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September 12, 2005

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Meeting of the Board of Supervisors at their office, 200 E. Bridge St., Elkader, IA.

Present:  Robert Walke, Neil Meyer, Larry Gibbs

 

Rafe Koopman, County Engineer, was present to discuss Work Rules and Policies for Clayton County Secondary Road and Roadside Management departments and a Substance Abuse Policy for Clayton County Secondary Road and Roadside Management departments. Motion by Walke, seconded by Gibbs, to amend and readopt the Work Rules and Policies that were adopted and effective October 1, 2001 and also to adopt the Substance Abuse Policy both to be effective October 1, 2005, for Secondary Road and Road Management departments.

 

WORK RULES and POLICIES

CLAYTON COUNTY SECONDARY ROAD AND ROADSIDE MANAGEMENT DEPTS.


Effective October 1, 2001

Readopted by the Board of Supervisors Effective October 1, 2005

Work rules are defined as rules drafted by the County Secondary Road and Roadside Management Department to provide guidelines for personal conduct for all employees. Work rules apply to matters arising from employment with the Department, which have a bearing on an employee’s ability to be effective in their job.
 

Disciplinary action may be taken for violation of any of the rules outlined below, up to and including immediately discharged for the first offense violations.
 

1. Warning
2. Suspension (3 to 5 days – notice to be given in writing)
3. Discharge (notice to be given in writing)
 

WARNING NOTICES SHALL REMAIN IN EFFECT FOR A PERIOD OF TWELVE (12) MONTHS FROM THE DATE OF THE VIOLATION. HOWEVER, ALL PAST WARNINGS AND SUSPENSIONS WILL REMAIN A PART OF THE EMPLOYEES FILE.
 

WORK RULES AND POLICIES
 

I. Work Performance

  1. Insubordination, disobedience, negligence and inattention or failure to follow and observe motor vehicle laws.

  2. Failure or refusal to follow reasonable written or oral instructions of supervisory personnel or to carry our work assignments.

  3. Neglecting job duties and responsibilities, carelessness.

  4. Loafing, loitering, sleeping or engaging in personal business while on duty.

  5. Failure to observe or follow safety rules and practices including the use of protective equipment and clothing, or in the safe operation of vehicles and equipment.

  6. Failure to immediately report all accidents or injuries, which occur during working hours, or while in the performance of assigned duties.

  7. Employees may not report to work earlier than 30 minutes before or stay on the County property later than 15 minutes after the end of the work day/shift unless on official County authorized business.

  8. Employees shall not take time away from work to conduct union business during paid work hours: i.e., solicitation for membership, investigations of alleged grievances; discussions of any sort involving union related matters.

  9. All employees are subject to twenty-four (24) hour on call work schedule except those employees on approved leave.

  10. Employees shall not return to any County shop earlier than twenty (20) minutes prior to the end of the work day/shift to fuel or check their vehicle without the permission of their supervisors. If employee returns to shop with permission employee shall find work, i.e., sweep shop, clean rest room, pickup tools, equipment maintenance, etc or supervisors shall issue appropriate disciplinary action as noted above.

  11. Employees shall not conduct private business or receive phone call for private business during working hours. The employee may use their break or noontime for private business provided this does not extend past break and noontime limits.

II. Attendance and Punctuality

  1. Failure to report promptly at the starting time, leaving before the scheduled quitting time, or failure to timely notify the proper authority of impending absence or tardiness prior to designated starting time.

  2. Employee’s immediate supervisor (foreman) must be notified before any absence from work is authorized. One day absence without authorization will not be paid under any authorization leave plan. Two consecutive workdays absence without written authorization shall be considered an automatic resignation.

  3. Unexcused or excessive absenteeism.

  4. Abuse of sick leave privileges. Use of sick leave shall be deemed abusive under the following circumstance:

    A. Consistent use of one or two days per month for more than six months consecutively, especially if these days off are normally near the beginning or end of a work week (i.e. Monday or Friday)
    B. Historically maintaining a sick leave balance of less than five days through use of short one or two day absences.

  5. Employees terminating their employment with the Employer must give a two (2) week notice prior to the date of departure or employees will lose any unused benefits.

  6. Failure to observe the time limits for meal periods or breaks.

  7. Leaving the place of duty during a work shift without permission.

  8. Employees must have an active telephone at their normal place of residence or provide a phone number where messages may be left and employees must keep the County informed of any changes in their phone number and/or address.

III. Use of Property

  1. Abuse or misuse of County property or private property, materials or equipment

  2. Stealing or unauthorized possession or use of County or private property, equipment or materials.

  3. Employees may not distribute to or solicit from other employees or post unauthorized notices, signs, posters or removing of notices, signs, posters or similar materials.

  4. Destruction of county property or personal property.

  5. Employees are not authorized to use the County sheds for anything other than official County business.

  6. Employees who operate County equipment and vehicles are to use the restroom and toilet facilities at the County sheds.

  7. Employees working in the field or who drive equipment are required to carry their meals and beverages with them at the start of the workday. Employees may not use County equipment to travel to or from restaurants, grocery stores or other commercial places. Privately owned coffee pots and supplies are allowed in the office and the shop.

  8. Employees will be held responsible for all tools, materials and equipment used or assigned to them in the performance of their job.

  9. Employees must not use County vehicles or equipment to perform any work on private property or public vehicles unless the use shall be for lifesaving situations or the use of any equipment has been authorized by the employee’s supervisor, the County Engineer or a member of the Board of Supervisors.

IV. Personal Actions and Appearances

  1. Threatening, attempting or inflicting bodily harm, intimidating or using abusive or profane language toward fellow employees, or supervisory personnel or the general public.

  2. Horseplay, including but not limited to practical jokes, pushing, running or throwing objects.

  3. Making a false or malicious statement concerning other employees, supervisors, or the Department.

  4. Reporting to work in a condition to be unsafe to the employee, others or physical property; or to be unable to perform job responsibilities due to the influences of alcoholic beverages and/or unauthorized drugs.

  5. Drinking alcoholic beverages or using unlawful drugs while on duty.

  6. Selling commercial or private products or services during work hours.

  7. Unauthorized possession, lending, borrowing or duplication of keys, County credit cards; careless or improper use of keys or credit cards; or failure to report immediately any loss of keys or credit cards.

  8. Failure to submit to inspection of any personal packages taken from the employee’s work area upon request by employee’s supervisor.

  9. Failure to pass drug or alcohol testing.

  10. Employees may not be soliciting or accepting unauthorized compensation, rewards, gratuities or gifts of any kind, except for vendor items with a value less of than $2.99, such as advertising specialties, i.e., (caps), for any matter related to employee’s job.

  11. Falsifying or making false entries on any County documents, dishonesty or punching another employee’s time card.

  12. All employees required to operate county vehicles shall obtain and keep valid an Iowa Commercial Drivers (CDL) license and any certifications necessary to perform their job.

Additional Work Rules and Policies or changes to these may be made in the future as required.

 

Substance Abuse Policy


If the test of an employee, who is subject to the requirements of the federal DOT drug and alcohol testing, results in an alcohol concentration of 0.02 or greater but less than 0.04, said employee shall be removed from safety-sensitive duty for not less than 24 hours. First occurrence said employee will be suspended with no pay during this 24 hour period. Second occurrence will result in termination. If the test of an employee, who is subject to the requirements of federal DOT drug and alcohol testing, results in an MRO verified positive test for the use of drugs, or an alcohol concentration of 0.04 or greater, the employee will be referred to an appropriate substance abuse professional for assessment and enrollment in a treatment of rehabilitation if recommended. Results of the positive drug or alcohol test and terms of the rehabilitation will remain confidential, except as provided by the Federal Regulations.

 

Employees referred to the treatment and rehabilitation program as a result of an MRO verified positive test or breath testing showing an alcohol concentration above 0.04, must immediately cease any substance abuse, must be subject to testing before returning to safety-sensitive duty, must subject themselves to periodic unannounced testing for a period of not to exceed sixty months, and must comply with all other conditions of the treatment and counseling program recommended by the substance abuse professional.

None of the expenses of the substance abuse treatment and rehabilitation program shall be paid for by the county. The expenses for the rehabilitation program shall be paid for entirely by the employee or their health insurance if available.

Rehabilitation program includes time until employee has a return to duty release from MRO or substance abuse professional. An employee required to take time off in order to participate in a rehabilitation program will be permitted to use sick leave, vacation time or comp time and/or unpaid leave.

Participation in substance abuse treatment and rehabilitation will not result in disciplinary action. Successful completion of the prescribed program will be required for the employee to continue employment with the employer.

If an employee is undergoing substance abuse treatment and counseling or has returned to duty upon successfully completing such treatment and rehabilitation and a subsequent test is certified by the MRO as positive, or results in an alcohol concentration of 0.04 or greater, the employee will be terminated. Employees who undergo substance abuse treatment and counseling under this policy and who continue to work must meet all established standards of conduct and job performance.

All employees who test positive in any portion of the required Federal DOT Drug and Alcohol test which required their removal from safety-sensitive duty shall not be permitted to drive themselves home from work. The employee shall either have someone pick them up or the county shall provide a driver to transport the employee home. Any employee involved in any accident while performing a safety sensitive function shall be required to have a post-accident test for drugs and alcohol.

Ayes: Walke, Meyer, Gibbs
Motion by Walke, seconded by Gibbs, to approve Resolution # 25 – 2005
A resolution allowing for increased deposits in various institutions.

BE IT RESOLVED, that the Board of Supervisors of Clayton County, Iowa, approve the following list of financial institutions to be depositories of the funds of Clayton County, Iowa, in accordance with all provisions of the Code of Iowa (2005), Chapter 12C. The named county officer is hereby authorized to deposit funds in amounts not to exceed the maximum approved for each respective financial institution.
 
County OfficerInstitutionHome Office LocationAmount not to exceed
AuditorCentral State BankElkader$5,000
RecorderCentral State BankElkader$150,000
SheriffCentral State BankElkader$250,000
SheriffPeoples State BankElkader$20,000
TreasurerCentral State BankElkader$5,000,000
TreasurerCitizens State BankStrawberry Point$5,000,000
TreasurerCommunity Savings BankEdgewood$3,000,000
TreasurerFarmers Savings BankColesburg$5,000,000
TreasurerGarnavillo Savings BankGarnavillo$400,000
TreasurerLuana Savings BankLuana$5,000,000
TreasurerPeoples State BankElkader$5,000,000
TreasurerSecurity State BankGuttenberg$1,750,000
TreasurerUnion State BankMonona$5,000,000
TreasurerValley State BankGuttenberg$1,500,000
TreasurerIPAITDes Moines$2,975,000
  
Ayes: Walke, Meyer, Gibbs

Linda Orr, County Treasurer, met with the board regarding the Investment Policy for Clayton County. The only changes needed are references to Iowa Code sections that were changed by the Code Editor. Motion by Walke, seconded by Gibbs, to approve the Investment Policy for Clayton County.

 

INVESTMENT POLICY FOR CLAYTON COUNTY, IOWA

Section 1 SCOPE OF INVESTMENT POLICY
The Investment Policy of Clayton County shall apply to all operating funds, bond proceeds and other funds and all investment transactions involving operating funds, bond proceeds and other funds accounted for in the financial statements of Clayton County. Each investment made pursuant to this Investment Policy must be authorized by applicable law and this written Investment Policy. The investment of bond funds or sinking funds shall comply not only with this investment policy, but also be consistent with any applicable bond resolution. This Investment Policy is intended to comply with Iowa Code 12 B.

Upon passage and upon future amendment, if any, copies of this Investment Policy shall be delivered to all of the following:

1. The governing body or officer of Clayton County to which the Investment Policy applies.
2. All depository institutions or fiduciaries for public funds of Clayton County.
3. The auditor engaged to audit any fund of Clayton County.
4. The State Auditor.
5. The County Auditor.

In addition, a copy of this Investment Policy shall be delivered to every fiduciary third party assisting with or facilitating investment of the funds of Clayton County, if any.

Section 2 DELEGATION OF AUTHORITY
In accordance with Section 12B.10, the responsibility for conducting investment transactions resides with the Treasurer of Clayton County. Only the treasurer or their designee and those authorized by resolution may invest public funds and a copy of any empowering resolution shall be attached to this Investment Policy. A certificate of designation by the treasurer shall also be attached to this policy.
 All contracts or agreements with outside persons investing public funds, advising on the investment of public funds, directing the deposit or investment of public funds or acting in a fiduciary capacity for Clayton County shall require the outside person to notify in writing the County Treasurer and the Board of Supervisors within thirty days of receipt of all communication from the Auditor of the outside person or any regulatory authority of the existence of a material weakness in the internal control structure of the outside person or regulatory orders or sanctions regarding the type of services being provided to Clayton County by the outside person.

The records of investment transactions made by or on behalf of Clayton County are public records and are the property of Clayton County whether in the custody of the County Treasurer or in the custody of a fiduciary or other third party.

The Treasurer shall establish a written system of internal controls and investment practices. The controls shall be designed to prevent losses of public funds, to document those officers and employees of Clayton County responsible for elements of the investment process and to address the capability of investment management. The controls shall provide for receipt and review of the audited financial statement and related report on internal control structure of all outside persons performing any of the following for this public body:

1. Investing public funds.
2. Advising on the investment of public funds.
3. Directing the deposit or investment of public funds.
4. Acting in a fiduciary capacity for this public body.

A Bank, Savings and Loan Association, or Credit Union providing only depository services shall not be required to provide an audited financial statement and related report on internal control structure.

The Treasurer of Clayton County and all employees authorized to place investments shall be bonded in the amount of $225,000.00. All other employees shall be bonded for faithful performance of duty in the amount of $25,000.00.

Section 3 OBJECTIVES OF INVESTMENT POLICY
The primary objectives, in order of priority, of all investment activities involving the financial assets of Clayton County shall be the following:

1. Safety: Safety and preservation of principal in the overall portfolio is the foremost investment objective.
2. Liquidity: Maintaining the necessary liquidity to match expected liabilities is the second investment objective.
3. Return: Obtaining a reasonable return is the third investment objective.

Section 4 PRUDENCE
The Treasurer of Clayton County, when investing or depositing public funds, shall exercise the care, skill, prudence, and diligence under the circumstances then prevailing that a person acting in a like capacity and familiar with such matters would used to attain the Section 3 investment objectives. This standard requires that when making investment decisions, the Treasurer shall consider the role that the investment or deposit plays within the portfolio of assets of Clayton County and the investment objectives stated in Section 3.

Section 5 INSTRUMENTS ELIGIBLE FOR INVESTMENT
Assets of Clayton County may be invested in the following:

Interest bearing savings accounts, interest bearing money market accounts, and interest bearing checking accounts at any bank, savings and loan association, or credit union in the state of Iowa. Each bank must be on the most recent Approved Bank List as distributed by the Treasurer of the State of Iowa or as amended as necessary by notice inserted in the monthly filing by the Rate Setting Committee. Each financial institution shall be properly declared as a depository by the governing body of the County of Clayton. Deposits in any financial institution shall not exceed the amount set forth in the depository resolution approved by the governing body of Clayton County.

Certificates of deposit and other evidences of deposit at federally insured Iowa depository institutions approved and secured pursuant to Chapter 12C.

All instruments eligible for investment are further qualified by all other provisions in this Investment Policy, including Section 7 Investment maturity limitations and Section 8 Diversification requirements.

Section 6 PROHIBITED INVESTMENTS AND INVESTMENT PRACTICES
Assets of Clayton County shall not be invested in the following:
  1. Reverse repurchase agreements.

  2. Futures and options contracts.

  3. Any investment security not listed in Section 5.

Assets of Clayton County shall not be invested pursuant to the following investment practices:

  1. Trading of securities for speculation or the realization of short-term trading gains.

  2. Pursuant to a contract providing for the compensation of an agent or fiduciary based on the performance of the invested assets.

  3. If a fiduciary or other third party with custody of public investment transaction records of Clayton County fails to produce requested records when requested by this public body within a reasonable time, the Treasurer shall make no new investment with or through the fiduciary or third party and shall not renew maturing investments with or through the fiduciary or third party.

Section 7 INVESTMENT MATURITY LIMITATIONS
Operating Funds must be identified and distinguished from all other funds available for investment. Operating Funds are defined as those funds which are reasonable expected to be expended during a current budget year or within fifteen months of receipt.

All investments authorized in Section 5 are further subject to the following investment maturity limitations:
  1. Operating Funds may only be invested in instruments authorized in Section 5 of this Investment Policy that mature within three hundred ninety-seven (397) days.
  2. The Treasurer may invest funds of Clayton County that are not identified as Operating Funds in investments with maturities longer than three hundred ninety-seven (397) days. However, all investments of Clayton County shall have maturities that are consistent with the needs and use of Clayton County.
Section 8 DIVERSIFICATION
Where possible, it is the policy of Clayton County to diversify its investment portfolio. Assets shall be diversified to eliminate the risk of loss resulting from over concentration of assets in a specific maturity, a specific issuer, or a specific class of security. In establishing specific diversification strategies, the following general policies and constraints shall apply:
  1. Portfolio maturities shall be staggered in a way that avoids undue concentration of assets in a specific maturity sector. Maturities shall be selected which provide stability of income and reasonable liquidity.

  2. Liquidity practices to ensure that the next disbursement date and payroll date are covered through maturing investments or cash on hand.

  3. Fluctuation in interest rates may be hedged through investments with diversified maturity rates.
Section 9 SAFEKEEPING AND CUSTODY
All invested assets of Clayton County involving the use of a public funds custodial agreement, as defined in section 12B.10, shall comply with all rules adopted pursuant to section 12B.10C. All custodial agreements shall be in writing and shall contain a provision that all custodial services be provided in accordance with the laws of the state of Iowa.

 

Section 10 ETHICS AND CONFLICT OF INTEREST
The Treasurer and all officers and employees of Clayton County involved in the investment process shall refrain from personal business activity that could conflict with proper execution of the investment program, or which could impair their ability to make impartial investment decisions. Any personal investments or loans in excess of $100,000.00 in or with any entity that Clayton County has declared as a depository or regularly conducts investment business with shall be disclosed in writing to the governing board of Clayton County.

Section 11 REPORTING
The Treasurer shall submit semiannually an investment report that sets out the current portfolio in terms of maturity, rates of return and other features and summarizes all investment transactions that have occurred during the reporting period.

Section 12 INVESTMENT POLICY REVIEW AND AMENDMENT
This Investment Policy shall be reviewed every two years or more frequently as appropriate. Notice of amendments to the Investment Policy shall be promptly given to all parties noted in Section 1.

Ayes: Walke, Meyer, Gibbs

Motion by Walke, seconded by Gibbs, to approve the Treasurer’s Semi-annual report. Ayes: Walke, Meyer, Gibbs

Owen Sylvester, custodian, met with the board to open bids for carpeting for the Nurses’ Office at the Office Building. Bids presented were:
    Elkader Carpet and Design, Elkader $4,225.94
    Knockel’s Floor Covering, Monona $4,795.52
    Miller Flooring, Edgewood $4,205.25
    Franklin Furniture, Strawberry Point $4,265.00

Motion by Gibbs, seconded by Walke, to accept the low bid of $4,205.25 from Miller Flooring. Ayes: Walke, Meyer, Gibbs

Vicki Bloxham, Upper Explorerland Regional Planning Commission, presented a CDBG drawdown request of $81,550 for the Elkader Day Care Center. Motion by Gibbs, seconded by Walke, to approve the drawdown and authorized the chairman to sign the request forms. Ayes: Walke, Meyer, Gibbs

/s/ Neil Meyer, Chairman
/s/ Mary Leete, Deputy Co. Auditor

© 2007 Clayton County, Iowa