COURT APPOINTED SPECIAL ADVOCATES OF MONTEREY COUNTY
PERSONNEL MANUAL/EMPLOYEE HANDBOOK
Court Appointed Special Advocates of Monterey County Mission Statement Our mission is to ensure that abused and neglected children are provided with every available opportunity to begin a journey into healthy, productive lives. By introducing caring, responsible adults into their lives, we help break the cycle of abuse and neglect. By engaging trained volunteers, we empower people in our community to place children’s needs and well-being as a priority. Vision Statement To provide advocacy to all children in the Dependency Court of Monterey County’s Juvenile Justice System by the year 2010. Organizational Values Children should feel safe and protected wherever they live Children deserve to be treated with respect and have their opinions
validated Children in our communities are everyone’s responsibility. Our society has developed and implements systems to remove children, who are victims of abuse or neglect, from their parents to ensure their safety and well-being. Therefore, as a society we must be responsible. As a society, we must not only expect the system to care for these children, but rather we must hold each other responsible, making sure that these same children’s safety, welfare and dignity are upheld in the process. CASA is the organization designated to educate the community and be a spokesperson on issues of child maltreatment, always keeping the welfare of the child as the priority.
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TABLE OF CONTENTS OVERVIEW OF CASA OF MONTEREY COUNTY .............................................. 5 HISTORY, GOALS AND OBJECTIVES............................................................. 5 PROGRAM DEFINITIONS .......................................................................... 5 PROGRAM COMPONENTS AND BOARD COMPOSITION ..................................... 5 - 6 GENERAL PERSONNEL POLICIES EQUAL OPPORTUNITY EMPLOYMENT ............................................................ 7 EMPLOYMENT AT WILL ............................................................................ 7 RECRUITMENT, SCREENING, AND HIRING PROCESS ..................................... 7 - 8 ACCESS TO PERSONNEL FILES ................................................................... 8 PERSONAL APPEARANCE AND DRESS….………..……………………………………………….………8 STANDARDS OF CONDUCT…………………………………………………………………………………….8 OPEN DOOR ……………………………………………………………………………………………………...9 OUTSIDE EMPLOYMENT………………………………………………………………………………………..9 CODE OF ETHICS…………………………………………………………………………………………….....9 EMPLOYMENT STATUS AND BENEFITS POLICIES DEFINITIONS: AUTHORITY FOR EMPLOYMENT AND TERMINATION ............................................. 9 EXEMPT EMPLOYEES ............................................................................... 9 NON-EXEMPT EMPLOYEES ....................................................................... 10 NEW EMPLOYEES ................................................................................. 10 REGULAR, FULL-TIME EMPLOYEES ............................................................. 10 REGULAR, PART-TIME EMPLOYEES ........................................................... …10
HOURS OF WORK AND LEAVES OF ABSENCE ATTENDANCE .................................................................................... 10 HOURS OF WORK ............................................................................... 10 OVERTIME ........................................................................................ 10 HOLIDAYS ........................................................................................ 11 VACATION LEAVE .......................................................................... 11 - 12 SICK LEAVE ...................................................................................... 12 PREGNANCY LEAVE OF ABSENCE .............................................................. 13 PARENTAL LEAVE ................................................................................ 13 WORKERS COMPENSATION .................................................................... 14 MILITARY LEAVE ................................................................................. 14 OTHER LEAVES OF ABSENCE WITH PAY ................................................. 14 -15 LEAVES OF ABSENCE WITHOUT PAY .......................................................... 15 COMPENSATION, EVALUATION, AND TERMS OF EMPLOYMENT PAYCHECKS………………………………………………………………………………………………….….15 PAYROLL DEDUCTIONS………………………………………………………………………………………15 JOB DESCRIPTIONS………………………………………………………………………………………..…15 SALARY…………………………………………………………………………………………………………..16 EMPLOYEE DEVELOPMENT AND TRAINING…………………………………………………………….16 EMPLOYEE BENEFIT PLANS………………………………………………………………………………… 16
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REIMBURSEMENT PRIVATE AUTOMOBILES ......................................................................... ACCOMODATIONS AND MEALS .................................................................
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REVIEW OF JOB PERFORMANCE AND SALARY INCREASES ............................. 17 TERMINATION OF EMPLOYMENT RESIGNATION .................................................................................... 17 MUTUAL AGREEMENT ........................................................................17-18 REDUCTION IN FORCE ........................................................................... 18 UNSATISFACTORY PERFORMANCE .............................................................. 18 MISCONDUCT .................................................................................... 18 EFFECT ON BENEFITS............................................................................ 18
OTHER PERSONNEL POLICIES DRUG FREE WORKPLACE POLICY STATEMENT ............................................................................. 18 EMPLOYEE/VOLUNTEER RESPONSIBILITY ..................................................... 19 CO-WORKER RESPONSIBILITY ................................................................ 19 DRUG TESTING STATEMENT ................................................................... 19 EMPLOYEE ASSISTACE PROGRAM (EAP) ..................................................... 19 CONCLUSION .................................................................................... 19
ANTI-HARRASMENT ........................................................................ 19 -21 WORKPLACE VIOLENCE PREVENTION ....................................................... 21 SOFTWARE PIRACY POLICY ................................................................... 21 INTERNET POLICY ............................................................................... 21 FORMAL GRIEVANCE POLICY CHAIN OF COMMAND ........................................................................... 22 PROCEDURES .................................................................................... 22 DOCUMENTATION FOR FORMAL GRIEVANCES ................................................ 22 INFORMAL COMPLAINTS ...................................................................... …23 FISCAL CONTROL POLICIES GENERAL ......................................................................................... 23 PROCEDURES RELATED TO CASH RECEIPTS .................................................. 24 PROCEDURES RELATED TO DISBURSEMENTS ................................................. 24 RECONCILIATION ................................................................................ 25 FUNDARAISING AND FINANCIAL STABILITY .................................................. 25 CREDIT CARD PROCEDURES ............................................................. …25-26 ADDENDUM ACKNOWLEDGEMENT & RECEIPT OF PERSONNEL POLICIES.…………………………………27 ETHICS/CONFIDENTIALITY AGREEMENT.……………………………………………………………28 Original Created 6/2003 Revised 2/5/2009 4
WELCOME Welcome to CASA of Monterey County. Becoming a part of this organization is an opportunity to work alongside talented professionals and volunteers. It is our hope that you will have an experience that is personally rewarding and professionally enriching. This policy manual is your guide throughout your employment with CASA of Monterey County. It covers most basic topics and hopefully answers questions you might have. We pride ourselves in promoting open and direct communication, so please speak with your direct supervisor or the Executive Director if at any time you have questions or concerns. OVERVIEW OF CASA OF MONTEREY COUNTY HISTORY, GOALS AND OBJECTIVES CASA of Monterey County is a 501(c)3 non‐profit, public benefit organization. Our mission is to ensure that abused and neglected children are provided with every available opportunity to begin a journey into healthy, productive lives. By introducing caring, responsible adults into their lives, we help break the cycle of abuse and neglect. By engaging trained volunteers, we empower people in our community to place children’s needs and well‐being as a priority. The goal of the Court Appointed Special Advocates (CASA) program is to prevent abused and neglected children from becoming lost in the Juvenile Dependency System by advocating for their best interest and monitoring the activities and progress of a child’s case. CASA was founded in 1977 by Seattle Judge David Soukup. The Judge wanted to ensure he was getting all the facts pertinent to the child before making placement decisions. In 1984, the National CASA Association was established to unify and promote the national network of CASA programs and to strengthen the professionalism of its members in their responsibilities as child advocates. Monterey County began the process of developing a program in 1994 when volunteers formed a steering committee to work with the Juvenile Court and local agencies to establish a viable CASA program for the county. In March 1995, CASA of Monterey County was incorporated as a California non‐profit public benefit corporation. Later that year CASA of Monterey County was awarded a two‐year start‐up grant. In 1996, CASA of Monterey County graduated the first class of trained advocates, with the first appointment coming in April 1997. CASA of Monterey County adheres to the California Rules of Court 5.655. Annually these laws are subject to review and revision by the Judiciary. Please refer to the most current version of these laws. At a minimum, the following descriptions and definitions apply. CASA of Monterey County ‐ Program Definitions 1. The CASA of Monterey County “program” is the local court‐appointed special advocate program, which has adopted and adheres to the guidelines set forth in rule 5.655 and which has been designated by the local presiding juvenile court judge to recruit, screen, select, train, supervise, and support lay volunteers to be appointed by the court to help define the best interest of children in juvenile court dependency and wardship proceedings. 2. A “CASA volunteer” is a person who has been recruited, screened, selected, and trained, who is being supervised and supported by the local CASA program, and who has been 5
appointed by the juvenile court as a sworn officer of the court to help define the best interests of a child or children in juvenile court dependency and wardship proceedings. 3. A “ dependency proceeding” is a legal action brought on behalf of an allegedly abused, neglected, or abandoned child pursuant to Welfare and Institutions Code section 300 et seq. The action is designed to protect children, preserve and reunify families, and find permanent homes for children who cannot be returned to their parents. Dependency proceedings include actions to appoint a legal guardian, terminate parental rights, and grant adoptions for dependent children of the juvenile court. 4. A “wardship proceeding” is a legal action involving a child under the age of 18 years who is alleged to be (i) (ii)
a person described under Welfare and Institutions Code section 601 (who is beyond parental control or habitually disobedient or truant)or a person described under Welfare and Institutions code section 602 (who has violated any state or federal law or any city or county ordinance).
PROGRAM COMPONENTS AND BOARD COMPOSITION A Board of Directors governs CASA of Monterey County. The membership and size of the board is detailed in the agency’s By‐Laws. The board meets on a monthly basis. CASA of Monterey County is committed to employ staff and recruit board membership reflective of the ethnic and cultural mix of the community and children served. Staff, board members, and volunteers will develop awareness and acceptance of cultural differences and cultural values, while developing an understanding of the dynamics of differences as it relates to the role of CASA. Activities that will position the organization to achieve this goal include: • Development of a Committee on Diversity • Personal calls to leaders in the minority communities • Presentations to minority organizations • Articles and recruitment ads in minority newspapers and newsletters • Inviting members of minority groups to provide training on their culture for volunteers and board members CASA of Monterey County’s Cultural Competence Policy includes regular and ongoing: 1. Training on cultural awareness for volunteers, staff and board; with a required annual continuing education session. 2. Strategies that make it accessible and appealing to a broad range of potential volunteers. 3. Use of printed material reflective of the ethnic demographics of Monterey County. 4. Collection of specific demographic data: gender, age, and ethnic composition of (1) the children our program serves (2) our staff (3) our volunteers and (4) our board members. This data is compared to the community as a whole based on statistics gathered by standard census bureaus and Monterey County.
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GENERAL PERSONNEL POLICIES EQUAL OPPORTUNITY EMPLOYMENT This policy applies to all CASA of Monterey County employees and contractors. CASA of Monterey County follows an equal opportunity employment policy, and employs personnel without regard to race, creed, color, religion, national origin, gender, sexual orientation, age, physical or mental handicap, veteran status, or marital status. This policy also applies to internal promotions, training, opportunities for advancement, terminations, relationships with outside vendors and customers, use of contractors and consultants, and in dealing with the general public. Violations of this policy will be dealt with quickly and disciplinary action may be taken, up to and including termination. If you believe you have been discriminated against, report the incident immediately to the Executive Director. This non‐discrimination policy shall also apply to the recruitment of the Board of Directors and CASA volunteers and the organization’s relationship with these individuals. EMPLOYMENT AT WILL These personnel policies do not create a contractual relationship between an employee and CASA of Monterey County. All CASA of Monterey County employees are employed at the will of CASA. Either the employee, or CASA, may terminate the relationship at any time, with or without notice and with or without cause. RECRUITMENT, SCREENING, AND HIRING PROCESS 1. New positions within the agency are developed and budgeted for by the Executive Director and approved by the Board of Directors 2. Present positions which become vacant, other than the Executive Director position, can be actively recruited for by the Executive Director and/or staff. 3. Job descriptions for the vacant positions will be developed, reviewed and updated by the Executive Director. The job description must be in place before the hiring process begins. Job descriptions specify roles, duties, responsibilities and desired qualifications. 4. All proposed, updated, or revised job descriptions will be submitted to the Board of Directors for approval. 5. In the recruitment and screening process, priority will be given to qualified staff and/or volunteers. A position open within the agency is first presented to CASA staff and volunteers, after which it is publicly advertised. Word of mouth to other agencies in the human services field can be effective and will be used as a means of recruitment. Other means of advertising include community newspapers, internet, and local employment offices. 6. Once the recruitment process has been completed, agency staff shall screen all applications and resumes for compliance in meeting the minimum qualifications. 7. Only applicants who meet minimum qualifications will be considered for an interview. Applicants who do not meet minimum qualifications will be notified of the same, thanking them for their interest. CASA Staff will narrow the applicants to a reasonable number to be considered for an oral interview. 8. Candidates will be offered interview dates and times either by phone or email. Each candidate receiving an oral interview will be asked to complete an agency application, even if a resume is on file with the agency. 9. Interview teams may include the person who is vacating the position, that employee’s supervisor, the Executive Director, and a volunteer advocate. 10. If appropriate, candidates will move onto a second interview. 7
11. Following the second round of interviews, top candidates will be identified, and if necessary, a third and final interview will be conducted including the Executive Director and the employee’s immediate supervisor. 12. The Executive Director will check references and review letters of recommendation on the top candidates. The chosen candidate will be notified by telephone and informed that prior to finalization of hire, the applicant must complete a detailed criminal, motor vehicle, and child abuse registry check. 13. After the completion of the interview process, the successful candidate will be offered the position, contingent upon background check clearance. Background checks must be completed and on‐file prior to the first day of work. The Executive Director will identify a start date and rate of pay. 14. All employees must complete the advocate training within 90 days of hire. ACCESS TO PERSONNEL FILES CASA maintains confidential employee personnel files. Personnel files shall be maintained confidentially in the Executive Director’s office. These files contain documentation regarding all aspects of employment, such as performance evaluations, disciplinary actions and letters of recommendation. An employee may review his/her personnel records upon request and in the presence of the Executive Director at a mutually convenient time. However, employees are not entitled to a copy of their personnel files. PERSONAL APPEARANCE AND DRESS The personal appearance of CASA staff creates an impression on volunteers, contributors, Board of Directors, members of the judiciary and the public. Therefore, employees must present a professional image by wearing appropriate business attire and maintaining good grooming habits. Employees should exercise good judgment in their choice of work clothing; specifically, jeans, shorts, T‐shirts, sandals, tennis shoes or other leisure clothing may not be worn to work, except for a designated ‘dress‐down’ day. STANDARDS OF CONDUCT Work standards are necessary to make sure all employees have a common understanding of what types of behavior and conduct are expected. This allows for a consistently enforced set of standards that create a positive work environment and earns the respect of each other and those served. Examples of improper conduct include falsification of agency records, insubordination, theft or dishonesty, excessive absenteeism or tardiness, possession of a weapon or firearm, unsatisfactory job performance, engaging in harassment, disclosing confidential information, reporting to work under the influence of alcohol or drugs and using obscene, abusive, disrespectful, or threatening language. These examples are not all‐ inclusive, but present the types of conduct and behavior that are unacceptable to CASA of Monterey County and are contrary to its standards. Violation of these standards and any other type of conduct the program considers contrary to its standards will result in disciplinary action, up to and including discharge. The employee’s supervisor, in consultation with the Executive Director, has the discretion to decide appropriate disciplinary action, depending on the infraction and the employee’s work record. This policy does not alter the at‐will status of the employment relationship. CASA of Monterey County reserves the right to terminate an employee’s employment at any time, with or without cause and with or without notice.
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OPEN DOOR At times, problems may develop between an employee and supervisor or an employee and co‐ worker. To resolve the problem, the employee should first discuss the issue with the person in question. If the discussion does not result in a satisfactory solution, the employee may seek assistance through a problem resolution process. Prior to taking the problem to anyone else for input or assistance, however, the employee who does not feel an adequate resolution has been met, must articulate that concern directly and notify his or her co‐worker of the intent to seek outside support. If the employee still has questions after meeting with the supervisor or the employee in question and would like further clarification on the matter, the employee may request a meeting with the Executive Director. The Executive Director will review the situation and determine the appropriate course of action. If the employee is not satisfied with the determination by the Executive Director, a written statement by the employee about the situation should be submitted to the Executive Committee of the Board of Directors. The decision of the Executive Committee chair will be final and binding. OUTSIDE EMPLOYMENT An employee may accept outside employment when it will not conflict with job performance for CASA of Monterey County. Employees may not engage in any outside activity that would involve the use or disclosure of any confidential information regarding the program or the children we serve. Outside employment must not interfere with an employee’s work schedule, adversely affect the efficient performance of the employee’s regular duties or cause the employee to be ill or accident‐prone through fatigue, worry or other condition. CODE OF ETHICS CASA of Monterey County conducts all facets of its operations in an ethical and professional manner, and adheres to all applicable federal, state and local laws and regulations. We treat each other and those associated with our program with respect and dignity. To that end, our organization adheres to six essential values. As individuals committed to this organization, we are: Service Oriented Accountable Mission Directed
Committed to Quality Ethical Fair, Honest & Human
All staff members are responsible for adhering to these six essential values in executing the responsibilities of their jobs and in representing CASA of Monterey County. EMPLOYMENT STATUS AND BENEFITS POLICIES AUTHORITY FOR EMPLOYMENT AND TERMINATON: The Executive Director shall have the authority to fill staff positions and to discharge any employee with the approval of the Board of Directors. EXEMPT EMPLOYEES: An exempt employee must be ‘primarily engaged’ in duties that meet the definition of exempt work, minimally for over 50% of his/her time, in executive, administrative, or professional duties requiring the regular exercise of discretion and independent judgment. Exempt employees do not receive overtime pay under the Fair Labor Standards Act. Exempt employees are expected to perform the duties of their position in accordance with their job description with salaries based on an average of a 40‐hour work week. An exempt employee may, if program needs are being 9
met, negotiate the option of working less than a 40‐hour work week, in which case his or her annual base salary would be established based on the average hours working in a month. NON‐EXEMPT EMPLOYEES: A non‐exempt employee performs work, which is not executive, administrative, or professional in nature, as defined by the Fair Labor Standards Act. Non‐exempt employees are paid hourly. Non‐exempt employees are must receive overtime pay under the Fair Labor Standards Act; however, all overtime must be pre‐approved by a direct supervisor. NEW EMPLOYEES: New employees serve an initial probation period of three months ‐ 90 days ‐ beginning with the first day of employment. New employees shall receive their full salary and begin to accrue vacation and sick benefits during this initial probation period. Vacation and sick may not be taken during the initial probation period. The Executive Director, in his/her discretion, may extend the initial probation period of employment of any employee. All employees are employees at will and either the employee or CASA may terminate the employment relationship with or without cause and with or without notice. REGULAR, FULL‐TIME EMPLOYEES: Regular, full‐time employees work at least thirty‐two (32) hours per week. REGULAR, PART‐TIME EMPLOYEES: Regular, part‐time employees work 20‐ 32 hours per week. PART‐TIME or PER DIEM EMPLOYEES: Part time employees who work less than 20 hours per week or on an as‐needed basis and are therefore not entitled to any benefits. HOURS OF WORK AND LEAVES OF ABSENCE ATTENDANCE: Employers are required by law to maintain records of all time worked by employees. Attendance is important to the successful operation of CASA of Monterey County. Excessive absenteeism and/or tardiness will be discussed immediately with the employee and may be used for further disciplinary action, up to and including termination, if the problem is not resolved. Employees who are unable to come to work, or who will be late in arriving at work for any reason are to call their immediate supervisor at the start of the regular work day. HOURS OF WORK: Regular office hours are 8:30 A.M. to 5:30 P.M. Monday through Friday. Individual work schedules may vary dependant on the specific roles and responsibilities associated with a position. One hour is authorized for lunch with a 15‐minute rest break at mid‐morning and mid‐afternoon. The Executive Director will approve routine variations from the typical 8:30 ‐ 5:30 workday. OVERTIME: Employees are encouraged to plan their workdays to complete their daily assignments within an eight‐hour workday/40‐hour work week. In the event overtime cannot be avoided, non‐ exempt or part‐time employees must obtain prior written approval from their immediate supervisor for all planned overtime. If the overtime situation results from an unplanned or unscheduled activity it is the responsibility of the employee to notify their immediate supervisor, or the Executive Director, by the next regularly scheduled workday. For purposes of determining overtime and the rate of pay for overtime, CASA of Monterey County uses the following definitions: For full‐time, non‐exempt employees, overtime is defined as more than 8 hours in one regularly scheduled work day or as more than 40 hours in one regular work week. 10
For full‐time, non‐exempt employees, the rate of pay for overtime is 1 ½ times the regular hourly rate (i.e. employee regular rate is $10.00/hour, the overtime rate is $15.00/hour). HOLIDAYS: CASA of Monterey County provides 10 holidays per year. Currently, there are seven observed holidays per year and three floating holidays. Floating holidays are designed to maintain the operations of the office more regularly, while also providing flexibility to employees for preferred days off. Floating holidays may be taken individually or combined with planned vacation time. Unused floating holidays do not carry over to the next calendar year. Employee requests to use floating holidays will be granted in a fair and balanced manner with the rest of the team. CASA’s Seven Observed Holidays Other Court Holidays for reference: ♦ New Years Day ♦ Martin Luther King Day (Jan) ♦ Memorial Day (as observed) ♦ Lincoln’s B’Day (Feb) ♦ Presidents Day (Feb) ♦ Fourth of July ♦ Cesar Chavez Day (March) ♦ Labor Day ♦ Columbus Day(Oct ♦ Thanksgiving Day and the day following th ♦ Veteran’s Day (Nov) ♦ Christmas Day – December 25 a. Employees may not use Floating Holidays or Vacation Time one week prior to or after the annual major fundraiser b. When a holiday falls on Saturday or Sunday it shall be observed in accordance with official US holiday schedules. c. Per‐ Diem, or part‐time employees who work less than 20 hours per week, are not entitled to holiday pay; however, if a holiday falls on their regularly scheduled work day, the employee may, at his or her discretion, schedule another work day that week. d. For employees who work a regular part‐time schedule, in excess of 20 hours per week, when observed holidays falls on their regularly scheduled work day, they are entitled to 4 hours holiday pay. The employee may elect to work an additional four hours that pay period to make up the hours if so desired. In the case of floating holidays, this same employee is eligible to take a four‐hour holiday from their normally scheduled hours. For example, an employee who works 24 hours, would work 20 hours and receive 4 hours holiday pay. The employee may not be paid the four hours for the floating holiday in excess of their normal scheduled work hours. For example, the employee who normally scheduled to work 24 hours per week, could not add the four‐hour holiday to their timesheet as that would total 28 hours in that week. e. CASA of Monterey County considers payment for holidays a benefit and therefore, will not pay an employee for observed holidays when an employee calls in sick on the day immediately preceding or following the holiday. Employees are not paid for holidays during sick leave or unpaid leave of absence. VACATION LEAVE: Vacation begins to accrue from the first day worked. Employees are eligible to use accrued vacation time after six months of continuous employment. CASA of Monterey County believes it is important for employees to take time off during the year; therefore, the organization encourages employees to use their vacation leave on a regular basis during the year in which it is earned. In accordance, employees may not accrue more than 40 hours in excess of their maximum allotment of annual vacation time. When an employee reaches this cap, vacation time will no longer continue to accrue. Part time employees (working 20 – 32 hours) will accrue vacation leave pro‐rated, based on their regularly scheduled workweek. Payment in lieu of vacation time is not permitted. Vacation does not accrue during any period in which an employee is on an unpaid leave of absence or suspension. For the purposes of vacation and sick accrual, the year is defined as beginning on the employee’s date of hire.
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It is the policy of CASA of Monterey County that all vacation leave requests must be submitted in writing or via email, minimally two weeks, ideally one month, prior to the requested date, and approved in advance by the Executive Director. In the event two or more employees request vacation leave for the same period of time, approval will be at the discretion of the Executive Director. Vacation leave will accrue as follows: Years of Service Vacation Leave (Based on 40‐hour week) 0 – 3 4 – 5 6 – 10 11 +
2 weeks 3 weeks 4 weeks 5 weeks
The Executive Director negotiates a compensation contract with the Board of Directors to include salary and paid vacation. This contract will be in writing and will be maintained by the Board Chair and the Secretary of the Board. This contract is to be reviewed annually. If a paid holiday falls within any scheduled vacation time, that day will not be charged against vacation leave. SICK LEAVE: The Sick Leave Policy of CASA of Monterey County enables employees to receive pay during absences due to personal injury or illness, or the illness of the employee’s immediate family. Immediate family is defined as spouse/partner, child, stepchild or legal ward, parent, or grandparent or, child, parent, grandparent of spouse. Employees are eligible to use sick leave upon completion of their probationary period (typically 3 months). For medical absences in excess of two weeks, 10 workdays, employees will be expected to utilize their State Disability program. Payment for sick leave during this time will be pro‐rated against State disability payments to allow an employee to earn the equivalent of a normal workweek. In no case may an employee collect in excess of 100% of their regular pay. a. Full‐time employees will earn sick leave credits at the rate of eight (8) workdays per calendar year (2.66 hours per pay period). Part‐time employees (20 ‐ 32 hours per week) will earn sick leave at a rate four (4) workdays per calendar year (1.33 hours per pay period). Three days of unused sick leave may be banked for the next calendar year. No greater than 11 days of sick time may be banked at any one time. b. In the event of a personal illness or injury, which will cause an employee to be absent, the employee is required to notify their immediate supervisor via phone call within two hours of their scheduled start time. In the event the employee is unable to notify their supervisor, it will be the responsibility of that employee to have a family member or other person notify the CASA of Monterey County office as soon as possible. Failure to do so will subject the employee to disciplinary action up to and including dismissal. c. In addition, accrued sick leave may be used for personal medical, dental or other health professional appointments, or those of the immediate family. Employees are required to make prior arrangements with their supervisor, ideally two weeks in advance, when using Sick leave for personal, medical, dental or other health professional appointments. Such requests shall be
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submitted in writing or via email. Exceptions to the two week advance notice may be granted by the employee’s supervisor. d. Accrued sick leave benefits are paid out upon termination of employment. e. Employees requiring a planned extended personal sick leave must advise the Executive Director at the earliest possible time regarding the dates and extent of their leave. Prior to granting the leave, the employee will provide the Executive Director with documentation from the appropriate health care provider. This documentation shall include: Date that the employee will be unable to work Probable return to work date Nature of treatment or reason for disability f. Employees returning to work from extended personal sick leave (3 days or longer) for any reason may be required to provide written documentation from the appropriate health care provider which will include: Date employee may return to work Certification that the employee can return to work without limitations PREGNANCY LEAVE OF ABSENCE: An employee may be granted an unpaid leave of absence for a period of up to two months when she is disabled by the pregnancy. CASA of Monterey County requires certification by the employee's health care provider documenting the disability as well as when the employee is fit to return to her job. This leave may be taken intermittently, or on a reduced work schedule, based on medical necessity.
In the event an employee is disabled for a period longer than two months this Pregnancy Leave of Absence may be extended at the discretion of the Executive Director and/or may run concurrently with Parental Leave. An employee requesting a Pregnancy Leave of Absence may use accrued sick and/or vacation time for compensation. Vacation and sick leave benefits will not accrue during a Pregnancy Leave of Absence. An employee requesting Pregnancy Leave of Absence must provide CASA of Monterey County with certification from her health care provider which should include: a) date on which the employee became disabled due to pregnancy, b) probable duration of the period or periods of disability, and c) a statement that, due to the disability, the employee is unable to perform one or more of the essential functions of her position without undue risk to herself, the successful completion of her pregnancy, or to other persons. PARENTAL LEAVE: Employees may be granted a three‐month unpaid leave of absence for the birth or adoption of a child. Parental leave for childbirth, adoption and aftercare applies to women and men equally. Accrued vacation or sick leave may be used during a parental leave of absence. Vacation and sick leave benefits will not accrue during a Parental Leave of Absence. WORKER'S COMPENSATION: CASA of Monterey County provides worker’s compensation for all employees. Worker’s compensation benefits include partial payment of lost wages and/or payment for
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required medical treatment. It is the responsibility of the employee to immediately report any and all work related illnesses or injuries to their immediate supervisor or the Executive Director. MILITARY LEAVE: An employee who performs and returns from military service in the Armed Forces, the Military Reserves or the National Guard shall have and retain certain rights. These rights are with respect to reinstatement, vacation, compensation and length of service pay increases as may be from time to time, provided by applicable statutes of the Unites States and the State of Employment. Any employee seeking military leave will be required to provide the Executive Director with a copy of the military orders of activation. The employee may return to the same or a comparable position upon release from military duty according to federal and state laws. An employee in the National Guard or Reserve who is required to attend the two (2) week annual military duty training shall receive the difference between his/her military duty training pay and CASA pay (if the CASA salary is greater) for the two (2) week period. OTHER LEAVES OF ABSENCE WITH PAY a. Jury Duty or Witness Duty: CASA of Monterey County encourages employees to fulfill their civic responsibility when called to serve as a member of a jury or as a witness of the court. The employee is required to show the summons or subpoena to the Executive Director as far in advance of the court date as possible. On proof of the necessity of jury service or a subpoena as a witness, an employee will be granted a leave with pay for up to five days of jury duty or witness duty within a 12‐month period. Compensation for such a leave will be made as follows: The employee will receive regular pay for the work day Additional time served on a jury or as a witness will be compensated by using the employee’s accrued vacation time, or taken as unpaid leave, at the employee’s discretion. Return to work: Employees will be expected to return to work is they are excused from jury duty and there is more than one‐third(1/3) of the workday remaining. The employee is responsible for providing documentation to the Executive Director indicating the end of jury service. b. Bereavement Leave: A request, in writing if possible, shall be provided to the immediate supervisor of the employee requesting the leave and specifying the dates of the leave. Three workdays of paid leave will be allowed for the death of any member of the employee’s immediate family. For purposes of bereavement, immediate family is defined as: Mother Father Mother‐in‐law Father‐in‐law Wife Husband Daughter Son Daughter‐in‐law Son‐in‐law Sister Brother Sister‐in‐law Brother‐in‐law Grandmother Grandfather Grandmother‐in‐law Grandfather‐in‐law
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Grandchildren of employee Grand children of employee’s spouse Any relative living in the immediate household of employee Any person the employee can informally verify has acted as one of the above. Such verification shall be subject to the approval of the immediate supervisor of the employee. Travel: An additional 2 days of bereavement leave will be granted if the distance traveled is more than 300 miles away. This travel shall be verified by the employee to their immediate supervisor. An employee may request unpaid leave for the death of other relatives or close friends or may use accrued vacation leave for this purpose. LEAVES OF ABSENCE WITHOUT PAY CASA of Monterey County recognizes that special circumstances sometimes arise that require an employee to temporarily leave his or her job without ending employment. Employees who have more than 12 months of service, or have worked at least 1250 hours during the previous 12‐month period may be eligible for an unpaid leave of absence. An unpaid leave of absence may be granted at the discretion of the Executive Director for a period up to, but not exceeding, 90 calendar days. Vacation and sick leave benefits will not accrue during an unpaid leave of absence.
COMPENSATION, EVALUATION, AND TERMS OF EMPLOYMENT PAYCHECKS Paychecks will be issued no more than three (3) days following the fifteenth and last day of each month. Upon termination an employee will be paid final wages no later than the next, regular pay period or fourteen (14) days after date of termination, whichever is earlier. PAYROLL DEDUCTIONS As required by law, the following deductions are made from all employees' wages: Federal Income Tax F.I.C.A. ‐ Federal Insurance Contribution Act (Social Security and Medicare) State Income Tax Wage Attachments and Garnishments (if applicable) Other deductions required by law If applicable, deductions for CASA benefits plans will be taken upon receipt of an employee’s signed benefit election form. JOB DESCRIPTIONS The Executive Director shall provide each employee with a written job description. Job descriptions shall be reviewed when substantial changes in work responsibilities occur, and may be updated annually. Job descriptions define the employee’s general duties and responsibilities.
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SALARY The Executive Director shall set each employee’s initial salary within a range approved by the Board of Directors. The Board of Directors shall set the Executive Director’s salary as part of the overall compensation package. Employees who perform work, which is comparable in skill, effort and responsibility, shall receive comparable salaries. Salaries, however, may vary because of differences in qualifications, experience, abilities, past performance and market trends. Salary information is confidential. EMPLOYEE DEVELOPMENT AND TRAINING Each employee is encouraged to further his/her professional development through academic study, conferences, meetings, training sessions, and other professional activities, which will enhance the employee’s service to CASA. Recommended continuing education for employees is as follows: Part‐time staff member participate in 8 hours of training annually Full time non‐exempt staff member participate in 16 hours of training annually Full‐time exempt staff member participate in 32 hours of training annually Employees who wish to pursue additional training and/or professional development in excess of the recommended annual hours must submit requests in writing to their supervisor or the Executive Director. The Executive Director must approve all time off for training and staff development. Additional education hours may be taken using personal time or vacation time at the employee’s discretion. In‐ house training which is offered to staff via advocate continuing education sessions and through guest speakers to staff meetings do not count towards a staff person’s annual allotment of training hours. The Executive Director must approve in advance reimbursement for development and training activities. While time off may be granted for staff development and training, reimbursement is not guaranteed and is dependent upon the budget capabilities of the agency. Reimbursement shall be made only to those activities which: Are complimentary to CASA’s purposes; Will enhance the individual’s professional development; and Will not interfere with the employee’s discharge of his/her regular job responsibilities. EMPLOYEE BENEFIT PLANS CASA of Monterey County provides group health and dental insurance benefits. The specifics of group health and dental insurance are fully described in the summary plan descriptions for each program. As plan features are subject to change frequently, employees are encouraged to review all documents as they are distributed. CASA reserves the right to modify, increase the employee contribution, or discontinue any employee benefits. After three (3) months of continuous employment, regular, full‐time employees are eligible to participate in CASA’s group health insurance plan. CASA currently pays the premium for this benefit; however reserves the right to pass on excessive rate increases to the employee, deducted from payroll.
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REIMBURSEMENT RELATED TO EMPLOYMENT PRIVATE AUTOMOBILES: Employees and other authorized persons shall be reimbursed for approved travel in their personal cars at the mileage rate set by the Internal Revenue Service. Employees are responsible for complying with all state laws regarding the operation of motor vehicles, maintaining current liability insurance coverage and a valid Californian Driver’s License. Any accident occurring while conducting CASA business must be reported immediately to the Executive Director. All employees must submit annually updated insurance information and DMV driving record report. ACCOMMODATIONS AND MEALS: The Executive Director shall annually establish allowable per diem lodging rates and allowable meal costs for employees on CASA business. An employee may be reimbursed for meals if he/she travels more than fifty (50) miles from the employee’s workstation, or attendance at a meal is required. The employee is responsible for submitting receipts to the Executive Director promptly. REVIEW OF JOB PERFORMANCE AND SALARY INCREASES Upon the employee’s annual anniversary date, the Executive Director shall conduct a written performance review for each staff member. The purpose of a written performance review is to assist the employee in his/her professional development and to improve the overall effectiveness and efficiency of the Agency. The Executive Director may show each employee his/her review while it is in draft form so that the employee and the Executive Director can discuss the review before it is finalized. The employee and the Executive Director shall each sign and date the written performance review, indicating that they have discussed and reviewed the employee’s job performance. The Executive Director shall give the employee a copy of his/her performance review. Salary increases are performance based. The range of annual salary increases are established by the board of directors and are calculated into the annual operating budget. Salary increases are discretionary and are effective on the employee’s annual anniversary date. A satisfactory performance evaluation does not automatically result in a salary increase. While every effort shall be made to conduct the performance review as described herein, there may be circumstances that prevent or delay such reviews. If more than thirteen (13) months have passed since the employee’s last review, the employee may submit a written request to the Executive Director for a performance evaluation.
TERMINATION OF EMPLOYMENT Termination of employment typically occurs in one of the following five (5) ways: RESIGNATION: A resignation is a voluntary termination freely made by the employee. An exempt employee shall give one (1) month’s notice and a non‐exempt employee shall give two (2) weeks’ notice of intent to resign. The Executive Director, in his/her discretion, may accept an employee’s resignation prior to the completion of the notice period. In that event, the employee will not be paid the remainder of the notice period. MUTUAL AGREEMENT: A mutual agreement occurs when the employee and the Executive Director agree that it would be mutually beneficial to terminate the employment relationship. The Executive Director shall determine the date of the termination.
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REDUCTION IN FORCE: The Executive Director may decide to reduce the size of the staff for financial or other reasons, such as reorganization. An employee will be given two (2) weeks notice with reasonable time off during the notice period for interviews. The Executive Director, in his/her discretion, may elect to release the employee prior to the completion of the notice period. In this case, the employee shall be paid for the remainder of the two (2) week notice period. UNSATISFACTORY PERFORMANCE: The Executive Director may discharge an employee for unsatisfactory performance. Unsatisfactory performance may include, but is not limited to, failure to meet performance standards, complete tasks on time, or complete tasks competently; for absenteeism or tardiness; for insubordination, or for any performance‐related reason. The Executive Director, at his/her discretion, may implement corrective action, which may include, but is not limited to, a written corrective action plan, a corrective trial period of up to one (1) month, or other appropriate corrective action, up to and including discharge. If a corrective action plan is implemented but improvements are not made to the satisfaction of the Executive Director, the Executive Director, at his/her discretion, may extend the period for corrective action. The implementation of any corrective action plan shall not prevent, limit or delay CASA’s right to take other disciplinary action, including immediate discharge. Furthermore, the Executive Director, in his/her discretion, may discharge an employee for unsatisfactory performance without implementing a corrective action plan. MISCONDUCT: The Executive Director may discharge an employee for misconduct. Misconduct includes, but is not limited to, dishonesty, refusal to accept a job assignment, insubordination or failure to obey orders, reporting to work under the influence of drugs or alcohol, wrongful use or taking of CASA property, or conviction of a felony. These examples of misconduct are not intended to be comprehensive. CASA reserves the right to discharge any employee for conduct deemed adverse to the best interests of the agency. EFFECT ON BENEFITS The last day worked is considered the termination date. Employee benefits are discontinued as of the last day worked, unless otherwise specified in the plan document. OTHER PERSONNEL POLICIES DRUG FREE WORKPLACE CASA of Monterey County is committed to providing a safe work environment and to fostering the well being and health of its employees. That commitment is jeopardized when any CASA of Monterey County employee illegally uses drugs or alcohol on the job, comes to work with these substances present in his/her body, or possesses, distributes, or sells drugs in the workplace. Therefore, CASA of Monterey County has established the following policy: Policy Statement: 1. It is a violation of company policy for any employee to possess, sell, trade, or offer for sale illegal drugs or otherwise engage in the illegal use of drugs, intoxicants, or alcohol on the job. 2. It is a violation of company policy for anyone to report to work under the influence of illegal drugs or alcohol. 3. It is a violation of the company policy for anyone to use prescription drugs illegally. However, nothing in this policy precludes the appropriate use of legally prescribed medications.
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4. Violations of this policy are subject to disciplinary action up to and including termination of employment. 5. It is the responsibility of the Executive Director to counsel employees whenever they see changes in performance or behavior that suggests an employee may be under the influence of alcohol or other drugs. Although, it is not the Executive Director's job to diagnose personal problems, s/he should encourage such employees to seek help and advise them about available resources for getting help. EMPLOYEE/VOLUNTEER RESPONSIBILTY: All CASA of Monterey County employees will be given a copy of these policies. As a condition of employment, all staff must sign a confidentiality statement and receipt of personnel manual indicating their receipt and understanding of these policies. All employees are expected to accept a CASA case within a reasonable period of time, serving in the capacity of a volunteer advocate. Meeting with an appointed CASA child should generally not take place during work hours, with exceptions such as school meetings, court hearings, and/or team meetings. As a further condition, each staff member will notify CASA of Monterey County if s/he is convicted of any criminal drug violation no later than five (5) days after such a conviction. Within ten (10) days of receiving such notice, CASA of Monterey County will notify all governmental agencies with which it has contact. The staff member or volunteer will be immediately terminated from any contact with children and will discontinue any actions in relation to his/her role as a CASA Advocate. CO‐WORKER RESPONSIBILITY: All employees share responsibility for maintaining a safe work environment and therefore should encourage co‐workers who demonstrate inappropriate behavior, including use of alcohol or other drugs in the workplace, to seek help. DRUG TESTING STATEMENT: CASA of Monterey County is committed to safeguarding the health and welfare of our employees and to providing a safe working environment. Drug and alcohol testing, which may be required at the discretion of the Executive Director, assists us in ensuring our commitment to our employees, customers, and the public for a safe, drug‐free work environment. EMPLOYEE ASSISTANCE PROGRAM (EAP): CASA of Monterey County recognizes that drug and alcohol abuse can be successfully treated and is committed to helping employees who suffer from these problems, while holding them responsible for their own recovery. CASA of Monterey County will make available referrals for appropriate treatment programs when necessary. CONCLUSION: The intent of this policy is to offer a helping hand to those who need it, while sending a clear message that the illegal drug use and alcohol abuse are incompatible with employment at CASA of Monterey County. ANTI‐HARASSMENT POLICY CASA of Monterey County adheres to a zero tolerance policy with respect to unlawful employee harassment. CASA prohibits any form of unlawful harassment based on race, color, religion, gender, national origin, age, disability, veteran status, marital status, or sexual orientation. Improper interference with the ability of employees to perform their expected job duties is not tolerated. Harassment infringes on an employee’s right to a comfortable work environment, and undermines the integrity of the employment relationship. Each employee is responsible for creating an atmosphere free 19
of discrimination and harassment, sexual or otherwise. Employees are responsible for respecting the rights of their co‐workers. CASA prohibits unwelcome sexual advances, requests for sexual favors, and all other verbal or physical conduct of a sexual or otherwise offensive nature especially where: Submission to such conduct is made either explicitly or implicitly a term or condition of employment; Submission to or rejection of such conduct is used as the basis for decisions affecting an individual’s employment; or Such conduct has the purpose or effect of creating an intimidating, hostile or offensive work environment. Types of conduct that are expressly forbidden include, but are not limited to, the following: Unwanted pressure for sexual favors and/or dates. Deliberate touching of hair, clothing or body, leaning over, cornering or pinching. Sexual looks, gestures, jokes, remarks or sounds. Asking personal questions about social or sexual life. Turning work discussions to sexual topics. Making sexual comments. Discussions of any nature regarding an individual’s personal life. Violating "personal space" or blocking a person’s path. Foul or obscene language. Suggestive or sexually explicit posters, calendars, photographs, faxes, graffiti or cartoons. Same sex harassment. Unwanted or offensive letters or poems, e‐mail, voice messages or telephone calls. Sexual assault or rape. Any other conduct or behavior deemed inappropriate by CASA. An employee who experiences any job‐related harassment based on race, color, religion, gender, national origin, age, disability, veteran status, marital status, sexual orientation, or believes that he/she has been treated in an unlawful, discriminatory manner should confront the harasser and request him/her to stop. The employee should promptly report the incident to the Executive Director. If he/she believes it would be inappropriate to discuss the matter with the Executive Director, the employee may report the situation to the Board of Directors. Upon notice of the complaint, CASA will immediately conduct a thorough, objective investigation of the harassment allegations. The complaint will be kept confidential to the maximum extent possible. If CASA determines an employee is guilty of harassing another individual, appropriate disciplinary action, up to and including discharge, will be taken against the offending employee. CASA prohibits any form of retaliation against any employee for filing a bona fide complaint under this policy or for assisting in a complaint investigation. If after investigating any complaint of harassment or discrimination, CASA determines that the complaint is not bona fide and was not made in good faith, or that an employee has provided false information regarding the complaint, disciplinary action, up to and including discharge, will be taken against the employee who gave the false information. 20
WORKPLACE VIOLENCE PREVENTION CASA prohibits any behavior that could be construed as threatening, aggressive, confrontational or violent. Absolutely no weapons will be allowed on agency premises. To that end, CASA reserves the right to require any employee, upon request, to submit to a search of personal effects. Employees should immediately warn the Executive Director of any potentially dangerous or suspicious workplace activity, situations or incidents that they either observe or are aware of that involve other employees, volunteers, visitors or outsiders who appear threatening. The Executive Director will conduct a confidential investigation of all reports of violence. Any employee who violates this policy will be subject to disciplinary action, up to and including discharge. Violations of this policy by employees, visitors, volunteers or outsiders may be reported to local law enforcement personnel. Such individuals may be prosecuted to the maximum extent of the law. Employees will not be retaliated against for making good faith reports under this policy. SOFTWARE PIRACY POLICY It is the policy of CASA of Monterey County to utilize all commercially‐purchased software in accordance with its individual licensing agreement. Unless otherwise provided in the license, any duplication of copyrighted software, except for backup and archival purposes, is a violation of the law. Unauthorized duplication of copyrighted computer software is contrary to CASA of Monterey County’s standard of conduct. The purpose of this policy is to comply with Title 17 of the U.S. Code in the protection of “original works of authorship” that is fixed in a tangible form of expression. These categories should be viewed quite broadly and include literary, dramatic, musical, artistic, and computer programs, as well as other intellectual works. INTERNET POLICY While employees may use email for personal messages, it is preferred that employees only send emails during non‐working hours and exercise discretion as to the number and type of messages sent. Employees should not send personal messages with large attachments. Any employees abusing this liberal policy will be restricted from further use. CASA of Monterey County reserves the right to eliminate the privilege of using company email systems for personal communications at any time at the discretion of the Executive Director. CASA of Monterey County reserves your right to monitor employees email messages at any time. Messages sent by employees using company equipment are not private, even if the employee considers them to be personal. All workplace policies and rules such as rules of harassment, discrimination, violence, solicitation and theft of trade secrets apply to employee use of email system. All email messages sent on company equipment should be professional and appropriate. Employees should establish a regular schedule for purging email messages in order to avoid storage problems. It is recommended that employees save important messages and purge their system every 6 months, minimally.
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FORMAL GRIEVANCE POLICY The following grievance protocol has been established to review any formal grievance brought by any individual against the CASA volunteer, staff or the program. Any individual who has come into contact with the CASA program is encouraged to bring any concerns or grievances to the organization. See the following chain of command for the appropriate point of contact. 1. Chain of Command: i. Grievances against an individual CASA advocate volunteer are to be brought to the Advocate Coordinator and/or Case Supervisor. ii. Grievances against the organization or an employee are brought to the Executive Director, or designee. iii. Grievances against the Executive Director are to be brought to the Board of Directors. iv. If satisfaction cannot be reached at the organizational level, grievances may be brought to the presiding Judge of the Juvenile Court. 2. The following procedures, which are referenced in terms of a grievance against a CASA advocate, are to be followed similarly through the chains of command for all participants of the organization: i. If the grievance is brought against a CASA advocate volunteer, the CASA in question will be notified of the complaint within 72 hours by the Executive Director or designee. When deemed appropriate, the CASA in question may be required to immediately suspend all activities on the related case, and under certain circumstances, in all cases currently being managed. The Advocate Coordinators or their designee assumes responsibility for said case(s). ii. The Advocate Coordinator meets with the CASA within one week to review and attempt to rectify the situation. Every attempt is made to alleviate the conflict without compromising the best interest of the child. iii. Within 10 days, an opportunity should be made available for the complainant, if s/he so chooses, to meet directly with the respondent and Advocate Coordinator to speak directly about the complaint and work towards resolution. iv. Confirmation of all conveyed grievances is made to the complainant within 10 days of the grievance. All efforts are made to work through the grievance so that removal of the CASA is not necessary. v. If the grievance is substantiated the Executive Director, in consultation with the Advocate Coordinator, has final authority over the decision to remove the CASA from the case. 3. Documentation for Formal Grievances: i. All formal grievances are to be documented and placed into the confidential, locked personnel file (CASA, employee) within 10 days of the complaint. ii. Grievances against the organization are to be kept in a confidential, locked file with the Executive Director. iii. All parties involved must sign the grievance report; including noting any refusal to sign said report. iv. The grievance form must be presented to the Executive Director if against a CASA, an employee, or the organization; to the Board of Directors if against the Executive
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v. vi. vii. viii.
Director; to CASA legal council if against the Board of Directors; and finally to the Board President if against the CASA legal council. The appropriate investigator is required to interview all parties involved and complete a written report of his/her findings and recommendations within 30 days. At that time, the report is to be reviewed with the person or persons at the next level in the chain of command. A disposition must be decided upon within 5 working days, put in writing and dispersed to all parties. Copies of the Grievance Form, Investigator’s Report and Disposition are to be filed in a confidential, locked personnel file cabinet.
4. Informal Complaints: In the spirit of creating a productive organizational environment, CASA of Monterey County encourages any one involved with the organization, its volunteers, employees, or board members to bring forth any concerns or problems that would strengthen CASA’s ability to fulfill its mission and achieve its goals. The same chain of command as indicated for formal grievances should be followed. A conflict resolution protocol mirroring section 2 as noted above, utilizing open dialogue, face to face meetings, and thoughtful investigation is recommended to bring the parties to a successful resolution of the problem. Please note: i. Informal grievances are to be noted in the appropriate file. ii. Informal grievances must follow the same chain of command and a mutually agreed upon resolution method and timetable must be followed. iii. The timeline should closely follow that of the formal process. iv. Formal record keeping is not required, though notes and follow through plans are strongly encouraged. v. The situation is to be reviewed with the person at the next level of the chain of command, both during the process of working out the issue and again at the end of the process to review the agreed upon plan. FISCAL CONTROL POLICIES The following financial control policies are intended to provide CASA of Monterey County with sound fiscal management and clearly defined lines of authority and communication. General: The Board of Directors is responsible for authorizing all bank account and check signers. Separate accounts will be maintained for any restricted funds if required by the funding source. Financial institutions where CASA of Monterey County accounts are maintained are notified annually of any changes in check signers, following the transition of officers or changes in staff with check signing responsibilities. Dual signatures are required for all checks, in excess of $500 and for all reimbursement checks, regardless of the amount, including any two of the following signatures: President, Vice‐President, Secretary, Treasurer, CASA Executive Director Financial reports are prepared and presented at the monthly Board of Director’s meeting by the Board Treasurer A year‐end financial review and complete financial audit will take place annually. 23
All grants received, including any restrictions and/or designation of the grant, will be reported to the CASA of Monterey County Board of Directors at their monthly meeting. All employees handling cash/monies received must demonstrate necessary knowledge and skills, and familiarity with QuickBooks. Employees involved in financial/accounting matters are supervised by the Executive Director.
Procedures related to cash receipts: ¾ Incoming checks must be restrictively endorsed “for deposit only” when received. ¾ Incoming cash must be counted, and receipts/bank deposit slips must be reviewed, by minimally two authorized persons: Executive Director, Development staff, and bookkeeper ¾ Records of cash received must be totaled and initialed by authorized staff ¾ Two copies of all checks received will be maintained by 1) the Development staff and 2) the bookkeeper ¾ Cash collection and deposit receipts are to be reconciled with the bank statements and the accounting program regularly, minimally monthly. ¾ Bank deposit receipts must be attached to the duplicate or photocopy of the original bank deposit slip. ¾ All checks received will be maintained in a locked drawer/cash box until recorded and deposited. Procedures related to Cash Disbursements: ¾ The Director must approve all cash disbursements. ¾ All disbursements, including payroll must be made by check. ¾ Signature stamps may never be used to sign checks. ¾ Supporting documentation must be attached to checks when presented for signature. ¾ To prevent duplicate payment, invoices or other supporting documentation must be canceled or stamped ‘PAID’ by the authorized staff check‐signer including notation of date paid, check number and his/her initials. ¾ Checks must be made payable to specific payees, based upon appropriate supporting documentation, and never to ‘CASH’ or ‘BEARER’. ¾ Only pre‐numbered checks shall be used and always in sequence. ¾ Stock of checks will be stored in a secure place as per the Executive Director. ¾ Prior to preparing checks, receiving reports should be compared to vendor invoices for accuracy. ¾ Checks must be prepared from vendor invoices, NOT vendor statements. ¾ All check numbers must be accounted for. ¾ Any voided/spoiled checks must be marked ‘VOID’, mutilated with the signature portion removed, and retained in a secure place. ¾ Only persons authorized to prepare checks may have access to blank checks. ¾ Disbursements that require special approval of funding (in excess of $2,000) from the Board of Directors should have reflect documentation of the approval (e.g. – board meeting minutes, correspondence from the board) ¾ Employees must maintain and submit a detailed expense report, with supporting documentation, in order to be reimbursed. ¾ Expense records must be reviewed and initialed for approval, by both the Executive Director and a board member, prior to payment. ¾ Signing of blank checks is strictly prohibited. 24
Reconciliation: ¾Bank accounts must be reconciled by the bookkeeper monthly and reviewed by the Executive Director. ¾The Director must receive the bank statements (with cancelled checks) unopened from the bank. ¾Checks outstanding over 90 days must be periodically investigated, with payment stopped and an entry made restoring such items to cash if appropriate. Fundraising and Financial Stability: CASA of Monterey County’s Board Treasurer, in coordination with the Finance Committee and the Executive Director, must present to the Board of Directors annual budgetary projections and a strategy for obtaining necessary funding to finance program operations. The annual budget will be approved by the Board of Directors at a minimum of one month in advance of the fiscal year. The Board of Directors, as stated in its by‐laws, holds ultimate fiduciary responsibility for CASA of Monterey County and must maintain a current understanding of the finances of the organization. Current account statements and fundraising activities must be reported to the Board minimally on a monthly basis; ideally during the Board of Directors meetings. The Development staff and the Development Committee of the Board, in cooperation with the Executive Director, are responsible for conducting ongoing research and identifying strategies for securing grants, making foundation requests, and conducting annual efforts to fund the organization. The Development staff must maintain accurate and up‐to‐date files on all grant requests, foundation requests, prospects and individual donors; as well as maintain a calendar for submission deadlines for all grants and funding sources. The Development staff must also submit reports to agencies that require feedback on use of funds on a timely basis. Restricted funds must be tracked as such in the agency’s accounting program and must be used solely for the approved project/activities/acquisitions for which said monies were granted. No official, board member, volunteer or employee shall participate personally through decisions, approval, disapproval, contract, or other particular manner in which funds are used where his/her immediate family has a financial or personal interest. Credit Card Procedures CASA of Monterey County accepts credit cards for event tickets, event purchases (such as auction items), miscellaneous purchases over $15, and donations. The Development staff is responsible to oversee all individuals who accept credit card information ensuring that the following procedures are followed: Credit cards accepted: Visa, MasterCard, and American Express only For every transaction be sure to get the full name and billing address of the person, & their home phone number. In addition, request the three‐digit security code on the back of the credit card. In compliance with federal law, this security code cannot be maintained on file, but must be requested each time a transaction takes place. Repeat credit card number back to the person, verify the expiration date. Fill all information in on the credit card slip in full detail. 25
Complete credit card processing procedures are outlined in the Credit Card Transaction Log.
Any employee charged with the task of processing credit card contributions or donations must maintain the full confidentiality of the individual card holder and must destroy all records which could lead to possible misuse of said credit card.
At the close of the business day during which charges are put through, settle the account. Keep all the information on the Credit Card Transaction Log.
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ACKNOWLEDGEMENT AND RECEIPT OF PERSONNEL POLICIES I hereby acknowledge that I have received a copy of the Personnel Manual/Employee Handbook for CASA of Monterey County. I realize that during my employment with CASA, I will be informed, formally or informally, of various employment policies or benefits. I understand that CASA reserves the right to change the policies or benefits of the Personnel Manual/Employee Handbook at any time, with or without advanced notice to employees. If an employee needs clarification of any of the policies, he/she will advise the Executive Director. I fully understand that nothing contained in these policies, any procedure or document issued by CASA, or any statement of supervisor, or the Executive Director, either verbal or written, is intended to create or suggest a contract of employment between CASA and the employee. I acknowledge that I am employed at the will of CASA, and that my employment may be terminated by me or by CASA, with or without cause and with or without notice. Employee Date Executive Director Date ONE COPY TO EMPLOYEE; ONE COPY TO EMPLOYEE’S PERSONNEL FILE 27
STATEMENT OF CONFIDENTIALITY/ETHICAL GUIDELINES CASA of Monterey County adheres to the following ethical guidelines: All staff, volunteers, and board members are expected to: 1. Uphold the credibility, integrity, and dignity of the mission, vision, and values of the organization by conducting all business in an honest, fair, professional and compassionate manner. 2. Represent CASA of Monterey County to the community in a manner free of conflicts in interest or for purposes of personal gain 3. Agree to recusal from the decision making process for any issue for which they may stand to personally benefit or from which a potential conflict might arise. 4. Take an oath before the Judge of the Juvenile Dependency Court in the County of Monterey, promising to up hold the rules of the Court, maintain fairness, integrity, and impartiality; and commit to preserve the confidentiality of those served. 5. Act in accordance with professional standards of ethical behavior as it pertains specifically to the job or task to which you are entrusted. Employee Date Supervisor Date Statement of Confidentiality: As an employee of CASA of Monterey County, I understand that all information concerning children and families in the juvenile court process is confidential. Employees shall not give case information to anyone other than the court parties, their attorneys, and volunteer advocates. As an employee, I understand the seriousness of the commitment made by a volunteer advocate and agree to honor that commitment and any information which I may learn about that volunteer through the course of our contacts. I will not provide volunteer contact information without the consent of the volunteer. The child's case file shall be maintained in the CASA office by a custodian of records. No one shall have access to that file except upon approval of the CASA program director. The volunteer's personnel file is confidential. No one shall have access to the personnel file except the volunteer, the CASA program director or his or her designee, or the presiding judge of the juvenile court. Local court rules should determine standards and procedures for access by other parties, including the process by which such documents can be subpoenaed. Employee
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