CALDWELL COUNTY LOCAL GOVERNMENT EMPLOYEE PERSONNEL ORDINANCE

CALDWELL COUNTY LOCAL GOVERNMENT EMPLOYEE PERSONNEL ORDINANCE July, 1, 1995 Amended August 21, 2000 Amended January 1, 2003 Amended July 21, 2003 Amended May 17, 2004 Amended November 2, 2015

YOUR CAREER WITH CALDWELL COUNTY This booklet has been prepared for you. Its purpose is to give you information concerning the personnel policies of Caldwell County and the benefits the County provides you as an employee. Personnel policies change from time to time, and as changes occur, you will be provided with replacement or supplement sheets to keep your booklet up-to-date. The information contained here is intended to answer questions you may have concerning your job and point out your responsibilities as an employee of the County and its citizens. You should read this booklet carefully and familiarize yourself with its contents. You will also want to keep it in a convenient location for reference. Now that you are an employee, you have a direct responsibility to the citizens of Caldwell County. The public is your employer and your work and conduct will always be subject to public scrutiny and your contacts with citizens will often be the basis upon which Caldwell County is judged. Your job with Caldwell County is important. The citizens of this county are relying on you for efficient and courteous service. This Personnel Ordinance is not intended to create a property interest in continued employment or to provide an exception to the employment-at-will rule. 1

TABLE OF CONTENTS ARTICLE I. ORGANIZATION OF PERSONNEL SYSTEM Section 1. Purpose 5 Section 2. Coverage 5 Section 3. Employee Classifications and Definitions 6 Section 4. Merit Principle 12 Section 5. Responsibility, Board of County Commissioners 12 Section 6. Responsibility, County Manager 12 Section 7. Responsibility, Human Resources Director 13 Section 8. Personnel Advisory Committee (Removed) 14 Section 9. Responsibility, Elected Officials 15 Section 10. Responsibility, Department Heads 15 ARTICLE II. CLASSIFICATION PLAN Section 1. Adoption 16 Section 2. Allocation of Positions 16 Section 3. Administration of the Position Classification Plan 16 Section 4. Amendment of Position Classification Plan 16 ARTICLE III. THE PAY PLAN Section 1. Adoption 17 Section 2. Maintenance of the Pay Plan 17 Section 3. Administration of the Pay Plan 17 Section 4. Payment at a Listed Rate 18 Section 5. Salary of Trainee 18 Section 6. Pay Rates in Promotion, Demotion, Transfer and Reclassification 18 Section 7. Pay Rates in Salary Range Revision 19 Section 8. Pay for Part-Time Work 20 Section 9. Overtime 20 Section 10. Payroll Deductions 22 Section 11. Longevity Supplements 22 Section 12. Effective Date of Salary Adjustments 23 ARTICLE IV. RECRUITMENT AND EMPLOYMENT Section 1. Statement of Equal Employment Opportunity Policy 24 Section 2. Recruitment, Responsibility 25 Section 3. Job Advertisements 25 Section 4. Application for Employment 26 Section 5. Application Tracking 26 Section 6. Qualified Standards 27 Section 7. Selection 27 Section 8. Appointments 27 Section 9. Probation Period of Employment 28 Section 10. Promotion 29 2

Section 11. Demotion 29 Section 12. Transfer 29 ARTICLE V. CONDITIONS OF EMPLOYMENT Section 1. Work Week 31 Section 2. Gifts and Favors 31 Section 3. Political Activity Restricted 31 Section 4. Outside Employment 32 Section 5. Limitation of Employment of Relatives 32 Section 6. Sexual Harassment 33 Section 7. Travel Expense and Reimbursement 33 Section 8. Publications and Memberships 33 Section 9. County Sponsored Training 34 Section 10. Tobacco and Smoke Free Work Place 34 ARTICLE VI. LEAVES OF ABSENSE Section 1. Paid Holidays Observed 35 Section 2. Effect of Holidays on Other Types of Paid Leave 36 Section 3. Holidays - When Work Required 36 Section 4. Emergency Closings 36 Section 5. Vacation Leave - Approval 37 Section 6. Vacation Leave - Manner of Accumulation 38 Section 7. Vacation Leave - Accumulation Late in the Year (Deleted) 38 Section 8. Sick Leave - General Policy 37 Section 9. Sick Leave - Manner of Accumulation 39 Section 10. Sick Leave - Maximum Accumulation 39 Section 11. Sick Leave - Physician s Certificate 39 Section 12. Sick Leave - Retirement Credit for Accumulated Sick Leave 39 Section 13. Sick Leave - Transfer from Other Agencies/Entities 40 Section 14. Sick Leave - Separated Employees 40 Section 15. Advancing Sick Leave Credit 40 Section 16. Calculation of Vacation, Sick and Holiday Leave 40 Section 17. Shared Leave 41 Section 18. The Family and Medical Leave Act 41 Section 19. Leave Without Pay 42 Section 20. Workers Compensation Leave 43 Section 21. Military Leave 43 Section 22. Civil Leave 44 Section 23. Educational Leave 44 Section 24. Compensatory Time 44 Section 25. Breaks 45 Section 26. School Involvement Leave 46 ARTICLE VII. SEPARATION, DISCIPLINARY ACTION AND REINSTATEMENT Section 1. Types of Separation 46 Section 2. Resignation 46 Section 3. Reduction in Force 46 3

Section 4. Disability 47 Section 5. Discipline and Dismissal 48 Section 6. Investigatory Suspension 50 Section 7. Employee Appeal 50 Section 8. Reinstatement 50 Section 9. Death 51 Section 10. Severance Pay 51 Section 11. Health Insurance Portability Privacy Act (HIPPA) 51 ARTICLE VIII. GRIEVANCE PROCEDURE Section 1. Purpose 53 Section 2. Coverage 53 Section 3. Policy 53 Section 4. Grievance Committee (Deleted) 53 Section 5. Procedure 53 Section 6. Maintenance of Records 54 Section 7. Other Remedies Preserved 54 ARTICLE IX. EMPLOYEE BENEFITS Section 1. Insurance Benefits 55 Section 2. Unemployment Insurance 55 Section 3. Old Age and Survivor s Insurance (Social Security) 56 Section 4. Retirement Benefits 56 Section 5. Death Benefits 56 Section 6. Benefits - Other (Fixed) 56 Section 7. Benefits - Other (Flexible) 57 Section 8. Law Enforcement Officers Separation Allowance 57 Section 9. Supplemental Retirement Income for Law Enforcement Officers 58 ARTICLE X. PERSONNEL RECORDS Section 1. Personnel Records Maintenance 59 Section 2. Information Open to the Public 59 Section 3. Access to Personnel Records 59 Section 4. Confidential Information 60 Section 5. Remedies of Employees Objecting to Material in File 60 Section 6. Penalty Permitting Access to Confidential File by Unauthorized Person 60 Section 7. Destruction of Records 60 ARTICLE XI. IMPLEMENTATION OF PERSONNEL POLICY BY ORDINANCE Section 1. Conflicting Policies and Resolution Repealed 61 Section 2. Severability 61 Section 3. Effective Date 61 4

ARTICLE I ORGANIZATION OF PERSONNEL SYSTEM Section 1: Purpose The policies contained in the Employee Personnel Ordinance have been adopted by the Caldwell County Board of Commissioners to establish a human resources system that provides for the recruitment, selection, and continuous development of an effective workforce, responsive to the needs of Caldwell County residents. The policies are adopted pursuant to the State of North Carolina General Statutes 153A Article 5 and Chapter 126. With the adoption of this Employee Personnel Ordinance, the Caldwell County Board of Commissioners is making a good faith effort to comply with all applicable state and federal laws and regulations. While adoption of these policies culminates a comprehensive review and update of the County s personnel policies, the Caldwell County Board of Commissioners recognizes that these policies are not a complete and exhaustive set of policies or procedures that govern employment with the County. The Caldwell County Board of Commissioners also recognizes that periodic updates and revisions of these personnel policies will be necessary. Changes in personnel policies adopted by the Caldwell County Board of Commissioners will be communicated promptly to all employees. Section 2: Coverage All employees in the County s service are subject to these policies except as specified in this section: Elected Officials (Except as provided in Article III Section 2) Members of advisory boards, commissions, special boards, task forces, and committees (unless specifically designated) County Attorney County Manager (except as provided in Article III Section 2, and Article VII, Section 10) Employees subject to the State Personnel Act are subject to the Caldwell County Employee Personnel Policies except for policies pertaining to recruitment, classification, qualification, and disciplinary action, unless these policies have been deemed substantially equivalent. Employees of the Sheriff and Register of Deeds are subject to these personnel policies with the exception that they serve at the will of those elected officials. The Sheriff and Register of Deeds have the right to hire and terminate employees in their respective departments under the authority of N.C.G.S. 153A-103. Employees of the Cooperative Extension Service are exempt from these policies except for those positions budgeted by Caldwell County. 5

Advanced Life Support (ALS) and Basic Life Support (BLS) practitioners in Emergency Management Services essentially serve at the will of the Medical Director. Employees of the Board of Elections are subject to this policy as defined in the Memorandum of Understanding between the Caldwell County Board of Elections and the County of Caldwell except the County Board of Elections shall appoint and remove election clerks, assistant clerks, and other election employees under the authority of N.C.G.S. 163-33 (10). The Executive Secretary-Director of the State Board of Elections appoints the Director of Elections. The Executive Secretary-Director can render a decision to terminate the County Director of Elections following procedures set out in N.C.G.S. 163-35 (b). Temporary or Substitute employees, as designated by the Board of Commissioners, shall be subject to all articles and sections except those where they are specifically listed as exempt. Section 3: Employee Classifications and Definitions A. Employee Classifications a. Full-time Employee: An employee, appointed to a permanently established position, who is regularly scheduled to work thirty (30) hours or more per week and is designated as defined under the Fair Labor Standards Act or 2080 hours a year. A full-time employee is assigned a grade on the Caldwell County salary schedule. b. Part-time Employee: An employee, who is regularly scheduled less than forty (40) hours per week as defined under the Fair Labor Standards Act or less than 2080 hours a year and is filling a budgeted position that is assigned a grade and step within the budget. There are no County benefits associated with a part-time position unless the individual works twenty (20) or more hours per week except for Workers Compensation, FICA and Unemployment Insurance. Part-time employees are assigned a grade on the payroll plan. Part-time employees that work 30 hours or more a week are eligible for the county s contribution towards health insurance in accordance with the Affordable Care Act. Part-time employees budgeted to work 1,000 or more hours per calendar year will be eligible for retirement benefits with the Local Government Retirement System. Part-time employees who work at least 1250 hours in a year are provided FMLA leave if requested for a qualifying reason. c. Probationary Employee: A person appointed to a budgeted position who has not yet completed the probationary period. d. Permanent Full-time Employee: An employee subject to the State Personnel Act, who has successfully completed the prescribed probationary period and is regularly scheduled to work forty (40) hours per week as defined under the Fair Labor Standards Act. e. Permanent Part-time Employee: An employee subject to the State Personnel Act, who has successfully completed the prescribed probationary period and is regularly, scheduled less than forty (40) hours per week as defined under the Fair Labors Standards Act. f. Regular Employee: An employee who is not subject to the State Personnel Act that has 6

successfully completed the prescribed probationary period. All County positions are subject to budget review and approval each year by the County Board of Commissioners, and all employees' work and conduct must meet standards of performance and behavior. Therefore, reference to "regular" employees is not to be construed as a contract or right to perpetual funding or employment, and does not affect the at-will status of the employment relationship. The following classifications are not eligible for benefits and no service credit shall be given for time worked until transferred/hired into a regular position that has been budgeted within the budget with an associated grade and step unless otherwise noted. g. Temporary or Substitute Employee: A person appointed to serve in a position less than 1,000 hours per calendar year or an employee serving on an as needed basis to fill in for other employees. Temporary employees do not have individual budgeted positions. Temporary employees are budgeted as a group with a lump sum dollar amount available for the employees appointed. Temporary employees are not approved to be used as a full time or a part time employee. Temporary employees can substitute for other employees or work as needed. Temporary employees may or may not be assigned a grade and step on the payroll plan. Temporary employees are not considered permanent employees and may or may not be put on a work schedule. Temporary employees are not guaranteed hours. Temporary employees who work 30 or more hours may participate in the county s health insurance plan in accordance with the Affordable Care Act. Temporary employees who work at least 1250 hours in a year may be eligible for FMLA leave if requested for a qualifying reason. Temporary employees do not earn leave and are not eligible for holiday pay. Temporary employees that meet the 1,000 hour threshold in a calendar year cannot work during the remainder of that calendar year. If the temporary employee is worked beyond the pay period that they meet the 1,000 hour threshold the department head will be scheduled on the next Commissioners agenda to seek approval from the Board of Commissioners to establish a part-time position in their department. h. Seasonal Employee: A temporary employee who works in a position which is seasonal in nature and does not work more than thirty-six (36) weeks in any calendar year and who is exempt from the minimum wage and overtime provisions of the Fair Labor Standards Act. i. Volunteer: A person who donates their time and energy without receiving financial or material gain. The individual would need to (1) work toward public service, religious, or humanitarian objectives; (2) not expect or receive compensation for services; and (3) not displace any genuine employees. Individuals cannot volunteer to do the same type of work that they perform as a part of their normal work duties. j. Intern. A person who receives college credit by completing educational tasks and not busy work. An intern cannot displace existing employees. An intern usually has a contract/agreement that is signed between the school and the employer with the criteria of the internship and completes a paper, project, presentation after the internship to share what is learned with the professor and/or class. Students are not automatically entitled to a job at the conclusion of the training. B. Definitions Adverse Action: A demotion, dismissal, reduction in pay, layoff, or involuntary transfer or suspension. Alcohol/Substance Abuse: Consists of any use of illegal drugs or controlled prescription drugs obtained unlawfully; or excessive use of lawfully obtained prescription drugs or over-the-counter drugs or alcohol when such 7

use substantially impairs job performance, alters work behavior, and/or creates a risk to the health and/or safety of the employee or others. Allocation: The approval of a position by the appropriate authority based upon the needs of the County. Applicant: One who places himself or herself in competition for a vacant position by virtue of completing and submitting an application for employment regardless of employment status. Appointing Authority: Any board or position with legal or delegated authority to make hiring decisions. Authorized Absence: An employee absence approved by the County after proper notification (reason for absence and estimated length of absence). Board of County Commissioners: The local government unit charged with the legislative affairs of the County. Break in Service: Any separation from employment with the County whether by resignation, retirement, lay- off, disability, unauthorized absence or termination when the employee is subsequently re-employed by the County. An authorized leave without pay will not count as a break in service. Class: A position or group of positions having similar duties and responsibilities and requiring similar qualifications that can be properly designated by one title indicative of the group of positions having similar ranking groups of classification based on internal comparisons and market surveys of relative duties and responsibilities. Classification Plan: A systematic plan of structuring groups of classifications in a formal method to facilitate ranking the classifications or groups of classifications with respect to their individual relationships. Compensatory Overtime: Time earned at a rate of time and one-half by a non-exempt employee for hours worked in excess of 40 hours in a workweek or, in case of law enforcement, in excess of 171 hours in a 28-day period. Continuous Service: The length of employment with the County, from the first date of employment continuing until the employee s separation from employment by retirement, resignation or termination of employment. Cost of Living Adjustment (COLA): An adjustment in pay that takes into consideration the impact of inflation on purchasing power. Demotion: Movement of an employee from one job class to another within the County, where the pay grade for the new position is lower than that of the former position. Downgrade: A change that results in a lower pay grade being assigned to the classification of a position based on changes in essential duties, responsibilities, reorganization, or market comparable positions. Drug: A controlled substance as defined in NCGS 90-87(5) or a metabolite thereof. These substances include, but are not limited to, marijuana, cocaine, heroin, prescription drugs, alcohol, opiates, amphetamines, and synthetically produced drugs or other impairing substances. Drugs, unless the context indicates otherwise, does not include non-controlled, over-the-counter drugs. Emergency Position: A position in which the duties and responsibilities are required to be attended for a period of time not to exceed thirty (30) calendar days. 8

Exempt Employee: An employee specifically exempt from the overtime compensation provisions of the Fair Labor Standards Act (FLSA) as defined and limited by administrative rules and regulations; these employees generally have as their primary duty management, administration, or work of a professional nature. FLSA: Fair Labor Standards Act is a federal statute defining minimum wage and overtime compensation, and classifying positions as exempt or non-exempt. FMLA: The Federal Family Medical Leave Act of 1993, with amendments. Full-time Equivalent (FTE): The number of hours worked per annum in relationship to a full-time position. The County uses 2,080 hours to calculate FTE. Grievance: A claim or complaint based upon an event or condition allegedly caused by misinterpretation, unfair application, or lack of established policy pertaining to employment conditions. A grievance may involve alleged safety or health hazards, unsatisfactory physical facilities, surroundings, materials or equipment, unfair or discriminatory supervisory or disciplinary practices, unjust treatment by fellow workers, unreasonable work quotas, or any other inequity relating to conditions of employment. A grievance does not include being turned down for promotion or transfer unless discrimination is alleged to have caused said action. Hiring Rate: The salary paid an employee when hired into County Service. Hostile Work Environment: A work environment that both a reasonable person would find hostile or abusive and one that the particular person who is object of the harassment perceives to be hostile or abusive. Immediate Family: Unless otherwise specified, immediate family means spouse, mother, father, guardian, children, sister, brother, grandparents, grandchildren, plus the various combinations of half, step, in-law and adopted relationships that can be derived from these named. Longevity Plan: A plan to reward employees for faithful continuous service, based solely on longevity. Payment made one time per calendar year. Maximum Salary Rate: The maximum salary authorized for an employee within an assigned salary grade (the last step within a grade.) Merit Increase: An increase in salary within the same salary grade, based on meritorious service and on performance of duties above the standard for the assigned position. Merit Principle: A systematic and uniform method of personnel administration designed to provide objective recruiting, employment, retention and promotion of those persons best qualified, all other factors excluded. Non-exempt Employee: An employee who is entitled to minimum wage and overtime compensation pursuant to the Fair Labor Standards Act. Overtime: Work performed at the express authorization of the County in excess of forty (40) hours in a seven (7) day period as defined by the Fair Labor Standards Act. Pay Grade: A level within the compensation plan into which job classes with similar job evaluation factors are placed for compensation purposes. Pay grades have a minimum rate, a midpoint rate, and a maximum rate. Pay Plan: A schedule of pay ranges systematized into sequential rates including minimum, standard job rate and maximum steps for each class assigned to any given salary range. 9

Position: A group of duties and responsibilities assigned to a department, based upon the needs of the County that may be performed by one or more employees, not to exceed the full-time equivalent (FTE) of the position. Position Classification Plan: A plan approved by the Board of County Commissioners that assigns classes (positions) to the appropriate pay grade. Prior Caldwell County Service: Caldwell County service is defined as prior employment in a regular position in any department or agency of Caldwell County Local Government and shall be recognized, regardless of the length of the break-in-service, for vacation accrual and Longevity calculation. Any ending sick leave balance from the prior Caldwell County period of employment will be recognized upon re-employment. Prior Service: Prior employment with any North Carolina governmental unit or subdivision thereof. Separation from the prior employment and employment with Caldwell County must not exceed three (3) years and verified within sixty (60) days of employment. Prior service credit will be recognized for vacation and longevity calculation. Any ending sick leave balance from the verified Prior Service will be recognized upon employment. (The 3 year break-in-service limit does not apply to Caldwell County employment). Probationary Employee: A person appointed to a regular position who has not completed the probationary period. Probationary Period: The required period of time an employee serves before obtaining regular status when entering County service. Promotion: The reassignment of an employee to an existing position or classification in the County service having a higher salary range than the position or classification from which the reassignment is made. Quid Pro Quo: Harassment that consists of unwelcome sexual advances, request for sexual favors, or other verbal, visual, written or physical conduct of a sexual nature when the employee is told or threatened expressed or implied that submission to the conduct will influence any personnel decision. Range Revision: When one or more salary grades are assigned a different minimum and/or maximum salary range, or when a classification is assigned a new pay grade. Reclassification: The reassignment of an existing position from one class to another based on changes in job content such as duty, kind, difficulty, required skill and responsibility of the work performed. Reduction in Force (RIF): The abolishment of or reduction of a position or some portion of a position based on needs of the organization, workload, and availability of funding. Regular Employee: An employee who has completed at least six (6) months of satisfactory County service and has been approved for regular status by his/her Department Head and Human Resources Director. Regular Position: A position which has been approved by the Board of County Commissioners and in which the duties and responsibilities are required to be attained on a continuous and annually recurring basis, normally requiring full-time employment of an individual. Exceptions to full-time employment are where the recurring duties and responsibilities of a permanent position can be attended in less than a regular workday and/or work week. Reorganization: Due to changes in the organizational needs of the department, the duties and responsibilities or technological requirements of a position may be reclassified, and a position may be abolished in full or in part, or created according to County policy. 10

Resignation: Voluntary separation of employment from the County initiated by the employee. Reasonable Suspicion: The belief that an employee or applicant is probably using or has recently used drugs or alcohol in violation of the County s policy. This belief shall be based upon specific, objective facts and reasonable inferences. Retaliation: Adverse treatment which occurs because of opposition to unlawful workplace harassment. The law forbids retaliation when it comes to any aspect of employment, including hiring, firing, pay, job assignments, promotions, layoff, training, fringe benefits and any other term or condition of employment. Salary Grade: All positions which are sufficiently comparable to warrant one range of pay rates. For the purpose of this definition, the words grade, salary range, level and range are used interchangeably. Salary Plan: A schedule of pay ranges systematized into sequential rates including minimum, intermediate and maximum steps for each class assigned to any given salary range. Salary Plan Revision: The uniform raising and lowering of the salary ranges of every grade within the salary plan. Salary Range: A minimum rate of pay to a maximum rate of pay assigned to a pay grade within the Compensation Plan. Salary Range Revision: The raising or lowering of the salary range for one or more specific classes of positions within the classification plan. Salary Schedule: A listing by grade and step of all the approved hiring, maximum, standard job rate and minimum salary ranges authorized by the Board of County Commissioners for various position classifications of County government. State Personnel Act: North Carolina General Statute 126, which governs employees covered by State personnel policies. In the event that Caldwell County s Employee Personnel Policies conflict with state personnel policies for employees subject to the State Personnel Act, state personnel policies established under the State Personnel Act will prevail. Termination: An involuntary separation of an individual s employment initiated by the County. Time Limited Appointment: A permanent or part-time appointment which is approved for a specific period of time not to exceed 12 months or not to exceed the grant timeline. Time-limited appointments are made, but are not limited to, filling vacancies due to an incumbent s leave of absence, in response to unusual workload demands, vacancies in the workforce, or specific to position funding such as grants which expire after a specified time. Trainee: An employee designated as such, appointed to a position in any class for which the County Manager, Department Head, Director of Human Resources and Office of State Human Resources (OSHR) formerly Office of State Personnel (OSP) has authorized trainee appointments. An individual may not be appointed as a trainee if he/she possesses the acceptable training, education and experience for the regular class, and must be appointed to the regular class when he/she gains the acceptable training, education and experience. Transfer: Movement of an employee from one job class to another within the County where the pay grade remains the same as the former position. Unauthorized Absence: Any absence during a scheduled work period without authorization from the employee s supervisor or when an employee does not follow established policies and procedures for an absence. 11

Unlawful Workplace Harassment: Unwelcome and unsolicited speech or conduct based upon race, sex, creed, religion, national origin, age, color or disability that creates a hostile work environment or upon a quid pro quo. Voluntary Reassignment: A voluntary reassignment is a change in employment to a position in a lower pay grade, in a higher pay grade or in the same pay grade that is mutually agreed to by the employee and the employer. Work-against Appointment: When qualified applicants are unavailable, and there is no training provision for the classification of the vacancy, the appointing authority may appoint an employee who does not meet the minimum requirements of the position, to a pay grade that is below the pay grade of the regular classification in a workagainst appointment. A work-against appointment allows the employee to gain the qualifications needed for the regular job class through on-the-job experience. To advance to the pay grade of the regular job class, the appointee must meet the minimum education and experience requirements of the job class. Section 4: Merit Principle All appointments and promotions hereunder shall be made solely on the basis of merit and ability. All positions requiring the performance of the same duties and fulfillment of the same responsibilities shall be assigned to the same class and the same salary range. No applicant for County employment or employee shall be deprived of employment opportunities or otherwise adversely affected as an employee because of such individual s race, color, religion, sex, national origin, political affiliation, disability or age. Section 5: Responsibilities of the Board of Commissioners Pursuant to North Carolina General Statutes, the Caldwell County Board of Commissioners is responsible for adopting personnel policies and managing them as necessary, adopting the classification and pay plan and amending the plan as necessary to maintain a plan that is fair and equitable, confirming appointments as required by law, and fulfilling other responsibilities that may be established by state statute. The Board of Commissioners shall establish office hours, workdays and holidays to be observed by the various offices, departments, boards, commissions and agencies of the County per N.C.G.S. 153A-94. The County Manager is designated to serve as Personnel Officer by the Board of Commissioners. Section 6: Responsibilities of County Manager Pursuant to North Carolina General Statute 153A-82, the County Manager is the chief administrator of County Government and responsible to the Board of County Commissioners for the administration of all departments of county government under the board s general control. The County manager is authorized to appoint, discipline, suspend, and remove all County officers and employees, except those elected by the people or employees whose appointment is otherwise provided for by law or those specifically exempt such as employees subject to the State Personnel Act. For employees subject to the State Personnel Act, the respective Agency Director is authorized to appoint, discipline, suspend, and remove those covered employees. The County Manager shall make appointments, dismissals, and suspensions in accordance with N.C.G.S. 153A-82 and these employee personnel policies. Pursuant to N.C.G.S. 153A-92(c), the County Manager is responsible for preparing position classification and pay plans for submission to the Board of Commissioners and for administering the pay plan and 12

any position classification plan in accordance with the general policies and directives adopted by the Board. North Carolina General Statute 153A-82 further states: 1) He shall appoint with the approval of the board of commissioners and suspend or remove all county officers, employees, and agents except those who are elected by the people or whose appointment is otherwise provided for by law. The board may by resolution permit the manager to appoint officers, employees, and agents without first securing the board's approval. The manager shall make his appointments, suspensions, and removals in accordance with any general personnel rules, regulations, policies, or ordinances that the board may adopt. The board may require the manager to report each suspension or removal to the board at the board's first regular meeting following the suspension or removal; and, if the board has permitted the manager to make appointments without board approval, the board may require the manager to report each appointment to the board at the board's first regular meeting following the appointment. 2) He shall direct and supervise the administration of all county offices, departments, boards, commissions and agencies under the general control of the board of commissioners, subject to the general direction and control of the board. 3) He shall attend all meetings of the board of commissioners and recommend any measures that he considers expedient. 4) He shall see that the orders, ordinances, resolutions, and regulations of the board of commissioners are faithfully executed within the county. 5) He shall prepare and submit the annual budget and capital program to the board of commissioners. 6) He shall annually submit to the board of commissioners and make available to the public a complete report on the finances and administrative activities of the county as of the end of the fiscal year. 7) He shall make any other reports that the board of commissioners may require concerning the operations of county offices, departments, boards, commissions, and agencies. 8) He shall perform any other duties that may be required or authorized by the board of commissioners. (1927, c. 91, ss. 6, 7; 1973, c. 822, s. 1.) Section 7: Responsibilities of Personnel Officer Human Resources Director The County Manager may appoint a Personnel Officer/Human Resources Director who shall assist in the preparation and maintenance of the position classification plan and the compensation plan, and perform such other duties in connection with the County personnel program as the County Manager may require. If the County Manager does not appoint a Personnel Officer or Human Resources Director, the County Manager or such employee who is under his or her direction and supervision shall perform all of the following duties and 13

responsibilities. The duties and responsibilities of the Personnel Officer/Human Resources Director or the County Manager as Personnel Officer shall include but not be limited to the following: Apply, interpret, and carry out these employee personnel policies, and the policies adopted hereunder, as directed by the County Manager; Establish and maintain records relating to all persons in County employment or service; Develop and administer recruiting policies and programs to attract qualified applicants to meet the needs of the County; qualified applications will be forwarded to the individual agencies; Encourage and exercise leadership in development of an effective personnel administration within various County departments. Investigate as necessary and appropriate, the time, operation and effect of these personnel policies and other policies as appropriate; Make recommendations, as appropriate, to the County Manager or the Board of Commissioners regarding County personnel functions; Issue and publish, as necessary, administrative directives, supplements, interpretations, policy statements, forms, reports, and other personnel materials necessary for the proper functioning and maintenance of these Employee Personnel Policies. Designate those employees who are exempt from the overtime provisions of the Fair Labor Standards Act; Establish, maintain, and administer compensation and benefit programs; Develop and administer a performance review program; Review, evaluate and provide training, development, wellness and educational programs for County employees; Serve as the County s EEO Officer and report any EEOC claim or potential claim to the County Manager immediately upon notification; Serve as the County s ADA Coordinator; Coordinate personnel action processes and facilitate and document appropriate grievance processes to ensure the County provides adequate consideration in resolving personnel actions. Section 8: Personnel Advisory Committee Removed 2015 14

Section 9: Responsibilities of Elected Officials Pursuant to North Carolina General Statute 153A-103, the Sheriff and the Register of Deeds have the exclusive authority to hire, discharge, and supervise the employees of their respective departments. These policies apply to the employees of the Sheriff and Register of Deeds to the extent they do not conflict or usurp the authority granted under N.C.G.S. 153A-103. Section 10: Responsibilities of the Department Heads Caldwell County Department Heads shall be responsible for bringing to the attention of the County Manager and/or Human Resources Director (1) the need for new positions and (2) material changes in the nature of duties, responsibilities, working conditions, or other factors affecting the classifications of any existing positions. The Department Head of each County department or Board shall be responsible to the County manager for recommendations for the appointment, suspension, and removal of County officers or employees assigned to their departments. Department Heads are also expected to effectively and quickly manage personnel issues and harassment claims. The Department Head of each County department or Board shall be responsible to the County Manager that all employees are thoroughly familiar with the provisions of these employee personnel policies. The Departments of Social Services and Health will process appointments, suspensions, and removal through the County Manager for budgetary review. Department Heads are responsible for establishing a list of essential positions and planning for alternate work arrangements for employees to continue County services in times of emergencies. It is also expected that Department Heads act appropriately and professional at all times while working with employees and the citizens of Caldwell County. 15

ARTICLE II CLASSIFICATION PLAN Section 1. Adoption The position classification plan, as from time to time approved by the Board of County Commissioners, is hereby adopted as the position classification plan for Caldwell County. Position classification is one of the most important steps which can be taken toward the development of efficient human resources administration. It provides the basis for an equitable and logical pay plan, for meaningful standards of recruitment and selection, budget maintenance and improved organization. Section 2. Allocation of Positions The Human Resources Director shall allocate each position covered by the classification plan to its appropriate class in the plan. Section 3. Administration of the Position Classification Plan The County Manager, or Human Resources Director, as designated by the County Manager, shall be responsible for the administration and maintenance of the Position Classification Plan so that it will accurately reflect the duties performed by employees in the classes to which their positions are allocated. Department Heads shall be responsible for bringing to the attention of the County Manager and Human Resources Director (1) the need for new positions, and (2) material changes in the nature of duties, responsibilities, working conditions, or other factors affecting the classifications of any existing positions. New positions shall be established only with the approval of the Board of County Commissioners after which the Human Resources Director shall either (1) allocate the new position to the appropriate class within the existing classification plan, or (2) recommend that the Board of County Commissioners amend the position classification plan to establish a new class to which the new position may be allocated. When the Human Resources Director finds that a substantial change has occurred in the nature or level of duties and responsibilities of an existing position, the Human Resources Director shall, after consultation with the Department Heads, (1) recommend that the existing class specification be revised, (2) reallocate the position to the appropriate class within the existing classification plan, or (3) recommend to the County Manager that the Board of County Commissioners amend the position classification plan to establish a new class to which the position may be allocated. Section 4. Amendment of Position Classification Plan Classes of positions shall be added to and deleted from the position classification plan by the Board of County Commissioners based on the recommendation of the County Manager and Human Resources Director. 16

ARTICLE III THE PAY PLAN Section 1. Adoption The Salary Schedule, reflecting both salary grade and range, as approved by the Board of County Commissioners, is hereby adopted as the Pay Plan for Caldwell County. Section 2. Maintenance of the Pay Plan The Human Resources Director shall be responsible for the administration and maintenance of the Pay Plan. The Pay Plan is intended to provide equitable compensation for all positions when considered in relation to each other, to comparable rates of pay for similar employment in the private sector and in other public jurisdictions in the area, to financial conditions of the County, and other objective factors. To this end, the Human Resources Director shall, as necessary, make comparative studies of all factors affecting the level of salary ranges and shall recommend to the County Manager and Board of County Commissioners such changes in salary ranges as appear to be warranted. Section 3. Administration of the Pay Plan The pay philosophy of Caldwell County shall be administered in a fair and systematic manner in accordance with work performed. The pay structures shall be externally competitive, maintain proper internal relationships among all positions, based on relative duties and responsibilities, and shall recognize performance as the basis for pay increases within the established pay range. The performance evaluation system designed to facilitate fair and equitable merit pay decisions must meet the needs of both management and employee. The following provisions shall govern the hiring rate, as well as the granting of within-range pay increments: A. Hiring Rate/Starting Salary: All employees will be hired at the minimum rate of their assigned salary grade. Appointments above the hiring rate may be made with the approval of the Human Resources Director and County Manager when deemed necessary in the best interest of the County, and will be based on such factors as qualifications of the applicant being higher than the desirable education and training for the class; shortage of qualified applicants available at the hiring rate; and/or the refusal of qualified applicants to accept employment at the hiring rate/starting salary. B. The County Manager shall continue to have the annual discretion to implement individual salary and pay plan adjustments that reflect the current job market rate as well as internal equity so long as such actions are consistent with an overall pay plan that ensures adequate recruitment and retention of employees. Such actions shall not be finalized until each Commissioner is notified of the planned action. Should any Commissioner have concerns or wish to have the entire Board take action to consider the matter, the item will be placed on a Commission meeting agenda for the purpose of decision making. 17

C. Salary increases: The County Commissioners shall annually determine the basis for salary adjustments. Approved: 5-17-2004 Effective: 6-1-2004 Section 4. Payment at a Listed Rate All employees shall be paid at a listed rate within the salary ranges established for their respective job classes except for employees in a trainee status, or employees whose present salaries are above the established maximum rate following transition to a new pay plan. When an employee attains the maximum rate of a salary range for his/her present position, no further salary increase will be received unless: A. The position is reclassified: B. The employee is promoted to another position with a higher salary range, or, C. The salary for the present position is increased. Section 5. Salary of Trainee An applicant hired, or employee promoted to a position in a higher class who does not meet all the established requirements of the position, shall be appointed at a pay rate no greater than one (1) grade below the minimum salary. Employees shall be designated Trainees based upon recommendations of the Department Head with the approval of the Human Resources Director. An employee in a trainee status shall continue to receive a reduced salary until the appointing Department Head and the Human Resources Director shall determine that the trainee is qualified to assume the full responsibilities of the position. Section 6. Pay Rates in Promotion, Demotion, Transfer and Reclassification When an employee is promoted, demoted, transferred or whose position has been reclassified, the rate of pay for the new position shall be established in accordance with the following rules: A. When a promotion occurs, the employee s salary shall be increased 5% or increased to the minimum step of the new pay range, whichever is higher. B. When a demotion occurs, and the employee s current salary falls above the maximum of the range for the lower class, the employee s salary may remain the same until general schedule adjustments or range revisions bring it back within the lower range; or the employee s salary may be reduced to any step in the lower salary range, as long as the reduced salary does not fall below the minimum salary rate of that range. Action of the above shall be the responsibility of the Department Head with approval from the Human Resources Director, or in the case of Department Heads, by the County Manager. 18

C. When a transfer occurs from a position in one class to a position in another class, assigned to the same pay range, the employee shall continue to receive the same salary. D. When an employee is temporarily transferred from a position in one class to a position in another class, at a higher grade, they shall be paid at the higher rate while in said temporary position. E. Reclassification: When an employee s position is reclassified to a class having a higher salary range, due to assignment of additional duties and/or responsibilities, the salary will be increased 5% or will be increased to the minimum step of the new range, whichever is higher. When an employee s position is reclassified to a class having a lower salary range, the employee s salary will remain the same. F. Labor Market Adjustment: When an employee s position is adjusted to a class having a higher salary range, due to the current labor market trends for hiring and retention, the employee s salary will be adjusted to at least the minimum of the new salary range. G. Redefinition of Class: When an employee s position is redefined due to redefinition of position class or class series to include departmental organizational changes and/or classification description, no salary increase will be given, only the position title will change. Effective Date: The effective date of this policy shall be January 1, 2003, in accordance with previous action of the Caldwell County Board of County Commissioners. Disclaimer: The Board of County Commissioners will review this benefit annually and may, effective July 1 st of each year, delete, modify, enhance or otherwise make changes to this benefit. Section 7. Pay Rates in Salary Range Revision When the Board of County Commissioners approves a change in salary range for a class of positions, the salaries of employees whose positions are allocated to that class shall be affected as follows: A. When a class of positions is assigned to a higher pay range, the employee s salary shall be increased, if it is below the new minimum, to at least the minimum rate of the new salary range. If an employee s current salary is already above the new minimum salary rate, his/her salary may be adjusted up to five steps upward or left unchanged at the discretion of the Department Head and Human Resources Director, provided that the adjusted salary does not exceed the maximum of the assigned salary range. B. When a class of positions is assigned to a lower pay range, the salaries of employees in that class will remain unchanged. If this assignment to a lower pay range results in an employee being paid at a rate above the maximum step established for the new class, the salary of the employee shall be maintained at that level until such time as the employee s pay range is increased above the employee s current salary. 19

Section 8. Pay for Part-Time Work Compensation of any employee appointed for less than full-time service shall be computed on a pro rata basis for hours worked. The prorated hourly rate shall be based on the hiring rate of the position or classification to which the part-time employee is assigned. Section 9. Overtime Caldwell County shall abide by all applicable sections of the Fair Labor Standards Act along with the Fair Labor Standard Amendments of 1985. Under such implementation, Caldwell County will properly record all applicable overtime accrued for each covered employee. This policy shall be applicable to all employees of Caldwell County who are covered under the provisions of the Fair Labor Standards Act. Its intention is to assure compliance with such Act to the extent applicable to Caldwell County. A. Non-Law Enforcement Employees Exempt Full-time and part-time employees who have been classified as Exempt from the overtime provisions of the Fair Labor Standards Act are paid for the accomplishment of assigned accountabilities rather than being paid for the number of hours worked in a work week. A 100% or full-time exempt employee, as an example, would be expected to work a 40 hour week at a minimum during normally defined business hours unless prior approval to work a flexible schedule has been requested by the employee and approved by the Department Head, or the County Manager in the case of a Department Head. Hours worked in excess of a 40 hour work week by an exempt employee is considered accomplishment of assigned accountabilities for which there is no requirement for additional compensation whether in time off or pay. Non-Exempt Full-time and part-time employees who have been classified as Non-Exempt from the overtime provisions of the Fair Labor Standards Act must be paid for overtime hours worked or given compensatory time off in accordance with the guidelines in this policy (see Article VI Section 24). Overtime is paid or compensatory time off is given to non-exempt employees for hours worked in excess of 40 hours per week. The work week is defined as Sunday through the following Saturday. Approval to Work Overtime All overtime hours worked by all non-exempt employees must be approved in advance by the employee s Department Head or Supervisor. Based upon the provisions of the Fair Labor Standards Act, non-exempt employee work which has not been requested by management but is endured or permitted, is considered work time. Therefore, when an employee voluntarily works prior to or after his regularly scheduled work day, and it is endured or permitted, it is considered overtime hours when in excess of 40 hours in the work 20