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HomeMy WebLinkAboutNS-2232 - Amending Chapter 9 of the Santa Ana Municipal Code, to Effect a Comprehensive Revision of the Provisions Relating to City Employment ORDINANCE NO. NS- 2232 AN ORDINANCE OF THE CITY OF SANTA ANA AMENDING CHAPTER 9 OF THE SANTA ANA MUNICIPAL CODE, TO EFFECT A COMPREHEN- SIVE REVISION OF THE PROVISIONS RELATING TO CITY EMPLOYMENT THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1: That Chapter 9 of the Santa Ana Municipal Code is hereby amended to read as follows: Chapter 9 CIVIL SERVICE ARTICLE I. IN GENERAL Sec. 9-1. Applicability of rules and regulations. The civil service rules and regulations contained in this chapter shall govern and control the relationship existing between city employees and the city upon any matter covered or regulated herein. Exceptions to these rules and regulations may be negotiat- ed with the appropriate recognized employee group(s), or allowed at the discretion of the city manager when these changes do not impact any recognized employee group, in keeping with Charter provisions. Sec. 9-2. Definitions. The following terms, whenever used in these rules and regulations, shall be construed as follows: Assembled examination: A test conducted at a specified time and place at which applicants are required to appear for competi- tive examination under the supervision of an examiner. Board: The personnel board appointed in accordance with sections 911 and 912 of the charter. Charter: The Charter of the city, ratified by the voters of the city November 4, 1952, adopted by California Concurrent Resolution No. 10, in Assembly January 8, 1953, and in Senate January 8, 1953, as amended. 0 0 1 ORDiNAnCE S-22 2 27! Page 2 Class or classification: A group of positions in the competi- tive service which are substantially so similar as to require the same kind and amount of training and experience for proper performance and to merit equal pay. Council: The city council of the City of Santa Ana. Executive Director of Personnel Services: That person designated by the city manager to have charge of personnel administration. Eligible: A person who legally may be appointed to a vacant position in the competitive service as provided in the rules. Eligible list: A list of persons eligible for appointment in the competitive service to positions in the class indicated by the title of the class. Memorandum of Understanding: An agreement between the City and represented employees under the Meyers-Milias-Brown Act. Oath of office: That oath required by the charter, prior to entering upon the duties of a position. Regular appointment: An appointment to a regular full-time civil service position after completion of a prescribed probation- ary period. Regular employee: An employee who has successfully completed his or her probationary period and has received a regular appoint- ment. An employee who has attained regular status retains that status during any probationary promotional periods. Position: A group of current duties, tasks and responsibili- ties assigned or delegated by competent authority, requiring the full or part-time services of one person. Unassembled examination: An appraisal of training, experience, work history, or use of other means for evaluating relative qualifications without the necessity for the personal appearance of applicants at a specified time. Sec. 9-2.5. Appointing authorities. (a) For purposes of section 707 of the charter, the following officers of the city are designated as the heads of a department, office or agency, having the power to appoint and remove such deputies, assistants, subordinates, and employees as are provided by the city council for their department, office, or agency, and shall be deemed to be a "department head," "appointing officer," 2 273 ORD'r NA~C~ ~$-2232 Page 3 and "appointing authority" with respect to such deputies, assis- tants, subordinates and employees for purposes of this chapter: (1) City attorney; (2) Clerk of the council; (3) Police chief; (4) Fire chief; (5) Executive director of finance and management services; (6) Executive director of public works; (7) Executive director of recreation and community services; (8) Executive director of personnel services; (9) Executive director of planning and building safety; (10) Executive director of community development; (11) Library director. (b) The city manager shall be the "appointing officer" and "appointing authority" for purposes of this chapter for all appointed officers of the city except officers appointed by the city council pursuant to the charter and for those employees of the city who are not subject to appointment and dismissal by any officer designated in subsection (a) of this section. (c) The officers listed in subsection (a) of this section shall constitute the heads of departments of the city for purposes of clause (7) of subsection (a) of section 1002 of the charter. Sec. 9-3.1. Policy against close relatives working together. The city council finds and determines that close relatives working together as city officers or employees is likely to result in problems of employee morale, inappropriate supervision, conflict of interest and public criticism. It is the policy of the city to avoid such problems in the government of the city caused by close relatives working together. For the purpose of this chapter, a person shall be deemed a "close relative" of a city officer or employee if that person is related to such officer or employee by blood, adoption or marriage, exclusive of any such relationship which is collateral consanguini- ty more remote than the fourth degree. Page 4 Sec. 9-4. Executive director of personnel services. There is created the position of executive director of personnel services. The executive director of personnel services shall be appointed by, and serve at the pleasure of, the city manager. The duties of the executive director of personnel services may be combined with those of any other office or position which is filled by appointment by the city manager. The executive director of personnel services shall: (1) Serve as secretary to the personnel board, if so appoint- ed by the city manager. (2) Administer all the provisions of the civil service rules and regulations except those specifically reserved to the council, the personnel board, or the city manager. (3) (4) (5) Be custodian of the official records concerning the employment status of all employees. Confirm that authorized budgeted positions exist, before probationary or temporary appointments are made. Keep such records as required by these rules and regulat- ions. (6) Ascertain that employee pay items conform to memorandum of understanding provisions and to federal, state and municipal laws. Sec. 9-5. Disqualification of applicants. The executive director of personnel services may reject any application, refuse to examine an applicant, disqualify an applicant, remove an applicant from an eligible list, or refuse to certify any person on an eligible list if: (a) The applicant is found to lack any of the requirements prescribed for the class or position; (b) The applicant is so disabled as to be unable to perform all the essential functions, with reasonable accommoda- tions, of the position for which the applicant is a candidate; (c) The applicant is addicted to the use of narcotics or the habitual use of intoxicating liquors to excess; (d) The applicant has been convicted of a.crime involving moral turpitude; ORDINANCE NS-2232 Page 5 Z77 (e) The applicant has previously been dismissed from any public or private employment for any cause other than abolition of position or reduction in force; (f) (g) The applicant has used, or attempted to use, political pressure or bribery to secure an advantage in connection with the application, examination, certification or appointment; The applicant has directly or indirectly obtained information regarding the examination to which the applicant was not entitled; (h) The applicant has failed to submit the application correctly or within the prescribed time; (i) The applicant has taken part in the compilation, admini- stration or correction of the examination; <J) The applicant has practiced, or attempted to practice, any deception or fraud in the application or in securing the eligibility or appointment; (k) On evidence that the applicant cannot be located by postal authorities; (1) On receipt of a written statement declining an appoint- ment or stating that the applicant wishes his or her name removed from the eligible list; (m) An offer of an appointment from the eligible list has been extended but not accepted; (n) The applicant declines to reply to letters of inquiry or letters of appointment or fails to respond to a notifica- tion of certification in a timely manner; (o) The applicant does not report for duty, after appointment by the appointing officer; (p) The applicant has been appointed to the position for which he has applied; (q) The applicant has not been selected for appointment after being certified from the eligible list the maximum allowed times; (r) After examination by a designated physician, the appli- cant does not meet the medical standards prescribed for the class including the standards as set forth in the City's Policy on a Drug-Free Workplace and cannot reasonably be accommodated; ORDINANCE NS-2232 279 Page 6 (s) The applicant is a close relative of the city manager or the city manager's assistants, if any. The personnel board may, upon written request of applicant, review any action taken pursuant to the provisions of this section. The applicant shall have ten (10) calendar days following notifica- tion of such action to file his or her written request for review in the offices of the secretary to the personnel board. Such review shall normally occur at the next regularly scheduled meeting of the personnel board, unless the board determines that the matter requires earlier consideration. The decision of the personnel board in the review of such matters shall represent final appeal action. Sec. 9-5.1. Criminal conduct; ineligibility for employment. Except as otherwise hereinafter provided, no person convicted of a felony or misdemeanor involving moral turpitude shall be eligible for employment in the excepted or competitive service of the city; provided, however, that the appointing authority may disregard such conviction if it is determined that mitigating circumstances exist, such as, but not limited to, evidence of rehabilitation, length of time elapsed since such conviction, the age of such person at the time of conviction, or the fact that the position applied for or occupied by such person is unrelated to such conviction. The city manager, assistant city manager, executive director of personnel services, chief of police, city attorney, and each appointing authority of the city are hereby authorized to have access to the "State Summary Criminal History Information" as provided for in Section 11105 of the Penal Code of the State of California. Sec. 9-6. Rejection. Whenever an applicant is rejected, or the applicant's name is removed from an eligible list per the provisions of sections 9-5 and 9-5.1, the applicant will be notified by letter, stating the reason(s) therefore. Sec. 9-7. Considering appeals from decisions and ratings of qualification appraisal boards. The executive director of personnel services shall consider appeals from decisions and ratings of qualification appraisal boards in the same manner and within the same periods of time as established for appeals of results of written examinations. Appeals of decisions and ratings of the qualification appraisal boards shall be considered solely for alleged irregularity or fraud 6 281 ORDINANCE NS-2232 Page 7 in the conduct of the interview. Sec. 9-8. Medical examinations. Before the initial placement with the City, individuals receiving job offers will be required to successfully pass a physical examination before a licensed physician. The standards for the physical examination including the drug screening shall be established prior to publication of the written announcement of the examination. The licensed physician mentioned in this section shall be one selected by the executive director of personnel services. The examination fee shall be paid by the city. A candidate for a promotional appointment to a classification which requires higher or more stringent medical standards than the classification from which the candidate seeks promotion shall be required to pass a medical examination prior to appointment. Sec. 9-9. Hearings--Before personnel board. Hearings before the personnel board shall be called by the chair of the personnel board or, in the chair's absence, by the vice-chair. The chair shall make arrangements through the executive director of personnel services for suitable clerical assistance and for assignment of space in which to hold the hearings. Sec. 9-10. Hearings--Order of proof. The order of proof in any hearing of review shall be as follows: (a) The appointing authority shall present evidence in support of the charges; (b) The employee shall then produce such evidence as said employee may wish to offer in his or her defense; (c) The parties in interest may then offer, respectively, rebuttal and surrebuttal evidence; (d) Ail evidence must be relevant and material to the issues, and the board's decision concerning the relevance or materiality of evidence shall be final; (e) Following the presentation of evidence, each side shall be permitted to argue the case to the personnel board. The order of argument shall be as follows: The appointing authority shall be permitted to present its opening argument; the employee, or employee's counsel, shall be 7 O NANCS NS-22S2 2 8 3 Page 8 (f) (g) (n) (i) (J) permitted to argue; if the employee presents an argument, the appointing authority shall be permitted to present a closing argument; When arguments are completed, the chair shall declare the hearing closed; The personnel board shall then retire to its chambers to consider and review the evidence presented to it; Following its review of the evidence, the board members shall return to the hearing room and shall vote publicly "yes" or "no" upon the question of whether each charge has been sustained. The chair shall announce the result of the vote. If any charge is sustained, the board shall consider what disciplinary action, if any, it concludes to be warranted. Such consideration of appropriate disciplinary action may, at the board's discretion, be conducted at the public meeting or in the chambers of the board. In either event, any proposed disciplinary action shall be determined by roll call vote. The chair may announce the recommended disciplinary action at the public meeting or submit such recommendation within ten (10) working days; The board shall adjourn to prepare its written findings, conclusions and recommendations; The written findings, conclusions and recommendations shall be signed by the chair and authenticated by the secretary of the personnel board before distribution. Seo. 9-11. Employee Performance Appraisals. The city manager shall establish and make effective a system of employee performance appraisal. Such evaluations shall be prepared by the employee's immediate supervisor and shall be reviewed by the division and/or department head. Performance appraisals shall be reviewed with the employee concerned and the employee shall sign the appraisal form to acknowledge said review. Performance appraisals will be submitted as follows: (a) At the end of each four (4) months' service during probationary periods; (b) Annually after completion of probation; (c) Prior to a merit increase eligibility date; (d) As called for, at the discretion of the appointing authority and/or as mandated by the applicable memorandum 8 Page 9 of understanding. Employee performance appraisals, including those prepared as directed in this section will be delivered to the executive director of personnel services for filing with the records of the employee. Performance appraisals will be considered in making merit salary advances and may be considered a factor in promotional examinations, demotions, and dismissals. sec. 9-12. Same--Employee Records. Department heads shall furnish the executive director of personnel services with written reports of any disciplinary action involving loss of pay, and of any especially noteworthy communica- tion or oral commendation or condemnation received or written by the department head relative to the performance of any employee. Sec. 9-13. Training of employees. Department heads are responsible for on-the-job training of employees, in their respective departments. This training shall promote safety of personnel and property and shall promote efficiency in operations. Sec. 9-14. Attendance--Hours of work. Eight (8) hours shall constitute a normal day and forty (40) hours of work shall constitute a minimum workweek, except for employees for whom special provisions have been approved by the council. Employees shall be in attendance at their work during prescribed hours and shall not absent themselves during prescribed hours without approval of the department head. Sec. 9-15. Attendance--Records. Ail departments shall keep attendance records prescribed by the city manager and shall transmit them to the executive director of personnel services on the dates he or she shall specify. Sec. 9-16. Outside employment. Employees in the competitive service shall not engage in any employment or sales or service outside of their regular city employment, except with the written approval of the department head and consent of the city manager. Such permission may be granted for intermittent or casual employment in sales, services or in connection with educational programs, if the request contains a 9 ORDINANCE NS-2232 287 Page 10 statement as to the nature and frequency of the employment. The said application shall be denied by the department head or city manager if he or she has reasonable cause to believe that such outside employment will be inconsistent, incompatible, in conflict, or interferes in any way with the proper performance of the duties as a city employee. Permission to engage in outside employment will be granted for a period not to exceed six (6) months and extensions may be granted by the department head for additional six (6) month periods. The personnel board may, upon request of the employee, review any action taken pursuant to the provisions of this section and report its findings to the city council and the city manager. Sec. 9-17. Excepted service inclusion. The vacation and sick leave provisions of these rules and regulations shall apply to all regular full-time city employees of the excepted service who are eligible to become members of the state employees' retirement system. ARTICLE II. EXAMINATIONS Sec. 9-32. Announcement. Whenever an examination is to be given, the executive director of personnel services shall give sufficient public notice to ensure an adequate number of applications are received from qualified individuals. Notices for open competitive examinations shall be posted on a bulletin board at the city hall, readily available to the public, in the office of the executive director of personnel services and in the departments where exist classifications for which examinations are being held, and in such other places as may attract qualified candidates. The notices will contain sufficient information relative to the examination to indicate to interested candidates the duties and prerequisites of the position, together with dates, salaries and pertinent benefits. Promotional examina- tions will be published by means of notices posted in the depart- ments containing qualified candidates and in the office of the executive director of personnel services. Sec. 9-33. Applications. Applications to take examinations shall be submitted in the manner and/or on forms approved by the executive director of personnel services. They must be received in the office of the executive director of personnel services prior to the hour and date established in the examination announcement or, in the case of 10 ORDINANCE NS-2232 289 Page 11 continuous recruitment, prior to the time the recruitment is deemed closed. 9-34. Scopm. Ail examinations shall be competitive and impartial and shall be suitable to test fairly the relative capacities of the persons examined to discharge the essential functions of the positions to which they seek appointment. Sec. 9-35. T~pes. Examinations shall be assembled or unassembled and, further, they may be written or oral, or in the form of a practical demonstration of skills or any combination of these. Any investiga- tion of education, experience, character or identity, and any test of knowledge, skill, ability, physical or mental fitness which, in the judgment of the city manager, fairly tests the relative capacities of the applicants to perform the essential functions of the position to which they seek appointment may be employed. Sec. 9-35.1. Promotions. Vacancies in positions of the higher classifications in the civil service of the city shall, as far as practicable, be filled by promotion of employees occupying positions of lower classifica- tions having duties and responsibilities which can reasonably be considered as affording training and experience for the performance of the duties of the higher classification; provided that the city manager may hold examinations for positions of such higher classifications on the basis of open competitive examinations or both open and promotional competitive examinations in the manner provided in the civil service rules and regulations. Eligibility for promotional examinations shall be subject to civil service rules and regulations. Sec. 9-36. Promotional. Promotions shall be based on competitive examination. The examinations shall be open, promotional, or both open and promo- tional. In each case of an examination for a higher classification, the city manager shall determine which positions in a lower classification are appropriate for advancement to the higher classification. If the number of employees considered eligible for promotion is less than three (3), the city manager may determine that an open or a combination of open and promotional examinations be held to create an eligible list. In the event that a combined open and promotional examination is to be held as provided herein, 11 ORDINANCE NS-2232 291 Page 12 employees holding regular status in any one of the classifications considered appropriate for advancement, and actually in the employment of the city at the time of the examination, will be placed at the top of the eligible list if they have an overall examination grade of eighty (80) percent or more, prior to inclusion of preferential credits. Sec. 9-37. Promotional seniority credit. Seniority credit shall be given on promotional examinations where all applicants are regular employees of the city and on combined open and promotional examinations as provided in section 9-36. This credit shall be given those employees who attain a passing grade and shall be one-half of one (0.5) percent for each complete year of service to the city but not to exceed five (5) percent of the maximum possible grade. Only full-time city service in the promotional ladder within the same occupational field shall apply in the computation of this credit. Such service completed prior to a break in continuous city service shall not apply unless the break in service was concluded by reappointment, as provided in section 9-114. Sec. 9-37.1. Veterans' credit. In all examinations for entrance into the civil service of the city, veterans who attain a passing grade shall be allowed an additional preferential credit of five (5) percent, and disabled veterans obtaining a passing grade shall be allowed a preferential credit of ten (10) percent of the maximum possible grade for such examination. The term "veteran" means a person who has served on active duty in the armed forces of the United States in time of war or armed intervention (and prior to the cessation of hostilities, as declared by the President or the Congress of the United States) for a period of at least ninety (90) days and has received an honorable discharge or release from active duty. Sec. 9-38. Conducting. The executive director of personnel services shall determine the manner and methods and by whom examinations are to be admini- stered. No person shall be permitted to take an examination unless an application has been submitted in accordance with the terms of the public notice for the particular position. 0 -? Sec. 9-39. Qualification appraisal. In examinations where the executive director of personnel 12 ORDINANCE NS-2232 Page 13 services considers it appropriate, education, experience and personal qualifications of the candidates shall be evaluated on the basis of interviews conducted by a board composed of persons known to be interested in the improvement of public administration and in the selection of efficient personnel according to merit system principles. In classifications requiring technical knowledge, at least one of the members of the board shall be familiar with the technical aspects of the work in the classification for which the applicant will be examined. The board mentioned in this section shall consist of at least two (2) persons. Each member of the board will submit a report in writing on forms supplied by the executive director of personnel services, and these reports will be made available to the appointing authority for those candidates who have been certified as eligible for appointment. The boards described in this section will be known as qualification appraisal boards. Sec. 9-40. Rating. The minimum grade or standard determining eligibility shall be based upon all factors in the examination, including educational requirements, experience, and other qualifying elements as shown on the application of the candidate or other verified information. Each section of the examination shall be graded independently. Weights of sections shall aggregate to one hundred (100). Veterans' preference and seniority shall not be considered sections. When applicable, veterans' preference and seniority points shall be added to the general average, and the resulting sum shall be used in determining the order or band in which the name of the candidate shall appear on the eligible list. Failure in one section may be grounds for declaring the applicant as having failed in the entire examination and as disqualifying for subsequent parts of an examination as shall be determined by the executive director of personnel services. Ail applicants in the same examination shall be accorded uniform and equal treatment in all phases of the examina- tion procedure. Sec. 9-41. Passing score. Seventy (70) percent shall be used to represent the minimum score which competitors shall be required to attain, but such seventy (70) percent may be an adjusted score, when adjudged necessary by the executive director of personnel services, based upon consideration of the test, the quality of the competition and the needs of the city. Any such adjusted score shall be established before the identification of the competitors' examination papers. 13 295 ORDINANCE NS-2232 Page 14 9-42. Error appeal. During the five (5) working days commencing with the first working day after a written test has been completed, a candidate may file with the executive director of personnel services an appeal against any item of the test or any part of the test, citing the items or the parts against which the appeal is directed and the reasons for such an appeal. An eligible list resulting from such test shall not thereafter be established until all the disputed items have been reviewed by the executive director of personnel services and corrected if found to be wrong, or the appeal denied. Decisions of the executive director of personnel services shall be subject to review by the city manager upon written request by the candidate filed with the executive director of personnel services within five (5) working days of the decision. Sec. 9-43. Grading appeal. During the five (5) working days beginning with the day after notice of placement on the eligible list has been mailed, a candidate may file with the executive director of personnel services a request to review the score assigned to each component of the examination. If the candidate believes an error has been made in any computation of his or her scores, including computation of score assigned to each examination component, determination of weighted scores, or in the summing of weighted scores, he or she may make application, in writing, to the executive director of personnel services for an adjustment of his or her score. However, in such application the candidate must state specifically and particularly wherein he or she believes error has been made. Any error that may appear shall be corrected, and any change in the standing of candidates as a result thereof shall be made by the executive director of personnel services within five (5) working days after the appeal period. All conclusions in connection with appeals shall be approved or disapproved by the city manager and shall be subject to review by the personnel board upon written request by the candidate filed with the board within five (5) working days after the candidate has been notified of the decision of the city manager. Sec. 9-44. Records. Ail examination materials submitted by competitors are confidential records which may be open for inspection only for the purposes and under the conditions set forth in these rules and regulations. Applications and examination records shall be kept during the life of the eligible list. Examination materials and applications of certified candidates shall be open for inspection by the appointing authority to which the candidates have been certified, during such time as said materials are on file. 14 0 Page 15 Sec. 9-45. Eligible lists--Preparation; approval, etc. Upon completion of any examination, the city manager shall cause to be prepared and shall approve eligible lists with the persons who passed such examination being listed as follows: (a) For promotional only exams, candidates who passed~such examination shall be listed on the promotional eligible list in relative order of the score received, from highest to lowest. (b) For open exams, candidates who passed such examination shall be placed on the open eligible list in three (3) groups or bands, as follows: Band A: Candidates shall be placed in this band if their adjusted scores are equal to or higher than ninety (90.00) percent. Band B: Candidates shall be placed in this band if their adjusted scores are equal to or higher than eighty (80.00) percent but less than ninety (90.00) percent. Band C: Candidates shall be placed in this band if their adjusted scores are equal to or higher than seventy (70.00) percent but less than eighty (80.00) percent. Within each band, names of candidates shall be listed in alphabetical order. (c) For combination open and promotional exams, promotional candidates who passed such examination shall be placed on the promotional eligible list if they achieve the minimum required score, as provided in section 9-36. Sec. 9-46. Same Eligible Lists--Duration. Such eligible lists shall remain in effect for the time period listed below, unless within such period the executive director of personnel services shall not be able to certify for appointment the number of persons required under the provisions of this chapter. (a) Eligible lists for classifications designated as "local police/fire safety" members of the Public Employees' Retirement System shall be in effect for two (2) years. (b) Eligible lists for all classifications which are not included in (a) above shall be in effect for six (6) months, but may be extended in six (6) month increments with the approval of the city manager to allow for a maximum life of list of two (2) years. 15 ORDINANCE NS-2232 Page 16 ARTICLE III. FILLING VACANCIES Sec. 9-60. Eligible lists--promotional; removal of name of separated employee. The name of an employee who leaves the employment of the city, except through layoff, shall be removed from any promotional eligible list. sec. 9-61. Eligible Lists--Request for removal or reinstatement of name. An eligible, at any time, may request in writing that his or her name be withdrawn temporarily from the eligible list and placed on inactive status. Upon approval of the executive director of personnel services, such request shall be granted, and likewise, upon written request of the eligible, his or her name may be reinstated to active status during the life of the list. Sec. 9-62. Eligible Lists--Consolidation. Two (2) eligible lists of the same type (open or promotional) for the same classification may be consolidated by the executive director of personnel services by placing eligibles from an old list onto a new list in accordance with the procedures outlined in section 9-45. The names on the resulting (consolidated) list shall be certified in accordance with the procedures outlined in section 9-66. Sec. 9-63. Method of filling. Vacancies in the competitive service shall be filled from an eligible list if available, or by a temporary appointment for not longer than one hundred eighty (180) calendar days as specified in the charter. Sec. 9-64. Appointment--Eligible lists defined. Reemployment: a list which contains the names of individuals who were laid off from a classification as provided for in these rules and regulations. The list shall be valid for two (2) years from the date of an employee's layoff; or as otherwise specified in a current Memorandum of Understanding. Reappointment: a list which contains the names of individuals who had passed probation, separated in good standing from the civil service classification to which they have requested and have received approval to be reappointed, and have met all other 16 ORDINANCE NS-2232 301 Page 17 criteria for placement described in section 9-114. Appointments from this list are at the discretion of the appointing authority. (See Section 9-114. Reappointment Transfer: a list which contains the names of individuals who request to transfer from the department in which they are working at the time of the request to the same classification in another department, as provided in section 9-111. Promotional: a list which contains the names of regular employees who have passed a promotional examination and who meet eligibility criteria in these rules and regulations. Open: a list which contains the names of individuals who are certified as being qualified for appointment to a civil service classification by passing an open, competitive examination. Sec. 9-66. Certification--Procedure. Upon receipt of the request from an appointing authority, the executive director of personnel services shall certify, to the appointing authority, names in accordance with the following: (1) If a reemployment list exists for the classification, one name for each vacancy. (2) If no reemployment list exists, names shall be certified as follows: a) By transfer list, then by reappointment list. If the combined total of candidates eligible for certification from these two lists is less than five, candidates may be certified from a promotion- al list, if any, or an open list as shown below. b) For promotional-only appointments, the names of the candidates with the three (3) highest scores on the promotional eligible list. Except in the case of ties, the number of names to be certified from an active promotional list shall be two (2) more than the number of appointments to be made. In the event of ties, if there are three or more candidates at the highest score, only those candi- dates shall be certified. If there are less than three candidates at the highest score but three or more candidates within the highest two scores, then those candidates with the two highest scores will be certified. If there are no ties at the first and second 17 O NAN¢ . NS-22 2 $03 Page 18 c) scores, then all candidates within the top three scores will be certified. For open appointments, the number of names to be certified from the open eligible list may be four (4) more names than the number of appointments to be made. When the number of candidates certified in the highest band is less than five (5), the appoin- ting authority may request the certification of the next lower band. If more than five (5) people are in the group from which an appointing authority is entitled to select, the appointing authority may review the applications of the candidates in that group and select a lesser number of candidates for certification whose qualifications best fit the needs of the position. Sso. 9-67. Appointments. The appointing certified, whichever for the position. authority may appoint, of one in his or her opinion is the candidates best qualified No candidate may be certified more than four (4) times from any eligible list resulting from any one examination except candidates on open eligible lists, who may be certified more than four (4) times, at the discretion of the executive director of personnel services, in keeping with the charter. If no eligible list for the classification exists, or if an existing list for the classification contains less than three (3) promotional candidates or five (5) non-promotional candidates who are eligible and available for appointment, the executive director of personnel services shall so notify the appointing authority who may select from the existing candidates or, after requesting a new recruitment, may make a temporary appointment to the vacancy. After making the selection, the appointing authority shall inform the executive director of personnel services of the candidate appointed, the date that person will assume the duties of the position and the applicable rate of pay. After verification that the candidate has passed the required medical examination per section 9-8, and after verification of the execution of the oath of office, the executive director of personnel services shall confirm the appointment. After confirmation of the appointment, the appointing authority shall enter the name of the employee on the employment rolls. q 0 0 i ORDINANCE NS'2232 305 Page 19 Sac. 9-67.1. Exclusion of olose relatives. If, in the opinion of an appointing authority, the appointment of a candidate to a position of employment under the jurisdiction of such appointing authority would result in a violation of the policy set forth in section 9-3.1, the appointing authority shall so notify the executive director of personnel services, who shall exclude such candidate from the list of names certified to such appointing authority for such position. Any close relative of an appointing authority shall likewise be excluded from any list certified to such appointing authority. In the event a candidate is excluded pursuant to this section, the executive director of personnel services shall certify to the appointing authority a list containing the names of all candidates who would have appeared on such list if the excluded candidate had never been a candidate for the subject position of employment. A candidate who is excluded pursuant to this section shall not be considered as having been certified from an eligible list for purposes of sections 9-5 or 9-67. Sec. 9-68. Failure to appoint certified applicant. If, upon certification, an eligible declines appointment or neglects to report to the appointing authority for interview, the appointing authority shall notify the executive director of personnel services. The executive director of personnel services shall remove any eligible from the list for neglect to report within five (5) working days after notice has been sent by mail to the address on file, unless said eligible provides an explanation satisfactory to the executive director of personnel services. In the case of a promotional-only appointment, after an eligible declines appointment and/or is removed from the eligible list, the executive director of personnel services shall upon the request of appointing authority certify the next candidate on the list. In the case of an open appointment, after an eligible declines appointment and/or is removed from the list, if the number of eligible candidates is less than five, the executive director of personnel services shall upon request of the appointing authority certify the next lower band. Seo. 9-69. Filling by temporary appointment. Temporary appointments may not be for a period longer than one hundred eighty (180) calendar days after the first day of such temporary appointment, nor may temporary appointments be made to any position a cumulative total of more than one hundred eighty (180) calendar days in one calendar year following the first day on which the position is filled by a temporary appointment. Such temporary appointment will be terminated when an employment list is 19 ORDINANCE NS-2232 307 Page 20 prepared for the position. Temporary appointments shall be processed by the executive director of personnel services for record keeping purposes and to conform with personnel policies and regulations. Sec. 9-70. Emergency appointments. Appointing officers filling positions in any class or grade created for a special or temporary purpose which will exist less than ninety (90) calendar days will obtain authority for their action from the city manager prior to such appointment. These appointments will be recorded in the personnel department. Sec. 9-71. Part-time positions. Part-time positions of twenty (20) regular hours per week employment, as outlined in the charter, will be processed by the executive director of personnel services for record keeping purposes and to conform with personnel policies and regulations. ARTICLE IV. PROBATION Sec. 9-90. Object of probationary period. The probationary period preceding regular appointment to a position in the civil service is an intrinsic part of the examina- tion process and shall be utilized for closely observing the employee's work, for securing the effective adjustment of a new employee to a position, and for eliminating any probationary employee whose performance or personal qualifications do not meet the required standards of work. When an employee has been retained continuously in probationary status for the required period, the employee shall achieve regular status. Sec. 9-91. Duration of probationary work test period. The probationary work test period shall be twelve (12) consecutive months from the date of appointment from a reappoint- ment, promotional, or open eligible list. Absences and/or other periods of time when an employee is unable to perform the full range of duties of his or her position totaling fifteen (15) days or more during a probationary period may extend the probationary period the total length of time of such absences, at the discretion of the appointing authority. During such probationary period, the employee may be rejected at any time without right of a hearing before the personnel board. An employee rejected during the probationary period from a position to which the employee has been promoted shall be reinstated to the position from which the 20 309 ORDINANCE NS-2232 Page 21 employee was promoted, unless the employee is dismissed from the service of the city in addition to rejection, in which event the employee shall have the right of a hearing before the personnel board as to such order of dismissal in the manner prescribed in this chapter. The appointing authority at his or her discretion may extend the duration of the probationary work test period for up to six (6) months with the specific reasons stated in writing to the employee. Sac. 9-92. Probationary perio4 performance appraisals. Performance appraisals will be prepared by the appointing authority every four (4) months during the probationary period and filed with the executive director of personnel services. These reports will bear the statement that the employee is to be retained or rejected. The final report will be filed five (5) working days prior to the end of the probationary period. Sec. 9-93. Probationary employee rejection. A rejection during the probationary period will be effective as of the date of rejection by the appointing authority. Within ten (10) days of the rejection, the appointing authority will file a statement with the executive director of personnel services, stating the reason for rejection and giving the effective date, which shall not be later than the last day of the probationary period. In case of separation because of rejection during the probationary period, the probationer concerned will be notified immediately in writing, and a copy of such notice will be filed with the statement furnished the executive director of personnel services. Sec. 9-94. Promotional probationary reports. Employees serving under probation as a result of promotion will be the subject of the same appointment, performance, rejection and other reports as required in the case of other probationary appointees during their probationary period. ARTICLE V. DEMOTION, TRANSFER, RESIGNATION, REDUCTION-IN-FORCE, LAYOFF ETC. Seo. 9-110. Demotion. Employees having regular status may be demoted for disciplin- ary reasons or at their own request. Demotions, in either case, shall be within the department in which the employee is serving at the time of demotion and if such vacancy does not exist, demotion 21 ORDINANCE NS-2232 31 ! Page 22 cannot be used as a disciplinary measure. In the event an employee requests demotion it must be for a vacancy for which there is no re-employment list. Requests for voluntary demotion must be signed by the employee, approved by the appointing authority, and subject to approval of the city manager before being effective. The city manager, prior to approval of a request for demotion, may conduct such an investigation as he or she deems proper to insure that the request was not submitted under compulsion and that the person demoted possesses the minimum qualifications for the new position if he or she has not previously qualified for the lower position by examinations. 9-111. Transfer. An employee may be transferred by the city manager at any time from one position to another in the same class. Transfers shall not be used to effect a promotion, demotion, or reduction, each of which may be accomplished only as provided elsewhere in these rules. No transfer shall be effected between positions in different departments except with the written consent of both appointing powers. Sec. 9-112. Resignation--Submitting. Any employee voluntarily leaving the employment of the city shall, at least two (2) weeks prior to separation, submit a written resignation to his or her department head with the effective date and reason for resignation. Failure to furnish the written resignation within the time stated in this section may be cause for denying the employee reappointment privileges. Resignations shall be forwarded, by the appointing authority, to the executive director of personnel services. Sec. 9-113. Same--Withdrawal. The city manager may permit the withdrawal of a resignation only upon written request filed within ten (10) working days prior to its effective date, and provided such request for withdrawal bears the favorable recommendation of the appointing officer. Seo. 9-114. Reappointment. Upon request, within one (1) year of the separation of a regular employee who resigned in good standing, the city manager may place his or her name on a reappointment list, to be certified as provided in these rules. This list shall expire on the anniversary of the employee's separation date. An eligible, if appointed from a reappointment list shall serve a regular proba- 22 ORDINANCE NS-2232 Page 23 313 tionary period and shall be considered a new employee for seniori- ty, vacation, and sick leave purposes, provided, however, that the eligible may be reappointed at his or her former salary step. Sec. 9-115. Reversion to competitive service. When an employee is entitled to reversion to his or her former position in the competitive service from the excepted service, the executive director of personnel services will notify the appointing officer in the department from which the employee transferred to the excepted service. The latter, in restoring the person to the former position, as prescribed in the charter, will provide the required vacant position, if it does not exist, by means of layoff or demotion, as outlined in other sections of these rules and regulations. Sec. 9-117. Reduction-in-force. When it becomes necessary because of lack of work, lack of funds, or other sufficient reason, to reduce the staff of any city office, activity or department, the reduction shall be accomplished by laying off the last employee or employees, including temporary appointees, that have been appointed in the class, until the necessary reduction has been made. Vacancies in the lowest class, resulting from such layoff, shall be filled by the employee or employees last appointed to the next higher class, and those vacant positions filled by the employee or employees in the next succee- ding higher class and so on until all vacant positions have been filled. Re-employment shall be in reverse order of any layoff or demotion made under the terms of this section and prior to any other appointments. sec. 9-118. Suspensions; demotions; dismissals. (a) Right to exercise the disciplinary and dismissal powers hereinafter provided is vested respectively in the officers of the city who have the power of appointment as to any position in the personnel system. (b) Except as specified in subparagraph (d), any employee serving a probationary period in a position in the civil service shall be subject to suspension without pay for a period not to exceed ninety (90) days, demotion or dismissal, and the employee so disciplined or discharged shall not have a right of appeal, except that an employee who held permanent status in some other position or employment included within the civil service immediately prior to his appointment to probationary status shall not be discharged without written notice of charges, an opportunity to answer, a written decision as hereinafter provided and right of appeal to the 23 ORDINANCE NS-2232 Page 24 315 personnel board. (c) Except as specified in subparagraph (d), any employee other than one serving a probationary period, holding a position in the civil service shall be subject to suspension without pay for a period not to exceed ninety (90) days, or to demotion, or to dismissal subject to a right to appeal to the personnel board in accordance with the procedures set forth in this article. However, such appeal shall not stay the imposition of suspension, demotion or dismissal following the written decision of the appointing authority. (d) Each or any of said actions relating to suspension, demotion, or dismissal may be taken by the officer having power of appointment to the position for reasonable and sufficient cause; provided, however, that no employee who is exempt from the requirements of the Fair Labor Standards Act shall be subject to suspension without pay for any period of less than one week. (e) Each such employee shall have ten (10) calendar days after receipt of the written decision of the appointing authority in which to file a notice requesting a hearing before the personnel board. Such request for a hearing shall be filed with the executive director of personnel services. If a hearing is requested, the personnel board shall thereupon set a date for hearing the matter at its earliest convenience. Hearing procedures shall be informal, and the rules of evidence generally applicable to administrative proceedings shall apply. Such employee shall have an opportunity at such hearing to be heard in person, or by counsel, and the right to subpoena witness- es. Except as otherwise provided by law, all hearings held under the provisions of this section shall be open to the public. (f) The personnel board shall make written findings which shall state as to each charge whether or not such charge is sustained. The personnel board shall also set forth in writing its conclusions and recommendations based upon such findings, and within ten (10) working days after concluding the hearing, it shall certify its findings, conclusions, and recommendations to the officer from whose action the appeal was taken, and to the city manager and the city council. (g) If, with respect to a suspension, demotion, or dismissal, the personnel board shall conclude that the employee charged was not guilty of the act or omission resulting in such suspension, demotion, or dismissal, a recommendation by it of reinstatement without loss of pay shall be binding upon the appointing authority, who forthwith shall order such reinstatement. In the event that the personnel board shall conclude that the employee was guilty of the act or omission resulting in such suspension, demotion, or dismissal but that the penalty was not warranted under the 24 s-2232 31 ? Page 25 circumstances, the personnel board may review the severity and appropriateness of the punishment. A recommendation by it of a greater or lesser punishment or of reinstatement with or without loss of pay shall be binding upon the appointing authority, who forthwith shall order the same. If, with respect to a suspension, demotion or dismissal, the personnel board concludes that the employee was guilty of the act or omission resulting in such suspension, demotion or dismissal, and that such punishment was warranted, such decision shall be final. (h) Vacancies created under this section may be filled by the appointing authority by temporary appointment pending the comple- tion of any proceedings taken hereunder. (i) A reduction in pay shall be treated as a demotion under this section, unless the reduction in pay is part of a plan of reclassification of positions or of a plan to reduce salaries and wages in connection with a general economy or curtailment program, or is the result of a finding by the appointing authority that the employee's performance does not justify the continuance of a level of pay that is dependent upon meritorious service. A failure to grant an increase in pay at a time when an increase would otherwise have been granted as a part of a plan to increase salaries and wages throughout the city service shall not be treated as a demotion under this section. (j) The personnel board may adopt procedural rules to govern the conduct of its hearings. Sec. 9-118.1. Procedural requirements prior to suspension, demotion or dismissal. No employee holding a position in the civil service who has served a probationary period for the position held by such employee shall be subject to suspension, demotion or dismissal, unless prior thereto such employee has received: Notice of the proposed action and of the grounds for such action; (2) A written copy of the charges, which charges shall be separately stated, and grounds for such charges; (3) A reasonable time, not to exceed ten the appointing authority authorizes a answer the charges; 10) days, unless longer time, to (4) A written decision on the answer at the earliest practi- cable date. 25 ORDINANCE NS-2232 319 Page 26 Examination of witnesses, trial, or hearing is not required, but may be provided in the discretion of the appointing authority. Copies of the charges, the notice of the action, the answer, the reasons for and the order of removal or suspension without pay, and also the reasons for the actions taken shall be made a part of the records of the city, and, on request, shall be furnished to the individual affected and to the personnel board. Sec. 9-118.2. Notice of proposed adverse action. Except as provided in section 9-118.4, infra, an employee against whom disciplinary action is pending is entitled to reasonable advance written notice stating any and all reasons, specifically and in detail, for the proposed action. The material on which the notice is based and which is relied upon to support the reasons in that notice, including, but not limited to, statements of witnesses, documents, and investigative reports or extracts therefrom, shall be assembled and made available to the employee for his or her review and copying. The notice shall inform the employee when and where he or she may review such material. Material which cannot be disclosed to the employee may not be used to support the reasons in the notice. 9-118.3. Employee's answer. Except as provided in Section 9-118.4, infra, an employee is entitled to a reasonable time, not to exceed ten (10) days unless the appointing authority authorizes a longer time, to answer a notice of proposed disciplinary action. The time to be allowed depends on the facts and circumstances of the case, and shall be sufficient to afford the employee ample opportunity to review the material relied on by the appointing authority to support the reasons in the notice and to prepare an answer. If the employee answers, the appointing authority shall consider the answer in reaching a decision. The employee is entitled to answer personally, in writing, or both personally and in writing. The right to answer personally includes the right to answer orally in person by being given a reasonable opportunity to make any representations which the employee believes might sway the final decision in his or her case. When the employee requests an opportunity to answer personal- ly, the agency shall make a representative or representatives available to hear the answer. The representative or representatives designated to hear and answer shall be persons who have authority either to make a final decision on the proposed adverse action or to recommend what final decision should be made. As used herein, the noun "answer" shall be deemed to include such statements, affidavits, declarations, or other evidentiary matter as the employee may wish to submit. 26 ORDINANCE NS-2232 321 Page 27 sec. 9-118.4. Exceptions to the notice period and opportunity to answer. Advance written notice and opportunity to answer are not necessary in the case of suspension, dismissal or demotion of an employee for any reason other than those grounds for disciplinary action that are specified in Section 9-118. Sec. 9-118.5. The duty status during notice period. Except as otherwise provided herein, an employee against whom disciplinary action is proposed is entitled to be retained in an active duty status during the notice period. When circumstances are such that the retention of the employee in an active duty status in his or her position may result in damage to city property or may be detrimental to the interests of the city or injurious to the employee, other workers or the general public, the appointing authority may temporarily assign the employee to duties in which these conditions do not exist or place him or her on administrative leave. Sec. 9-118.6. Notice of adverse decision. Each employee against whom disciplinary action is pending is entitled to notice of the appointing authority's decision at the earliest practicable date. The appointing authority shall deliver the notice of decision to the employee at or before the time when the action will be effective. The notice shall be in writing, be dated, and inform the employee of the following: (1) Which of the reasons in the notice of proposed adverse action have been sustained and which have not been sustained. (2) The right to appeal to the personnel board. (3) The time limit for appealing to and requesting a hearing from the personnel board. Sec. 9-118.7. Reasonable and sufficient cause. For purposes of section 1000 of the Charter of the city of Santa Ana, the term ''reasonable and sufficient cause'' for suspension, demotion or dismissal shall include, but not be limited to, each of the following causes: (a) Fraud in securing appointment. (b) Incompetency. 27 ORDXNANCE S-22 2 323 Page 28 (c) Inefficiency. (d) Inexcusable neglect of duty. (e) Insubordination. (f) Dishonesty. (g) Drunkenness on duty. (h) Intemperance. (i) Addiction to the use of, or abuse of, controlled sub- stances. (j) Unauthorized absence from duty. (k) Conviction of a felony or conviction of a misdemeanor involving moral turpitude. A plea of guilty, or a conviction following a plea of nolo contendere, to a charge of a felony or any offense involving moral turpitude is deemed to be a conviction within the meaning of this subsection. (1) Immorality. (m) Discourteous treatment of the public or other employees. (n) Improper political activity. (o) Willful disobedience. (p) Misuse of city property. (q) Violation of any city departmental or agency rule. (r) Violation of section 9-16 of the Santa Ana Municipal Code relating to outside employment. (s) Other failure of good behavior, either during or outside of duty hours, which is of such a nature that it causes discredit to the appointing authority or the city. (t) Unlawful discrimination, including harassment, on the basis of race, religious creed, color, national origin, ancestry, physical handicap, marital status, sex or age, against the public or other employee(s) while acting in the capacity of a city employee. 28 S-22 2 3 2 5 Page 29 Sec. 9-119. Layoffs. Ail layoffs within the competitive service occasioned by the abolishment of a position, the combination of duties of two (2) or more positions, or the reduction in number of employees in a given class shall be governed by seniority in service and performance. Reemployment shall be in the reverse order of layoffs. SeC. 9-120. Medical examination and proceedings thereon; demotion, transfer or dismissal. (a) The appointing authority may at any time require an employee to submit to a medical examination by a physician or physicians designated by the appointing authority to evaluate the fitness or capacity of the employee to perform the work of his or her current position. Prior to requiring such medical examination, the appointing authority shall, in writing, state the reasons for seeking an evaluation. The employee may be placed on administrative leave with pay until medical clearance is obtained. (b) Fees for the examination and for the services of medical specialists or technicians, if necessary, shall be paid by the city. The employee may submit medical or other evidence to the examining physician or to the appointing authority. The examining physician shall make a written report of the examination to the appointing authority. The appointing authority shall provide a copy to the employee or to the physician designated by the employee. (c) When the appointing authority, after considering the conclusions of the medical examination and other pertinent information, concludes that the employee is unable to perform the work of his or her present position, but is able to perform the work of another position, the appointing authority may demote or transfer the employee to another position within the same classifi- cation or offer the employee a voluntary demotion, provided there is a vacant position in a lower level classification within the classification series. Any voluntary demotion will be according to section 9-110. The employee demoted or transferred pursuant to this section shall receive the maximum of the salary range of the class to which he or she is demoted or transferred, provided that the salary is not greater than the salary he or she received at the time of his or her demotion or transfer. (d) When the appointing authority, after considering the conclusions of the medical examination provided for by this section or medical reports from the employee's physician and other pertinent information, concludes that the employee is unable to perform the work of his or her present position, or any other vacant position within the classification series in the agency, and the employee is not eligible or waives the right to retire for disability, the appointing power may take action to suspend or 29 ORDINANCE NS-2232 327 Page 30 dismiss the employee. (e) The appointing authority may demote, transfer, suspend or dismiss an employee under this section without requiring the employee to submit to a medical examination, when the appointing authority relies upon a written statement submitted to the appointing authority by the employee as to the employee's condition or upon medical reports submitted to the appointing authority by the employee. (f) Upon the petition of the employee who was dismissed, demoted or transferred in accordance with this section, the employee shall be placed on the reappointment list for his or her previously held position in accordance with section 9-114 if it is determined by the director that the employee is no longer incapaci- tated for duty in such position. The employee shall provide satisfactory proof to the appointing authority of fitness for duty prior to being placed on a reappointment list. (g) Nothing in this section shall be deemed to affect any right to appeal to the personnel board as provided in section 9- 118. ARTICLE VI. LEAVES, HOLIDAYS AND ABSENCES DIVISION 1. GENERALLY Sec. 9-129. Application of article. The provisions of this article shall be applicable to full- time regular employees not covered by a Memorandum Of Understanding and/or a Resolution of the City Council. However, in the case where a Memorandum Of Understanding and/or a Resolution is silent on a specific issue the code provision shall prevail. Expired memorandums of understanding shall not be considered as "silent" on specific issues. Sec. 9-130. Regular vacation period. Regular vacation with pay is granted to each full-time permanent or probationary employee at the rate of fifteen (15) working days for each completed year of service to be taken in the calendar year following the year in which it is earned, except as provided elsewhere in these rules. An employee who has completed less than one year's service during the calendar year shall receive a proportionate fraction in accordance with the amount of service to his or her credit during the year; provided, however, no employee shall be entitled to or receive payment for any vacation until he or she has completed six (6) months of continuous service. 30 329 ORDINANCE NS-2232 Page 31 Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service for vacation accrual purposes. Sworn members of the police department and uniformed members of the fire department assigned to the normal five-day work week schedule are granted regular vacation on the same basis as other full-time employees, as set forth in the preceding paragraph. Uniformed members of the fire department assigned to the twenty-four-hour shift schedule are granted regular vacation on the same basis as other full-time employees, except that their standard work unit is a working day of twelve (12) hours. Therefore, each sworn fire department employee in this category is granted regular vacation at an annual rate of fifteen (15), twelve-hour working days. In those cases when an employee is transferred between twenty-four-hour shift and normal five-day work week schedules, the employee's earned vacation, which is accrued in hours, shall be converted to agree with the number of working hours per day in the currently assigned schedule. Sec. 9-131. Computing regular vacation. In computing regular vacation, each municipal holiday that occurs during the vacation and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one additional day of regular vacation shall be allowed to the employee unless departmental practice provides some other manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and upon department head approval, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. No employee may accumulate more than the equivalent of one regular vacation period from the previous year, and vacation not taken beyond that amount is forfeited. A regular vacation period is defined as the maximum of vacation earned in a calendar year as provided in section 9-130 of this Code. No employee shall have a right to accumulate or split his or her vacation, but the same may be allowed or required by the department head. The time at which an employee shall take his or her vacation shall be determined by his or her department head, with due regard for the wishes of the employee and particular regard for the needs of the service. It is the policy of the city to grant employees vacations in order to provide them a break in their regular work schedule. In the administration of the provisions of this section the department head shall be guided by this stated purpose and he or she must approve in writing any accumulation of regular vacation. 31 Page 32 Sec. 9-132. Longevity vacation. Each regular employee is granted additional working days of vacation leave with pay for each completed year of full-time, continuous city service as set forth in the folloWing table. This additional vacation shall be designated longevity vacation. Hourly Equivalent Completed Additional Regular Years Days Employees 24 Hour Shift Employees 6 1/2 4 6 7 1 8 12 8 1 1/2 12 18 9 2 16 24 10 2 1/2 20 30 11 3 24 36 12 3 1/2 28 42 13 4 32 48 14 4 1/2 36 54 15 5 40 60 16 6 48 72 17 7 56 84 18 8 64 96 19 9 72 108 20 10 80 120 No employee becomes eligible for longevity vacation until completion of the sixth year of continuous service, and each employee continues to earn the maximum of ten (10) working days of longevity vacation for each completed year of service in excess of twenty (20) years. For uniformed members of the fire department assigned to the twenty-four (24) hour shift schedule, the working day granted is a twelve (12) hour day. A period of earlier service does not apply toward longevity vacation accumulation when an employee has had a break in continu- ous service, unless the break in service is concluded by reappoint- ment, as provided in section 9-114, or by reemployment within two (2) years at a higher level classification in the former occupa- tional field. Leave of absence without pay, as provided in sections 9-141 or 9-164, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of longevity vacation. Absence on military leave followed by reinstatement does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of longevity vacation. 32 ORDINANCE NS-2232 333 Page 33 Sec. 9-133. Limitation on vacation. No employee is granted and no employee shall be allowed to take any vacation leave with pay in excess of fifty (50) working days in any one year by any combination of the vacations in these rules and regulations granted. Further, no employee may accumulate more than the equivalent of one longevity vacation period, and the equivalent of one regular vacation period, from a previous year, and vacation not taken beyond that amount is forfeited. Therefore, the maximum vacation that an employee with less than ten (10) years' service could accumulate is thirty (30) working days, and only an employee with more than twenty (20) years' service could accumulate and take the authorized maximum of fifty (50) working days in any one year. Sec. 9-134. Examination leave. Employees participating in examinations for positions in the competitive service of the city will be granted leave with pay for the time required, without loss of any accrued vacation. Sec. 9-135. Holidays--Regular employees. Legal holidays observed by city employees shall be January 1, the third Monday in February in memory of George Washington's birthday, the last Monday in May in commemoration of Memorial Day, July 4, the first Monday in September, November 11, Thanksgiving Day, the Friday immediately following Thanksgiving Day, the last working day occurring immediately prior to December 25, and December 25 and every day proclaimed by the mayor as a holiday for city employees. Any holiday which falls on Sunday will be observed on the following Monday. Any holiday which falls on Saturday will be observed on the Friday preceding the holiday. Sec. 9-136. Same--Shift personnel. Full-time employees whose regularly scheduled days off are other than Saturday and Sunday shall be entitled to holiday benefits equivalent to those provided in section 9-135. Except as otherwise provided in this division, and with the specific exceptions explained below, employees who do not take holidays as they occur shall be entitled to nine (9) working days off during the year in lieu of holidays. Such substitute holidays shall be scheduled by the department head, normally during the same month that the holiday is observed by other city employees. An employee entitled to time off in lieu of holidays shall receive that time off in proportion to his or her service at full pay in such capacity during the year. 33 ORDINANCE NS-2232 335 Page 34 The following exceptions apply: (1) Sworn members of the police department shall be entitled to eight (8) working days off during the year in lieu of holidays until July 1, 1973, on which date they shall be entitled to nine (9) working days off during the year in lieu of holidays. (2) For uniformed members of the fire department assigned to the twenty-four (24) hour shift schedule, the working day granted is a twelve (12) hour day and these employees shall be entitled to eight (8) working days off during the year in lieu of holidays. Sec. 9-138. Bereavement leave. An employee shall be entitled to three (3) days' leave without loss of pay in case of death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: (1) Any relative by blood or marriage who is a member of the employee's household; (2) Any parent, spouse, child, brother or sister of the employee, regardless of residence; (3) Any grandparent or parent-in-law of the employee whose death requires the presence of the employee. Sec. 9-139. Absence--Unauthorized. Absence from duty without leave for a consecutive number of working hours equal to the number of working hours in the emplo- yee's normal work week, shall be deemed a resignation from the service; provided, or herself makes department head of may restore him or approval. if upon return the person so absenting himself an explanation satisfactory to his or her the cause of the absence, the department head her to the position, with the city manager's Prior to invoking this section for employees who have achieved regular status, the affected employee shall be provided written notice by United States Mail, return receipt requested, of the department head's intention to invoke this section and stating the facts supporting the intention. Such notice shall also state that the employee has a right to respond either personally, in writing, or both, to the department head within ten (10) days of receipt of the notice if the employee desires to challenge the accuracy of the facts stated in the notice. 34 ORDINANCE NS-2232 337 Page 35 In the event the employee responds and the department head determines to proceed under this section, the department head shall request that the clerk of the council appoint a hearing officer to determine the accuracy of the facts. The hearing officer's factual determination shall be final and binding on the department head and employee. Sec. 9-140. Same--Authorized--Maximums. Absence without pay not to exceed five (5) consecutive working days, or two and one-half (2 1/2) consecutively scheduled working shifts for uniformed members of the fire department assigned to the twenty-four (24) hour shift schedule, may be authorized by an employee's department head. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the department head with the approval of the city manager. Such absences may be authorized only if in the judgment of the department head they serve the best interest of the city. Sec. 9-141. Same--Same--Granting. Upon receipt of a written request from an employee having regular status and action by the appropriate department head recommending approval of the request, the city manager may grant a leave of absence not to exceed six (6) months for illness of the employee, or of a member of the employee's immediate family residing in the employee's household, requires that the employee move from the vicinity of the city as a remedial health measure and a designated physician indicates that such removal from the city is necessary and will not be required for longer than six (6) months. Sec. 9-142. Same--Same--Return from. An employee returning to duty with the city shall inform the department head and executive director of personnel services of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the department head concerned will take steps necessary to restore the employee to the former or comparable position. q 0 Sec. 9-143. Military leave--Proof of orders; reinstatement. An employee shall be granted military leave if he or she furnishes the executive director of personnel services satisfactory proof of his or her orders to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided by law. 35 ORDINANCE NS-2232 339 Page 36 Seo. 9-144. Same--Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, Will be granted leave with pay for not to exceed thirty (30) calendar days in each calendar year after one year's service with the city, upon presenting satisfactory proof of orders to and from such temporary active duties. Sec. 9-145. Jury and witness leave. When an employee is called to serve as a juror or witness in any court action, he or she shall be allowed leave for the time actually required for such service, without loss of pay or loss of accumulated vacation time. Each employee called for such service shall present to his or her department head for examination the subpoena calling him/her to such service and shall pay into the city treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. DIVISION 2. SICK LEAVE SeC. 9-160. Definition. Sick leave is construed to mean absence because of an illness that will prevent the employee from performing the duties of his or her position or exposure to a contagious disease requiring retention in quarantine. Sick leave granted for purposes other than illness of the employee concerned shall be included in the sick leave authorized in section 9-163. Sec. 9-161. Authorized only when necessary. Sick leave shall not be considered as a right which an employee may use at his or her discretion, but shall be allowed only in case of necessity and actual sickness or disability. Sec. 9-162. Accrual. An employee shall be entitled to one day of sick leave for each full calendar month of service during which he or she is employed by the city with pay; provided, however, any absence on sick leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service for sick leave accrual purposes. 36 ORDINANCE NS-2232 341 Page 37 Sec. 9-163. Limit. The maximum total accumulation of sick leave with pay shall be two hundred (200) working days. Sick leave usage of less than a full day shall be charged in minimum increments of one-quarter (1/4) day. For the eight (8) hour working day the minimum charge shall be two (2) hours, with fractional usage rounded upward to the next higher multiple of two (2). Uniformed members of the fire department assigned to the twenty-four (24) hour shift schedule, whose standard work unit is a twelve (12) hour day, shall be charged sick leave at the rate of one (1) day for each twelve (12) hour absence. For these employees, the minim%Lm sick leave increment of one-quarter (1/4) day is three (3) hours, with fractional usage rounded upward to the next higher multiple of three (3). In those cases when an employee is trans- ferred between twenty-four (24) hour shift and normal five (5) day work week schedules, the employee's earned sick leave, which is accrued in hours, shall be converted to agree with the number of working hours per day in the currently assigned schedule. Sec. 9-164. Extended. The city manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accrued sick leave if the city physician or a licensed physician designated by the city manager indicates that the employee will be sufficiently recovered to return to his or her employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that he or she has a certificate from one of the above mentioned physicians stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the city manager may grant a further extension not to exceed a total of one year without pay. Sec. 9-165. Extension by use of vacation. After an employee's sick leave has been exhausted he/she may be granted permission to take any earned vacation he/she may have accrued. Sec. 9-166. Notice. The employee taking sick leave shall notify his/her department head either prior to or within four (4) hours after the time set for beginning his or her duties, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, or more than one and one-half (1 1/2) 37 ORD NA C S-2232 343 Page 38 consecutively scheduled shifts for uniformed members of the fire department assigned to the twenty-four (24) hour shift schedule, the employee shall present to his or her department head a physician's certificate stating the cause of illness and that, in his or her opinion, the employee could not report'to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the executive director of personnel services with the report of the return of the employee to work. Sec. 9-167. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self- inflicted or caused by willful misconduct; or, sickness or disability sustained while on leave of absence without pay; or, sickness or disability sustained while engaged in employment other than employment by the city, for monetary gain or other compensa- tion, or by reason of engaging in business or activity for monetary gain or other compensation. Sec. 9-168. Industrial injury leave. (a) This section applies to any full-time, regular employee who is compelled to be absent from duty as a result of any injury or disease which comes under the State of California Workers' Compensation Insurance and Safety Act (referred to hereinafter as the "Act"), and is deemed compensable; except that this section shall not apply to any such employee who is entitled to leave of absence without loss of salary under Section 4850 of the California Labor Code. (b) Except as otherwise provided in Subsection (c) of this section, industrial injury compensation will be paid at a rate equivalent to one hundred percent (100%) of the employee's normal gross salary for all full work days lost, for a period or periods equal in total to not more than six (6) months and occurring during a twelve (12) month period commencing with the initial date of absence due to the injury or disease. The twelve-month period may be extended to eighteen months by the employee's appointing authority if the appointing authority determines that the City can accommodate the employee's return to work in a limited hour capacity of 20 hours or more per week, if the employee obtains a release for such limited work from a physician designated by the city, and if the employee does return to work on such basis. In such event, absences for less than a full work day shall be eligible for industrial injury compensation pursuant to this subsection. (c) Sick leave shall be applied to the absence of the 38 ORDINANCE NS-2232 345 Page 39 employee as follows: (i) Except as otherwise provided in Paragraph (iii) of this subsection, deduction shall be made from the employee's accumulated sick leave for the first three days that the employee is absent due to an injury or disease compensable under the Act unless the period of such absence equals or exceeds four- teen (14) days. In the event the period of such absence does equal or exceed fourteen (14) days, sick leave which has been deducted from accrued sick leave shall be reaccredited to accrued sick leave, and all days absence due to such injury or disease which had been accounted as sick leave shall be converted to industrial injury leave. (ii) If the employee has no accumulated leave, it shall be advanced and deduction shall be made from any subsequently earned until the total amount advanced has been recovered. If the employee should leave the employment of the City prior to recovery of the sick leave advanced, adjustment shall be made of any final paycheck, if practicable. (iii) In the event that the injury or disease results in immediate hospitalization, no sick leave will be applicable and industrial injury leave will com- mence immediately. (d) Any period of time during which an employee is required to be absent from his or her position by reason of an injury or disease for which the employee is entitled to receive compensation shall not be considered a break in his or her continuous service for the purpose of his or her right to salary adjustments, sick leave, vaqation, or seniority. Sea. 9-169. Payment for unused sick leave. Upon retirement, an employee who meets the following condi- tions is eligible for payment for a portion of the unused sick leave which he or she has accumulated: (1) the employee has been credited for retirement purposes with a minimum of ten (10) years of cumulative service with the City of Santa Ana; and (2) retire- ment under the city's contract with the Public Employees' Retire- ment System of the State of California shall be a service retire- ment, as distinguished from a disability retirement. Such employee shall be entitled to payment for one-third (1/3) of the total sick leave benefit credited to his or her account upon his or her effective date of retirement and at the rate of pay, effective on that date. The maximum limit for this payment shall not be affected by changes in the maximum limit of sick leave accumulation as set 39 ORDINANCE NS-2232 347 Page 40 forth in section 9-163 herein, and shall remain fixed at one-third (1/3) of one hundred sixty (160) (or 53.33 days). Payment may be received in a lump sum amount; or, by request of the employee, payment may be deferred and distributed in equal proportions on an annual basis for a period of up to five (5) years. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while an active employee of the city said in the amount of one-third (1/3) of the total sick leave benefit credited to the employee's account at the time of his or her death and at the rate of pay effective on that date. ARTICLE VII. OVERTIME WORK Sec. 9-170. General policy for overtime work. Whenever it shall be determined that the public interest requires it, or that an emergency situation requires it, the city manager, the authorized department head, or a qualified representa- tive of either, may require an employee to perform overtime work. However, the employees who are considered exempt under the FLSA regulations will not be eligible for compensation or compensatory time off with pay for working overtime. Seo. 9-171. Definition. Overtime work is defined as: (a) That authorized or required time worked in excess of the normal workday, tour of duty, or workweek schedule for the particular class and organizational unit of an employee; (b) Work on holidays for those employees who ordinarily would observe the holiday as it occurs with paid time off. Work amounting to less than thirty (30) minutes in excess of the normal workday or tour of duty shall not be considered overtime, unless otherwise provided herein. Sec. 9-172. Computation of forty (40) hour week. In computing a forty (40) hour week, paid leave for holidays, sickness, vacation and other time off with pay shall be credited toward the total. 0 40 Page 41 Sec. 9-173. Compensation for overtime; preferred method. The preferable method by which overtime work shall be compensated is by monetary payment, at one and one-half (1 1/2) times the rate for regular work, or as otherwise Provided herein. Should the department head determine that the best interests of the city be served thereby, he or she may direct or permit an employee to be compensated for overtime work by taking time off, with pay, for a period equal in duration to overtime worked, commonly referred to as "straight time". Such time off with pay as compensation for overtime worked shall be taken as soon as practicable after it is earned. Sec. 9-174. No effect on other benefits. Overtime work shall not apply to the earning of employee benefits, toward the completion of probationary periods, or to progression within a salary range. Sec. 9-175. Accumulation. Subject to the approval of the department head, time off with pay to compensate for overtime worked may be accumulated, subject also to limitations hereinafter provided, up to a maximum of forty (40) hours. Sec. 9-176. City manager to minimize. To the extent that he or she is reasonably able to do so, the city manager shall keep overtime work to the minimum consistent with the best interests of the city. Sec. 9-177. Compensatory time off with pay; excessive accumulation. Department heads shall prevent the excessive accumulation of compensatory time off with pay. Sec. 9-178. Overtime work to be apportioned. To the extent that they are reasonably able to do so, department heads shall arrange work programs to minimize overtime work; necessary overtime work shall be apportioned among employees of like classification and assignment. Department.heads may adjust employee work schedules, vacation schedules, and may shift personnel to meet job deadline requirements. 41 ORDINANCE NS-2232 351 Page 42 sec. 9-179. Overtime subject to control. Ail overtime is subject to control by internal audit of department payroll records. Compensatory time off with pay shall be used only when specifically authorized by the department head and such use does not interfere with the employee's job performance. Sec. 9-180. Advance approval by city manager, when required. The department head must secure, in advance, approval of the city manager to permit or direct overtime work to meet time limitations for a particular activity or work assignment. In those departments of the city where experience indicates a need therefore, and overtime work expense is approved by the city council in the budget, no further approval need be acquired by the department head before his or her authorization or direction of compensable overtime work. Sec. 9-181. Overtime provision in budget. Department heads shall, in the preparation of their respective budgets, make provision for reasonably anticipated overtime, describing the types of work which will require such overtime work. Sec. 9-182. Advance compensation for overtime. Time off with pay as compensation for overtime may not be granted or taken in advance of the overtime work for which the time off compensates. Before compensatory time off with pay may be taken, as herein provided, the overtime worked must have been recorded on official payroll records at or about the time the overtime work was performed. In the absence of such recording no compensatory time off with pay will be permitted. Sec. 9-183. Excluded employees. Employees occupying positions in a classification designated "EM" "M/~" and "RM" through a Council Resolution and/or MOU shall not be eligible for monetary compensation for overtime work, or for compensatory time off with pay for overtime work. Such employees shall work at such times as may be necessary, their hours of work to be determined either by the supervising department head or the city manager. 42 ORDINANCE NS-2232 Page 43 353 Sec. 9-184. Other employee exclusions. Employees who work on an hourly, daily, seasonal or part time basis, elected officials, and members of boards and commissions are not eligible for monetary compensation for overtime work, or for compensatory time off with pay for overtime work. Sec. 9-185. Compensation for overtime; other exclusions. No overtime pay or compensatory time off with pay shall be allowed an employee for attendance at conventions, conferences, seminars or the like, unless such employee is ordered to attend. Overtime pay or compensatory time off with pay shall be permitted only for attendance on such employee's normal days off or for time beyond a normal workday's duration. Overtime pay or compensatory time off with pay shall not be allowed for travel time to and from conventions, association meetings, conferences, seminars or the like, should such time occur outside the employee's normal work schedule, unless the employee is ordered to attend. Sec. 9-186. Call-back duty. Any employee, other than those specifically excluded under the Fair Labor Standards Act, who is recalled to active duty from off- duty, shall be entitled to overtime pay at the rate of one and one- half (1 1/2) times the normal hourly pay rate for such employee for time actually worked after reporting to the place of duty, or to two (2) hours' pay at the normal rate of pay, whichever is greater. Sec. 9-187. City personnel, court appearance. Compensation considered exempt follows: for court appearances by city employees not under the Fair Labor Standards Act shall be as (a) For each court appearance made by an employee during his or her off-duty time in regard to city business three (3) hours overtime will be granted and paid on a straight time basis. If court appearances are made both in the morning and afternoon of a particular day, three (3) hours will be allowed for each session attended. The employee must provide a copy of the subpoena requiring his or her attendance to initiate payroll procedures. Such personnel may not receive time off with pay as compensation for overtime accrued as the result of court appearances. (b) A subpoenaed employee scheduled to appear in court on city business during off-duty time may be placed on 43 Page 44 standby status by his or her department head or author- ized representative. In the event such off-duty employee is on standby status during any court session and is not required to appear in court, such employee shall be compensated two (2) hours overtime, paid on a straight time basis, for each court session. If such off-duty employee on standby actually appears in court, he or she shall be compensated only as provided in subsection (a) above. Any employee on standby status who fails to appear in court ready to testify within thirty (30) minutes after notification to appear shall not receive compensa- tion for either standby or for appearance. (c) Notwithstanding subsections (a) and (b), whenever an employee either commences or terminates his or her on- duty shift while he or she is appearing in court or is on standby status, his or her sole compensation for off-duty time spent in court or on standby shall be on a straight time basis paid in half hour increments. Sec. 9-188. Accrued overtime paid upon promotion. Upon an employee's promotion to a position in which overtime may not be earned from one in which it may, he or she shall be forthwith paid time and one-half for any outstanding accrued overtime at his or her hourly rate of pay immediately preceding the promotion. Sec. 9-189. Accrued overtime paid upon separation. Upon an employee's separation from employment by the City of Santa Ana, whether by resignation, retirement, layoff or otherwise, he or she shall forthwith be compensated at the rate of time and one-half his or her hourly pay for any overtime accumulated to the time of his/her separation. Sec. 9-194. Declaration of state of emergency. Upon the occurrence of fire, flood, earthquake, strike, riot or other catastrophe or emergency which directly affects city operations or the welfare of the city's citizens, the city manager may declare a state of emergency to exist. Upon the declaration of a state of emergency, the city manager may require any or all regular full-time employees of the city to work overtime or off- shift as he shall determine, to protect life and property within the city. After three (3) consecutive days worked in any such state of emergency, or whenever a period of three (3) days' work in the state of emergency shall have occurred within a fiscal year, the city manager may, by order, suspend all or any portion of these q 44 ORDINANCE NS-2232 357 Page 45 overtime compensation policies and, if necessary, require employees to work overtime on a straight time basis, or for time off with pay, or without any additional compensation if budgeted funds are insufficient to meet such expenditure. SECTION 2: If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. SECTION 3: Neither the adoption of this ordinance nor the repeal hereby of any ordinance shall in any manner affect the prosecution for violation of ordinances, which violations were committed prior to the effective date hereof, nor be construed as affecting any of the provisions of such ordinance relating to the collection of any such license or penalty or the penal provision applicable to any violation thereof, nor to affect the validity of any bond or cash deposit in lieu thereof, required to be posted, filed or deposited pursuant to any ordinance and all rights and obligations thereunder appertaining shall continue in full force and effect. ADOPTED this 19th day of September , 1994. ATTEST: ~Ycc~u 'nc/i 1~ f~l ~. Youn~ Mayor / COUNCILMEMBERS: Young Aye Pulido Absent Lutz Ay~ McGuigan 2kv~ Mills Aye Moreno Aye Richardson Aye APPROVED AS TO FORM: 45 CERTIFICATE OF ORIGINALITY & PUBLICATION State of California County of Orange I, JANICE C. GUY, Clerk of the Council, do hereby certify the attached Ordinance A/.$ - o~,,9.~Z._ to be the original ordinance adopted by the City Council of the City of Santa Aha on ~.~ ]a] ~ ~4 ; and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: ~/~'~ / ~ ~ Clerk of the Counci City of Santa Ana