. 9.0 Confidentiality Records of drug and alcohol testing of drivers are subject to the following: 1. All records required to be maintained by 49 C.F.R. §382.401, et seq. shall be maintained in a secure location with controlled access. 2. Except as required or permitted by law or expressly authorized or required by 49 C.F.R. §382.405,the City shall not release information that is contained in drug and alcohol testing records. 3. Upon receipt of a written request from a driver,the City shall make records available to a subsequent employer. 4. Upon written request, a driver is entitled to copies of any records pertaining to the driver's use of drugs or alcohol, including any records pertaining to the testing conducted pursuant to this policy. Drug and Alcohol Testing for Employees Driving Commercial Vehicles Effective Date: August 1, 2000 Page 19 5. All results of alcohol and drug testing conducted pursuant to this policy shall be made available, upon request,to the Secretary of Transportation. 6. The City may disclose information pertaining to the drug or alcohol testing of a driver to the decision maker in a lawsuit,grievance,or other proceeding initiated by or on behalf of the driver,and'including,but not limited to,a worker's compensation, unemployment compensation,or other proceeding relating to a benefit sought by the driver and arising from the results of an alcohol or drug test. 10.0 Referral, Evaluatio_n,_and_Treatment Each driver who has a positive drug test or a blood alcohol concentration test level of 0.04 or greater, shall be referred to a substance abuse professional. The substance abuse professional shall determine what assistance,if any,the employee needs in resolving problems associated with alcohol or drug use. A substance abuse professional would ordinarily be available through the driver's health care provider. A listing of substance abuse professionals must be provided in training or posted in work sites. Drivers who do not know what substance abuse services are provided under their health care plan or who do not have a health care plan are encouraged to contact the Human Resources Department Staff. CITY OF SOUTHLAKE CITY OF SOUTHLAKE CODE OF ORDINANCES ORDINANCE NO. 635 U9 CHAPTER 2, ARTICLE VI. - CODE OF ETHICS AND CONDUCT Effective Date: March 21, 1995 Revision Dates: No. 635-A—June 6, 2006; No. 635-B—October 2, 2007; No. 635-C— November 3, 2015 Sec. 2-261. — DEFINITIONS. For the purposes of this code of ethics and conduct the following words and phrases shall have the meanings ascribed to them by this section. Advisory board shall mean a board, commission or committee of the city that functions only in an advisory or study capacity. Business entity shall mean a sole proprietorship, partnership, firm, corporation, association, holding company, joint stock company, receivership, trust, or any other entity recognized by law. Employee shall mean any person employed by the city, including those individuals on a part-time basis, but such term shall not be extended to apply to any independent contractor. Family member shall mean a person related to another person within the first degree by consanguinity or affinity, as described by Subchapter B, Chapter 573, Government Code. Family Relationship means a relationship between a person and another person within the third degree by consanguinity or the second degree by affinity, as those terms are defined by Subchapter B, Chapter 573, Government Code. Gift means a benefit offered by a person, including food, lodging, transportation, and entertainment accepted as a guest. The term does not include a benefit offered on account of kinship or a personal, professional, or business relationship independent of the official status of the recipient. Knowingly. A person acts knowingly, or with knowledge, with respect to the nature of his or her conduct or to circumstances surrounding his or her conduct when he is aware of the nature of his or her conduct or that the circumstances exist. A person acts knowing, or with knowledge, with respect to a result of his or her conduct when he is aware that his or her conduct is reasonably certain to cause the result. Officer shall mean any member of the City Council, the Planning and Zoning Commission, the Board of Adjustment, the Building Board of Appeals and any member of a board, commission or committee established by ordinance, charter or state law that has final approval authority over any application, permit, license or other City approvals; provided, no member of an advisory board shall be deemed an officer of the city. Substantial interest. (1) A person has a substantial interest in a business entity if: snu'r'HL-Al E= Ordinance 635 Code of Ethics and Conduct Page 2 a. The interest is ownership of 10 percent or more of the voting stock or shares of the business entity or ownership of either 10 percent or more or $5,000.00 or more of the fair market value of the business entity (see Section 171.002, Texas Local Government Code); or b. Funds received by the person from the business entity exceed 10 percent of the person's gross income for the previous year (see Section 171.002, Texas Local Government Code); or C. The person holds a position of member of the board of directors or other governing board of the business entity; or d. The person serves as an elected officer of the business entity; or e. The person is an employee of the business entity; or f. The person is a creditor, debtor or guarantor of the business entity in the amount of$5,000.00 or more; or g. Property of the person has been pledged to the business entity or is subject to a lien in favor of the business entity in the amount of$5,000.00 or more. (2) A person does not have a substantial interest in a business entity if: a. The person holds a position as a member of the board of directors or other governing board of a business entity; and b. The person has been designated by the City Council to serve on such board; and C. The person receives no remuneration, either directly or indirectly, for his or her service on such board; and d. The primary nature of the business entity is either charitable, nonprofit or governmental. (3) A person has a substantial interest in real property if the interest is an equitable or legal ownership interest with a fair market value of $2,500.00 or more (see Section 171.002, Texas Local Government Code). (4) A person has a substantial interest under this ordinance if the person's Family Member has a substantial interest under this chapter (see Section 171.002, Texas Local Government Code). Vendor means a person who enters or seeks to enter into a contract with the City. The term includes an agent of a vendor. The term does not include a state agency except for Texas Correctional Industries. Sec. 2-262. DECLARATION OF ARTICLE POLICY. It is hereby declared to be the policy of the city that the proper operation of democratic government requires that public officials and employees be independent, impartial and responsible only snu'r'HL-AI«= Ordinance 635 Code of Ethics and Conduct - 9 Page 3 to the people of the city; that governmental decisions and policy should be made in the proper channels of the governmental structure; that no officer, employee or member of any board, commission or committee should have any interest, financial or otherwise, direct or indirect, or engage in any business, transaction or professional activity or incur any obligation of any nature which is in conflict with the proper discharge of his duties in the public interest; that public office and public employment are positions of public trust imposing the duty of a fiduciary upon all employees and officeholders, who are not to use their public position for personal gain; and that the public should have confidence in the integrity of its government. To implement such a policy, the city council deems it advisable to enact this code of ethics and conduct for all officers, employees and advisory board members, whether elected or appointed, paid or unpaid, to serve not only as a guide for official conduct of the city's public servants, but also as a basis for discipline for those who refuse to abide by its terms. This code of ethics and conduct is cumulative of other ordinances, city Charter provisions and state statutes defining and prohibiting conflict of interest. Sec. 2-263. - PENALTIES FOR VIOLATION OF ARTICLE; FORFEITED POSITION; EXEMPTIONS; INJUNCTIONS. (a) Except where otherwise provided by state law, it is not the intent of this code that violations thereof be subject to criminal penalties. (b) Whenever the City Council has determined that any officer, employee or advisory board member has violated any provision of this article, such officer, employee or advisory board member shall be subject to discipline, including forfeiture of his or her office or position. Nothing in this ordinance shall be construed to prohibit such officer, employee or advisory board member from being re-elected, reappointed or otherwise rehired to any position forfeited under the provisions of this code. (c) The City Council may exempt from the provisions of this article any conduct found to constitute a violation by an officer, employee or advisory board member if it finds that the enforcement of this article with respect to such conduct is not in the public interest. (d) Any contract or transaction which was the subject of an official act or action of the city in which there is an interest prohibited by this article, or which involved the violation of a provision of this article, shall be voidable at the option of the City Council. (e) At the discretion of the City Council, the city attorney shall have the power, where a violation of the provisions of this article is threatened or has occurred, to bring a civil action or proceeding, at law or in equity, for a judgment enjoining any violation of the provisions of this code or requiring the relinquishment of any prohibited interest or the voiding of any such contract or transaction, taking into account the interests of the city and any third persons who may be injured thereby. Where the City Council determines that the public interest may best be served by not voiding a contract or transaction entered into in violation of this code, such contract or transaction may be enforced and an action or proceeding may be brought against any officer, employee or advisory board member found in violation of provisions of this code for damages, not to exceed twice the snu'r'Hi.AM Ordinance 635 Code of Ethics and Conduct - 9 Page 4 damages suffered by the city or twice the profit or gain realized by the officer, employee or advisory board member, whichever is greater. Sec. 2-264-STANDARDS OF CONDUCT. (a) No city officer, employee or advisory board member, or their spouses, shall knowingly: (1) Accept or solicit any gift, favor, service or thing of value from any person, group or business entity, including a promise of future employment, that might reasonably tend to influence him in the discharge of his or her official duties or that the officer, employee or advisory board member knows or should know is being offered with the intent to influence the officer's or employee's official conduct. This prohibition shall not apply to: a. An occasional non-pecuniary gift, insignificant in value; or b. An award publicly presented in recognition of public service; or C. Any gift which would have been offered or given to the officer employee or advisory board member or his or her spouse if he/she were not a city officer, employee or advisory board member; or d. Any travel and related expenses to attend ceremonial functions provided that such acceptance and attendance have been approved by the City Council prior to the occurrence of the ceremonial function. (2) Grant in the discharge of his or her official duties any improper favor, service or thing of value to any person, group or business entity; (3) Knowingly disclose any confidential information gained by reason of the position of the officer, employee or advisory board member concerning property, operations, policies or affairs of the city, or use such confidential information to advance any personal interest, financial or otherwise, of such officer, employee or advisory board member, or others. This subparagraph shall not preclude disclosure of such confidential information in connection with any investigation or proceeding regarding whether there has been a violation of the standards of conduct set forth in this code. (4) Use one's position or office of employment or city facilities, personnel, equipment or supplies to secure special privileges or exemptions for himself or others or for the private gain of the city officer, employee, advisory board member or his or her spouse. (5) Engage in any exchange, purchase or sale of property, goods or services with the city, except: a. Rendering services to the city as an officer, employee or advisory board member; b. Paying taxes, fines, utility service or filing fees; C. Executing and performing any developer's agreement or plat in compliance with laws and regulations applicable to any person; provided, snu'r'HL-Al E= Ordinance 635 Code of Ethics and Conduct Page 5 however, that if any city ordinance, rule or regulation allows any discretion by the appropriate officers or employees of the city in the interpretation or enforcement of such ordinance, rule or regulation, any such discretion shall be exercised in favor of the city in connection with any such developer's agreement or plat; d. Advisory board members who are not otherwise officers or employees of the city, may engage in any exchange, purchase or sale of property, goods or services with the city, or enter into a contract with the city, provided that the board on which they are a member has no advisory function or cognizance, direct or indirect, present or prospective, with respect to the transaction in which such advisory board member engages or proposes to engage. (6) Hold himself/herself out as representing the city in any capacity other than that for which he was appointed, elected or hired. (7) Engage in or accept private employment or render a service when such employment or service is incompatible with the proper discharge of his or her official duties or would tend to impair his or her independent judgment in the performance of his or her official duties. (8) Make or permit the unauthorized use of city owned vehicles, equipment, materials or property. (9) Grant any special consideration, treatment or advantage to any citizen beyond that which is available to every other citizen. (10) After termination of service or employment with the city, appear before any board or commission of the city in relation to any case, proceeding or application in which he or she personally participated or which was under his or her active consideration, during the period of his or her service or employment. (11) Transact any business in his or her official capacity with the city with a business entity in which he/she has a substantial interest. (12) Engage in any dishonest or criminal act or any other conduct prejudicial to the government of the city or that reflects discredit upon the government of the city. (13) Knowingly perform or refuse to perform any act in order to deliberately thwart the execution of city ordinances, rules or regulations or the achievement of official city programs. (b) No officer, advisory board member or city employee shall knowingly represent, directly or indirectly, any person, group or business entity: (1) Before the City Council or any department, agency, board or commission of the city; (2) In any action or proceeding against the interests of the city or in any litigation in which the city or any department, agency, board or commission thereof is a party; or snu'r'Hi.AM Ordinance 635 Code of Ethics and Conduct - 9 Page 6 (3) In any action or proceeding in the municipal courts of the city which was instituted by a city officer or employee in the course of his or her official duties, or a criminal proceeding in which any city officer or employee is a material witness for the prosecution. (c) The restrictions in this section do not prohibit the following: (1) A city employee, officer or advisory board member (other than City Council), or his or her spouse, appearing before the City Council or a city department, agency, board or commission to represent himself or herself in a matter affecting his or her property; provided, however, that no such person, or his or her spouse, shall appear before the board or commission of which he or she is a member; or (2) A city employee or officer of an employee organization appearing before the City Council or a city department, agency, board or commission to address employment matters. (d) The restrictions in this section do not apply to business associates of officers, employees or advisory board members, but only personally to the officers, employees and advisory board members themselves. Sec. 2-265. - DISCLOSURE OF INTEREST. (a) If any city officer, employee or advisory board member has a substantial interest in a business entity or real property involved in any decision pending before such officer, employee, or advisory board member, or the body of which he or she is a member, such officer, employee, or advisory board member shall disclose such interest as provided in subsection (e) below and shall not, except as provided in subsection (b) below, discuss the substance of the matter at any time with any other member of the board of which he is a member or any other body which will vote on or otherwise participate in the consideration of the matter. (b) If any of the following interests or relationships are involved in any decision pending before any city officer, employee, or advisory board member, or the body of which he is a member, such officer, employee, or advisory board member must disclose such interest or relationship as provided in subsection (e) a but he shall be permitted to vote on and participate in the consideration of such matter: (1) A decision concerning a bank or other financial institution from which the officer, employee, or advisory board member has a home mortgage, automobile loan, or other installment loan, if the loan is not currently in default, was originally for a term of more than two years and cannot be accelerated except for failure to make payments according to the terms thereof; (2) A decision concerning a bank or other financial institution in which the officer, employee, or advisory board member holds a savings account, checking account or certificate of deposit and which is fully insured by the U.S. government or an agency thereof; (3) A decision concerning a business entity with which the officer, employee, or advisory board member has a retail or credit card account; S(XJ'r'HL:A]U- Ordinance 635 Code of Ethics and Conduct — 9 Page 7 (4) A decision concerning the approval of substitution of collateral by a city depository bank; (5) A decision concerning real property in which the officer, employee or advisory board member has a substantial interest if it is not reasonably foreseeable that such decision would have a special economic effect on the value of the property, distinguishable from the effect on the public (see Section 171.004, Texas Local Government Code). (c) If a City Officer, Advisory Board member, or a City employee, or a family member a City Officer, Advisory Board member, or a City employee, receives one or more gifts that have an aggregate value of more than $100 in the twelve month period preceding the date the City executes a contract with the vendor or considers entering into a contract with the vendor, the City Officer, Advisory Board member, or the City employee must disclose such gift as provided in subsection (f), (g) or (h), as applicable, but he shall be permitted to vote on and participate in the consideration of such matter. This requirement shall not apply to gifts accepted by the City Council member, the City Manager or City employee if the gift is a political contribution as defined by Title 15, Election Code, or food accepted as a guest. (d) If any the following relationships exist between a vendor and a City Officer, Advisory Board Member, or a City employee, the City Officer, Advisory Board Manager or the City employee must disclose the relationship as provided in subsection (f), (g) or (h) as applicable and shall not, in accordance with subsection (a), discuss the substance of the matter at any time with any other member of the board of which he or she is a member or any other body which will vote on or otherwise participate in the consideration of the matter: (1) The City enters into a contract with a vendor or is considering entering into a contract with a vendor and the vendor has an employment or other business relationship with the City Officer, Advisory Board Member or City employee, or family member of the City Officer, Advisory Board Member or City employee, that results in the City Officer, Advisory Board Member, or City employee, or their family member, receiving taxable income, other than investment income, that exceeds $2500 during the 12-month period preceding the date the contract between the City and the vendor is executed, or the date the City considers entering into a contract with the vendor; or (2) The City enters into a contract with a vendor, or is considering entering into a contract with a vendor, and the vendor has a family relationship with the City Officer, Advisory Board Member or City employee. (e) A city officer, employee or advisory board member shall disclose the existence of any substantial interest in a business entity or real property involved in any decision pending before such officer, employee or advisory board member, or the body of which he is a member. To comply with this paragraph, a city officer or advisory board member shall, prior to any discussion or determination of the matter, either file an affidavit of disclosure as required by § 171.004 of the Texas Local Government Code or, if not so required, shall publicly disclose in the official records of the body or of the city secretary the nature of the interest. To comply with this paragraph, a city employee shall notify his or her superior, and the Director of Human Resources in writing of the nature of any substantial interest he may have in a business entity or real property which would be S(XJ'r'Hi-AlU- Ordinance 635 Code of Ethics and Conduct — 9 Page 8 affected by an exercise of discretionary authority by the city employee. The employee's superior shall assign the matter to another employee. (f) A City Council member, the City Manager or a City employee shall disclose a relationship as defined in subsections (c) and (d) that exists between the City Council member, the City Manager, the City employee, or family member of the City Council member, City Manager, or City employee and vendor by filing a conflicts disclosure statement with the City Secretary as required by § 176.003 of the Texas Local Government Code. The disclosure statement form is available from the City Secretary. This disclosure shall be filed not later than 5:00p.m. on the seventh business day after the date on which the City Council member, the City Manager or the City employee becomes aware of the existence of a relationship as defined in subsections (c) and (d). (g) An advisory board member shall disclose a relationship as defined in subsections (c) and (g) that exists between the advisory board member, or family member of the advisory board member with a vendor by filing a written statement with the City Secretary on a form promulgated by the City Secretary for that purpose. This statement shall be filed not later than 5:00 p.m. on the seventh business day after the date on which the advisory board member becomes aware of the existence of a relationship as defined in subsections (c) and (d). (h) An employee of the city who does not have a relationship as defined in subsections (c) and (d) between the employee, or family member of the employee, with a vendor shall indicate such by filing a written statement with the Director of Human Resources on a form promulgated by the Human Resources Department for that purpose. Sec. 2-266. — ENFORCEMENT. (a) The City Council shall have the primary responsibility for the enforcement of this code. The City Council may direct the city attorney to investigate any apparent violation of the code or it may employ or appoint any qualified attorney to investigate any violation or series of violations of this code by one or more persons. At the direction of the City Council, the city attorney shall have the power to investigate any complaint, and to take any action on behalf of the city where such action is appropriate. (b) Any person who believes that a violation of any portion of the code has occurred may file a complaint with the City Council who may then proceed as provided in paragraph A above. However, nothing in this code shall be construed to prevent complainants from instituting direct legal action through the appropriate judicial authority. Sec. 2-267. -ADVISORY OPINIONS. (a) Where any officer, employee or advisory board member has a doubt as to the applicability of any provision of this code to a particular situation, or as to the definition of terms used herein, he may apply to the city attorney for an advisory opinion. The officer, employee or advisory board member shall have the opportunity to present his or her interpretation of the facts at issue and of the applicability of provisions of the code before such advisory opinion is made. snu'r'Hi.AM Ordinance 635 Code of Ethics and Conduct - 9 Page 9 (b) Until amended or revoked, any advisory opinion shall be binding on the city, the City Council, and the city attorney in any subsequent actions concerning the public officer, employee or advisory board member who sought the opinion and acted on it in good faith, unless material facts were omitted or misstated in the request for the advisory opinion. Such opinion shall not be binding in any action initiated by any private citizen. Sec. 2-268. - DISTRIBUTION OF COPIES OF ARTICLE. The city secretary shall cause a copy of this code of ethics and conduct to be distributed to every officer, employee and advisory board member of the city within thirty (30) days after enactment of this code. Each officer, employee and advisory board member thereafter elected, hired or appointed shall be furnished a copy before entering upon the duties of his or her office or employment and shall sign a written statement acknowledging receipt of the copy. A copy of the ordinance shall be furnished to each officer, employee and advisory board member each year. Sec. 2-269 - EMPLOYEE BUSINESS CODE OF CONDUCT. The Council hereby directs the City Manager to prepare and bring before the Council for adoption by resolution, an Employee Business Code of Conduct to be included in the City Personnel Manual which shall incorporate the provisions of this Code of Ethics and Conduct and proscribe conduct in accordance with adopted Southlake Values. City of Southlake Personnel Policies Section: Ethics and Conduct 12VjC: Employee Business Code of Conduct Effective Date: July 1, 2006 Approved By: Resolution No. 06-029 Revision Date: I. PURPOSE A Code of Ethics and Conduct, codified as Chapter 2, Article VI of the Southlake City Code, was passed by City Council on March 21, 1995 and further amended on June 6, 2006, The Code of Ethics and Conduct applies to all officers, employees and board members acting in an official capacity on behalf of the City. Chapter 2, Article Vl, Section 2-268 requires the City Manager to present an Employee Business Code of Conduct for adoption by City Council. To ensure public confidence in the integrity of its City government, we as employees, must be mindful of the Code of Ethics and Conduct and adhere to its provisions. We must also recognize that how we conduct our business also affects the public's perception of the City and its leaders. The purpose of this Employee Business Code of Conduct is to further expand on the Code of Ethics and Conduct, and to convey our adopted values in how we conduct our business as employees -- with the public, with each other, and with other organizations and businesses. Southlake Values: (Adopted by City Council Strategic Planning ff,orkshop June 2005) Integrity — Being worthy of the public's trust in all things. We deal honestly and respectfully with each outer and the public at all times. Innovation -- Valuing progressive thinking, creativity, flexibility and adaptability in service delivery. Accountability — Taking personal responsibility for our actions or inaction while putting the interests of the taxpayer first. Commitment to Excellence — Behaving responsively in our delivery of service to the public. Our work is characterized by its quality and by the diligence with which it is carried out. We proactively seek to solve problems in advance. Teamwork — Recognizing the importance of working together to meet our citizen's needs, communicating clearly, sharing resources and information freely. a Employee Business Code of Conduct Adopted. Resolution No. 06-029 Effective:July 1,2006 Page 2 of 8 ' It does not address every situation, nor does it take the place of the City Personnel Policies and Procedures. Where appropriate, those policies are referred to for fitrther guidance and instruction. By following these guidelines, we ensure the public has confidence in the integrity of their City government. II. OUR RELATIONSHIP WITH EACH OTHER A. Recognizing and Respecting Diversity The City is committed to an all-inclusive work culture. We believe and recognize that all people should be respected for their individual abilities and contributions. The City strives to provide challenging, meaningfirl and rewarding opportunities for personal and professional growth to all employees without regard to race, color, religion, sex, national origin, age, disability or any other legally protected status. We believe that such an attitude contributes greatly to the innovative environment that the City values so greatly. (Refer to Employee Personnel Policies and Procedures, "Workplace Conduct."] B. Maintaining Workplace Safety We are responsible for maintaining a safe workplace for ourselves and for others, by following safety and health rules and practices. We are responsible for immediately reporting accidents, injuries and unsafe equipment, practices or conditions to a supervisor or other designated person. The City is committed to keeping its workplaces flee of hazards. [Refer to Employee Personnel Policies and Procedures, Chapter 7, "Safety."] C. Respecting Each Other's Privacy The City respects the privacy of its employees and therefore maintains only those employee personnel and medical records necessary for business, legal or contractual purposes. The Texas Public Information Act requires public access to all City records. However, as provided by law, employees may restrict public access to certain personal information: 1. Every employee has the right to see his or her own personnel record. 2. The City will comply with all applicable laws regulating the disclosure of personal information about employees. The City and its employees recognize and respect the privacy of each other's personal lives. However, as public servants, we are also held to a higher standard and we must not let our personal conduct impair our work performance or adversely affect the work environment or reputation of the City. D. Employee Assistance Program The City has an Employee Assistance Program to help provide guidance and confidential counseling for its employees. Helping its employees handle 2 Employee Business Code of Conduct Adopted: resolution No. 06-029 Effective:Juiy I,2006 Page 3 of 8 ;f� situations before they become unmanageable is important to the City, and is a significant tool in promoting excellence. E. Harassment The City prohibits all forms of harassment and violence towards employees, volunteers, and officers in the Workplace Conduct Policy. This includes demeaning, insulting, embarrassing or intimidating behavior directed at any employee related to race, color, religion, sex, national origin, age, disability or any other legally protected status. We believe harassment of any kind contradicts Southlake Values. [Refer to Employee Personnel Policies and Procedures, "Workplace Conduct."] F. Team Environment The City places great importance upon teamwork, one of the five adopted Values. While individual effort is important and necessary, it is also desirable that we recognize and snake use of the strength gained through teamwork. Cooperation and consolidation of effort is not only important within each department, but across the entire City as well. G. Recognition of Southlake Values The City encourages promotion of outstanding examples of Southlake Values through employee awards, incentive programs, and recognition in employee newsletters and other communication tools. The City also promotes an environment of open communication that values discussion of ideas and issues. III. OUR RELATIONSHIP WITH ELECTED AND APPOINTED OFFICIALS A. Professionalism In our relationship with both elected and appointed officials, we must always act with the professionalism that is the hallmark of excellent public service. Throughout the life of the City, there will be continual transitions in leadership through elections and council appointments. The greatest asset we have in ensuring a smooth transition is by our professional demeanor. B. Political Involvement As employees of a municipal government, there are limitations on our political activities while at work. These limitations serve to protect our integrity and accountability for our role in the public sector. We can execute our constitutional rights within the political process, but there are certain limitations as they relate to our service in Southlake. 1. Impartiality and Neutrality It is essential that we perform our duties without regard to any political party, agenda or point of view while acting in an official capacity. Our 3 Employee Business Code of Conduct Adopted: Resolution No.06-429 Effective:July 1,2406 Page 4 of S . responsibility is to the citizens of Southlake and to their elected representatives, the City Council. 2. Political Advocacy We shall not engage in any political activity while working. AIthough we are not prohibited from expressing our political opinion on an issue, we must clarify that the opinion does not necessarily reflect the opinion of the City or its officers. 3. Influencing Subordinates We shall not, directly or indirectly, induce or attempt to induce any City subordinate to participate in an election campaign, contribute to a candidate or political committee, or engage in any other political activity relating to a particular party, candidate, or issue, or to refrain from engaging in any lawful political activity. A general statement merely encouraging another person to vote does not violate this rule. 4. Paid Campaigning We shall not accept anything of value, directly or indirectly, that aright reasonably tend to influence us in favor or opposition regarding any political item pending on the ballot. [Refer to Employee Personnel Policies and Procedures, "Code of Ethics and Conduct."] 5. Display Of Campaign Materials We shall not display political campaign materials on any City vehicle or property. C. Information Distribution We have a responsibility to distribute information in a fair and consistent manner to elected and appointed officials. It should be inclusive of all available facts, not just what is needed to make a favorable decision for us. Additionally, we should provide such information in a responsive and timely mariner. While we should always respond in a timely manner to citizen and City Council requests for information, we should also keep our supervisors and the City Manager informed of such requests as applicable. 4 Employee Business Code of Conduct Adopted: Resolution No. 06-029 Effective: July 1,2006 Page 5 of 8 IV. OUR RELATIONSHIP WITH THE CITY A. Respecting the City's Greater Good Our purpose is to serve the citizens of Southlake. To that end, we also must respect the City's greater good. We should never pursue our own goals or personal gain to the detriment of the City. B. Outside Employment As employees of the City, we accept certain restrictions so that we may better serve the citizens. Specifically, we shall not accept other employment or engage in outside activities that compromise our ability to fulfill our duties and responsibilities with the City, or which might impair our independent judgment in the performance of our official duties. C. Conflicts of Interest Maintaining impartiality and neutrality in decisions before the City is essential in preserving not only our individual integrity, but that of the City as well. Conflicts of interest arise when personal involvement and/or gain in a decision could lead to prejudice, or the appearance of prejudice in that decision. All City employees shall disclose a relationship that exists between the city employee or family member of the city employee, with a person or business contracting or seeking to contract with the City for any goods or services. [Refer to Employee Personnel Policies and Procedures, "Code of Ethics and Conduct."] D. Representation of the City We have a responsibility to represent the City in a manner that does not bring discredit upon it or its employees, nor to represent the City in any manner other than in an official capacity. This responsibility should guide our actions while wearing City clothing or uniforms. We shall not wear uniforms or logos identifying the City while engaging in conduct or activity that by virtue of this association would reflect poorly upon the City. [Refer to Employee Personnel Policies and Procedures, "Uniform / Dress Code ! Grooming Policy."] The Code of Ethics and Conduct also delineates specific guidelines that prohibit an employee of the City from representing any person or group before the City. Further, we may not represent any person or group in any action or proceeding against the interests of the City or in any litigation in which the City is a party. [Refer to Employee Personnel Policies and Procedures, "Code of Ethics and Conduct."] 5 Employee Business Code of Conduct Adopted: Resolution No. 06-029 Effective: July 1,2006 Page 6 of 8 V. OUR RELATIONSHIP WITH SOUTHLAKE CITIZENS AND THE PUBLIC A. Responsiveness and Equitable Treatment We should respond in a timely manner to the needs of the public with respect, courtesy, and professionalism. At no time shall we grant any special consideration, treatment, or advantage to any citizen beyond that which is available to any other citizen. B. Respect For Private Property We shall respect the private property of our citizens. In circumstances where official City business requires us to work on private properly, we shall make every reasonable effort to notify the property owners of such work activity. Whenever possible, the private property shall be returned to its pre-work condition. VI. OUR RELATIONSHIP WITH VENDORS AND CONSULTANTS A. Gifts It cannot be overstated that the Southlake Valdes can be greatly compromised by the improper acceptance of gifts. Even the appearance of accepting gifts can be damaging. No City officer or employee shall accept any gift that might reasonably tend to influence them in the discharge of their official duties, or grant any improper favor, service or thing of value. Neither shall they use their official position to secure special privileges or exemptions for themselves or others. [Refer to Employee Personnel Policies and Procedures, "Code of Ethics and Conduct."] B. Bidding and Contracting Bidding and contracting can bring great discredit upon the City if it is not conducted in a legal and appropriate manner. Any private gain by employees of the City or any gain beyond reasonable compensation for the contractor is prohibited. [Refer to City Purchasing Policy.] VII. OUR STEWARDSHIP OF INFORMATION A. Information Access and Management In the course of our official duties, we may have knowledge of, or work with, various types of public and confidential information. We should strive to provide prompt and accurate access of public information in a timely manner. The Texas Public Information Act and the Texas Open Meetings Act provide specific guidance and legal requirements. 6 Employee Business Code of Conduct Adopted: Resolution No, 06-029 Effective: July 1,2006 Page 7 of 8 In providing information to the media, the City seeks to provide consistent, accurate and timely information. To accomplish this goal, it is desirable that only designated employees provide official responses to the media. This does not prevent any employee from providing a response, but we must always remember that in doing so, whether we intend to or not, we represent the City of Southlake. [Refer to Employee Personnel Policies and Procedures, "Media Relations and Communications."] B. Confidential Information We shall not use our position as employees of the City to secure official information about any person or entity for any purpose other than the performance of our official responsibilities. We will protect from disclosure or misuse all non- public information pertaining to the City or its actions. Further, we shall not disclose confidential information or use such information to further or impede anyone's personal interests. This does not prohibit any disclosure or use that is authorized by law, or the confidential reporting of illegal or unethical conduct to authorities designated by law. VITT. OUR STEWARDSHIP OF THE ENVIRONMENT To provide residents with an outstanding quality of life, the City is committed to health, safety and the envirotinient through actions such as recycling and energy conservation. We will abide by all applicable health, safety and environmental laws and regulations as we conduct our business, and will seek to maintain standards of excellence in the Southlake environment. Whenever possible and appropriate, we will notify citizens about environmental issues related to our activities, if we are required to use hazardous materials in the conduct of our operations, we will take all precautions necessary to prevent misuse. IX. OUR STEWARDSHIP OF PU13LIC RESOURCES A. Equipment, Facilities and Technology Systems Our ability to serve the citizens of Southlake requires the efficient and proper use of the City's assets and resources. This includes not only physical property, equipment and inventory, but other tangible assets such as office equipment and supplies, and information systems. Safeguarding these assets is the responsibility of all employees. We must use and maintain City equipment and facilities with care and respect while guarding against fraud, waste and abuse. [Refer to Employee Personnel Policies and Procedures, "Technology Policy." We will use public resources according to City policies and procedures, comply with security programs and procedures that help prevent their unauthorized use or theft, and abide by all regulations or contractual agreements governing their use. 7 Employee Business Code of Conduct Adopted: Resolution No.05-029 Effective: July 1,2005 Page 8 of 8 B. Use Of Public Resources U7/ We recognize that the resources of the City have been provided through the taxes of the citizens of Southlake, and are for the purpose of providing service to our citizens. We shall not use, request, or permit the use of City facilities, personnel, equipment, or supplies for private purposes (including political purposes), unless allowed by City policy or approved by City Council. X. OUR FINANCIAL INTEGRITY Financial integrity is one of the most essential concerns a government has to deal with, and it is no less important in the operations of the City. As stewards of public monies, we must always recognize that the funds we utilize are not our own. We act on behalf of the citizens of Southlake. In all things from budget prioritization, administration, records maintenance and reporting, we should strive to make our actions transparent, easily understood, and beneficial to the citizens. To do anything less would be to forsake the public trust that we have been given. XI. OUR RESPONSIBILITY TO REPORT VIOLATIONS The cornerstone in any team environment is a shared concept of ethics. Therefore it is imperative that all employees report any ethics violations and ensure that the highest standards are upheld in our daily conduct. Depending upon the situation and personnel involved, violations can be reported to various parties, including the department director, City Manager's Office, Human Resources Department, or to an ethics violation hotline. The Human Resources Department is responsible for publishing an ethics violation hotline number to all employees. 8 City of Southlake Personnel Policies Section: Rules and Regulations Tom: Media Relations and Communications Policy Effective Date: Approval: Resolution No. 02-049 Revision Date: I. P, urpose This policy establishes procedures and guidelines for all City employees concerning communication with members of the news media when the employee is on the job or acting as a City employee. The City seeks to provide consistent, accurate, and timely information to the media while keeping city officials informed of emerging media issues. To accomplish this goal,the City maintains a systematic, well-coordinated, and decentralized communications policy. II. City Representation A. General. All employees are authorized,but are not obligated, to speak directly with members of media at their discretion. Employees should limit their discussion of city operations to those areas where they have specific knowledge, referring other requests to the appropriate person in accordance with this policy. When communicating with the media, employees should remember that they represent the City and should conduct themselves accordingly. B. Official Spokesperson. The Public Information Officer(PIO) is the City's official spokesperson for all City departments except as indicated in Sec. II-D. The PIO promotes and provides background information about city issues, projects, and services to both the news media and the public. 1. The PIO is on-call 24 hours a day in order to facilitate the City's media relations policy, answer questions, respond to developing situations, and offer assistance as needed. 2. The PIO is available to all employees for advice, consultation, and assistance in media relations. Upon request,the PIO can be present for any arranged interviews with media personnel. 3. When the PIO is unavailable to serve as the city's spokesperson, an alternate spokesperson shall be designated by the City Manager. Page 1 of 4 Media Relations Policy C. Public Safety. The Director of Public Safety shall designate a member of the department to serve as the City's official spokesperson for public safety incidents, including but not limited to criminal reports and fire scene reports. The PIO and Public Safety designee shall jointly coordinate the release of all other material to news media outlets. M.Application to Staff A. Department Liaisons I. Each director shall assign a staff representative(s)to serve as the media liaison (primary contact) for the respective departments. The PIO shall maintain a list of all department liaisons and shall make that list available to all directors. 2. The role of the liaisons is to present official, accurate information to the media on behalf of their departments and the City. 3. The PIO will provide basic instruction and training in media relations to media liaisons. 4. Each director shall inform his or her employees departments. S. Each liaison shall inform the PIO and the appropriate departmental director of all media requests for information and other contacts with the media. B. Other City Staff 1. Readily Available Requests. When an employee other than a designated liaison is contacted by the media requesting readily available information about City operations,the employee shall make a reasonable effort to provide it. Such information includes, but is not limited to, city staff names, titles and extensions; public meeting dates, locations and agendas; provisions of city ordinances or city charter; and copies of materials prepared by the City for public distribution. 2. Other Requests. When an employee who is not designated as a media liaison is contacted by the media for information about City operations that is not readily available, the employee shall refer the request to the appropriate department liaison or to the PIO. The employee shall inform the PIO and the appropriate departmental director of all media requests for information and other contacts with the media. Page 2 of Media Relations Policy IV.Standard Procedures A. Confidential Matters. Items of confidential or litigious matter shall not be addressed or discussed with the media. Such items include, but are not limited to, the following: • Medical records • Certain personnel records (including disciplinary actions) • Pending employee discipline investigations • Actual proceedings of executive sessions of City Council • Draft correspondence (preliminary notes or intra-city memoranda not yet finished) • Records pertaining to pending litigation where the City is a party • Legal opinions of City attorneys • Certain law enforcement records B. Press Releases 1. All departments are encouraged to disseminate press releases that reflect positively on the City and its image. A Iist of appropriate media contacts will be maintained by the PIC?. 2. Employees shall use the appropriate standardized form for all press releases (which will be made available by the PIO). All press releases must include the official City logo, address, telephone number, Web site address, and the name and telephone number of an individual who may be contacted for follow-up. 3. Press releases shall be submitted to the departmental director and PIO for approval prior to formal issuance. 4. The PIO shall be informed of all media contacts including the date,time, subject matter, and media personnel contacted. Such information shall be provided to the PIO on the standardized media contact form. C. Formal Media Interviews 1. An employee who receives a request from the media for scheduled interviews shall forward the request to the appropriate department liaison or the PIO. 2. Employees should remain aware of reporters' deadlines and attempt to accommodate reporters to the extent possible. Employees shall attempt to provide a timely and thorough response to all interview requests, but may ask for and expect to be afforded additional time to research the relevant issues and to prepare for the interview. 3. The PIO is available to advise employees on interviews with the media. Page 3 of 4 Media Relations Policy 4. If an employee does not feel comfortable answering a reporter's questions, he or she may terminate the interview with the understanding that the employee or another City representative will follow up with the reporter in a timely fashion. S. When an employee terminates an interview,he or she shall immediately discuss the topic with his or her departmental director and the PIO to determine if any further action should be taken. D. Requests for Public Information and Records 1. All requests for records, other than those described in Sec. III-B 1 of this policy, shall be referred to the City's Secretary's Office. 2. Responses to records requests shall be made in compliance with the provisions of federal and state law and the Texas Public Information Act, including those that pertain to the timeliness of the response. 3. If a request is from a representative of the media, a copy of the request shall be provided to the PIO in a timely manner and prior to or concurrent with delivery of the requested records. 4. In the event of uncertainty regarding whether information is confidential or should be released, the employee shall inform the employee's director, who may contact the City Attorney for assistance. E. Emergency/Crisis Situations 1. In the event of a declared emergency or crisis,the City Manager shall designate a formal media area and official spokesperson for the dissemination of information. 2. Employees are encouraged to direct all reporters and media personnel to the officially designated spokesperson, as described in the Emergency Operations Plan. 3. The PIO and department liaisons shall be available to assist media personnel in the Emergency Operations Center. Violations of Policy Employees in violation of this policy may be subjected to disciplinary action, including termination. Page 4 of 4 City of Sopthlake Personnel Policies Section: Wage and Salary Administration Topic: Interim Status Pay Effective Date: April 15, 2003 Approved By: Resolution No. 07-014 Revision Date: March 6, 2007 Interim Status Pay 1.0 Purpose and Scope The City recognizes that certain positions of significant responsibility and duties may from time to time become vacated for a variety of reasons, and that another employee may be asked to fulfill the duties of an employee serving in a higher level position for an interim period. It is also recognized that these duties are of such a nature and level of responsibility, and may last for an unknown period of time, that additional compensation is warranted for an employee asked to fulfill these interim duties. This policy is to provide a systematic and organized approach for the administration of interim assignments to a position of higher responsibility. This policy applies to all employees, including fire services personnel and sworn police officers. 2.0 Definitions 2.1 Executive Management Team — the City Manager, Assistant City Manager, and the department directors. 2.2 Deputy Director — the Chief of Fire Services, the Chief of Police Services, the Deputy Directors of Finance, Community Services, and Public Works, the Manager of Information Services, and any other employee listed in the Pay Plan as Non-Classified/Non-Director level. 2.3 Interim Assignment— 2.3.1 Fire sworn personnel: An assignment of at least twelve (12) consecutive hours when officially assigned to a higher position and notified of such assignment by an appropriate supervisor. 2.3.2 Police sworn personnel: An assignment of at least eight (8) consecutive hours when officially assigned to a higher position and notified of such assignment by an appropriate supervisor. 2.3.3 All other employees: An assignment of at least thirty (30) consecutive calendar days to a position of higher responsibility and duties when Interim Status Pay Revised: March 6,2007 Resolution No. 07-01.4 Page 2 of 3 approved by the appropriate authority. 3.0 Policy 3.1 An employee acting in an interim assignment status must be qualified to perform and must actually perform the full range of duties of the higher-level position during the interim assignment. The duties performed of the higher level position must be above and beyond the duties described in the employee's current job classification. 3.2 An interim assignment shall not become effective without the appropriate supervisor approval as provided below. Except as provided below for fire and police sworn personnel, the interim assignment will be approved in writing and will stipulate the effective date and estimated duration of the interim assignment. 3.2.1 The City Manager may temporarily assign an employee to serve in a position on the Executive Management Team. A department director may recommend, subject to City Manager approval, an employee to serve in a deputy director position for an interim assignment. 3.2.2 The Department Director shall approve, in writing, all interim assignments for personnel below the level of deputy director, taking into consideration the need to fill the position on an interim basis. 3.2.3 Fire and Police sworn personnel: The Director of Public Safety, or the Chief of Fire Services or Chief of Police Services, or the Fire Captain or Police Captain, will approve interim assignments for fire and police sworn personnel who perform the duties of a higher classification. 3.2.3.1 Interim assignments shall be annotated and approved on departmental timesheets. Prior assignment by an appropriate supervisor is required and is subject to final approval by authorized personnel as designated in 3.2.3. 3.3 Interim Status Pay will be paid commencing upon completion of the required minimum time period, but will be effective as of the beginning of the interim assignment. 3.3.1 Executive Management Team / Deputy Director positions: The City Manager will determine the interim compensation based upon consideration of the following criteria and other criteria as may be appropriate: • scope and complexity of the duties being assigned; • pay difference between the interim assignment and the employee Interim Status Pay Revised: March 6, 2007 Resolution No. 07-014 Page 3 of 3 w being assigned to the interim position; • exigent circumstances or situation that created the vacancy. 3.3.2 All other employees: An employee serving in an interim assignment shall be compensated at the lowest step in the pay grade for the higher classification that results in a minimum increase of 5% of the employee's current pay rate. 3.4 Upon completion of the interim assignment, the employee will return to the employee's regular job assignment and duties. The employee's compensation will return to that employee's regular rate of pay prior to the temporary assignment. 3.4.1 If an employee's step date occurs during an interim assignment and the employee is eligible to move to the next step within the pay grade of the regular assignment, the employee shall be compensated as per paragraph 3.3 based on the step advance. The employee will be placed at the appropriate step of the employee's regular pay grade upon completion of the interim assignment. 3.5 In the event an interim assignment extends beyond three (3) months, the City Manager or Department Director, as appropriate, shall re-evaluate the interim status assignment and determine if it shall be renewed. If renewed or continued, subsequent reviews shall be performed at least quarterly for the duration of the assignment. 3.6 An interim assignment does not constitute a promotion and shall in no way be construed as a permanent assignment. City of Southlake Procedures Section: Employment 122ic: ADA Accommodation and Return to Work Procedure Effective Date: July 1, 2003 Approved By: Manager Revision Date: ADA Procedure 1.0 Purpose The City of Southlake adopted an Equal Employment Opportunity Policy in February 1989, updated in November, 2000, which prohibits employment discrimination based on race, creed, color, religion, national origin, sex, age, or physical or mental disability. Further, it has been the policy of the City to provide productive employment opportunities for the disabled by placing such individuals in positions where their abilities can be effectively utilized. The City of Southlake acknowledges that employees with disabilities can make valuable contributions to the City. The City of Southlake, in compliance with State and Federal law, will offer qualified individuals with disabilities reasonable accommodation to perforin the essential functions of their jobs. 2.0 Applicability This policy applies to any individual offered employment with the City of Southlake and requesting a reasonable accommodation, or any individual currently employed who seeks a reasonable accommodation in order to fulfill the essential functions of the employee's position with the City. 3.0 Definitions 3.1 Disability— a physical or mental impairment that substantially limits one or more of the major life activities. 3.2 Essential Job Functions—the fundamental job duties of the employment position. 3.3 Major Life Activities — an everyday activity that an average person can perform with little or no difficulty, such as walking, breathing, seeing, hearing, speaking, learning, and working. ADA Procedure Effective:July 1,2003 Page 2 of 8 3.4 Prospective employee an applicant for employment with the City of Southlake who satisfies the requisite skill, experience, education and other job-related requirements of the employment position sought, and who has been offered conditional employment with the City of Southlake. 3.5 Reasonable Accommodations.7- (1) modifications to the work environment, or to the manner or circumstances under which the job is customarily performed, that enable a qualified 'individual with a disability to perform the job's essential functions; or (2) modifications that enable an employee with a disability to enjoy benefits and privileges of employment equal to those of similarly situated employees without disabilities. 3.5 Qualified Individual — an individual with a disability who satisfies the requisite skill, experience, education and other job-related requirements of the employment position such individual holds or desires, and who, with or without reasonable accommodation, can perform the essential functions of such position. 3.7 Undue Hardship—an action that requires significant difficulty or expense. 4.0 Requests for Accommodations 4.1, The City's Human Resources Analyst serves as the ADA Coordinator for the City. This employee shall be responsible for the coordination and implementation of the City's policies prohibiting disability discrimination and providing employees with reasonable accommodation. 4.2. An applicant who has received a conditional offer of employment with the City of Southlake, may be required to complete a physical examination and drug/alcohol screening, at the City's expense. If the prospective employee requires a reasonable accommodation to meet the essential functions of the position sought, a request shall be submitted to the Human Resources Department. The request shall state how the prospective employee believes his/her disability affects the individual's ability to perform the essential functions of the job being sought, the expected duration of the disability, and what reasonable accommodation is sought. 4.3. An employee seeking a reasonable accommodation for a disability should submit such request in writing to the ADA Coordinator and his/her supervisor. The request should state how the individual believes his/her disability affects the employee's ability to perform the essential functions of their job, the expected duration of the disability, and what reasonable accommodation is sought. 4.4. Medical certification from a competent authority may be required to determine whether a reasonable accommodation can be made. If required, the ADA Coordinator will submit a request to the individual for written certification from a ADA Procedure Effective:July 1,2003 Page 3 of 8 competent medical authority stating how the disability affects the individual's ability to perform the essential functions of the job. 5.0 ADA Op tions Conference 5.1. Within ten (10) business days of receiving a written request from an individual for a reasonable accommodation due to a disability, an ADA Options Conference will be held with the individual, the ADA Coordinator, and the individual's supervisor. 5.2. Discussion during the ADA Options Conference should include,but is not limited to: ■ a review of the essential job functions of the individual's job; ■ a review of the individual's physical or mental abilities and limitations as they relate to the job's essential functions; ■ a review of possible reasonable accommodations; ■ a proposed timeframe for implementation of the accommodation; and if currently employed by the City, the individual's expected return to work date. 5.3. For individuals currently employed by the City, if a reasonable accommodation is not possible, alternative vacant positions within the City shall also be discussed. The employee requesting the accommodation Frust meet the minimum qualifications of an alternative position to be eligible for consideration, and must be selected for the position by the supervisor/director responsible for the alternative position. An alternative position may be temporary, dependent on the nature and extent of the disability. 5.4. Following the ADA Options Conference, the ADA Coordinator will determine if the individual has a qualified disability covered by the ADA. 5.4.1. A qualified individual with a disability as stated by EEOC Regulations is "an individual with a disability who satisfies the requisite shill, experience, education and other job-related requirements of the employment position such individual holds or desires, and who, with or without reasonable accommodation, can perform the essential functions of such position" (29 C.F.R. 1630.2 (m)). 5.4.2. The ADA Coordinator will also make an individualized determination, based on objective medical or other evidence, of whether a person with a disability poses a direct threat of harm to that individual or others and whether the threat may be removed by a reasonable accommodation. ADA Procedure Effective: July 1,2003 Page 4 of 8 5.4.3. The ADA Coordinator will notify the individual in writing if determination is made that the individual is not qualified as per the ADA guidelines. 6.0 ADA Coordination 6.1. The ADA Coordinator shall issue a written response to the individual within ten (10) business days of the options conference regarding ADA eligibility, coordination, and any possible reasonable accommodations. The Human Resources Director may extend this time period if the employee has to provide additional information or if medical or other professional evaluation is necessary. 6.1.1. The ADA Coordinator will consider the preferences of the individual when selecting possible accommodations; however, the City has the discretion to choose between effective accommodations. 6.1.2. If a particular accommodation imposes an undue hardship on the City, it is not required; however, the City will consider alternative accommodations that would not impose a hardship. 6.1.3. The ADA Coordinator will consult with available resources in determining appropriate accommodations. 6.2. The individual will have ten (10) business days to accept or reject an offer of reasonable accommodation. If the individual does not respond, the City will assume the offer is rejected. 6.2.1. If an offer of reasonable accommodation is rejected, the ADA Coordinator, individual, and supervisor will conduct one additional ADA Options Conference to discuss the case within ten (10) business days of the rejection. The ADA Coordinator will issue a written response to the individual within ten (10) business days of the second ADA Options Conference. 6.2.2. If no additional alternatives are discovered, the individual may appeal the decision of the ADA Coordinator as per the City's grievance policy. Prospective employees may appeal the decision of the ADA Coordinator directly to the City Manager, in writing, within five (5) business days of receiving the second ADA Options Conference written report. 6.3. Within thirty (30) calendar days of implementation of a reasonable accommodation, the ADA Coordinator, employee, and supervisor will meet to review the case and evaluate the effectiveness of the accommodations and the individual's performance of the essential functions of the job with the accommodations. Modifications to the accommodations should be considered, however, consideration should also be given to the likelihood of the individual ADA Procedure Effective.July 1,2003 Page 5 of 8 being able to perform the essential functions of the job with any modifications to existing accommodations. The ADA Coordinator will provide a written report of the evaluation to the employee's Department Director and to the Human Resources Director. 7.0 Appeal 7.1. If the ADA Coordinator denies an employee's request for reasonable accommodation or determines an employee does not have a qualified disability, the individual may file an appeal in accordance with the City's grievance policy. This procedure shall not expand the responsibilities of the City of 5outhlake or the rights of its employees under State or Federal law. City of Southlake Americans with Disabilities Act (ADA) -- Request for Reasonable Accommodation Gener aI Information Nacre: SSN: Title: Dept/Div: Disab, lrty"and Accom iodat- Information 1. Please describe your disability and how it limits a major life function(s): 2. How does your disability affect the essential functions of your job? Identify the essential functions affected and be specific about how the disability impairs your ability in each instance. 3. Can you perform the essential functions of the job with or without reasonable accommodations? ❑Yes ❑No 4. If yes,please describe: S. Explain how the accommodations will enable you to perform the essential functions of the job. Be specific. 6. Additional Comments. `Physician's`Statement ❑ I have attached a completed Physician's Statement. Employee"Certification s I certify that the information that I have provided is true and accurate to the best of my knowledge. I understand that any misrepresentation may result in disciplinary action up to and 'including termination. Signature: Date: Printed Name: ADA Procedure Effective;July 1,2003 Page 7 of 8 City of Southlake Physician's Statement This statement is to determine the employee's ability to perform the physical requirements of his or her position. Please review the attached job description and indicate the employee's ability to perforin the physical requirements of the job. if it is determined that the physical requirements may be performed with a reasonable accommodation, please indicate the necessary accommodation. This statement will be used to determine the employee's ability to safety and consistently perforin the physical requirements of his or her job, which may include enforcing and assisting with the safety and security of the public. This information will remain confidential. The employee's approval for the release of this information is indicated on the attached form. General if© natio Employee Name: Date of Birth: Employee Title: SSN: Name of Physician: Physician Phone Number: Physician's Address: Employee Authorization to.Retease:tnforma on I hereby authorize any hospital,physician, medical practitioner, or medically related facility to disclose or furnish to the City of Southlake any and all information with respect to the illness, injury, or disability in question for a release to duty or my request for reasonable accommodations The information provided to the City of Southlake is to be used solely for the determination of reasonable accommodations or a release to duty, light duty or modified work. A photostatic copy of this authorization is to be considered as valid as the original and is effective for the duration of the process. Signature: Date: Printed Name: Disability and Accomma ahvn lCii vim on 1. Diagnosis of injury/disease: 2. Nature of treatment(including surgery and medications prescribed, if any): ADA Procedure Effective:July 1,2003 Page 8 of 8 3. Please indicate the employee's ability to perform the physical requirements indicated below: Freunenci Duration Lifting or carrying 50 lbs. Lifting or carrying 50 - 100 lbs. Bending or stooping Reaching above shoulder level Driving equipment/vehicles Operating heavy machinery Working with machinery Climbing ladders, stairs, etc. _ Jumping/Stepping off equipment at heights up to 3 feet Walking Standing Sitting Exposure to extreme temperatures or humidity 4. Are there any other physical requirements of the employee's job that the employee cannot safety perform? (see attached job description) 5. What modifications or accommodations can be made to allow this employee to perform the duties of his or her position: 6. Would you certify this employee as able to return to full duty status and perforin the physical requirements of his or her positions? ❑ Yes ❑ No 7. Date released to return to work: 8. If not, when will the employee be able to return to full duty status: 9. Additional comments on the physical aspects of the job (limitations, therapy, etc.): _ Physician's Signature: Date: Printed/typed name: Cily of Southlake Personnel Policies Section: Wage and Salary Administration Tonic: Reduced Work Schedule Effective Date: July 16, 2003 Approved By: Resolution No. 03-0381W Revision Date: Reduced Work Schedule 1.0 Purpose and Scope The City recognizes that there are times when an employee may desire to reduce normal work hours of a position to a reduced work schedule (RWS) for various reasons that benefit the employee and/or the City. The City may also desire to reduce the work hours of a position to avoid layoffs, to reduce operating costs, or to avoid adverse financial consequences. The employee is permitted to work a shorter workweek while maintaining some benefits and the City is allowed to adjust to changing workloads and economic conditions while retaining a valued employee. This policy is to provide a systematic and organized approach for the approval and administration of reduced work schedules. This policy applies to all regular, non-supervisory, full-time employees. This policy does not apply to sworn police or fire personnel. 2.0 Definitions 2.1 Exempt Employee — An employee who performs an executive, administrative or professional function as defined in the Fair Labor Standards Act. 2.2 Non-Exempt Employee -- an employee who is not exempt from the provisions of the Fair Labor Standards Act. 2.3 Reduced Work Schedule_(RWS) -- A reduction in the normal workweek hours from the traditional forty (40) hour workweek to a thirty (30) hour workweek. This may be a temporary assignment, or when approved through the City budget process, a permanent reduction in hours. 2.4 RWS Employee — A regular, non-supervisory, full-time employee approved to work a reduced work schedule. An RWS employee may serve in an exempt or non-exempt position. 2.5 Supervisor— An employee in a position required to oversee and direct other employees on a regular basis. Reduced Work Schedule Effective: July 15,2003 Page 2 of 7 3.0 Polar A reduced work schedule may be requested by an employee, supervisor, or Department Director. All requests must take into consideration the impact on the department and City services. Requests for reduced work schedules shall be considered on a case-by- case basis and shall not be approved if doing so would adversely affect customer service or work group productivity, or is otherwise detrimental to the good order of business. A reduced work schedule shall not become effective without the City Manager's written approval, and is subject to revocation at any time if it is in the City's best interest. 3.1 Compensation: 3.1.1 A non-exempt employee placed on a reduced work schedule shall be paid based on the number of hours worked. If an RWS employee works more than forty (40) hours in a workweek, the employee shall be compensated with overtime or compensatory time as provided in the City's overtime and compensatory time policies. 3.1.2 An exempt employee placed on a reduced work schedule will be paid at 75% of the employee's normal salary, regardless of the number of hours actually worked, until the reduced work schedule is discontinued. 3.2 Benefits: 3.2.1 A non-exempt employee must work and/or utilize paid leave, a minimum of 30 hours per week (hours worked, vacation, compensatory, sick and/or holiday)to maintain benefits. 3.2.2 Provided the threshold established Section 3.2.1 is met, insurance coverage and premiums will remain in effect for RWS employees on the same basis as available to full-time, regular employees. 322 Vacation leave, sick leave, and holiday pay shall accrue at 75% of the normal rate as provided for in the applicable City policies governing the accrual of same. 3.3 Procedure- 3.3.1 Request by Employee. A regular full-time, non-supervisory employee may submit a written request to be considered for a reduced work schedule. The request shall specify the reason for the request, the estimated duration of the assignment, and the days and hours that the employee wishes to work. 7/15/2003 Reduced Work Schedule Effective: July 16, 2003 Page 3 of 7 3.3.1.1 The request shall be approved by both the employee's supervisor and Department Director before being submitted to the City Manager for consideration. 3.3.1.2 Upon approval by the City Manager, the employee may begin to work the reduced schedule. If an employee desires a change in the approved schedule, it shall be considered as a new RWS request. 3.3.1.3 If it is determined that department needs are not being met under a reduced work schedule, the Department Director, after approval by the City Manager, may discontinue the reduced work schedule, as described in Section 3.5, and require the employee to return to a regular forty (40) hour workweek. An order for a return to a 40 hour workweek shall not be imposed for punitive or disciplinary reasons. 3.3.1.4 An employee who fails, upon thirty (30) days notice, to return to a forty (40) hour workweek will be subject to termination.. 3.3.2 Request by SWervisor/Director: A supervisor or Department Director may request that a position be placed on a reduced work schedule if it is determined that the reduced schedule is necessary to reduce operating costs, avoid layoffs and/or to avoid adverse financial consequences. The request shall specify the reason for the request, the estimated duration of the assignment, and the days and hours that the employee will work. If approved by the City Manager, a Department Director may require an employee to comply with the reduced work schedule. 3.3.2.1 Upon approval, the Department Director shall notify the employee of the schedule change at least thirty (30) calendar days before the effective date. 3.3.2.2 An employee who is unable to work the reduced schedule will be subject to termination. 14 Annual Review: The City Manager or Department Director may review positions in a reduced work schedule status as necessary,but at least annually during budget preparation. 3.5 Reduced Work Schedule Discontinuation: 3.5.1 Discontinuation.by City: The City Manager, through the employee's Department Director, may require a RWS employee to return to a forty (40) hour workweek if it is determined that the fiscal conditions which 7/16/2003 Reduced Work Schedule Effective: July 16, 2003 Page 4 of 7 created the need for the reduced workweek have abated, or if the needs of the department are not being met, as provided for in Section 3.3.1.3. 3.5.1.1 The Department Director shall notify a RWS employee, in writing, at least thirty (30) calendar days before the reduced work schedule is to terminate. 3.5.1.2 A RWS employee who does not return to a forty (40) hour workweek after being requested to do so, will be subject to termination. 3.5.2 Request by Employee: A RWS employee who works a reduced workweek at the employee's request, may submit a written request to return to a forty (40) hour workweek schedule. The request shall specify the reasons for the request to discontinue the reduced work schedule status. 3.5.2.1 The employee's supervisor and Department Director shall consider the request, taking into account the department workload and the City's fiscal condition, before it is then submitted to the City Manager for consideration. 3.5.2.2 Upon approval of the discontinuation, the employee may return to a forty (40) hour workweek. 3.6 Permanent Work Schedule Reduction: 3.6.1 A Department Director may request, during the budget process, that a position be,permanently reduced to a thirty (30) hour workweek if it is determined that the duties required of the position can be performed in a reduced workweek schedule. 3.5.1.1 Upon approval, an employee in a position to be permanently reduced shall be notified in writing of the change at least thirty (30) days prior to the effective date. 3.6.1.2 Compensation and benefits for permanent RWS employees will continue as described in Sections 3.1 and 3.2 above. 3.6.1.3 Once a position has been permanently reduced to a part-time position, it cannot be reinstated to a full-time position without approval through the budget process. 7/16/2003 Reduced Work Schedule Effective: July 16, 2003 Page S of 7 3.7 Reclassification of Vacant Positions: This policy shall not apply to the reclassification of a vacant position from full- time to a part-time position. A request for such reclassification shall be processed as part of the budget preparation process. 3.8 Areal: An employee who is directed to work a reduced work schedule or to return to a 40 hour workweek schedule and does not desire to do so, may appeal the directive by following the appeal procedures set forth in the City's grievance policy. 3.9 At-Will Employment: All employees of the City serve at the will and pleasure of the City. Neither this policy nor any policy of the City nor any statement of a city official, shall be construed as granting a property interest in employment with the City. The existence of this policy does not constitute any limitation on the rights of the City to manage its affairs. The City reserves the right to interpret, change, suspend, cancel or dispute, with or without notice, all or part of this policy. Before implementation of any change, Employees will receive a copy of the change in policy. 7/16/2003 4V Reduced Work Schedule Effective: July 16, 2003 Page 6 of 7 ACKNOWLEDGMENT FORM CITY OF SOUTHLAKE Reduced Work Schedule Policy 1, acknowledge that I have received a copy of the Reduced Work Schedule policy on . I have read the policy and understand my rights and responsibilities as they pertain to this policy. Provisions of the policy include,but are not limited to: • A reduced work schedule is temporary, unless approved as a permanent reduction through the City budget process. • Written notification will be provided to an employee when a reduced work schedule is applied, discontinued, or made permanent. • Insurance coverage and premiums will remain in effect for RWS employees on the same basis as available to full-time, regular employees. • Vacation leave, sick leave, and holiday pay shall accrue at 75% of the normal rate as provided for in the applicable City policies. • A RWS employee may request to return to a normal 40-hour workweek schedule. Approval is at the discretion of the Department Director and City Manager. • The City Manager or a Department Director may require a RWS employee to return to a normal 40-hour workweek schedule. • An employee who, after notice, is unable or unwilling to return to a 40-hour workweek when requested, will be subject to termination. Signature Department/Division 7/16/2003 Reduced Work Schedule Effective: July 15, 2003 Page 7 of 7 CITY OF SOUTHLAKE EMPLOYEE REDUCED WORK SCHEDULE REQUEST Name: Date: Position: Department: Reason for Request: Proposed Work Schedule: Estimated Duration of Reduced Work Schedule: By submitting this form, I acknowledge that I am requesting to be treated as an RWS employee. I acknowledge that I have read and understand the Reduced Work Schedule policy. If I am unable or unwilling to return to a 40-hour workweek when requested to do so, I will be subject to termination. Employee Signature Date Office Use: Remarks: Supervisor Signature Date Department Director Signature Date ❑ Approved ❑ Disapproved City Manager Signature Date 7/16/2003 �/ City of Southlake Personnel Policies Section: Rules and Regulations 12gk: Health Insurance Portability and Accountability Act (HIPAA) Privacy Policy Effective Date: April 14, 2004 Approved By: Resolution No. 04-020 Revision Date: HIPAA Privacy Policy 1.0 Purpose The Health Insurance Portability and Accountability Act (HIPAA) was enacted in 1995. The U.S. Department of Health and Human Services ("HHS") issued the Standards for Privacy oflndividually Identifiable Health Information ("Privacy Rule") to implement the Administrative Simplification provisions of HIPAA. The Administrative Simplification provisions required the HHS to adopt national standards for electronic health care transactions. The Privacy Rule was implemented on April 14, 2001 to set national standards for the protection of protected health information("PHI"). It is the policy of the City to limit the use or disclosure of protected health information (1) only as permitted or required by the Privacy Rule, as described in the Notice of Privacy Practices; or(2) as authorized in writing by the individual who is the subject of the information. 2.0 Applicability This policy applies only to those administrative functions by the City associated with health, dental, vision,prescription drug, and flexible spending account benefits provided by the City of Southlake. This policy does not apply to the responsibilities of the carriers that provide the City's health, dental,vision,prescription drag, and flexible spending benefit plans to comply with the Privacy Rule. Further, this policy does not apply to individually identifiable health information that is maintained by the City in its role as employer. For example,this policy does not apply to information learned during pre- employment or drug testing, in processing workers compensation, or in complying with the Family Medical Leave Act. As such,the City is considered a"hybrid entity" under the provisions of the Privacy Rule, and this policy shall apply only to the health care components previously described. HLPAA Privacy Policy Effective: April 14, 2004 Page 2 of 10 3.0 Definitions 3.1. Disclosure—the release, transfer,provision of access to, or divulging of information outside the entity holding the information. 3.2. Individually Identifiable Health Information—information, including demographic data,that relates to: • an individual's past, present, or future physical or mental health or condition; • the provision of health care to the individual, or • the past, present, or future payment for the provision of health care to the individual; and that identifies the individual or for which there is reasonable basis to believe can be used to identify the individual. 3.3. Protected Health Information ff H —individually identifiable health information held or transmitted by a covered entity or its business associate, in any form or media, whether electronic, paper, or oral. 3.4. Use—the sharing, employment, application, utilization, examination, or analysis of individually identifiable health information within an entity. 3.5. Workforce Members--employees, volunteers, trainees, and other persons whose conduct is under the direct control of the City. 4.0 Privacy Officer 4.1. The Director of Human Resources is designated as the City's Privacy Officer for the City's Plan, 4.2. Responsibilities of the Privacy Officer include, but are not limited to: a. developing and implementing privacy policies and procedures; b. distributing and posting the City's Notice of Privacy.Practices; C. receiving, processing, and documenting complaints applicable to this policy; d.. providing individuals with information on privacy practices; and C. ensuring that City employees are trained on the privacy policies and procedures as necessary to perform the functions of their job. HIPAA Privacy Policy Effective: April 14, 2004 Page 3 of 10 5.0 Required and Permitted Uses and Disclosures 5.1. The Privacy Rule requires the disclosure of protected health information without an individual's authorization for certain purposes or situations defined by law. The Privacy Rule also permits the use and disclosure of protected health information without an individual's authorization under certain circumstances. 5.2. The City may release protected health information for the purposes outlined in the City's Notice of Privacy Practices which may be obtained from the City's Privacy Officer. 6.0 Safe�ards 6.1. The City will maintain reasonable and appropriate administrative, technical, and physical safeguards to protect the privacy of protected health information. These safeguards reasonably prevent the intentional or unintentional use or disclosure of protected health information and limit incidental use and disclosure of protected health information. Examples of safeguards include, but are not limited to the following: a. shredding documents that might include protected health information before discarding them; b. securing medical files that contain protected health information in a locked file cabinet; and C. limiting access to protected health information to authorized personnel only and revoking such access upon transfer or termination of employment. 6.2. Access to protected health information is limited to employees in the Human Resources department trained in the requirements of the HIPAA Privacy Rule, or to those who have a legal right to protected health information as described in the Notice of Privacy Practices. 6.3. Protected health information shall be maintained in the employee's medical file in a locked file cabinet in the Human Resources File Room. 6.4. Protected health information that is used or disclosed should only be the minimum amount necessary to accomplish the intended purpose of the use, disclosure or request. HTPAA Privacy Policy Effective: April 14, 2004 Page 4 of 10 7.0 Authorizations 7.1. Employees contacting the Human Resources department regarding a claim for health care expenses or other issues with the City's health care carrier, must complete and sign the Authorization to Use and Disclose Protected Health Information form (or similar form provided by the carrier) before Human Resources can offer any assistance. 7.2. Employees have the right to access their own protected health information, request an amendment to their own protected health information, and request an accounting regarding any disclosures that have been made by the City to third parties. 8.0 MPAA's Effect on other Health Care Information Neither HIPAA nor this policy protect individually identifiable health care information required for life insurance, disability insurance,workers' compensation, or employment records (e.g. records of absences or tardiness for health reasons,pre-employment medical records, Family Medical Leave Act(FMLA) records,Americans with Disabilities Act (ADA) records, etc.) kept by the City in its capacity as an employer. 9.0 Documentations and Record Retention 9.1. The City will retain documentation as required by the Privacy Rule for six (6) years from the effective date of this policy or six (6) years from the date of creation, whichever is later. 9.2. Documentation that must be retained include: a. privacy polices and procedures; b. privacy notices; C. disposition of complaints; and d. other actions, activities, and designations that the Privacy Rule requires to be documented. 9.3. These records shall be maintained by the Privacy Officer in the Human Resources Department, as specified in Section 6.3. 10.0 Waivers The City will not require an individual to waive his or her right under the Privacy Rule as a condition for obtaining treatment, payment, enrollment, or benefits eligibility. RI HIPAA Privacy Policy Effective: April 14, 2004 Page 5 of 10 11.0 Complaints 11.1. Complaints regarding violations of this policy or violations of the Notice of Privacy Practices shall be submitted in writing to the Privacy Officer within five (5)business days of the suspected violation or from the time the employee first became aware of its occurrence. a. In the event that the complaint of violation is against the Privacy Officer, the written complaint may be presented directly to the City Manager,who will designate someone to investigate the complaint. All other provisions of this section then apply. 11.2. The written complaint shall include the following information: a. the nature of the violation; b. the date of the violation; C. the identity of the employee who claims to be harmed; d. the identity of the party or parties alleged to have caused the violation; and e. the remedy which is sought. 11.3. Within ten (10) business days of receipt of the written complaint the Privacy Officer shall meet with the complainant to discuss the matter. 11.4. A decision by the Privacy Officer, whether reached during this discussion or afterward, shall be presented in writing to the employee within ten (10) business days after the meeting. 11.5. If the decision made by the Privacy Officer is unsatisfactory to the complainant, he or she may file an appeal within five (5)business days to the City Manager. a. Within ten (10) business days of receipt of the appeal, the City Manager shall notify the complainant in writing of the decision to hear the appeal. b. Should the City Manager decide not to hear the appeal,the decision of the Privacy Officer shall be final. Should the City Manager agree to hear the appeal, the City Manager will meet with the complainant to discuss the complaint. C. The decision of the City Manager shall be presented in writing to the complainant within in ten(10)business days of the meeting. The decision by the City Manager shall be final. 11.6. All timeframes may be extended with the City Manager's approval. RX HIPAA Privacy Policy Effective: April 14, 2004 Page 6 of 10 11.7. Complaints may also be filed with the U.S. Department of Health and Human Services, Office for Civil Rights: 1301 Young Street, Suite 11.69 Dallas, Texas 75202 Telephone: 214-767-4056 TDD: 214-767-8940 Internet: h :I/www.hhs. ov/ocr/ rivac Lhowtofile.htm 12.0 Mitigation The City shall mitigate, to the extent possible, any harmful effect it learns was caused by the use or disclosure of protected health information by its workforce or business associates in violation of its privacy policy, procedures, or the Privacy Rule. 13.0 Anti-Retaliation 13.1. The City will not intimidate, threaten, coerce, discriminate against or take other retaliatory action against: a. any individual for the exercise of any right under, or for participation by the individual in any process provided for by HIPAA. b. any individual for: i. Filing a complaint with the Secretary of the Department of Health and Human Services; ii. Testifying, assisting, or participating in an investigation, compliance review processing, or other hearing; iii. Opposing any act or practice made unlawful by HIPAA, provided the individual has a good faith belief that the practice opposed is unlawful, and the manner of the opposition is reasonable and does not involve a disclosure of protected health information in violation of HIPAA. 13.2. Any individual who believes he or she has been retaliated against in violation of this policy should immediately contact the Director of Human Resources at (817) 481-1952 or the City Manager at(817) 481-1420. Such complaints will be immediately investigated. A complaint may also be filed with the U.S. Department of Health and Human Services, Office for Civil Rights: 1301 Young Street Suite 1169 Dallas, Texas 75202 Telephone: 214-767-4056, TDD: 214-767-8940 Internet: hn://www.hhs.gov/ocr/priyac;yhowtofile.htm. H7PAA Privacy Policy Effective: April 14, 2004 Page 7 of 10 14.0 Policy Violations Violations of this policy will result in disciplinary action up to and including termination. Violation may also result in civil or criminal penalties. HIPAA Privacy Policy Effective: April 14, 2004 City of Southlake Authorization for Use and Disclosure of Protected Health Information This form will allow the City of Southlake to release and receive confidential health information about the individual identified below. This authorization is voluntary. If you do not fill out this form completely, the City may not be able to process your request. Carrier specific forms may be used in lieu of this form when necessary. .Tndrvidua[ fornafnn Name: Daytime Telephone Number: Social Security Number: Date of Birth: Street Address: City, State and Zip Code: Z auth©r�ze the indavidual(s) ar campany(tes) �dentrfied below fo receive confidential health iafarmatlon pertaining to the tnd�viduai namied shote ❑ City of Southlake—Human Resources Department Daytime Telephone Number: 817-481-1990 Street Address: 1400 Main Street. Suite 260 City, State and Zip Code: Southlake. TX 76092 ❑ Spouse/Family Member: Daytime Telephone Number: Street Address: City, State and Zip Code: ❑ Other Individual or Company: Daytime Telephone Number: Street Address: City, State and Zip Code: 3. Purposes)for this Authorization ❑ To respond to all requests for confidential health information made by the individual(s) or company(ies) named above. ❑ To respond to requests for only the following specific information (for example, disclosures about claims submitted by a specific provider). (Expires one (1) year from date of authorization, unless otherwise noted.) Expiration: HIPAA Privacy Policy Effective: April 14, 2004 4 Descripion:of the'informaton to be released ❑ Application or enrollment information ❑ Claim records ❑ Claim status ❑ Patient management records ❑ Other. S Important:Your signature below means #had you understand and agree tri the fallowing• • Information disclosed under this authorization may be re-disclosed by the recipient and is no longer protected by federal privacy regulations. • Your ability to enroll in a City medical, dental, or flexible spending account, your eligibility for benefits and payment for services will not be affected if you do not sign this form. (However, without your signature, your request to release the information described above will not be honored). • You may request a copy of this form from the City's Privacy Officer at the address listed below. • Unless otherwise noted, this authorization will expire one (1) year from the date you sign this authorization. If you sign this form, you make revoke the authorization at any time by notifying the City in writing at the address below. Revoking this authorization will not have any effect on actions that the City took in reliance on the authorization before we received this notification. 6igaature pf Inrlrvdual yrnciiv�dual's Deal Tiepresentahve Signature: Date: Print Name: If the person signing this authorization is not the individual listed in Section 1, please describe the relationship to the individual: ❑Natural or Adoptive Parent of a Minor Child ❑ Legal Representative (i.e., someone with legal authority to act on the individual's behalf). If this authorization is being signed by an individual's legal representative (other than a parent of a minor child), you must furnish a copy of the health care power of attorney, or other relevant document authorizing you to act on the individuals behalf, 7 Return-this Completed;Form.ta, Privacy Officer/Director of Human Resources City of Southlake 1400 Main Street, Suite 260 Southlake, TX 76092 Phone: (817) 481-1952 Fax: (817) 481-1998 HIPAA Privacy Policy Effective: April 14, 2004 City of Southlake Uses and Disclosures of Protected Health Information 1.Ind"'dr a11"nformia ion. Name: Daytime Telephone Number: 2. The follow g confidential health informatran was released by the Cify relating;to the aftached Auth©r�zaf or for Vse and Disciosure of Protected 11ka Infarmat�on. Date: Individual/Company: Information Released: City of Southlake Personnel Policies Section 7: Rules and Regulations Topic: Workplace Conduct Policy Effective Date: December 1, 2004 Approved By: Resolution No. 04-071 Revision Date: . 1.0 Purpose To prohibit discrimination, harassment, and workplace violence; the condoning or perpetuating of such conduct, or retaliation for reporting such conduct or assisting in an investigation; and to provide a process for reporting and resolving complaints of harassment, discrimination and workplace violence. 2.0 Definitions 2.1 Citizen —,Any person who interacts with City employees throughout the course and scope of official City business. 2.2 Contractor — Any person employed by or associated with an entity which has a contractual relationship with the City to provide any type of goods and/or services. 2.3 Director of Human Resources — The Director of Human Resources of the City or the City Manager's designated representative. 2.4 Elected Officials — Any person elected by the citizens of Southlake to represent the City in an official manner as designated by the City Charter. 2.5 Employee — An individual employed by the City on a part-time, full time, regular, temporary or internship basis is considered to be an employee for the purpose of this policy. 2.6 Harassment — Demeaning, hostile, or offensive conduct including speech, based on membership in a group defined by characteristics such as race, color, national origin, religion, .sex, disability, age, or any other protected basis when it is unwelcome, and has the purpose or effect of unreasonably interfering with an individual's work performance, creating an intimidating, hostile or offensive work environment, or otherwise adversely affecting an employee's employment opportunities. Unwelcome Workplace Conduct Policy Effective: December 1, 2004 Page 2 of l l conduct that may constitute harassment can include words or deeds, even though they are not intended to be offensive, such as: a. offensive language (written or spoken), including the use of racial, sexual or ethnic stereotypes or-slurs; b. offensive gestures or taunting; C. the possession in the workplace or display of offensive drawings or other graphic material such as posters, cartoons or other caricatures, including viewing such materials on a computer. 2.7 Sexual Harassment -- Behavior of a sexual nature that is not welcome, is personally offensive, undermines morale, interferes with the work performance and effectiveness of another person in the work environment, or creates an intimidating, hostile or offensive work environment. 2.7.1 Applicable state and federal law defines sexual harassment as unwanted sexual advances, requests for sexual favors, or visual, verbal, or physical conduct of a sexual nature when: (1) submission to the conduct is made a term or condition of employment; or (2) submission to or rejection of the conduct is used as basis for employment decisions affecting the individual; or (3) the conduct has the purpose or effect of unreasonably interfering with the employee's work performance or creating an intimidating, hostile, or offensive working environment. 2.8 Vendor — Any entity and all employees. and agents thereof who provide goods andlor services to the City. 2.9 Volunteer -- Any person appointed to a City board or commission, or performs a service on behalf of the City without pay or for nominal pay, 2.10 Workplace Violence — Physically aggressive, violent or threatening behavior intended to instill fear in another person or persons through intimidation, including verbal or physical threats of any kind; or any other conduct that suggests a tendency toward violent behavior. Examples include: a. excessive arguing, belligerent speech, profanity, sabotage or threats of sabotage to City property or other employees' property; b. causing physical damage to City facilities or defacing City property; and Workplace Conduct Policy Effective: December 1, 2004 Page 3 of 11 c. carrying firearms or weapons of any kind into the workplace unless specifically allowed by law, or displayed in a manner intended to threaten or alarm. 3.0 Individuals Affected All City employees (regular, part-time and temporary, non-exempt and exempt), elected officials and volunteers are governed by the provisions of this policy. Disciplinary action, including suspension and termination, applies to all exempt and non-exempt City employees. 4.0 Policy 4.1 It is the policy of the City of Southlake to treat all individuals with respect. No employee shall discriminate against any individual on the basis of race, color, religion, sex, national origin, age, or disability with respect to any employment action or condition of employment. 4.2 The City prohibits all unlawful harassment, including sexual harassment and harassment because of race, color, national origin, ancestry, religion, creed, sex, physical or mental disability, medical condition, age, veteran status, or any other basis protected by federal, state, or local law. 4.2.1 Sexual harassment prohibited under this policy includes, but is not limited to: a. unwanted sexual advances; b. making or threatening reprisals after a negative response to sexual advances; c. visual conduct such as leering, voyeurism, making sexual gestures, or displaying sexually suggestive objects, pictures, cartoons, or posters; d. verbal conduct such as making or using derogatory comments, epithets, slurs, sexually explicit jokes, or sexually oriented comments about any employee's body or dress; e. verbal sexual advances or propositions; f. physical conduct such as touching, assault, or impeding or blocking movements; and Workplace Conduct Policy Effective; December 1, 2004 Page 4 of 11 g. continuing to express sexual or social interest after being informed directly that the interest is unwelcome. 4.3 It is the policy of the City to provide a safe, violence-free workplace where employees, citizens, volunteers and elected officials are free from threats, intimidation and violence. 4.4 Retaliation against an employee reporting discrimination, harassment, or workplace violence, or for participating or cooperating in an investigation of a claim of discrimination harassment, or workplace violence, is prohibited. 4.4 Any employee who engages in discrimination, harassment, or workplace violence, knowingly condones, encourages, or perpetuates such an act, or participates in retaliation or reprisal in any way, shall be subject to disciplinary action, including suspension, demotion, and/or termination. 4.5 Employees, volunteers or elected officials will not be subjected to unwelcome harassing behavior as part of their service to the City. Unwelcome harassing behavior includes verbal or physical conduct, and unsolicited and unwelcome sexual overtures or conduct. 4.6 Appropriate corrective action will be taken in response to City contractors, employees, elected officials, vendors, citizens, or agents who engage in harassing behavior, discrimination or workplace violence toward City employees, volunteers or elected officials. 4.7 Conduct prohibited by this policy is unacceptable in the workplace and in any work-related setting outside the workplace, such as business trips, business meetings and business related social events. 5.0 Procedures/Rules 5.1 Roles and Responsibilities 5.1.1 Employees have the responsibility to conduct themselves in a manner that will ensure proper performance of City business and maintenance of public confidence, and to .promptly and accurately report discrimination, harassment or workplace violence, regardless of the offender's identity. Employees are expected to cooperate in the investigation of complaints. 5.1.2 Supervisors have a responsibility to enforce this policy and promptly notify the department director or Director of Human Resources when they observe behavior that violates this policy, Workplace Conduct Policy Effective: December 1, 2004 Page 5 of 11 andfor when they receive complaints alleging discrimination, harassment or workplace violence. 5.1.3 Department Directors have a responsibility to ensure that this policy is circulated among their employees, to enforce this policy, to. promptly notify the Director of Human Resources when there is a possible violation of this policy, and to solicit the assistance of and cooperate with the Director of Human Resources in investigating and resolving allegations of discrimination, harassment, or workplace violence. 5.1.4 The Director of Human Resources has the responsibility to ensure complaints are investigated in a timely manner and to ensure the development and implementation of training programs designed to prevent discrimination, harassment and workplace violence. 5.2 Counseling Resources The Director of Human Resources is available to provide counseling, referrals, and assistance to employees and supervisors regarding complaints of discrimination, harassment, workplace violence and retaliation. 5.3 Complaint Process 5.3.1 It is the responsibility of any employee who believes he or she has been subjected to harassment, discrimination, workplace violence or retaliation to promptly report such incident. A person who experiences harassment may seek to resolve the problem by advising the offending individual that the behavior is unwelcome and request that it be discontinued. Often this action alone will resolve the problem. Persons are not required to deal directly with an offending individual in seeking resolution of a complaint of harassment or discrimination. 5.3.2 A complaint may be filed verbally, or in writing to the employee's supervisor or director or to the Director of Human Resources. a. If the employee does not feel comfortable reporting the incident to the employee's supervisor, the employee may report to the employee's director or to the Director of Human Resources. b. Written complaints should be submitted on the Workplace Conduct Complaint Form. Verbal reports must be reduced to writing by either the employee or the person who receives the Workplace Conduct Policy Effective: December I, 2004 ] Page 6 of 11 complaint, and must be signed by the employee submitting the complaint. c. The person's complaint should be as detailed as possible, including the names of individuals involved, the names of any witnesses, the date and time of the incident, direct quotations when language is relevant, and any documentary evidence (motes, pictures, cartoons, etcetera). 5.3.3 A person wishing to file a complaint should do so promptly after the occurrence of the discrimination, harassment, workplace violence or retaliation. Although a person wishing to file a discrimination or sexual harassment complaint with the Equal Employment Opportunity Commission must do so within 300 days of the alleged act of discrimination, early reporting and intervention have proven to be-the most effective method of resolving actual or perceived discrimination. 5.3.4 A supervisor or director who receives a report must forward it to the Director of Human Resources as soon as possible, but in no event later than five (5) working days. 5.3.5 The Director of Human Resources, or the City Manager's designee, shall notify the City Manager and promptly investigate all incidents of prohibited conduct reported pursuant to this policy. To the extent practicable and not in conflict with the intent of this policy or applicable law, the City will attempt to protect the privacy of its employees from unnecessary disclosure of information regarding the complaint. 5.4 Investigation of Complaints 5.4.1 The Director of Human Resources and Department Director shall meet to discuss the complaint and develop the investigation plan within ten (10) working days after the written complaint has been received. 5.4.2 The Director of Human Resources will promptly investigate all alleged incidents of prohibited conduct that are reported. The Director of Human Resources shall interview the complainant, the person against whom the complaint is filed, and all other persons having any information on the matter. Workplace Conduct Policy Effective: December 1, 2004 TF Page 7 of 11 a. Employees may be placed on administrative leave with the approval of the City Manager, pending the outcome of the investigation. 5.4.3 An employee who fails to cooperate in an investigation shall be subject to disciplinary action, up to and including termination. 5.4.4 After all relevant information has been collected, the Director of Human Resources shall prepare findings regarding the complaint. The Director of Human Resources shall promptly forward a summary of the findings to the Department Director and City Manager. 5.4.5 Upon receipt of the findings report, the Director of Human Resources and Department Director shall meet to confer about the findings and discuss the nature of appropriate action. a. A determination regarding the reported conduct will be made and communicated to the complainant and to the accused employee. 5.4.6 Based on the findings, the Department Director (or if the complaint is against the Department Director, the City Manager) will administer the appropriate disciplinary action, including counseling, mandatory training, reprimand, suspension or termination of employees violating the provisions of this policy. 5.4.7 A volunteer found to have violated any provision of this policy may be reassigned or removed. If an elected or appointed official is found to have violated any of the provisions of this policy, such behavior shall be considered to have violated the provisions of the City Charter of the City of Southlake and shall be subject to the penalties described therein. In the event a representative of a vendor commits an action prohibited by this policy, the City shall take appropriate measures as allowed by law. 5.5 Appeal of Findings 5.5.1 The complainant may appeal the findings of the Human Resources Director by filing a written appeal with the City Manager within five (5) working days from the date of the decision. The written appeal shall state the basis for the appeal. The City Manager may request additional information to clarify the basis of the appeal. Workplace Conduct Policy Effective: December I, 2004 Pane 8 of 11 5.6.2 The City Manager shall appoint a Complaint-Review Committee in accordance with Section 5.6, to review the complaint and investigation conducted and render a decision within ten (10) working drays. if an extension of time is necessary to investigate the complaint and render a decision, the affected employees shall be notified. 6.5.3 The City Manager may consolidate hearings if the allegations arise out of a common set of facts and witnesses. 5.5.4 if the decision of the Complaint Review Committee is -not satisfactory to the complainant, a written appeal may be made to the City Manager within five (5) working days after receiving the decision of the Complaint Review Committee. The written appeal shall state the basis for the appeal. The City Manager may request additional information to clarify the basis of the appeal. 5.6.5 The City Manager shall review the complaint and investigation conducted and/or conduct an additional investigation, and render a decision within ten (10) working days. if an extension of time is necessary to investigate the complaint and render a decision, the affected employees shall be notified. 5.5.6 A person who files an appeal is not entitled to representation by legal counsel at any appeal hearing. 5.6 Complaint Review Committee 5.6.1 The Complaint Review Committee shall be composed of three members appointed by the City Manager. The three members shall be (1) a department head (from a department other than that of the complainant and/or the accused employee); (2) an organizational peer of the complainant; and (3) another employee of the City. The department head shall chair the committee. 5.6.2 The Complaint Review Committee shall hear matters pertinent to the complaint and investigation and may review available documentation and interview the complainant and the investigator(s). The Committee will not interview other employees or witnesses, but may determine that additional interviews are necessary. The Committee may sustain the findings, request additional investigation or review, or recommend the investigation be re-conducted. Workplace Conduct Policy Effective: December 1, 2004 / Page 9 of 11 5.6.3 The hearings of the Complaint Review Committee shall not be open to the public and only the complainant and the Director of Human Resources shall be allowed to attend the hearings unless the Committee, for good cause, approves others to attend. 5.7 Personnel Records A copy of the findings and decisions at each level of the process shall be placed in the personnel files of the complainant and accused employee(s). 5.8 Questions If an employee has any questions or comments about the City's policy on workplace discrimination, harassment, workplace violence and retaliation, the employee is encouraged to speak to the Director of Human Resources. Workplace Conduct Policy Complaint Form WORKPLACE CONDUCT COMPLAINT FORM NATURE OF MATTER(check one) ❑ Discrimination I Harassment ❑ Sexual Harassment ❑ Workplace Violence EMPLOYEE INFORMATION Name: Job Title: Department: Name of Supervisor: DATE, TIME AND LOCATION OF INCIDENT(S): Date of Occurrence: Time: Location: DATE DISCUSSED WITH SUPERVISORIDIRECTOR: STATEMENT OF COMPLAINT (give full details): Workplace Conduct Policy Complaint Form, (Attach additional page(s) if necessary) REMEDY SOUGHT: What action(s) do you wish the City to take in order to resolve the complaint: AFFIRMATION: I swear or affirm that the above information is tree to the best of my knowledge, information, and belief: Signature Date • Have you filed this complaint with any state or federal enforcement agency? Yes: and No: Agency Date filed • If you feel that a criminal assault has taken place,you may wish to file criminal charges with the Southlake Department of Public Safety, December 1, 2004 Cit_y_of Southlake Personnel Policies Section 6: Employment Benefits Topic: Modified Duty Assignments Effective Date: March 1, 2007 Approved By: Resolution No. 07-014 Revision Date: Modified Duty Assignments 1.0 Pu�ose 1.1 To provide a standardized policy for the utilization of employees unable to perform their essential job functions due to a temporary disability. 1.2 To provide a process by which an injured or ill employee may receive temporary work assignments, if available,that the employee may safely perform. 2.0 Definitions 2.1 Director of Human Resources— The Director of Human Resources of the City or the director's designated representative. 2.2 Modified Duty Assignment. — A temporary reassignment of an employee with an illness, injury, or medical condition to perform duties that can be performed within the limitations of the employee's medical condition. 3.0 Modified Duty Applicability This policy applies to all regular and part-time City employees except temporary employees. 4.0 Policv 4.1 It is the policy of the City, subject to the limitations set forth below, to allow and encourage temporary limited use of employees who are temporarily disabled due to injury or illness, incurred while either off-duty or on-duty, in order to benefit both the employee and the City. 4.2 Modified duty assignments are not guaranteed, but will be granted by the Department Director when there is a modified duty assignment available and the employee is qualified to perform the available modified duty assignment. Modified Duty Assignments Effective: March 1, 2007 Page 2 of 4 4.3 An employee, who is released by the employee's physician to return to work in less than full duty capacity, may be required to work in a position or department other than the department in which the employee regularly works. Assignments shall be made in accordance with the employee's limitations and the needs of City services. 4.4 All modified duty positions are temporary in nature, subject to the availability of productive work assignments, and shall not exceed twelve (12) weeks in length from the date of initial assignment. 4.5 An employee is not eligible for more than 12 weeks modified duty in any 12 month period. 5,0 Procedures for Requesting Modified Duty 5.1 An employee who experiences injury and/or illness that prevents the performance of his/her essential job functions may make a written request for a "Modified Duty" assignment during recuperation, 5.2 An employee who desires to return to work in a modified duty assignment must provide the employee's director and the Director of Human Resources with a written release from the attending physician. The release must include the following: a. the date the employee may return to a modified duty assignment; b. the type of restrictions imposed on the modified duty; C. the period of time the restrictions apply; d. the date of the employee's next physician's appointment; and e. the anticipated date of return to full duty. 5.3 An employee may request modified duty but is not required to do so. 5.4 Upon receipt of a completed TWC-73, "Texas Workers Compensation Work Status Report" form, or similar physician's statement, the employee's Department Director and the Director of Human Resources shall review the capabilities and prognosis for recovery of the injured or ill employee. A review of potential work assignments will be conducted to determine if an assignment is available which matches the employee's training and skills and/or physical limitations as determined by the employee's physician. The City reserves the right, to the extent permitted by law, to require an independent physical analysis/assessment to insure that the employee is able to perform a modified duty assignment. Modified Duty Assignments Effective: March 1, 2007 Page 3 of 4 5.5 A modified duty work assignment will be offered in writing by the Director of Human Resources to an injured or ill employee for a period not to exceed 12 weeks if- a. £a. a bona-fide work assignment exists within the City, and b. the physical requirements of the assignment are within the abilities documented by the treating physician; and C. it is approved by the Director of the Department. 5.6 An offer of modified duty shall include: a. the location at which the employee will be working; b. the schedule the employee will be working; C. the pay rate at which the employee will be compensated; d. a description of the physical and time requirements that the position will entail; and e. a statement that the City will only assign tasks consistent with the employee's physical abilities, knowledge, and skills and will provide training if necessary. 6.0 Responsibilities of Directors 6.1 Department Directors shall work with supervisors to identify possible modified duty assignments when requested by the Director of Human Resources. Attempts will be made first to make modified duty assignments in the division and department in which the ill or injured employee currently works. If placement in the department is not possible, the Director of Human Resources will poll other City departments to determine if a modified duty assignment can be found based on the employee's physical abilities and skills. 6.2 A modified duty assignment will not be created to accommodate an ill/injured employee. However, a special project for a department that would require the re- assignment of staff away from or in addition to their regular work assignments may be considered for a modified duty assignment if the project is expected to take more than 30 days to complete. Modified Duty Assignments Effective: March 1,2007 Page 4 of 4 7.0 Conditions of Modified Duty 7.1 As a condition of continuing in a modified duty work assignment, an employee must: a. adhere to prescribed treatment and make reasonable efforts toward rehabilitation; b. fully perform the modified duties assigned; C. present to the Director of Human Resources and the employee's supervisor monthly progress reports, or after each doctor's visit, whichever is more frequent. The progress report shall state the expected date the employee is able to return to work full duty as well as any physical limitations that may impact the employee's ability to perform the modified duty assignment; d. accept progressively more demanding assignments as the employee's condition improves; and e. make visible progress in returning to full performance capability. 7.2 An employee working in a modified duty assignment is subject to all City policies and regulations and if warranted, is subject to disciplinary action by the employee's supervisor for the modified duty. 8.0 Termination of Modified Duty 8.1 The City may terminate an employee's modified duty work assignment if: a. the employee is found to be performing beyond the modified duty restrictions; b. the work assignment is completed, and no work assignment exists within the City which suits the employee's abilities and meets the limitations documented by the treating physician; C. the employee performs unsatisfactorily in the modified position; d. the employee's physician fails to release the employee as capable of performing the modified assignment upon examination; or e. budgetary constraints do not allow continuation of modified duty. City of Southlake Personnel Policies Section: Employee Standards of Conduct Topic: Fraud Effective Date: April 15, 2008 Approved By: Shana K. Yelverton, City Manager Revision Date: Fraud 1.0 Purpose The purpose of this policy is to establish a fraud policy to convey, both internally and externally, the intent and conviction that all City business is conveyed with integrity using the highest ethical standards possible. To accomplish this purpose, this policy seeks to establish rules that clearly define unacceptable behavior, prevent fraud and outline the appropriate response to allegations of fraud in connection with City programs, functions or activities. This policy applies to all City employees. 2.0 Scope This policy establishes three key expectations of the City of Southlake: 2.1 As "Integrity" is one of the City's corporate values, it is important to discourage and prevent fraudulent activity and report suspected fraud. 2.2 Strong procedures, outlined in this policy, will respond to allegations of fraud. 2.3 Investigation procedures ensure objective review of each situation. 3.0 Definitions 3.1 Fraud - The intentional misappropriation of City assets by any act including, but not limited to, theft, embezzlement and intentional misrepresentation. a. Acts constituting fraud include but are not limited to: Fraud Policy Effective: April 15, 2008 Page 2 of 8 3.1.a.1 Forgery or alteration of any document or account belonging to the City. 3.1 .a.2 Forgery or alteration of a check, bank draft or any other financial document representing funds belonging to the City. 3.1 .a.3 Misappropriation of funds, securities, supplies or other assets of the City. 3.1.a.4 Impropriety in the handling or reporting of money or financial transactions involving the City and any other entity. 3.1 .a.5 Profiteering as a result of insider knowledge of City activities. 3.1.a.6 Disclosing confidential and proprietary information to outside parties. 3.1.a.7 Accepting or seeking anything of material value from contractors, vendors or persons providing services/materials to the City in return for a referral of business. 3.1.a.8 Unauthorized destruction, removal or personal use of records, furniture, fixtures and equipment belonging to the City. 3.1.a.9 Embezzlement, larceny or any other misapplication of City funds. 3.1.a.10 Any official misconduct including the misapplication or misuse of City funds, property or information. 3.2 Appropriate law enforcement authority — A part of a state or local governmental authority or of the federal government that an employee in good faith believes is authorized to: a. Regulate or enforce the law alleged to be violated in the report; or b. Investigate or prosecute a violation of criminal law. 4.0 Policy Fraudulent activity is prohibited. All allegations of fraudulent activity will be investigated. If it is determined that any employee has engaged in fraudulent activity, the employee will be subject to discipline, up to and including termination of employment, and referral may be made to an appropriate law enforcement authority. Fraud Policy Effective: April 15, 2008 Page 3 of 8 Retaliation against any employee for reporting fraudulent activity or for participating or cooperating in an investigation of an allegation of fraud, is prohibited. 5.0 Roles and Responsibilities 5.1 City Manager: The City Manager has overall responsibility for compliance with this policy. As a public official, the City Manager has a duty to disclose all evidence of fraud. For this reason, when determined necessary, the City Manager, in consultation with Investigation Committee, will refer information to the appropriate law enforcement authorities on items that may result in criminal prosecution. Where it does not impede or interfere with a criminal investigation or prosecution, the City Manager may provide information to the City Council concerning a particular fraud investigation. 5.2 Department Directors: Department Directors have a responsibility to uphold the City's policy and to communicate the organization's values. They are expected to initiate appropriate preventative measures, implement necessary controls, encourage employees to attend training sessions and initiate investigations. Department Directors will promptly report allegations or suspicions to the Director of Human Resources and will cooperate in investigations. This will be done prior to taking personnel action toward the employee(s) involved. Failure to report allegations or initiate investigations will result in disciplinary action. Department Directors are responsible for conducting reviews/investigations of alleged fraud when the Human Resources Director feels it is appropriate for the Department Director to do so. If the Human Resources Director conducts the investigation, Department Directors will provide all necessary assistance.. Department Directors are responsible for determining and enforcing disciplinary action with the aid of the Human Resources Department. 5.3 Supervisors and Managers: a. Supervisors and Managers have a responsibility to uphold the City's policy. In consultation with the Department Head's they are expected to initiate appropriate preventative measures, implement necessary controls and initiate investigations by promptly reporting allegations to the department director or Director of Human Resources when they observe behavior that violates this policy and/or when they receive complaints alleging fraud. Fraud Policy Effective: April 15, 2008 Page 4 of 8 b. Supervisors and Managers are also expected to cooperate in all investigations. 5.4 Director of Human Resources a. The Director of Human Resources has the responsibility to ensure allegations of fraud are investigated in a timely manner b. The Director of Human Resources is also responsible for conducting reviews/investigations of alleged fraud or notifying the Department Head that the Department Head should proceed with the review/investigation. C. The Director of Human Resources will develop and implement training programs designed to educate employees about this policy. 5.5 Human Resources Department: a. The Human Resources Department will track cases and their disposition. However, if the case is a criminal investigation, no information made confidential by law or by discretion of the investigating officer will be maintained in the Human Resources Department to avoid impeding the criminal investigation. All criminal case information and documentation will be maintained by the investigating law enforcement authority. All administrative investigation case files will be maintained by the Human Resources Department. b. The Human Resources Department is responsible for advising City personnel in the determination and enforcement of disciplinary action. 5.6 Employees: a. Employees shall not engage in fraudulent activity; b. Employees who are contacted by citizens with evidence or written allegations of fraud shall immediately report it to their department director, the Human Resources Department, an Assistant City Manager or the City Manager. C. Employees who suspect fraud shall immediately report their suspicions to their supervisor for appropriate action. Immediately shall mean as soon as the employee has the means to contact their supervisor, but shall be no longer than twenty-four hours after the employee becomes aware of the suspected fraud. As an alternative, City employees can go outside the normal chain of command and report suspected fraud directly to their department Fraud Policy Effective: April 15, 2008 Page 5 of 8 director, the Human Resources Department, an Assistant City Manager, or the City Manager. Employees may also make anonymous reports via the SilentWhistle program at www.silentwhistle.com. Any anonymous reports shall be made via the SilentWhistle program as this program provides a mechanism for direct response. Employees are discouraged from making anonymous reports via means other than the SilentWhistle program (notes, phone message, letters, etc.) as this type of report does not allow for response. d. Employees are required to cooperate fully during any City review or investigation of an allegation of fraud. Anyone informed of an investigation in progress shall ensure that strict confidentiality is observed so as to not prejudice the investigation. During an investigation, any employee contacted by the media should refer all questions to the Community Relations Officer. Employees should be aware that: 5.6.d.1 They are to maintain the confidentiality of the information they receive (except in the event of a public information request, court order or otherwise authorized by law). 5.6.d.2 They will not be subject to retaliation for cooperating. 5.6.d.3 The Human Resources Department is available to provide advice related to the City's personnel policies. 5.6.d.4 If they have questions concerning legal consequences to them personally, they should consult with a personal attorney at their own expense. 5.6.d.5 Failure to comply with this policy could result in disciplinary action pursuant to "Chapter 5: Disciplinary Procedures" of the City of Southlake Employee Handbook. 5.6.d.6 Employees who intentionally or knowingly make false accusations and/or provide false information concerning instances of fraud will be subject to disciplinary action up to and including termination. Fraud Policy Effective: April 15, 2008 Page 6 of 8 5.7 Investigation Committee: a. Many issues may be handled through normal disciplinary procedures; however, when warranted, the City Manager may appoint an Investigation Committee to respond to fraud allegations. b. The Investigation Committee could include but is not limited to the: • City Attorney, • Department directors, • Representatives from the Human Resources Department, and/or • A third-party consultant with expertise in the area of concern. C. The committee's responsibilities will be to: 5.7.c.1 Respond to fraud allegations through coordination of necessary resources in determining future actions regarding the investigation. 5.7.c.2 Communicate all committee findings and recommendations to the City Manager. 5.7.c.3 Refer all allegations suspected to be criminal in nature to the appropriate law enforcement authority. 6.0 Investigation Types Depending on the seriousness and scope of the allegation, three types of investigations could be conducted. Some allegations may be considered less serious and can be handled by a Department Director while others may touch multiple departments and require an Investigation Committee. If at any point within an investigation it becomes suspected that criminal activity may have occurred, whomever is leading the investigation shall promptly notify the appropriate law enforcement authority as well as the City Manager who will determine if the case should also be pursued as an administrative investigation in addition to any criminal investigation. The three types of investigations are: 6.1 Department Director Review a. The Department Director, or his/her designee, shall initiate an investigation within five (5) working days after the allegations have been received. All allegations shall be reported to the Director of Human Resources. The Human Resources Department will initially Fraud Policy Effective: April 15, 2008 Page 7 of 8 determine if a Department Director Review is appropriate and, if so, may assist in the investigation if the Department Director deems it necessary. 6.2 Human Resources Review a. The Director of Human Resources, or his/her designee, shall initiate an investigation within five (5) working days after an allegation has been received. The Director of Human Resources or his/her designee shall meet with the Department Director or designee to discuss the allegations and shall promptly report the allegations to the City Manager. The City Manager will make a final determination as to whether or not an Investigation Committee is warranted and if so, who will serve on that committee. 6.3 Investigation Committee Review a. When deemed necessary, an Investigation Committee appointed by the City Manager will prepare an investigation plan and coordinate with the individuals necessary to conduct different areas of the investigation. b. If the committee suspects the conduct to be criminal in nature, the committee will forward all information to the appropriate law enforcement authority to take charge of any criminal portion of the investigation. If necessary, the Investigation Committee will serve as a resource. C. The Investigation Committee will notify the Department Director of any allegations submitted to them that require an on-site investigation, when appropriate, unless it is determined that such notification will harm the investigation. When the investigation requires the inspection of City facilities and /or equipment, the City may initiate a search in compliance with federal and state law. 7.0 Investigation Procedures 7.1 The following procedures apply to all investigations, regardless of whom is leading the investigation: a. An investigation shall be planned in coordination with the Human Resources Department and initiated within five (5) working days after the allegations have been received. (If it is determined that a committee investigation is appropriate, will it be possible for the committee to initiate within 5 working days?) b. After all relevant information has been collected, a written report of findings regarding the allegations of fraud shall be completed. The Fraud Policy Effective: April 15, 2008 Page 8 of 8 Director of Human Resources and Department Director shall meet to confer about the findings and discuss the nature of appropriate action. 7.1.b.1 A determination regarding the reported conduct will be made and communicated to the complainant, if necessary, and the accused employee. 7.1.b.2 Based on the findings, the appropriate supervisor will administer the appropriate disciplinary action, including but not limited to, counseling, mandatory training, reprimand, suspension or termination of employees violating the provisions of this policy. 7.1.b.3 Any disciplinary actions resulting from the application of this policy will be handled in accordance with the City's Employee Personnel Policies. 7.1.b.4 A copy of the findings report shall be provided to the accused employee(s), the appropriate department director, the Human Resources Director, the City Manager and the complainant, if deemed appropriate. A copy shall also be placed in the personnel file(s) of the accused employee(s). 7.1.b.4.1 To the extent allowed by law, all documentation and matters regarding the investigation shall be handled with due sensitivity and confidentiality appropriate to the circumstances. City of Southlake Personnel Policies Section: Wage and Salary Administration Topic: Alternate Work Schedule Effective Date: September 8, 2008 Approved By: City Manager 1.0 Purpose In order to maintain a high level of responsiveness to the City of Southlake and its citizens, it is important that employees follow established work hours, avoid tardiness and unauthorized absences, and follow reporting requirements. The City of Southlake reserves the right to establish official work hours for any position to ensure accomplishment of the City's mission. Where operational demands allow, the City encourages alternate work schedules to reduce energy consumption and allow employees greater flexibility in balancing work and personal needs. 2.0 Applicability This policy applies to all regular, full-time employees of the City, except where otherwise noted. 3.0 Policy This policy supplements the provisions of Chapter 4, "Wage and Salary Administration"(as revised by Resolution No. 03-043) of the City of Southlake Personnel Policies and Procedures. Section 17 Work Schedules Section 17.1 General Provisions: A. Work Periods (1) The City complies with the regulations of the Fair Labor Standards Act (FLSA) and has adopted a 40-hour work period for all non-exempt employees, except for certain sworn fire and police personnel. The work period begins Sunday at 12:00 a.m. and ends the following Saturday at 11:59 P.M. 4A-Section 17; Alternate Work Schedule Policy 9/5/2008 Alternate Work Schedule Effective: September 8, 2008 Page 2 of 4 (2) Fire and Police: The City has adopted alternate work schedules as allowed by the FLSA (Section 207(k)) for certain fire and police personnel. The approved work period is defined in the Department of Public Safety General Orders. (3) Non-exempt employees who work in excess of the FLSA maximum hours are subject to overtime compensation per the requirements of Chapter 4, Section 8 "Overtime." B. General Business Hours: All offices of the City that provide customer service, except those for which special hours have been established, shall be kept open continuously from 8:00 a.m. until 5:00 p.m., Monday through Friday, except for established City holidays. The City Manager may close City offices due to inclement weather or other emergency as may be determined in accordance with the City's policies. Section 17.2 Alternate Work Schedules: A. Compressed Work Week: (1) This section is not applicable to sworn fire and police personnel. Work schedules for sworn personnel may be modified by the Director of Public Safety or his designee, in accordance with the City of Southlake Personnel Policies and the Department of Public Safety General Orders. (2) Subject to operational requirements, regular full-time employees may be permitted to work an alternate schedule that allows the employee to work four 10-hour workdays per work week in lieu of the traditional five 8-hour workdays. (3) Participation is voluntary and is subject to approval of the supervisor and department director. i. Employees who wish to participate must submit a Request for Alternate Work Schedule form to their supervisor. ii. A Request for Alternate Work Schedule Form must be submitted whenever a significant change in work schedule is requested by an employee; however, an employee may not request changes to an approved alternate work schedule more than once every 90 days. An employee may voluntarily terminate participation in an alternate work schedule at any time. iii. Minor changes in employee arrival and departure times are not considered significant changes and may be approved by a supervisor as needed. iv. The Department Director has final approval of alternate work schedules, including desired flex days. 4A-Section 17; Alternate Work Schedule Policy 9/5/2008 Alternate Work Schedule Effective: September 8, 2008 Page 3 of 4 v. No alternate work schedules will be approved that have the potential to unduly increase the City's overtime pay liability. (4) The City Manager or Department Director may cancel or suspend an employee's alternative work schedule privileges at any time, for any reason. (5) Employees may be required to depart from the approved alternate work schedule as necessary to work additional hours, attend training, or for other business purposes as determined by the City. (6) Daily and weekly work schedules may be modified at the City's discretion to meet changing operational needs. (7) Holidays. L Regular full time employees scheduled to work on a City holiday shall receive holiday pay equivalent to eight (8) hours, regardless of the number of hours that the employee may have been scheduled to work. ii. Compressed work week schedules will be suspended during work weeks that include an official city holiday. Employees will work 8- hour days during holiday weeks unless otherwise approved for leave. (8) Non-exempt employees are subject to the policies of Chapter 4, "Wage and Salary Administration," Section 8 regarding overtime and performing work outside of normal working hours without supervisor approval. B. Telecommuting (1) Telecommuting is a flexible work arrangement that allows an employee to work at home or at another satellite location (which is linked, usually electronically, to a central office) during some portion of the workweek. Telecommuting is best suited for jobs that require independent work, little face-to-face interaction, concentration, a measurable work product, and output-based (instead of time-based) monitoring. (2) Subject to operational requirements, department directors may approve telecommuting for exempt employees. (3) Non-exempt employees are not authorized to telecommute. 4A-Section 17; Alternate Work Schedule Policy 9/5/2008 CITY OF SOUTHLA'K REQUEST FOR ALTERNATE WORK SCHEDULE This form is required for voluntary participation in an alternate work schedule. To allow for departmental scheduling, this form should be submitted at least 15 daysgn r to the effective date requested for the work schedule change. Changes may not be submitted more often than once every three months. Employee Name: Job Title: Division 1 Department: Current Work Schedule: Requested Work Schedule*: ; beginning 1 acknowledge that 1 have read and understand the provisions of the Alternate Work Schedule Policy. Employee Signature: Date: DEPARTMENT REVIEW: ❑ Approved ❑ Disapproved; Reason for disapproval: Date: Supervisor Signature ❑ Approved ❑ Disapproved; Reason for disapproval: Date: Department Director Signature Approved Work Schedule*: * In lieu of description of alternate work schedule, a copy of the schedule may be attached, i agree to the approved alternate work schedule as described above: Date: Employee Signature Human Resources Review: (not required prior to department approval) ORIGINAL-- Human Resources I Personnel File Copy—Department Copy— Employee 4A-Section 17; Alternate Work Schedule Policy 9i512008 City of Southlake Personnel Policies Section: Rules and Regulations Topic: Breastfeeding Support Policy Effective Date: September 1, 2015 Approved By: Revision Date: NIA 1.0 Purpose As part of our family-friendly policies and benefits, the City of Southlake supports breastfeeding mothers by accommodating the mother who wishes to express breast milk during her workday when separated from her newborn child. 2.0 Accommodation for Lactating Mothers For up to one year after the child's birth, any employee who is breastfeeding her child will be provided reasonable break times to express breast milk for her baby. Employees will be provided with a private place, other than a bathroom, that is shielded from view and free from intrusion from co-workers and the public, to express breast milk. The room can be a designated space for lactation. If this is not practical or possible, a vacant office, conference room, or other small area can be used so long as it is not accessible or visible to the public or other employees while the nursing employee is using the room to express milk. All women who breast feed their child and who need to express milk during the working day will work with their supervisor and Human Resources to determine how best to accommodate the needs of the mother while still accomplishing the performance of her job. Breaks of more than 15 minutes in length shall be unpaid, and the employee should indicate this break period on her time record. Employees may substitute accrued vacation and/or compensatory leave for the unpaid time. Should the employee perform any work while expressing breast milk, the time shall be compensated. 3.0 Discrimination and Retaliation The City shall not suspend or terminate the employment of, or otherwise discriminate against, an employee because the employee has asserted her right to express breast milk in the workplace. Discrimination and retaliation are strictly prohibited.