University Policy Manual

Human Resources

SECTION 1 EQUAL OPPORTUNITY AND NONDISCRIMINATION

SECTION 2 JOB POSTING/APPLICATION PROCESS
2.1 OVERVIEW
2.2 JOB POSTINGS
2.3 APPLICATION PROCESSING
2.4 HIRING

SECTION 3 EMPLOYEE CATEGORIES
3.1 REGULAR STAFF
3.2 TEMPORARY STAFF
3.3 TEMPOS
3.4 TEMPORARY EMPLOYMENT AGENCIES
3.5 STUDENT WORKERS
3.6 FULL-TIME STAFF
3.7 PART-TIME STAFF
3.8 EXEMPT STAFF
3.9 NONEXEMPT STAFF
3.10 MULTIPLE POSITIONS
3.11 STATUS CHANGE: EFFECTS OF
3.12 RESTRICTED POSITIONS
3.13 ACTING STATUS

SECTION 4 EMPLOYEE FILES

SECTION 5 WAGE AND SALARY ADMINISTRATION
5.1 OVERVIEW
5.2 GRADE LEVELS
5.3 SALARY RANGES
5.4 HIRING RANGES
5.5 CLASSIFICATION GRADING SYSTEM
5.6 NEW POSITIONS
5.7 REPLACEMENTS

SECTION 6 NEW EMPLOYEES
6.1 DOCUMENTATION
6.2 ORIENTATION
6.3 I.D. CARDS
6.4 EMPLOYEE BULLETIN
6.5 ANNIVERSARY DATE
6.6 PARKING

SECTION 7 CHANGES IN SALARY
7.1 OVERVIEW
7.2 INTRODUCTORY INCREASES
7.3 PERFORMANCE (MERIT) INCREASES

SECTION 8 TRANSFERS
8.1 OVERVIEW
8.2 LATERAL TRANSFERS
8.3 PROMOTIONAL TRANSFERS
8.4 DEMOTIONAL TRANSFERS

SECTION 9 DISCIPLINARY ACTION
9.1 REPRIMANDS
9.2 SUSPENSION

SECTION 10 TERMINATIONS
10.1 OVERVIEW
10.2 VOLUNTARY TERMINATIONS
10.3 TERMINATIONS FOR CAUSE
10.4 LAYOFFS

SECTION 11 PERSONAL APPEARANCE AND CONDUCT
11.1 PERSONAL APPEARANCE
11.2 CONDUCT
11.3 SMOKING
11.4 PERSONAL TELEPHONE CALLS
11.5 SEXUAL HARASSMENT
11.6 CONFLICT OF INTEREST
11.7 OFFICER AND EMPLOYEE SERVICE AS FIDUCIARIES

SECTION 12 PAYROLL AND TIME REPORTING
12.1 OVERVIEW
12.2 PAY PERIODS
12.3 RATE CHANGES
12.4 TIME RECORDS
12.5 REPORTING OF TIME OFF/ABSENCE
12.6 TARDINESS

SECTION 13 THE WORK DAY/WORK WEEK
13.1 THE WORK DAY
13.2 THE WORK WEEK
13.3 STANDARD WORK SHIFT
13.4 SPECIAL SHIFT
13.5 OVERTIME NONEXEMPT EMPLOYEES
13.6 OVERTIME: EMERGENCY
13.7 FLEX-TIME

SECTION 14 LEAVES OF ABSENCE
14.1 OVERVIEW
14.2 DEATH IN THE FAMILY
14.3 MEDICAL LEAVE
14.4 MILITARY LEAVE
14.5 PERSONAL LEAVE
14.6 SICK LEAVE
14.7 FAMILY MEDICAL LEAVE POLICY
14.8 STAFF CAREER AND SPIRITUAL DEVELOPMENT LEAVE

SECTION 15 VACATIONS
15.1 ACCRUAL
15.2 SCHEDULING
15.3 HOLIDAYS FALLING WITHIN VACATION PERIOD
15.4 PAYOFF UPON RESIGNATION/TERMINATION

SECTION 16 HOLIDAYS
16.1 ANNUAL HOLIDAYS
16.2 WEEKEND HOLIDAY OBSERVANCE

SECTION 17 COURT AND COURT-RELATED APPEARANCES
17.1 JURY DUTY
17.2 SUBPOENAS
17.3 SUBPOENAS FOR DOCUMENTS
17.4 PROCEDURES FOR COMPLIANCE
17.5 REQUESTS FOR POSTPONEMENT/EXCUSE FROM SERVICE

SECTION 18 EMERGENCIES AND NATURAL DISASTERS
18.1 OVERVIEW
18.2 EMERGENCY PREPAREDNESS PLAN
18.3 ROAD CLOSURES
18.4 COMPENSATION

SECTION 19 UNIVERSITY BENEFIT CLASSES
19.1 OVERVIEW
19.2 CLASS I FACULTY BENEFITS
19.3 CLASS II EMPLOYEE BENEFITS
19.4 CLASS II VACATION BENEFITS
19.5 CLASS II TRANSFER PROCEDURE
19.6 CLASS III STAFF BENEFITS

SECTION 20 TUITION BENEFITS
20.1 BENEFITS
20.2 ELIGIBILITY
20.3 LIMITATIONS OF BENEFITS
20.4 PERSONNEL ON LEAVE OF ABSENCE
20.5 TUITION BENEFITS FOR DEPENDENTS OF DISABLED OR DECEASED EMPLOYEES
20.6 BENEFITS TO EMPLOYEES WHO ARE TERMINATED OR WHO RESIGN
20.7 APPLICATION FOR BENEFITS
20.8 TAX IMPLICATIONS
20.9 RECIPROCAL TUITION REMISSION AGREEMENT AMONG CHRISTIAN COLLEGES

SECTION 21 MISCELLANEOUS BENEFITS
21.1 SPECIAL ACTIVITIES
21.2 EMPLOYEE DISCOUNTS
21.3 LIBRARY
21.4 ATHLETIC FACILITIES
21.5 CHECK CASHING
21.6 CREDIT UNION

SECTION 22 INSURANCE COVERAGE
22.1 COVERAGES
22.2 ELIGIBILITY
22.3 PARTICIPATION: LIFE INSURANCE AND ACCIDENTAL DEATH AND DISMEMBERMENT
22.4 PARTICIPATION: LONG-TERM DISABILITY
22.5 PARTICIPATION: MEDICAL PLANS
22.6 PARTICIPATION: DENTAL PLANS
22.7 PSYCHOLOGICAL COUNSELING
22.8 COSTS
22.9 CONVERSION PRIVILEGES
22.10 CONTINUATION COVERAGE (COBRA)

SECTION 23 CALIFORNIA STATE DISABILITY INSURANCE
23.1 PROVISIONS
23.2 PAYMENTS: COORDINATION OF BENEFITS
23.3 LIMITATIONS
23.4 DISQUALIFICATIONS

SECTION 24 WORKER'S COMPENSATION INSURANCE
24.1 PROVISIONS
24.2 BENEFITS

SECTION 25 UNEMPLOYMENT COMPENSATION
25.1 GENERAL
25.2 EMPLOYER PENALTIES

SECTION 26 RETIREMENT
26.1 OVERVIEW
26.2 RETIREMENT PLAN ELIGIBILITY
26.3 RETIREMENT PLAN PARTICIPATION
26.4 RETIREMENT PLAN CONTRIBUTIONS
26.5 TAX-DEFERRED ANNUITIES

SECTION 27 SOCIAL SECURITY
27.1 OVERVIEW

SECTION 28 SERVICE AWARDS
28.1 OVERVIEW

SECTION 29 BENEFITS REVIEW
29.1 BENEFITS REVIEW PROCEDURE
29.2 SOLICITATION OF EMPLOYEES

SECTION 30 COMPLAINTS
30.1 EMPLOYEE GRIEVANCE PROCEDURE
30.2 GRIEVANCE PROCEDURE FOR DISCHARGED EMPLOYEE
FLOW CHART FOR STAFF GRIEVANCE PROCEDURE

SECTION 31 SUPERVISOR'S RESPONSIBILITIES
31.1 GUIDELINES
31.2 TO THE UNIVERSITY
31.3 TO IMMEDIATE SUPERVISOR
31.4 TO OTHER SUPERVISORS
31.5 TO SUBORDINATES

SECTION 32 SAFETY
32.1 INTRODUCTION
32.2 INJURY AND ILLNESS PREVENTION PROGRAM
32.3 ASSIGNMENT OF RESPONSIBILITIES
32.3.1 POLICY COMMITTEE(S)
32.3.2 SAFETY PROGRAM DIRECTORS
32.3.3 Insurance & Risk Manager
32.3.4 SAFETY COMMITTEE(S)
32.3.5 MANAGERS
32.3.6 SUPERVISORS
32.3.7 FACULTY AND STAFF
32.4 EMPLOYEE COMPLIANCE
32.5 COMMUNICATING WITH FACULTY AND STAFF
32.6 IDENTIFYING & EVALUATING HAZARDS
32.7 INJURY & ILLNESS INVESTIGATION
32.8 CORRECTING UNSAFE WORK PRACTICES & CONDITIONS
32.9 TRAINING AND INSTRUCTION

SECTION 33 SUBSTANCE ABUSE
33.1 PURPOSE
33.2 APPLICABILITY
33.3 DEFINITIONS
33.4 PROHIBITIONS
33.5 MEDICALLY AUTHORIZED DRUGS
33.6 FITNESS FOR DUTY, EXAMINATIONS AND TESTING
33.7 EMPLOYEE ASSISTANCE
33.8 REPORTING OBLIGATIONS
33.9 DISCIPLINARY ACTION

SECTION 34 VOLUNTEERS
34.1 OVERVIEW
34.2 VOLUNTEER ASSIGNMENT
34.3 PROCEDURES

SECTION 35 FELONY CONVICTION NOTIFICATION

SECTION 36 EMPLOYEE REPORTING OBLIGATION

SECTION 37 SUGGESTION AWARDS PROGRAM
37.1 OVERVIEW
37.2 ELIGIBILITY
37.3 EXCLUSIONS
37.4 SUBMISSION PROCEDURE

SECTION 38 COMPUTER USE POLICY

SECTION 39 EMPLOYMENT OF RELATIVES

SECTION 40 SMOKING POLICY

SECTION 41 DRIVER POLICY
41.1 PURPOSE
41.2 POLICY
41.3 PROCEDURES
41.4 SAFE DRIVING RECORD
41.5 PROTOCOLS WHILE DRIVING
41.6 REPORTING AUTO COLLISIONS
41.7 AUTO COLLISION FOLLOW-UP
41.8 RENTAL CARS

SECTION 42 BACKGROUND SCREENING

42.1 PURPOSE

42.2 POLICY

42.3 DEFINITIONS

42.4 PROCEDURES

INDEX

Section 1 - POLICY ON EQUAL EMPLOYMENT OPPORTUNITY AND NONDISCRIMINATION

I. EQUAL EMPLOYMENT OPPORTUNITY AND NONDISCRIMINATION

A. POLICY STATEMENT

Pepperdine University is an Equal Opportunity Employer and does not unlawfully discriminate on the basis of any status or condition protected by applicable federal or state law. Pepperdine is religiously affiliated with the Churches of Christ. It is the purpose of Pepperdine to pursue the very highest employment and academic standards within a context which celebrates and extends the spiritual and ethical ideals of the Christian faith. While students, faculty, staff and members of the Board of Regents represent many religious backgrounds, Pepperdine reserves the right to seek, hire and promote persons who support the goals and mission of the institution, including the right to prefer co-religionists.

B. EQUAL EMPLOYMENT OPPORTUNITY AND NONDISCRIMINATION PROCEDURES

It is the intent of Pepperdine University to create and promote a diverse work force consistent with its stated goals and mission.

1. Notice to Applicants and Employees

All University employment application forms shall refer to this University Policy on Equal Employment Opportunity and Nondiscrimination (the "Policy"). Further, all applicants for employment shall be requested, but not required, to submit an Applicant Data Record (addressing the applicant's race, gender and age). The Applicant Data Record shall not be made available to those making hiring or employment decisions. Such information shall be used only by Human Resources and/or the Equal Employment Officer in performing statistical analysis in order to ensure that the Policy is respected.

Further, the University's Employee Information Bulletin and the University's Human Resources Policies Manual shall conspicuously refer to the Policy.

2. Education

The University commits to providing resources each year for providing programs, workshops and/or seminars to its employees in order to further the Policy. The University's Equal Employment Advisory Committee shall assist in the planning of such programs, workshops, and/or seminars.

3. Advertisement and Recruiting Sources

All University advertisements shall include the phrase "Equal Employment Office" or "EEO." The University shall utilize recruiting resources likely to produce a diverse pool of applicants. The Equal Employment Officer may periodically analyze the performance of any and all employment recruiting resources

4. Hiring and Promotion Procedures

The University shall follow its internal hiring and promotion guidelines. Those persons who are responsible for hiring and promoting employees shall be advised by Human Resources of the Policy.

5. Committees

Where a committee is involved in hiring and/or promotion, all reasonable efforts shall be made to ensure a diverse composition of the committee.

6. Grievances

Any grievance alleging a violation of the Policy is to be processed in accord with established grievance procedures.

II. RESPONSIBILITIES OF THE EQUAL OPPORTUNITY OFFICER WITH REGARD TO THE POLICY

A. Responsibilities

The University Equal Employment Officer is responsible for the overall implementation and effectiveness of the Policy. He/she shall monitor and report on the University's commitment to providing equal employment opportunities and a nondiscriminatory working environment.

B. Periodic Examination

The Equal Employment Officer or his/her appointed designee shall periodically examine recruitment, hiring, promotion and other employment policies and practices for the purpose of determining whether they conform with the Policy.

C. Investigative Powers

The Equal Employment Officer shall be available to any employee who desires to discuss with him/her possible violations of the Policy. Where so informed or otherwise on notice of any possible violation(s) of the Policy, the Equal Employment Officer shall take such steps as he/she believes necessary or appropriate to resolve any failures to comply with the Policy.

The Equal Employment Officer shall have the authority to request and receive any and all information from University departments regarding all matters affecting the University's equal employment opportunity and nondiscrimination practices, including but not limited to new appointments, promotions, transfers, terminations, and complaints of discrimination and their final dispositions.

Where the Equal Employment Officer discovers that the University and/or any of its departments or divisions are failing to respect the Policy, he/she may cause a report to this effect to be submitted to the Executive Vice President and/or President.

D. Report to the Executive Vice President and General Counsel

Periodically, the Equal Employment Officer, with the assistance and cooperation of the University Equal Employment Advisory Committee and the Associate Vice President of Human Resources, will evaluate the University's progress in complying with the Policy. The Equal Employment Officer shall report his/her findings in writing to the Executive Vice President and General Counsel, who may be requested to forward the report to the President of the University. To the extent information and statistics are readily available, this report may include a general assessment of the University's compliance with the Policy.

E. Establishment of Equal Employment Advisory Committee

The Equal Employment Officer shall assist the University in establishing an Equal Employment Advisory Committee whose members shall represent various segments of the faculty and staff who shall advise the Equal Employment Officer and/or the University's administration on all aspects of equal opportunity and nondiscrimination.

III. Applicability of Policies

The Policy supersedes all previous University policies on nondiscrimination, affirmative action and/or equal employment opportunity.

Copies of this policy are available at the Human Resources and the dean of each school.

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Section 2 - JOB POSTING/APPLICATION PROCESS

2.1 OVERVIEW

All full-time academic and nonacademic positions, except those designated below, shall be posted internally a minimum of five working days before a final selection and appointment is made. Positions may be designated for promotion from within. (See also: PROMOTIONAL TRANSFERS) The Center for Human Resources will be responsible for the posting of staff job notices on jobs.pepperdine.edu as soon as practical after receiving notice of the availability of the position.

Exceptions to the above shall include faculty, librarian and student positions; temporary and part-time positions; certain program positions which fall outside the normal scope of operations; positions requiring a unique, specialized skill set and/or location (pre-approved by the Executive Vice President's Office); positions into which current employees are to be demoted; certain reevaluations not involving a major change in duties, reporting level, grade or salary; transitions resulting from reorganizations at the level of vice-president or above; and major administrative positions reporting to the vice-presidential level or above which call for compensation of $55,000 per year or more. In the latter two cases, the Executive Vice President's Office is to be notified prior to implementing such changes.

2.2 JOB POSTINGS

Open positions are posted on Pepperdine University Web site at jobs.pepperdine.edu. The site is regularly maintained by the Center for Human Resources.

All job postings indicate the "open for hire date" before which no final applicant selection or hiring decision may be made.

When a position is posted, the Center for Human Resources will send the supervisor a hiring packet containing copies of posting information and instructions relative to interviewing and hiring.

Advertisements in newspapers, professional journals, and internet job boards are posted upon request and are the financial responsibility of the hiring department. All advertisements must include an approved statement that the University is an equal opportunity employer.

2.3 APPLICATION PROCESSING

Applications for posted positions must be submitted on jobs.pepperdine.edu for an applicant to be considered.

Applications meeting the minimum posted qualifications will be made available to the hiring manager for consideration. The hiring manager is responsible for contacting applicants directly to arrange for interviews.

Hiring supervisors are strongly encouraged to check references (including current supervisors) on all candidates interviewed before a hiring decision is made. If references are checked on any candidate, they must be checked on all other candidates interviewed. Applicant permission to check references must be indicated on the application. When considering an internal applicant, please contact the Center for Human Resources to review applicant files.

2.4 HIRING

When a final hiring decision is made, the hiring manager should make a job offer and a salary offer within the range (if any) that has already been approved. If a supervisor wishes to offer a higher salary, he or she must obtain appropriate approval BEFORE discussing the possibility with the job candidate.

If an employee is transferring within a department or between departments, the transition must occur on the first day of the corresponding pay period. It is the responsibility of the hiring supervisor to contact the current supervisor to arrange a mutually acceptable date for the transition to occur. Normal notice is two weeks before a transition is effected; however, a shorter or longer notice period may be arranged through mutual agreement between the two parties.

To be placed on the payroll, a new hire must show proof of legal right to be employed in the United States by completing an I-9 form and must complete a W-4 form. (See also: NEW EMPLOYEES)

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Section 3 - EMPLOYEE CATEGORIES

3.1 REGULAR STAFF

Regular staff includes those employees working in approved positions which are not classified as restricted, temporary, student, or faculty.

A regular staff position is normally an ongoing position. An end date is not usually set at time of hire, although either the University or the employee may terminate the employment relationship at will at any time.

3.2 TEMPORARY STAFF

A temporary employee is one who is hired on a casual basis for completion of a specific task or project or due to the temporary absence of a regular employee. Temporary assignments are approved for limited periods of time, usually up to three months. At the end of three months, a temporary position may, with appropriate administrative approval, be extended for an additional three months. If extension of a temporary assignment is needed beyond the second three months, consideration should be given to reclassification as a restricted position.

Staff benefits are not granted, with the exception of holiday pay for qualifying temporary employees. To qualify for holiday pay, a temporary employee must have been continuously employed for at least 90 calendar days and regularly work 40 hours or more per week

To request a temporary position, a Personnel Action Request (PAR) should be submitted to the Center for Human Resources. Temporary positions do not require posting, but if requested by the hiring manager, the Center for Human Resources will post temporary job openings.

3.3 TEMPORARY POOL

The Center for Human Resources offers an in-house temporary staffing service to assist with your immediate or short-term clerical employment needs. To request service, please contact the Center for Human Resources at (310) 506-4397.

3.4 TEMPORARY EMPLOYMENT AGENCIES

The University discourages the use of temporary employment agencies. If temporary staffing needs are urgent or involve highly specialized skills which suggest the advisability of turning to an agency, the requesting department should contact the agency directly. Agency fees are the responsibility of the hiring department.

3.5 STUDENT WORKERS

A student worker is defined as an individual whose employment is incidental to the pursuit of a full-time course of study at the University. Individuals who have been admitted to the University, take a full load during an academic year as defined by the school or college in which they are enrolled, and are simultaneously employed in a student position will be classified as student workers. Such employees will be considered staff members only when they fill approved regular full-time positions requiring a minimum of 30 hours per week, and when their class schedules do not conflict with their regular working hours.

Regular working hours are defined as hours that would normally be assigned to performing a stated job without special arrangements to permit the employee to attend classes.

3.6 FULL-TIME STAFF

A full-time employee is one who works 30 hours or more per week and is hired to fill an approved regular full-time staff position.

Full benefits are available to regular full-time employees working 40 or more hours per week. Except as otherwise noted, prorated benefits are available to regular full-time employees who are approved to work at least 30, but less than 40, hours per week.

Regular full-time employees changing to part-time status may be continued under the Group Health Plan for a limited period of time. Contact the Center for Human Resources for details.

3.6.1 Nine to Twelve Month Positions

It is recognized that some staffing needs are greater during the academic year. Accordingly, positions may be designated as "9 to 12 month" positions, typically with assignments extending from August through April. The University will continue medical benefits and other insurance contributions during the three non-worked months for incumbents of such positions with assignments of at least 30 hours per week. Affected employees are responsible for any dependent coverage payments. For employee recognition purposes, a full year of service will be credited for each year of service in a 9-12 month position.

To qualify as a 9 to 12 month position, a job must be initially created as such or modified to that status by means of a Personnel Action Request.

For employees to receive benefits continuation for the non-worked months, they must be given written offers of continued employment for the period immediately following the summer months.

3.7 PART-TIME STAFF

A regular part-time staff employee is one who works in a regular staff position that has been approved for less than 30 hours per week.

Regular part-time staff who work 20 or more hours per week are eligible for the following benefits on a prorated basis when approved by the administration: prorated sick leave, vacation, holiday pay, and time off due to death in the family.

3.8 EXEMPT STAFF

An exempt employee is an administrator, director, assistant director, department head, or supervisor who is exempt under the Fair Labor Standards Act.

Exempt employees are defined to be those who:

meet state and federal earnings tests;
are employed in positions that are professional, executive, or administrative;
perform work requiring discretion and independent judgment;
spend no more than twenty percent (20%) of their time commitment per work week to routine clerical or manual nonexempt work under normal operating conditions;
are paid at a monthly rate of pay for days worked. Absences of one or more days are reported. (See also: PAYROLL AND TIME REPORTING.); and
are not subject to payment for overtime.

Those performing tasks which they supervise may not, normally, be considered exempt.

3.9 NONEXEMPT STAFF

A nonexempt employee is an employee who is not exempt under the Fair Labor Standard Act or state regulations.

Nonexempt employees are defined to be those who are:

paid on an hourly basis;
subject to payment for overtime;
entitled to break (or "rest") periods and lunch periods as prescribed by State and Federal regulations which are posted in Center for Human Resources (NOTE: while these regulations specify two ten-minute per day, the University grants breaks of 15 minutes.); and/or
non-teaching employees who earn less than the amounts specified by state and federal regulations.

3.10 MULTIPLE POSITIONS

Should an employee accept more than one staff or student position, the regularly assigned schedule of work may not exceed 40 hours per week.

3.11 STATUS CHANGE: EFFECTS OF

If an employee's status changes from part-time to full-time, or vice versa, the law requires that the employee receive an explanation of any change in benefits. The employee must contact the Center for Human Resources and sign a statement that applicable benefits have been explained.

All status changes must be approved by the appropriate administrator on a staff Personnel Action Request form prior to the initiation of the requested change. All Personnel Action Request forms are to be forwarded to the central Human Resources Office, where required administrative approvals will be obtained.

3.12 RESTRICTED POSITIONS

"Restricted" refers to a "regular" position which has been approved for a limited period rather than on an ongoing basis, and whose incumbent will qualify for all the benefits of regular employment. Generally, a position will be designated "restricted" if the duration of the initial approval exceeds the normal, three-month term for a temporary position.

3.13 ACTING STATUS

"Acting" refers to a regular employee being hired into a temporary position. The employee retains all of the benefits of regular status. Depending on the agreement by which the employee transferred out of his or her prior assignment into the "acting" position, the end of the temporary assignment will involve a return to the former position, transfer to another position, or termination of employment due to "end of assignment."

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Section 4 - EMPLOYEE FILES

4.1 EMPLOYEE FILES

The department of Center for Human Resources maintains the official University employee files. Files contain documentation of changes in position and in salary, as well as performance assessments and related correspondence. Files will also contain insurance enrollment documents, W-4 forms, and other documents related to the employee/employer relationship.

Supervisors should submit only items which have been seen and preferably signed by the employee for inclusion in his or her employee file. Employees may submit items for inclusion in their files through their supervisors or the Associate Vice President of Human Resources.

An employee may examine the contents of his or her file by making an appointment with Center for Human Resources. Beyond the employee, access to files is generally limited to the following:

Center for Human Resources staff;
the employee's supervisor(s);
prospective supervisors preparing to interview the employee for posted job openings (the prospective supervisor must have already decided to interview the candidate and must inspect the files of all employees who have applied for the position in question);
law enforcement agents with proper, legal authorization;
internal and external auditors; and
general counsel staff or others providing legal services to the University.

Supervisors must realize that anything pertaining to employee performance not documented in writing and placed in the employee's file may not be referred to in official action, whether such action is favorable or unfavorable to the employee.

The contents of official files are the property of Pepperdine University.

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Section 5 - WAGE AND SALARY ADMINISTRATION

5.1 OVERVIEW

This section will describe the University's staff salary structure and position classification methodology. Procedures for creating new staff positions and requesting replacements due to vacancies are also included. (See also: JOB POSTING/APPLICATION PROCESS.)

5.2 GRADE LEVELS

The University's salary structure for staff positions consists of 17 position grades and salary ranges. These permit the University to set salary ranges for all types of jobs based on their relative responsibility levels. Salary ranges provide the opportunity to relate pay to performance. (See also: CLASSIFICATION GRADING SYSTEM.)

5.3 SALARY RANGES

Each grade level has a corresponding salary range with minimum and maximum rates of pay for positions assigned to that grade. The following chart illustrates the salary ranges:

MIN/PIL CP1 CP2 CP3 CP4

Minimum Level (MIN) is the minimum rate for each salary range. Entry Level reflects the rate of pay an employee will receive upon assuming a position for the first time and is not necessarily the same as MIN. The employee's salary will remain at Entry Level for a 90-day introductory period. Unless otherwise specified in the hiring agreement, he or she will, at the end of 90 days:

receive a introductory increase to the PIL level, or a 3% increase, whichever is greater; or
be extended in an introductory status (maximum extension is up to an additional 90 days); or
be terminated from the position for inability or unwillingness to perform.

Introductory Increase Level (PIL) is three percent (3%) above MIN and is the lowest rate that may be paid to an employee who has successfully completed the introductory period. Employees hired in above MIN will receive 3% above their entry salary.

Control Points (CP) 1, 2, and 3 are intermediate landmarks on the salary range. They may be used to designate levels of eligibility for performance-based increases. (See also: HIRING RANGES)

Control Point 4 is the maximum rate for each salary range and represents the upper limit of salary opportunity in the position. (NOTE: when market conditions demand higher wages than afforded by a position classification, the University may designate a " critical classification" for which there is a Control Point 5 which projects the maximum salary an additional 25% beyond the regular scale maximum. This is comparable to a "red circle" rate in order to meet market requirements and preserve the internal equity of the grading system.

It is anticipated that annual salary adjustments will increasingly benefit employees; however, the University reserves the right to freeze or reduce salaries when economic conditions so dictate.

Revisions made to salary ranges do not change the grades to which positions have been assigned, nor do they result in automatic changes in individual salaries. Salary structure revisions are normally effective at the beginning of the fiscal year.

5.4 HIRING RANGES

With "hiring manager" approval (as delegated by each Administrator), supervisors may hire new employees from Minimum through Control Point 1 within a given grade, depending upon the applicant's qualifications for the position and salary levels within the department. Administrative approval is required for hiring above Control Point 1. Approval by the Executive Vice President or the President is necessary for hiring above Control Point 2.

5.5 CLASSIFICATION GRADING SYSTEM

Positions are assigned to grade levels through a formal job classification process. Every new regular staff position is evaluated by Center for Human Resources and a standing Classification Committee. Grade levels are determined by a point-factor system which assigns value to five compensable factors of each position:

Knowledge/Skills
Analytical Skills and Impact
Management Responsibility
Working Relationships
Physical Requirements

Each factor is defined and broken into varying degree levels. Points are then assigned according to the applicable degree. The total points applied to a position determine which of the 17 grade levels will be assigned.

5.6 NEW POSITIONS

The following documents are to be submitted to Center for Human Resources when requesting a new position:

a Personnel Action Request form (PAR);
a Position Description Questionnaire; and
a proposed organizational chart showing the new position.

Upon receipt of these items, Center for Human Resources coordinates implementation of the formal classification described above.

The Center for Human Resources forwards the Classification Committee's determination to the respective area administrator and obtains all required administrative approvals, including that of the Executive Vice President, who has final authority over range classification. A funding source must be identified for new positions before they can be approved by the Executive Vice President. A copy of the PAR showing administrative approval/ disapproval will be returned to the requesting department.

Supervisors and department heads should be sure of final title and grade approvals before discussing them with potential applicants or other employees.

It should also be noted that the budget process and the classification process are separate. Prior budgetary approval for a proposed position is not authorization to pay. The salary finally approved may be higher or lower than budgeted.

5.7 REPLACEMENTS

The following documents are to be submitted to Center for Human Resources when requesting a replacement:

a Personnel Action Request form (PAR); and
a revised Position Description Questionnaire (only if the duties have changed significantly; otherwise, Human Resources will assume that the description on file is accurate).

The Center for Human Resources will ensure that the request proceeds through all required levels of approval and then advertise all regular full-time positions and any part-time positions for which supervisors request recruiting. Normally, budget manager or, depending on salary requested, hiring manager approval is sufficient (see 5.3 and 5.4) approval for replacement. If any changes to hours, title, account number, or grade are requested, administrative approval is required.

Regular positions of 30 or more hours per week will be posted for a minimum of five working days. (See also: JOB POSTING/APPLICATION PROCESS for a discussion of the posting/application/hiring processes.)

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Section 6 - NEW EMPLOYEES

6.1 DOCUMENTATION

By law the supervisor must accompany or send the new employee to the Center for Human Resources Office with legally required documents that allow certification of identity and the right to work in the United States. Failure to submit documentation before the employee begins to work will subject the new hire to termination of employment. The employee must also complete and sign a W-4 form and an I-9 form.

NOTE: These procedures must be followed both for initial hiring and (with few exceptions) re-employment of former employees for both regular and temporary positions.

6.2 ORIENTATIONS

Orientation sessions will be scheduled by the Center for Human Resources representative. Initial orientation sessions cover safety training and, for eligible employees, benefits enrollments. At the benefits orientation, the employee must sign a statement to the effect that he or she understands and either accepts or rejects each of the optional benefits to which he or she is entitled.

More comprehensive orientation programs are held each month on the Malibu campus.

6.3 I.D.CARDS

An identification card is issued at no cost to each staff member upon hire. Replacement cards may be obtained at a cost of fifteen dollars ($15) each. The I.D. card should be carried at all times while on the University campus.

6.4 EMPLOYEE BULLETIN

All staff employees are to read the Employee Information Bulletin. Copies are available from the Center for Human Resources Office.

6.5 ANNIVERSARY DATES

Performance evaluations are to be given to each employee on their annual review date or a date within each fiscal year. It is a supervisor's responsibility to document his or her evaluation of subordinates' performance and review it with them to provide feedback. Recommended forms may be obtained through the Center for Human Resources.

Employees hired into their current positions prior to April 1, 1977, have a position anniversary date of August 1. Employees hired into their current position on or after April 1, 1977, have a position anniversary date coinciding with their hire date. Employees who transfer to a higher or lower graded position will assume a new position anniversary date coinciding with the date of the transfer. Employees who transfer to a position at the same grade retain their original position anniversary date in that grade. Performance evaluations are to be completed jointly by the losing and gaining supervisors and approved by the current budget manager.

The position anniversary date does not change in any upgrade resulting from a reevaluation unless the position description was changed to an extent requiring posting of the position.

6.6 PARKING

All staff employees are provided parking in an assigned lot. Parking lot access cards and parking permits will be furnished to new employees and renewed annually by the Department of Public Safety. They remain the property of Pepperdine University. Employees whose vehicles display California handicapped parking permits may use the appropriate designated spaces. The Department of Public Safety publishes and enforces regulations for operating and parking motor vehicles on the Malibu campus. Violation of these policies may incur disciplinary action including fines, loss of driving or parking privileges, and possible termination of employment.

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Section 7 - CHANGES IN SALARY

7.1 OVERVIEW

Individual salary increases (as opposed to those resulting from salary scale changes) fall into two categories: Introductory and Performance (merit) increases. In addition, a market adjustment may be made due to external job market salary pressures or a "leveling" increase due to apparent internal salary inequities. For market adjustment and "leveling" increases, follow the procedures under "Merit" (below) and accompany the request with an explanatory memorandum. Refer also to the latest Supervisors' Manual for specific policies, procedures, and forms. All changes in salary are subject to positive recommendation by the supervisor and appropriate administrative approvals, and should not be viewed by the supervisor or employee as automatic. Failure to complete necessary request and/or assessment forms recommending a change will delay the processing of the change.

Accurate documentation justifying any adjustment made in an employee's status must be placed in the employee's file. Supervisors must realize that anything pertaining to employee performance not documented in writing and placed in the employee's file may not be referred to in official action, whether such action is favorable or unfavorable to the employee.

To ensure review on an annual basis, evaluation forms will be provided to all supervisors prior to the employee's position anniversary date, for the purpose of recording the performance level of each employee. The results of this evaluation must be shared with the employee. The completed assessment should be returned to Center for Human Resources prior to the employee's anniversary date.

This evaluation should not be construed to be related directly to future remuneration.

It is the prerogative of the employee to request an evaluation at any time.

7.2 INTRODUCTORY INCREASES

Unless otherwise specified in the hiring agreement, each staff employee serves an initial Introductory Period of 90 calendar days. At the end of 90 days, he or she will:

receive a Introductory increase to step PIL, or 3%, whichever is greater;
be extended in an Introductory status (maximum extension is up to an additional 90 days), or;
be terminated from the position for inability or unwillingness to perform.

The appropriate alternative should be indicated on the Introductory Employee Assessment form, which will be placed in the employee's file.

The Introductory increase of three percent (3%) is available for an employee in a graded position unless he or she is serving under a written contract. (See also: TRANSFERS) The increase will become effective on the first day of the pay period coinciding with or following the 91st day of employment.

When an introductory employee has been on the job approximately 60 days, Center for Human Resources will send the Introductory Employee Assessment form to the supervisor. The form should be completed by the supervisor, with a concurrence signature by the budget manager and the employee (to indicate an understanding of the evaluation of his or her work). The form is to be returned to Center for Human Resources before the completion of the employee's 90-day introductory period. It is vital that the supervisor:

conscientiously and accurately respond to the evaluation form as part of a continuing assessment process;
Contact Center for Human Resources BEFORE discussion with the employee if the employee is not to be continued in the position;
share the responses with the employee;
indicate if the employee is to remain in the position or be released; and
include a statement in recommendation of the introductory salary increase for those receiving a positive response.

7.3 PERFORMANCE (MERIT) INCREASES

Performance-related (merit) increases may be considered during the fiscal year for:

consideration of performance and value to the operation of the office; and
leveling due to longevity in position and inequitable current placement within the grade.

In either case, requests for merit considerations will be limited throughout the fiscal year by the amount of monies budgeted for merit purposes. Administrative approval is required to pay an employee more than the amount indicated in the last control point of the position grade in which he or she is functioning.

To request a merit increase for a staff member, the supervisor and budget manager must submit a Personnel Action Request form (PAR).

(See also: PAYROLL AND TIME REPORTING--RATE CHANGES)

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Section 8 - TRANSFERS

8.1 OVERVIEW

Opportunities for advancement are available to all employees as indicated by position vacancies posted in various locations on campus as well as in the Center for Human Resources Office. An employee may apply for another job by completing an application update.

Management should make employees available for interviews as part of their responsibility for:

satisfying critical needs for the deployment of personnel resources to locations in the University where they are most needed;
providing opportunities for employee development; and
retaining highly capable employees within the University whenever possible.

While no formal limit is placed on the timing of transfers between positions, a minimum of three months' experience in one position is a normal prerequisite to promotion or transfer.

To ensure a smooth transition, the supervisor should take the necessary steps (including replacement action) to release the employee from his or her present assignment when a transfer or promotion has been arranged with the hiring supervisor. Normal notice consists of a period of ten working days.

A transfer may involve a salary increase or decrease depending on the approved entry salary for the open position and the qualifications of the transferring employee.

8.2 LATERAL TRANSFERS

An employee transferring to another position of the same grade or classification will be placed on the salary scale in keeping with his/her skills and experience related to the new position, and will serve a 90-day introductory period. After ninety days and a satisfactory introductory evaluation, the employee may receive a 3% increase.

8.3 PROMOTIONAL TRANSFERS

An employee transferring to a position of higher grade or classification will be placed on the salary scale in keeping with his/her skills and experience related to the new position, and will serve a 90-day introductory period. After ninety days and a satisfactory introductory evaluation, the employee may receive a 3% increase.

8.4 DEMOTIONAL TRANSFERS

An employee transferring to a position of lower grade or classification will be placed on the salary scale in keeping with his/her skills and experience related to the new position, and will serve a 90-day introductory period. After ninety days and a satisfactory introductory evaluation, the employee may receive a 3% increase.

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Section 9 - DISCIPLINARY ACTION

9.1 REPRIMANDS

When a problem arises requiring counseling and a reprimand which may lead to termination, the supervisor should issue a verbal warning and outline specific steps the employee should take to avoid future difficulties.

If the incident is of a serious nature, a written memo should be issued immediately, with a copy forwarded to the Center for Human Resources Office. Upon recurrence of the same or similar problem, the supervisor should counsel the employee and issue a memo which references any previous discussions or memos and points out that the problem(s) could result in dismissal. The employee should be asked to sign the memo, indicating receipt of a copy. The supervisor should send a copy to the appropriate department head, and the original to Center for Human Resources.

9.2 SUSPENSION

If a serious situation occurs, or an employee's presence is so disruptive that prompt action is necessary, the supervisor should take the following immediate actions:

Suspend the employee without pay for a definite period of time (normally one to three days) NOTE: Exempt employees may not be suspended for less than one week;
Explain that if an investigation reveals the employee to be innocent, he or she will be reinstated and will be paid for lost time;
Schedule an appointment with the employee for the end of the suspension period;
Obtain all documents (time sheets, absentee reports, warning memos, etc.) pertinent to the employee and the problem;
Discuss the situation with management and Center for Human Resources;
Arrive at a tentative decision in the matter prior to meeting with the employee (if the decision is for dismissal, request the Center for Human Resources Office to begin termination paper work);
Interview the employee as scheduled; and
Discuss all the facts with the employee and arrive at a final decision.

If the decision is to retain the employee, indicate when the employee should return to work and whether he or she will receive payment for lost time. Notify Center for Human Resources immediately to cease termination paper work. When an employee is retained but is to be disciplined, he or she should be given written notice as soon as possible outlining the reason for the suspension, the supervisor's performance or behavior expectations, and the consequences of repeated violations of them. Consult the Center for Human Resources to determine whether the suspension should be with or without pay BEFORE the scheduled interview with the employee.

If the decision is unfavorable to the employee, the supervisor should follow the steps outlined under TERMINATIONS FOR CAUSE in the following section.

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Section 10 - TERMINATIONS

10.1 OVERVIEW

The employment relationship is based on the mutual consent of the employee and the University. Accordingly, either the employee or the University can terminate the employment relationship, at will, with or without cause, at any time during the employment relationship.

Resignations are described below under VOLUNTARY TERMINATIONS. The TERMINATION FOR CAUSE section explains how an employee is discharged. The LAYOFF section describes involuntary terminations not based on individual job performance or behavior, but on organizational needs or fiscal constraints.

IMPORTANT

The policies governing involuntary terminations, including layoffs, specifically limit the discretion of individual supervisors and department heads. The review and approval process (described in section 10.3) is intended to:

ensure that the University's human resources are managed to the best interests of the University as a whole; and
protect the University against potentially costly legal liabilities resulting from ill- advised or mismanaged terminations.

Failure to comply with this policy may result in disciplinary action, including possible termination of employment.

NOTE: Seniority will be continued for terminating employees who are rehired within 30 days of their termination. Such employees will be credited for all prior service, but not for the period of absence. Sick leave balances, sick and vacation accrual rates, and years of service will continue as if the employment had been uninterrupted. Tuition discount benefits will continue at the same rate provided the employee returns to a position which requires 40 hours of work per week. (See also: LAYOFFS.)

Employees who terminate and return to the employ of the University after 30 days have passed will begin benefit accrual anew, except in the case of the tuition discount benefit. A person who returns to the employ of the University in a position requiring at least 40 hours per week will be given credit for all prior years of full-time (40 hours per week or more) service when his/her tuition benefit eligibility status is determined. Such employees will not be credited for prior service in determining sick leave balances, years of service, or vacation/sick leave accrual rates.

10.2 VOLUNTARY TERMINATIONS

An employee wishing voluntarily to end employment with the University should submit a letter of resignation, stating the reason for leaving and the effective date of termination, to his or her supervisor. Normal expectation for termination notice is two weeks, unless stated otherwise in a hiring agreement. The original letter of resignation is to be forwarded to the Center for Human Resources.

It is the supervisor's responsibility to see that all University property (keys, I.D. card, credit cards, etc.) is turned in by the employee. The supervisor should contact the Center for Human Resources Office immediately and provide the Human Resources representative with the time sheet or absentee report and necessary memos and documents.

The final paycheck will be available in the Center for Human Resources Office for pick-up by the employee at 4:30 p.m. on the last day of employment, provided that the Center for Human Resources Office has at least seventy-two (72) hours' notice of the termination.

NOTE: All terminating employees must report to the Center for Human Resources Office for an exit interview.

10.3 TERMINATIONS FOR CAUSE

The University will make reasonable efforts to assure that terminations for cause have a basis in fact. A supervisor should contact the Center for Human Resources prior to discussing termination with an employee. Prior to taking steps toward terminating an employee, a supervisor must make a reasonable effort to ensure that:

the employee fully understands what is expected of him or her;
instructions and training are adequate and free of ambiguity or contradiction;
the employee has been forewarned orally or in writing (manuals, posted rules, written notices, etc.) against the kind of conduct for which he or she is to be disciplined; and
the employee knows the possible consequences of such conduct.

If a supervisor concludes that termination is the best solution to a problem, he or she should:

Contact the Center for Human Resources to discuss the advisability of the termination;
Submit copies of any memoranda or other documentation related to the proposed action to the Center for Human Resources.

The Center for Human Resources will evaluate the proposed action and make a recommendation to the Chief Business Officer prior to taking action. A designee from the Center for Human Resources may interview the employee or other department staff and may consult with General Counsel to evaluate the situation. The Center for Human Resources will notify the supervisor of the disposition of his or her request to terminate. If the decision is to terminate, the Center for Human Resources will assist the supervisor in composing a final memorandum to the employee. The Supervisor should then take the following steps:

Explain the specific reasons for dismissal;
State to the employee, "Your employment with Pepperdine University is hereby terminated";
Issue the memo to the employee, restating the facts of the decision;
Ask the employee to sign the memo (only to indicate that he or she has received a copy, not to indicate agreement with the content);
Obtain the employee's I.D. card, keys, and any other University property which may be in his or her possession; and
Advise the employee to report to Center for Human Resources for an exit interview.
Coordinate with the IT Help Desk to terminate all computer access.

The Center for Human Resources will explain the insurance continuation/conversion options available to the employee, either during the exit interview or by mail.

In cases of dismissal without prior notice, all wages due through the last day of active work must be remitted immediately following notification of termination.

10.4 LAYOFFS

Whenever it becomes necessary to reduce staffing levels in a department because of lack of work or funds, or because of changes in duties of the organization, an effort will be made to place the employee(s) elsewhere within the University. Where placement is not possible, each employee affected will be given two-weeks' notice or two-weeks' pay in lieu of notice, unless the individual's employment agreement specifies a longer notice period.

The selection of the individual employees to be retained or discharged will be the responsibility of the department head, who will take into consideration their performance, skills, competence, and ability. Regular employees who have completed their introductory periods will receive preference for continued employment over employees who have not completed the introductory period.

The Center for Human Resources will endeavor to help the employees affected find suitable employment within the University or with another employer (upon written request).

A layoff is permanent when the period of separation is longer than three (3) consecutive months. An employee on temporary layoff status may continue insurance coverage for a maximum of eighteen (18) months from the last day of work upon payment of 102% of the total insurance premiums in advance or as they come due. All employees laid off are entitled to vacation pay for vacation time accrued at the date of layoff.

The supervisor is to contact the Center for Human Resources to discuss the proposed layoff and present Center for Human Resources with a draft of the notice PRIOR to discussion with that employee.

The Center for Human Resources will make a recommendation to the Executive Vice President, who will determine the disposition of the proposed action.

Once administrative approval has been received through the Center for Human Resources office, the following steps apply:

The employee affected will be given a memo stating that he or she will be laid off, the reason for the layoff, and the effective date of the layoff.
The individual should report to the Center for Human Resources near the end of the last day of work for an explanation of benefit options and to receive the final paycheck.

If the position is reactivated within three months, the laid-off individual must be offered the position. If he or she does not accept the offer, the position must be posted for hire. If the position is not activated within three months, it is deleted, and will be reactivated only by a new position request on a Personnel Action Request form.

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Section 11 - PERSONAL APPEARANCE AND CONDUCT

11.1 PERSONAL APPEARANCE

Inasmuch as contact with the public is a normal situation, all employees are expected to be appropriately attired; e.g., standard business attire in the business office; clean custodial uniforms in the custodial department; etc. Dress should be appropriate for the position, with emphasis upon neatness and cleanliness.

11.2 CONDUCT

In harmony with its Christian philosophy and purposes, the University expects the highest standard of moral and ethical behavior from all of its employees.

The expectations include, but are not limited to:

honesty,
sobriety,
dependability,
following established procedures and regulations,
prompt compliance with all requirements and lawful orders or directions of supervisors,
efficiency in performance of the job,
abstaining from the use of vulgar or offensive language,
avoiding conduct that may bring reproach or embarrassment to the University.

While no attempt will be made to intrude on the purely personal and private lives of employees, any employee whose on-the-job conduct and performance that does not comply with these expectations, as stated above, may be subject to discipline, including suspension or immediate dismissal without prior notice.

The following general rules of conduct while on University property have been established. Employees are subject to disciplinary action or dismissal for:

reporting for work, or working under, the influence of liquor, drugs, or narcotics (as specified by the Food and Drug Administration);
use, sale, or possession of intoxicating liquors, narcotics, or drugs of abuse;
intentionally falsifying records;
sleeping on the job;
unauthorized removal of property belonging to the University, its employees, students, or guests;
inciting, or attempting to incite, others by word or action to the use of violence;
illegal gambling;
smoking in "No Smoking" areas;
possessing or carrying firearms, weapons, or explosives;
any deliberate or negligent destruction or misuse of equipment, property, or material;
frequent tardiness or unauthorized absence from work station;
insubordination;
failure to report absences, or reporting them improperly (applies to employees and/or their supervisors);
other "failures of good behavior" not mentioned specifically above but covered in other University instructions and regulations or federal, state, or local laws.

NOTE: Employees are expected to be good stewards of the University resources and hold operational costs to a minimum. Supplies should be used with care and never removed from University property unless in transit to another Pepperdine location.

11.3 SMOKING AND TOBACCO USE

(See the University Smoking Policy)

11.4 PERSONAL TELEPHONE CALLS

The use of University telephones for personal calls is prohibited except in cases of emergency or an unexpected change in work schedule which would necessitate communication with one's home. Pay phones are located on campus for use by employees.

When an emergency requires a long distance call or telegram, employees must call collect or direct that billing be sent to the caller's residence.

11.5 SEXUAL HARASSMENT

In keeping with Christian principles, as well as federal and state legal requirements, it is the policy of Pepperdine University to condemn any and all conduct on the part of its employees which encompasses sexual harassment. Sexual harassment has been defined by the federal government to include "unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature." Such conduct has been found by the Equal Employment Opportunity Commission to violate Title VII of the Civil Rights Act of 1964 when:

(1) "Submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment,

(2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual, or

(3) such conduct has the purpose or effect of substantially interfering with an individual's work performance or creating an intimidating, hostile or offensive work environment."

Such conduct will not be tolerated at the University. Should an allegation of sexual harassment be substantiated, after careful review of the totality of the circumstances and facts surrounding such allegation, disciplinary action up to and possibly including termination will result. Supervisors on each level are charged with ensuring that they enforce this policy and that employees under their supervision refrain from the types of misconduct referred to above.

Any employee who feels that this policy has been violated is immediately to follow the grievance procedure outlined in the Employee Bulletin covering alleged discriminatory acts and promptly to report the facts of the incident or incidents and the names of the individuals involved to Human Resources. Assistance and counsel are available to each employee through the University's Equal Employment Officer, extension 6225, or Human Resources, extension 4397.

Supervisors should report any incidents of alleged sexual harassment to Human Resources immediately.

11.6 CONFLICT OF INTEREST

The relationship between the University and its employees is one of trust, and all employees should avoid conflicts of interest and commitment.

Employees should not have direct or indirect interests or commitments, financial or otherwise, which conflict with the proper discharge of University duties. The primary professional allegiance of all employees lies with the University and the advancement of its mission. Employees should not solicit or accept any gift, service, or favor that might reasonably influence the discharge of their duties or that they know or should know is being offered with the intent to influence their official conduct. Employees should not accept other employment or engage in business or professional activities outside of the University when such work might reasonably cause real or apparent conflicts of interest or conflicts of commitment. Employees should not transact business in their official capacity with any business or entity of which employees or their Family Members¹ are an officer, agent, or member, or in which the University owns a substantial interest, without the explicit prior knowledge and approval of the appropriate senior administrator.

A. Definitions and Examples

A conflict exists when a University representative's direct or indirect personal interests are inconsistent with or interfere in any way with the best interests of the University. An institutional conflict may also exist when the University's mission could be compromised by an external relationship held at the institutional level. There are generally two types of conflicts: conflicts of interest and conflicts of commitment.

A conflict of interest exists when an employee has an external interest that affects or provides an incentive to affect the employee's conduct of his or her University responsibilities. Examples of conflicts of interest include:

(1) Owning or acquiring a financial interest in any business entity that supplies goods, services, or finances to the University when the employee has decision-making authority for those transactions;

(2) Using University property or facilities in a way that may result in personal financial gain to an employee;

(3) Using University facilities or an employee's position at the University, to advocate, endorse or market a product or a service, unless done in conjunction with an employee's University duties, and for the University's benefit; and

(4) Accepting a charitable gift that is contingent upon the outcome of any research or business transaction conducted by the University (an institutional conflict of interest).

¹"Family Member" means a person's spouse, ancestors, children, grandchildren, great grandchildren, siblings (whether by whole or half-blood), and the spouses of children, grandchildren, great grandchildren, and siblings.

A conflict of commitment exists when the commitment to unrelated job activities adversely affects an employee's capacity to meet University responsibilities. An example of a conflict of commitment is an employee's inability to timely meet University assigned deadlines as a result of providing services to another employer.

B. Disclosure Obligations

Employees should disclose conflicts of interest or commitment to the appropriate supervisor or senior administrator as soon as possible after they realize that a conflict may arise or currently exists.

In addition, on an annual basis, by no later that March 31st, each University employee with either: (i) requisition approver status or (ii) $5,000 or more of spending authority on any University issued credit card, is required to complete a Conflict of Interest and Outside Activities reporting form.

Employees shall include on the annual reporting form:

(1) The amounts and sources of all outside earned income in excess of $1,000 from any one source earned while employed by the University during the preceding calendar year, and the amount of time spent to earn this income.

(2) Income they received from any organization, partnership, firm, or corporation for which they are a director, officer, employee, agent, or hold 10% or more of the Ownership².

(3) Any income received, directly or indirectly, by any of their Family Members from the University (other than wages earned as a University employee). For example, if an employee's spouse or child owns a company that does business with the University, the employee should disclose that income.

(4) Whether they or a Family Member has any investments made in conjunction with, or a business relationship with other University employees, Regents, or persons or companies doing business with the University.

² "Ownership" means voting power in a corporation, profit interest in a partnership, or beneficial interest in a trust.

C. Process for Resolving Potential and Actual Conflicts

The annual disclosures will be reviewed in the first instance by the Executive Vice President, General Counsel, and President. Disclosures that indicate a potential conflict shall be forwarded to the appropriate senior administrator for action.

The senior administrator or his/her delegate (e.g. dean or department head) will review the conflict with the employee, and conduct a careful assessment of whether a particular activity or relationship is acceptable, unacceptable, or requires further review by the senior administrator.

In some cases, resolution of a conflict will mean eliminating the conflict altogether. In other cases, appropriate management may allow the situation to go forward with assurances that the integrity of the University will be protected. The latter situation may require ongoing review, monitoring, and documentation by the senior administrator. Adequate written evidence of the conflict's resolution must be filed with the annual disclosure form in the Executive Vice President's office.

Violation of this policy shall subject the employee to disciplinary action, which may include, among others, reimbursement to the University of all profits or benefits obtained, demotion, suspension, and termination.

Attribution: Portions of this policy are derived from the Boston University Conflict of Interest Policy (as amended through September 20, 2006).

11.6.05 OUTSIDE ACTIVITIES

All senior administration employees of the University shall file with the Board of Regents not later than March 31 of each year a written statement disclosing the amounts and sources of all outside earned income in excess of $1,000 from any one source earned while employed by the University during the preceding calendar year. All senior administration employees shall also give written notice to the Board of Regents of any and all personal investments made in conjunction with each other or with one or more regents or with persons or business entities doing business with the University. As to existing senior administration employees, such notice shall be given within ten (10) days after the earlier of the date the investment is made or the date of any binding agreement to make the investment. As to each new senior administration employee, notice of all investments subject to this Section existing at his or her date of employment shall be given within ninety (90) days after such date. For the purposes of this Section 6.05, senior administration employees shall mean the chancellor, the vice chancellor, the president, all provosts, all vice presidents, the chief financial officer, the treasurer and the controller.

It shall be the responsibility of each employee to report any transaction of any kind whatsoever between the University and such employee or any member of his immediate family, or any organization, partnership, firm or corporation in which such officer or employee or a member of his immediate family is a director or holds office or employment or owns or controls a substantial ownership interest. Such report shall be in writing to the President, the Provost, and the Board of Regents as soon as such transaction is known or contemplated. The report shall fully disclose all details of the transaction, including the employee's interest therein.

Notwithstanding the foregoing, no officer or employee of the University shall have any authority, on behalf or in the name of Pepperdine University, to authorize, approve, ratify, or confirm any transaction of any kind whatsoever between the University and such officer or employee or any member of his immediate family or any organization, partnership, firm, or corporation in which such officer or employee or member of his immediate family is a director or holds office or employment or owns or controls a substantial ownership interest, unless such transaction is approved as hereinafter provided:

Any such transaction under $10,000 involving only officers or employees of the University (other than the President, any, or the chief financial officer), shall be referred to the President who may approve the same in writing or refer it to the Board of Regents. All other such transactions shall be referred to the Board of Regents or the Executive Committee of the Board of Regents for approval.
If any such transaction involves a person who is also a member of the Board of Regents, such person shall not be counted in determining the presence of a quorum of the Board of Regents and shall not vote upon the transaction.
The President of the University, the Executive Committee, and the Board of Regents shall not approve the transactions referred for approval except upon a finding that the transaction is fair and reasonable and in the best interest of the University. All transactions so approved and all contracts made in connection therewith shall be valid and binding on the University.

This policy adopted the 12th day of September, 1978, by the Board of Regents of Pepperdine University, as amended through June, 1990.

11.7 OFFICER AND EMPLOYEE SERVICE AS FIDUCIARIES

An individual officer and/or employee of Pepperdine University is occasionally requested or appointed to serve as a trustee, personal representative, administrator, administratrix, executor, executrix, conservator or other fiduciary for a person who is, or who may reasonably be expected to become, a significant financial contributor to the University. Such requests and appointments may arise because of the personal relationship that may develop between the individual and an officer or employee while acting as the University's representative. Service as a fiduciary presents a substantial possibility for a conflict of interest between the fiduciary's duties of care and loyalty toward a contributor or his or her estate, on the one hand, and the obligations of the officer or employee to the University, on the other hand. In addition, such service may result in legal liability on the part of the University for the acts and omissions of the fiduciary.

The University has adopted this policy in order to minimize any conflict of interest and exposure to legal liability.

11.7.1 DEFINITIONS

As used herein, the following terms shall have the meanings specified:

"Applicable Officer or Employee" means senior officers of the University and all other employees serving in a fund-raising capacity.

"Family Member" means any spouse, child, grandchild, parent, grandparent, brother, sister, brother-in-law or sister-in-law.

"Fiduciary Position" means the office of the trustee, personal representative, administrator, adminstratrix, executor, executrix, conservator or other fiduciary, whether such office is created by private agreement, appointment, court order otherwise, in any jurisdiction.

"Proscribed Fiduciary Position" means a Fiduciary Position with respect to:

(a) a Substantial Contributor,

(b) a trust as to which Substantial Contributor is a settlor or beneficiary, or

"Substantial Contributor" means any individual (other than a Family Member) who has contributed, or may reasonably be expected to contribute, by inter vivos gifts or testamentary disposition, in excess of $50,000 to the University or any of its affiliates.

11.7.2 GENERAL POLICY

Except as authorized pursuant to Section 11.7.3 no Applicable Officer or Employee of the University shall solicit any appointment to, accept any appointment to or continue in a Proscribed Fiduciary Position whether or not such Proscribed Fiduciary Position requires any time during the normal working hours of such officer or employee. Any Applicable Officer or Employee who is requested or gains knowledge of an appointment or prospective appointment to serve in a Proscribed Fiduciary Position shall give prompt written notice of such request or appointment to the for University Affairs.

Any Applicable Officer or Employee who violates this policy, or any part of it, shall be subject to discipline up to and including removal and termination.

11.7.3 EXCEPTIONS

A strong presumption exists that an Applicable Officer or Employee should not serve in any Proscribed Fiduciary Position. Nevertheless, an Applicable Officer or Employee may serve in a Proscribed Fiduciary Position, but only upon the satisfaction of all of the following conditions:

a. Such officer or employee shall request in writing that the general policy be waived. Such request shall set forth the following information:

(1) The circumstances in which the request or appointment to serve in the Proscribed Fiduciary Position arose.

(2) The reasons why service in such Proscribed Fiduciary Position (i) is in the University's interests and (ii) will not present a significant possibility for conflict of interest and legal liability to the University.

(3) A description of how such officer or employee will act to minimize conflicts of interest and legal liability to the University.

(4) If possible, an acknowledgement that the Substantial Contributor has been informed of (i) the University's policy, (ii) the possibility for conflicts of interest to arise during the term of service in the Proscribed Fiduciary Position and (iii) the advisability that the Substantial Contributor consider the appointment of the other persons (including trust companies, Family Members and the University) to serve in the Fiduciary Position.

b. If possible, the Substantial Contributor shall have given his or her informed written consent to the service of such officer or employee in such Proscribed Fiduciary Position.

c. Such officer or employee shall agree to serve in the Proscribed Fiduciary Position with all care, skill, diligence and loyalty required by applicable law and consistent with the standards set forth in Section 11.7.5.

d. All compensation earned by such officer or employee, whether in the form of statutory fees, trustee fees, court awards or otherwise, in excess of unreimbursed expenses actually, reasonably and directly incurred by such officer or employee in the course of serving and substantiated by proper receipts, shall belong to and shall promptly be paid to the University. In cases where it is clear that the individual officer or employee is spending material additional time in excess of their normal workload in carrying out fiduciary duties, the supervising officer over such officer or employee may elect to allocate up to one-half of the fiduciary fee to the individual as supplemental one-time compensation, which does not carry with it any fringe benefits.

The University may impose other conditions upon any exception to the general policy, as the University may deem appropriate in the circumstances.

Each exception to the general policy shall be within the discretion of the University. A waiver in one instance shall not constitute a waiver in any other instance or circumstance. No exception shall be effective unless and until communicated in writing to the officer or employee requesting such exception.

11.7.4 AMENDMENTS

The University may amend or revoke this policy at any time in the University's sole discretion.

11.7.5 STANDARDS FOR SERVICE AS A FIDUCIARY

A person serving in a Fiduciary Position should observe the following standards:

1. Bonding or Insurance. The officer or employee acting as an executor, trustee or other fiduciary should communicate such capacity to the Insurance and Risk Management department and ensure that the University is carrying a fiduciary bond or liability insurance in an amount that will protect the estate or trust and its beneficiaries from any misappropriation, misapplication of fiduciary funds, or other insurable loss. Custodian arrangements with a fiscally sound financial institution may alternatively be explored. Otherwise, significant personal liability (covering any loss or depreciation) may arise due to breach of fiduciary duty.

2. Competence. All fiduciaries must be competent by training and experience to serve in such capacity, and should undertake continuing education to maintain and update knowledge in this area.

3. Support Service. All fiduciaries must have adequate support personnel and services available to properly and efficiently render recording, accounting, tax and investment services.

4. Audit Review. An independent audit or adequate internal control procedures should be made of trusts, estates or other accounts on a random and periodic basis.

5. Accounting. Upon reasonable request from any estate, trust or account beneficiary, a fiduciary must provide a detailed written accounting of account transactions and obligations. Automatic annual accountings to every beneficiary are recommended for all accounts, and required by law for many trusts.

6. Exoneration. Wills, trusts or other instruments governing administration should generally not include exculpatory provisions which would relieve the officer or employee of malpractice or misfeasance liability, unless the instrument is carefully reviewed by independent counsel representing the creator of the instrument.

7. Fees. Fee information is often specifically contained within the trust or estate instrument. Otherwise, reasonable compensation is the rule. Again, fiduciaries must avoid even the appearance of self-dealing or conflict of interest.

8. Investments.

(a) Generally. Fiduciary roles that involve investments must have investment services available for evaluations and advice. In any case, these fiduciaries must be financially sophisticated with investments and alternatives and capable of evaluating the competence and prudence of the in-house or outside advisory services. Records must be kept of all investment decisions made and the basis for them. There is a duty to:

(1) review investments periodically,

(2) dispose of imprudent or nonproductive assets and

(3) inform and consult regularly with beneficiaries. Fiduciaries who hold funds without investing them can be held liable for loss of interest.

(b) Trustees. Trustees generally have a duty to:

(1) take control of and preserve the trust estate properly,

(2) make the trust property productive and

(3) keep the trust property separate and identified. Bank accounts used must yield a reasonable rate or interest.

11.7.6 ADDITIONAL DUTIES and RESPONSIBILITIES of TRUSTEES

(a) Persons acting as trustees are responsible for taking reasonable steps to enforce claims and defend actions regarding trust property.

(b) Trustees overseeing more than one trust cannot knowingly become a trustee of another trust adverse to the interests of the beneficiaries of the first trust.

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Section 12 PAYROLL AND TIME REPORTING

12.1 OVERVIEW

Adherence to payroll procedures and published deadlines is mandatory. Supervisors may delegate to carefully selected employees, but are nonetheless responsible for, the following duties:

maintaining accurate records for all employees concerning vacation, sick leave, floating holiday or any other absences taken, and preventing excessive vacation or sick leave or duplication of floating holiday;
submitting Absentee Reports to Payroll for absences of exempt employees of one day or more; and
recording time worked or not worked, whether authorized or unauthorized, by hourly employees.

All employees are responsible for maintaining the confidentiality of payroll data at all times.

12.2. PAY PERIODS

HOURLY (nonexempt) employees are paid on a biweekly basis according to the time sheet submitted. Time sheets will cover a two-week period, commencing on a Monday at 12:01 a.m. and ending on a Sunday, fourteen days later at 12 midnight.

All time sheets submitted must be for the period as determined by the Payroll Office. Payday will be every other Friday, one week following the last Sunday indicated on the time sheet. If a holiday occurs on Friday, payday will be the previous Thursday. Under certain circumstances, payday may be advanced to the last working day prior to a holiday period.

MONTHLY (exempt) employees will be paid on the 26th day of the month. When the 26th falls on Saturday, payday will be the preceding Friday. When the 26th falls on Sunday, payday will be the following Monday. Under certain circumstances, payday may be advanced to the last working day prior to a holiday period.

12.3 RATE CHANGES

Changes in rates of pay must be made effective on the beginning of a pay period for nonexempt employees and on the first or sixteenth of the month for exempt employees. If a circumstance requiring a pay rate change occurs on any date other than those mentioned above, the effective date will be deemed to be the following first, sixteenth, or beginning of a pay period.

12.4 TIME RECORDS

All nonexempt employees are subject to the overtime regulations of the Wage and Hour Law. Each employee in this category must record the number of hours actually worked each day on a time sheet.

An hourly employee permitted to come to work without having been notified that there will be no work, must be paid half the normal work time scheduled, not to be less than 2 hours or more than 4 hours, regardless of the reason work is unavailable. Pay will be at the appropriate rate for that day.

Time sheets must be approved by supervisors and forwarded to the payroll department according to the published schedule. To ensure that employees are paid punctually, correctly completed time sheets must be received on schedule.

12.5 REPORTING TIME OFF/ABSENCE

To report an absence, employees must notify their department heads, supervisors, or other designated persons. The designated person receiving the call will log the following:

employee's name
date and time called
who called
reason for absence
Expected length of absence.

All employees should understand that calling in only notifies the University and does not necessarily excuse the absence.

Employees requesting time off for various reasons (including vacation) must put this request in writing and receive written approval before taking the specified day(s) off.

Any employee who must take time off because of an emergency must obtain permission from his or her immediate supervisor during the first working hour of the day or before leaving the workstation.

Supervisors are responsible for reporting time off for NONEXEMPT employees by certifying the correctness of the time sheets.

Administrators and supervisors are also responsible for ensuring that time off for EXEMPT employees is reported to Payroll by Absentee Report on a monthly basis.

Failure to adhere to the above may result in disciplinary action or termination of employment.

12.6 TARDINESS

Any employee who will be late in reporting to work must notify their immediate supervisor during the first thirty minutes of the normal start of work. It is the responsibility of the employee to keep the supervisor fully informed. Habitual tardiness jeopardizes the employee's job and may be cause for disciplinary action, up to and including termination of employment.

The supervisor should document each case in order for payroll adjustments to be made, and to keep staff employment records.

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Section 13 THE WORK DAY/WORK WEEK

13.1 THE WORK DAY

The workday is any consecutive twenty-four hours, beginning at the same time each calendar day.

13.2. THE WORK WEEK

A workweek is seven consecutive days starting with the same calendar day each week.

13.3. STANDARD WORK SHIFT

The normal workweek commences at 12:01 a.m. Monday and ends at 12 midnight on the following Sunday. Normal hours of work during such a workweek are 8 a.m. until 5 p.m. each day, Monday through Friday.

13.4. SPECIAL SHIFT

A special shift is defined as an authorized shift wherein the stop and start hours are not the same as the standard shift hours. Such shifts are established in increments of full calendar weeks.

Special shifts for hourly employees will be prepared on a Work Schedule. If shift hours are not the same for each day of the week, the difference in schedule must be shown on the time sheet. An employee will be considered assigned to a shift if over half of his or her straight time hours fall during hours regularly assigned to that shift.

13.5 OVERTIME: NONEXEMPT EMPLOYEES

Normally, all work should be completed within regular working hours. Overtime should be scheduled only in special circumstances, and only after securing approval of the department head.

13.6 OVERTIME: EMERGENCY

When emergency overtime is required and employees are notified by telephone to report to work, supervisors must notify appropriate Public Safety personnel of those scheduled to report. Employees so notified must be paid for a minimum period of four hours. Pay will be at the appropriate rate for that day.

13.7 FLEX-TIME

The University allows some employees the opportunity to work a flexible schedule known as "flex-time." Any employee who hires into or transfers into a department in which flex-time is allowed may be eligible to work a flexible time schedule in certain instances.

A regular nonexempt employee, whose work is determined by supervision to be of a nature which allows a flexible schedule may, with the approval of the immediate supervisor and the appropriate administrator, work during the regular work week without regard to a fixed time for beginning or ending work provided:

the employee takes a minimum of thirty minutes and a maximum of one hour for lunch break during the middle of the work day;
the employee takes no more than two (2) fifteen-minute breaks near the middle of each work period; and
the employee's time sheet accurately reflects the time work begins and ends, including times in and out for lunch.

For a normal daytime shift, flex-time is restricted from 7 a.m. to 7 p.m. Other regular shifts may be adjusted accordingly, with work beginning a maximum of one (1) hour before the regularly assigned shift or ending a maximum of two (2) hours after the regularly assigned shift.

For those departments in which a 4/10 schedule has been approved by the appropriate administrator and two-thirds of the department's employees, employees may work up to a maximum of ten-hour shifts each day and up to forty hours each week, with overtime accruing only if those maximums are exceeded. Overtime is not to be worked without the expressed prior approval of the supervisor.

"Core" hours are defined to be those hours when telephone or personal contact with any department must be available. "Core" hours for every department must be from 8 a.m. to 5 p.m. Monday through Friday, except for holidays.

Vacation and sick leave will continue to be accrued on the basis of approved numbers of hours each week.

Holiday pay continues to be computed by dividing the number of hours the employee is regularly scheduled to work per week by 40 and multiplying the result by 8 hours for each holiday.

Examples:

Regular 40 hours 40 8 1 8 hours
schedule = per week = 40 x hours x holiday = holiday pay

Regular 30 hours 30 8 1 6 hours

schedule = per week = 40 x hours x holiday = holiday pay

Exempt employees will normally be expected to be active in their normal capacity during the "core" hours. "Flex-time" is an option for individual employees and for different departments only if there is every indication that there is normal or increased productivity during those hours when supervisors may not be expected to be present.

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Section 14 LEAVES OF ABSENCE

14.1. OVERVIEW

A supervisor may approve a period of absence up to 30 days. Should an absence extend beyond 30 days, a formal Leave of Absence must be requested in writing, specifying a date of return subject to the limitations below. The University cannot guarantee that the job will be available upon return from a formal Leave of Absence.

Failure to return to work at the end of an approved period of absence, or to request and obtain an approved extension, will result in dismissal.

14.2. DEATH IN THE FAMILY

Paid leave due to the death of a person related to a full-time or eligible part-time employee by blood, adoption, or marriage is authorized up to a maximum of three working days.

14.3. MEDICAL LEAVE

As soon as an employee becomes aware that he or she is (or will become) temporarily disabled from working for any medical reason, the employee must promptly advise his or her supervisor in writing of the reason and the anticipated commencement date. A doctor's certificate specifying the expected duration of the disability is required.

Medical leaves of absence without pay are available to all such employees for the period of their disabilities, to a maximum of twelve months from the last day of active work.

Periodic verification of an employee's inability to work may be required (including, for example, a statement from the employee's doctor or examination by a doctor designated by the University). Any misrepresentation of leave requested or disability will be grounds for discharge.

Employees may use any vested vacation or sick leave benefits during the period of disability.

When approved, a formal medical leave of absence begins on the 31 st day following the last day of work.

A doctor's release is required prior to return to work following a medical leave. A doctor's release may be required after three or more consecutive days of disability due to accident or illness.

Employees who return to work at the end of their leaves of absence will be returned to their former positions if they are still available. If the same position is not available, the employee will be considered for any available position for which he or she applies and is qualified. If the employee is rehired during a period not to exceed thirty days after attempting to return to work, such employee's seniority will continue. Such employees will be credited with all service prior to the commencement of their disabilities, but not for the period of disability which exceeds thirty days.

Employees who do not return at the end of their leaves of absence will be deemed to have resigned.

NOTE: This applies to all temporary medical disabilities, including pregnancy, childbirth, and related medical conditions. An employee on a medical leave due to pregnancy will be returned to her former position, or a similar one, if not more than four (4) months have elapsed from the original date of disability.

The Benefits Manager will contact the individual on leave regarding payment of insurance premiums, if applicable. For insurance purposes the leave begins immediately following the last day of active work, up to a maximum of 12 months.

The employee should contact the Center for Human Resources for information regarding California State Disability Benefits. Application may be made at a local State Disability Office or by mail using a form available at the Center for Human Resources or the doctor's office.

NOTE: Vacation and sick leave accruals cease during a formal medical leave of absence.

14.4 . MILITARY LEAVE

Every officer and employee of the University shall be entitled to and shall be granted military leave of absence when ordered to report for military duty by the National Guard or any of the armed forces of the United States.

Annual Training:

For members of the National Guard or of any organized military reserve of the armed forces of the United States, leave is granted for a period not to exceed two weeks during each calendar year for routine training and military exercises. Employees under such short-term military orders shall continue at the regular rate of pay, less the amount of military pay which the employee may receive. Insurance benefits will be continued.

Payroll will require the following before the employee's next check can be processed:

1) a copy of the orders to report for military duty; and

2) a copy of the pay voucher showing exact amount of pay receive from the military.

The supervisor is responsible for reporting to Payroll all time missed on a time sheet or absentee report attaching the referenced documentation.

Calls to Active Duty:

In the event of military reservists being called to active duty or civilians being inducted into the armed forces of the United States through the Selective Service, the University will grant affected employees all of the considerations as provided by the Selected Service Act.

An important provision of this Act guarantees affected employees re-employment with the same pay, rank and seniority that they could have expected if work had not been interrupted by emergency military duty. The law provides this guarantee for a period of military service of at least four years. Upon discharge from active duty, returning employees have up to ninety days to apply for re-employment.

14.5 PERSONAL LEAVE

A personal leave of absence is defined as an authorized absence without pay for reasons other than medical, jury duty, or military reasons which exceeds thirty days. Such a leave of absence may be granted only when not detrimental to the interests of the University and subject to the following:

The length of the leave of absence is determined by the supervisor or department head; is for a period of up to three months from the last day of work; and is subject to administrative approval.

The individual taking a personal leave must contact the Center for Human Resources to receive an explanation of changes in benefits.

The supervisor should ensure that the employee understands whether an attempt will be made to hold the position open. If the same position is not available upon return, the employee may qualify for other available positions for which he or she is qualified. If the employee is rehired during a period not to exceed 30 days after attempting to return to work, such employee's seniority will continue.

Vacation and sick leave accruals cease during a personal leave of absence, and holiday pay shall not be granted during the first 30 days of absence nor during the balance of a personal leave.

14.6 SICK PAY

The following sick pay accrual rates for regular staff assume 40-hour per week assignments. These are prorated for eligible employees working fewer hours.

Years of Continuous Service	Sick Leave Days per Year	Hours Accrued Per Biweekly Pay Period	Hours Accrued Per Monthly Pay Period
Before 5 years completed	10	3.08	6.67
After 5 years completed	20	6.16	13.34

Sick pay may be accrued to a maximum of sixty (60) days, i.e., 480 hours.

*Employees who were previously employed by the University may be eligible to receive service credit toward continuous service for previous employment with the University. To receive service credit, an employee must have been previously employed in a regular full-time position. Employees may receive one year of service credit for each complete year of previous regular full-time employment. An employee may receive up to ten years of previous service credit. It is the returning employee's responsibility to notify the Center for Human Resources of any eligible prior service.

Please Note: It is important that such time off be reported accurately for all University employees, either on the time sheet for nonexempt employees or on an absentee report for exempt employees. Supervisors may require a doctor's certificate of illness. A doctor's release to return to work may be required for periods of illness in excess of three (3) days.

State Disability benefits are coordinated with the University sick pay plan to maximize the benefits available to eligible staff. Employees are to file for State Disability Insurance benefits as soon as they are eligible and report the payments received to Center for Human Resources to permit adjustment of sick pay payments and remaining accumulated sick pay if applicable.

Accrued sick pay may be used for time missed from work due to personal illness, injury, or medical and dental appointments.

Accrued sick pay may be used for any portion of medical leave necessitated by the employees own serious health condition, or a family leave taken for the care of a newborn, a child placed for adoption, or an eligible child with a serious health condition. An employee may use up to one half of the employee's yearly accrual of sick pay for a family leave taken for the care of other eligible family members with a serious health condition (i.e. spouse or parent). Once an employee has used the equivalent of one half of the employee's annual accrual, all vacation pay accruals must then be exhausted prior to using any remaining sick pay accruals for other eligible family members.

Donated sick pay received under the University's donation policy may only be used for the employee's own illness.

Any employee who is ill or suffers an injury, and cannot report to work MUST notify his/her supervisor within thirty (30) minutes after the employee's regular reporting time on each day of absence.

If the employee leaves work because of illness or injury, the supervisor MUST also be notified.

DONATED SICK PAY

The University has established a program for employees to share their accrued sick pay with other employees who have special needs. Criteria for participation include but are not limited to the following:

Donors: may give up to 40 hours of sick pay per calendar year; must maintain a minimum of 80 hours in their balance; must donate in 8-hour increments.

Recipients: must be employed in full-time positions for at least 90 days; must be on a formal medical leave or sick leave of absence; must have used all their own accrued sick and vacation hours; may receive a maximum of 160 hours per leave.

To effect a donation of hours or for additional information contact the Center for Human Resources.

14.7 FAMILY MEDICAL LEAVE POLICY

14.7.1 Introduction

An eligible U.S. employee whose spouse, parent, or child has a serious health condition which requires his or her care, or who is having, adopting, or beginning foster care of a child, may apply for a family leave. An eligible employee who has a serious health condition that prevents performance of his or her job functions may apply for a medical leave. An eligible employee who because of a qualifying exigency arising out of the fact that a family member is on active duty (or has been notified of an impending call or order to active duty) in the Armed Forces in support of a contingency operation, may apply for a family leave. An eligible employee who is the spouse, parent, child or next of kin of a covered service member who is recovering from a serious illness or injury sustained in the line of duty while on active duty may apply for a family leave.

When a leave is taken due to a serious health condition of the employee or an eligible family member or the serious injury or illness of a covered service member, the employee will be required to provide certification from a qualifying health care provider.

When a leave is taken due to a qualifying exigency, the employee will be required to provide certification of its necessity.

14.7.2 Eligibility

To qualify for a family or medical leave, an employee must have at least 12 months of employment with the University. In addition, the employee must have worked at least 1,250 hours (an average of about 24 hours per week) during the prior 12 month period.

Employees eligible for benefits who do not qualify under this Family and Medical Leave Policy may request a sick leave for their own illness or disability (See Sick Leave Policy).

A female employee (whether or not eligible for benefits) who is disabled by pregnancy, childbirth or a related medical condition, even if not otherwise eligible for leave under this Family and Medical Leave Policy, may request a leave for the period of her actual disability, up to a total of four months. A female employee who qualifies for a leave under this Family and Medical Leave Policy is entitled to take a leave in addition to a pregnancy-related disability leave to care for a newborn or newly adopted or placed child.

14.7.3 Application for Leave

To request a leave under this policy, request an application from the Center for Human Resources. Complete the Family and Medical Leave Application and submit it to the Center for Human Resources. If the application is for an emergency, a preliminary decision concerning the application will be made within 48 hours. Otherwise, a preliminary decision will be made within five business days, and whenever possible, before the requested leave period is to commence. Final approval of a leave requiring certification will be processed upon receipt of all required documentation.

14.7.4 Advance Notice of Leave

When the requested leave is for the expected birth, adoption or placement of a child with the employee, or for a planned medical treatment of the employee, an eligible family member, or covered service member, the employee, when possible, shall provide the University with no less than 30 days' notice before the leave is anticipated to begin. In an emergency or unforeseeable situation, the employee shall provide such notice to the University as is practicable under the circumstances. In any case in which the need for leave is as a result of a qualifying exigency, the employee shall provide such notice as is reasonable and practicable. A failure to comply with these notice rules may result in a denial or postponement of the requested leave until the employee complies with these rules. When the requested leave is for a planned medical treatment of the employee, an eligible family member, or covered service member, the employee, subject to the approval of the health care provider, may be required to schedule the treatment so as to avoid disruptions to the operations of the University.

14.7.5 Length of Family and Medical Leaves

Eligible employees may request up to a total of 12 workweeks of family and medical leave in any 12 month period when a leave is taken due to a serious health condition of the employee or an eligible family member or a qualifying exigency. The 12 month period during which the 12 workweeks of family leave may be taken will commence on the first day of the leave. Thus, the applicable 12 month period will be different for each employee. Where additional medical leave is required, please see the Sick Leave Policy. If additional family leave is required see the Personal Leave of Absence Policy.

Eligible employees may request up to a total of 26 workweeks of family leave during a single 12 month period to care for a covered service member who is recovering from a serious illness or injury sustained in the line of duty while on active duty. Leave to care for a covered service member, when combined with other family or medical-qualifying leave, may not exceed 26 workweeks in a single 12 month period. If additional family leave is required see the Personal Leave of Absence Policy.

In any case in which a husband and wife are both employed by the University, their combined family leave for the care of a newborn or newly adopted or placed child may not exceed 12 workweeks in any 12 month period.

When a husband and wife are both employed by the University their combined leave to care for a covered service member, or in combination with other family or medical qualifying leave, may not exceed 26 workweeks in a single 12 month period.

Family leaves which are taken to care for a newborn or newly adopted or placed child must be initiated within 12 months of the child's arrival.

CONCURRENT LEAVES
To the maximum extent permitted by law, the University designates all paid and/or unpaid leaves due to reasons that are eligible under the FMLA to run concurrently with, and be counted against, an employee's FMLA entitlement provided the employee qualifies for FMLA.

14.7.6 Intermittent and Reduced Leave Schedules

Family and medical leaves may be taken in one or more periods, which includes taking leave on an intermittent or reduced hour schedule. All such periods of leave will be applied to the total leave time available pursuant to this policy.

14.7.7 Eligibility for Pay

Generally, leaves taken pursuant to this policy are unpaid. However, an employee may elect to use any accrued vacation time for a portion of a family or medical leave taken pursuant to this policy.

Accrued sick pay may be used for any portion of medical leave necessitated by the employees own serious health condition, or a family leave taken for the care of a newborn, a newly adopted or placed child, or an eligible child with a serious health condition. An employee may use up to one half of the employee's yearly accrual of sick pay for a family leave taken for the care of other eligible family members with a serious health condition (i.e. spouse or parent) or covered service member. Once an employee has used the equivalent of one half of the employee's annual accrual, all vacation pay accruals must then be exhausted prior to using any remaining sick pay accruals for other eligible family/service members.

Donated sick pay received under the University's donation policy may be used only for the employee's own illness.

14.7.8 Effect of Leave on Benefits

For the duration of a family and medical leave, all of the employee's benefits (except holiday pay and vacation and sick accruals), including coverage under any group health plan, will be maintained and continued at the level, and under the conditions such benefits would have been provided if the employee had continued in employment continuously for the duration of the leave. Vacation accruals, sick pay accruals, and holiday pay cease after the 30th day following the last day of work.

14.7.9 Extension of Leave

In the event an employee will not be able to return by the agreed-upon expiration date of a leave, an extension may be requested. The request must be made on a leave application. It must be accompanied by certification of the attending health care provider of the serious health condition, illness or injury and the need for the employee's/service member's care (when an eligible family/service member is ill). This request should be submitted as soon as the need to extend the leave is known.

14.7.10 Notice of Return from Leave

At the time a leave is requested, employees are required to indicate how long the leave is expected to be. If the need for leave ends earlier than first anticipated, the employee will be expected to return to work.

Employees must return to work no later than the first business day after the expiration date of the leave. If an employee does not return at that time, employment may be discontinued, but the employee may apply for reemployment if suitable openings arise.

14.7.11 Return from Leave

Employees returning from medical leave are required to provide a physician's certification that they are able to perform essential job functions.

Provided that the total medical and family leave period does not exceed 12 workweeks (26 workweeks in the case of a leave to care for a covered service member) specified in this policy, the employee will, upon return to work, be restored to his or her same position (when possible), or to an equivalent position with equivalent pay, benefits, working conditions, and other terms and conditions of employment. Eligibility for any benefits which ceased for the duration of the leave period will be resumed immediately.

Employees who elect not to return from leave, or who do not return by the leave expiration date, will be required to repay the University's cost of health care coverage during the leave period. No repayment will be required, however, if the employee is unable to return due to the continuation, recurrence, or onset of a serious health condition of the employee or an eligible family member, or other circumstances beyond the control of the employee, or the employee has returned to work for a minimum of 30 days following the leave. As prescribed by law, the inability to return to work must be certified by the attending health care provider.

14.7.12 Confirmation of Leave

At the time leave begins, the employee will be given a written statement of leave provisions.

14.7.13 Reservation of Rights

The University reserves the right to refuse a request for family or medical leave, or a request for reinstatement to the same or an equivalent position, pursuant to, and as prescribed by, all applicable state and federal statutes, regulations, and case law.

14.7.14 Further Information

Questions on family, medical, or sick leaves should be directed to the Associate Vice President of Human Resources or a designee at telephone extension 4397.

DEFINITIONS

FMLA : The federal Family Medical Leave Act of 1993.

Eligible Family Member : The spouse, registered domestic partner, child (including the child of a registered domestic partner), or parent of the employee.

Spouse : A partner in legal marriage with the employee.

Child : A biological, adopted, or foster child, a stepchild, a legal ward, or a child of a person standing in place of parents (in loco parentis). A child must be under 18 years of age, or 18 years of age or older and incapable of self-care because of a mental or physical disability.

Parent : A bilogical, foster, or adoptive parent, a stepparent, a legal guardian, or an individual who stood in place of parents (in loco parentis) to an employee when the employee was a son or daughter.

Serious Health Condition : An illness, injury, impairment, or physical or mental condition that involves inpatient care in a hospital, hospice, or residential medical care facility; or continuing treatment or continuing supervision by a health care provider.

Health Care Provider : Includes physicians (doctors of medicine [M.D.s], osteopaths, podiatrists, dentists, clinical psychologists, optometrists, and chiropractors (limited to treatment consisting of manual manipulation of the spine to correct a sublimation as demonstrated by x-ray to exist) authorized to practice in the state and performing within the scope of their practices as defined by state law); nurse practitioners, nurse-midwives, clinical social workers and physician assistants authorized by state law to practice and who are performing within the regularly defined scope of their duties; Christian Science practitioners listed with the First Church of Christ, Scientist in Boston; and any other health care provider who qualifies as such pursuant to FMLA regulations.

Reduced Leave Schedule : A leave schedule that reduces the usual number of hours per workweek, or hours per workday, of an employee.

Intermittent Leave : Required leaves of as short as one hour on a regular or irregular basis to meet a medial need.

Group Health Plan : Any plan of, or contributed to by, the University ( including any self-insured plans) to provide health care (directly or otherwise) to employees, former employees, or the families of such employees or former employees, i.e., the University health, dental, and psychological counseling plans.

Sick Leave : Approved time off for employees who are unable to work due to personal illness or injury, and who do not apply, qualify for, or elect to use a medical leave under the Family and Medical Leave Policy.

Medical Leave : Approved time off for employees who apply and qualify for a medical leave under the Family and Medical Leave Policy.

Covered Service Member : A current member of the Armed Forces, including a member of the National Guard or Reserves, or a member of the Armed Forces, the National Guard or Reserves who is on a current disability retirement list, who has a serious injury or illness incurred in the line of duty on active duty for which he or she is undergoing medical treatment, recuperation, or therapy, is otherwise in outpatient status, or is otherwise on the temporary disability retired list.

Contingency Operation : A military operation designated by the Secretary of Defense as an operation in which members of the Armed Forces are or may become involved in military operations against an enemy of the United States or against an opposing military force or results in the call or order or retention on active duty or under any provision of law during a war or national emergency.

Next of Kin : The nearest blood relative of a covered service member other than that covered service member's spouse, parent, son or daughter in the order of priority specified in FMLA regulations.

Qualifying Exigency : A qualifying exigency is one that is defined by FMLA regulations.

Serious Injury or Illness: In the case of a member of the Armed Forces, including a member of the National Guard or Reserves, means an injury or illness incurred in the line of duty on active duty in the Armed Forces that may render the member medically unfit to perform the duties of the member's office, grade, rank, or rating.

14.8 STAFF CAREER AND SPIRITUAL DEVELOPMENT LEAVE

14.8.1 Definition and Purpose

Staff employees will be eligible to apply for a paid career and spiritual development leave. The purpose of the career and spiritual development leave is to aid the recipient in maintaining and increasing his or her usefulness and productivity to the University - by way of preparation to perform with excellence, strengthening of character worthy of emulation, devotion to an active and personal spiritual commitment, and servanthood -- in achieving the goals stated in the University's Mission Statement, including helping students prepare for lives of purpose, service and leadership. Career and spiritual development leaves are an investment by the University in the employee's future with Pepperdine and are not granted solely based on length of service. The University encourages supervisors to be proactive and encourage employees to take advantage of the career and spiritual development leave program.

14.8.2 Eligibility

A staff employee who serves in a position designated as a regular full-time 12-month position; works a minimum 30 hours per week; and is in good standing will become eligible to apply for the career and spiritual development leave on the day he or she completes the required years of continuous service in this status.

14.8.3 Application Procedure

The granting of a career and spiritual development leave is based upon the evaluation of a written application. The application will be reviewed by both the applicant's supervisor and the applicable department head, and requires the support of both, who will forward the request to the appropriate senior administrator for final review and approval.

Eligible applicants must apply for a career and spiritual development leave at least six months in advance. An application for a career and spiritual development leave shall include: (1) a brief description of the planned use of the applicant's time during his or her absence from the University, and (2) a brief description of how the leave will enhance the applicant's productivity, effectiveness, and/or spiritual development at the University, or further its goals as set forth in its Mission Statement.

The criteria for career and spiritual development leave include:

a. The demonstrable benefit to the University and the applicant as a productive member of the University community in furthering the University's goals as stated in its Mission Statement through career improvement, strengthening of character, furthering a personal spiritual commitment, or servanthood;

b. The applicant's status as an employee in good standing;

c. The applicant's completion of the required years of service in an eligible category; and

d. The effect the applicant's absence would have on specific projects within the relevant department during the leave period.

Upon completion of the leave, each participant shall provide a summary of his or her experiences during the leave in the form prescribed by the University.

14.8.4 Scheduling of Leave

The career and spiritual development leave must be taken in one continuous time span. If an employee is involved in a project that would be hampered by the employee's absence or if the timing of the requested absence would otherwise be an undue hardship for the department, then the requested career and spiritual development leave may need to be postponed and rescheduled through collaboration with all the involved parties.

14.8.5 Administration of Leave Program

Salary and benefits will continue at the individual's base salary/wage rate at the time leave begins and will be subject to any scheduled increases. An introductory increase applicable to a new assignment, however, may be delayed. During the career and spiritual development leave, short-term illnesses of less than 31 days duration will not extend the career and spiritual development leave period. Longer periods of illness may require the balance of the career and spiritual development leave to be rescheduled.

Employees with faculty status who are eligible to apply for either career and spiritual development leave or sabbatical leave may only apply for one type of leave, not both.

The career and spiritual development leave program, as an investment in the employee's future with the University, is not a vested benefit; as such, no employee may take pay in lieu of the career and spiritual development leave program. Any employee terminating after eligibility in the program will not be paid for any career and spiritual development leave. Employees voluntarily terminating within six months of returning from a career and spiritual development leave may be required to reimburse the University for pay received while on career and spiritual development leave.

The University reserves the right to change, suspend, amend, or end this program and the terms on which career and spiritual development leaves, if any, will be available to its employees.

These leaves, when approved, will be granted to employees based on the following schedule:

Years of Continuous Completed Service	One-time Career and Spiritual Development
	Leave During the Five-Year Period
5-9	1 week (5 work days)
10-14	2 weeks (10 work days)
15-19	3 weeks (15 work days)
20-24	4 weeks (20 work days)
25-29	5 weeks (25 work days)
30-34	6 weeks (30 work days)
35-39	7 weeks (35 work days)
40 or more	8 weeks (40 work days)

14.8.6 Frequently Asked Questions

Q. Who is eligible for career and spiritual development leave?

A. Any staff employee who has completed at least five years of continuous service with the University; is serving in a designated regular, full-time, 12-month position; works a minimum 30 hours per week; and is in good standing with the University.

Q. What is career and spiritual development leave?

A. It is paid time off for staff members to further develop and solidify their skills, faith, and values.

Q. When am I eligible to apply for career and spiritual development leave?

A. You may apply to take the leave as soon as you have completed five years of continuous service as a full-time employee in good standing and working a minimum of 30 hours per week at the University. At the beginning of each five-year period (e.g., 5-9 years, 10-14 years, etc.), you will be eligible to apply for a career and spiritual development leave. Approved leave can be taken at any time during that five-year eligibility period and must be taken at one time. There is only one leave allowed for each five-year period.

Q. An employee has completed 15 years of continuous service with the University. How much leave is she eligible to take?

A. Three weeks, to be used at one time before she completes 20 years. After she completes 20 years of service, she will be eligible to apply for another career and spiritual development leave of four weeks.

Q. When do I need to request the leave?

A. The leave must be requested at least six months in advance to allow the department to plan and prepare for the absence of the employee.

Q. What happens if I cannot take a planned and approved leave due to personal or business reasons?

A. The leave will need to be rescheduled in collaboration with your department, as well as your senior administrator.

Q. Will I need to share my experiences upon my return to work?

A. Yes, you may be asked to share your experiences so that others may benefit from what you learned and to encourage them to take career and spiritual development leave.

Q. Can I receive compensation if I don't take the leave for which I am eligible?

A. No, the leave must be taken during the applicable five-year period of eligibility. If it is not taken, the employee will not receive monetary compensation, and the leave will not rollover between eligible periods.

Q. How do I apply for the leave?

A. Simply fill out the 1-page form and submit to your supervisor for approval. The department director and senior administrator will also need to approve the form before it is sent to the Center for Human Resources for processing.

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Section 15 VACATIONS

15.1 ACCRUAL

Vacation time accrues for regular full-time employees working 40 or more hours per week according to the following schedule:

From the date of regular employment through five years of continuous* employment, ten (10) days for each year of continuous service* (3.08 hours per biweekly pay period or 6.67 hours per monthly pay period) are granted;
After five years of continuous* regular employment, fifteen (15) days for each year of continuous* service (4.62 hours per biweekly pay period or 10 hours per monthly pay period) are granted.
After fifteen years of continuous* service, twenty (20) days for each year of continuous* service (6.16 hours per biweekly pay period or 13.34 hours per monthly pay period) are granted.

Years of Continuous Service	Vacation Days per Year	Hours Accrued Per Biweekly Pay Period	Hours Accrued Per Monthly Pay Period
Before 5 years completed	10	3.08	6.67
After 5 years completed	15	4.62	10.00
After 15 years completed	20	6.16	13.34

Regular employees approved to work at least 20 hours but less than 40 hours per week accrue vacation on a prorated basis. Contact the Center for Human Resources for details.

15.2. SCHEDULING

An employee must request a vacation leave from the supervisor in a memorandum. Supervisors must arrange vacations in accordance with the requests and the work requirements of the department and notify each employee of his or her scheduled vacation by returning the approval copy of the memorandum.

Once an employee's vacation is scheduled, it may not be canceled or changed unless notice equivalent to the length of the scheduled vacation is given to the employee prior to the date for vacation to begin, or unless there is mutual agreement to the cancellation or change.

Vacation pay is vested but vacation leave will not be granted until the regular employee has completed six months of continuous service.

Vacation leave may be accrued to a maximum of twenty days (160 hours). Therefore, an employee must take vacation time prior to reaching the 160 hour maximum accrual or lose any additional accrued vacation time beyond the 160 hour maximum.

Vacation pay in lieu of vacation will not be granted, except upon termination of employment.

Vacation time does not accrue during a formal leave of absence.

15.3 HOLIDAYS FALLING WITHIN VACATION PERIOD

Holidays which fall during an approved vacation period will be paid. An employee may not claim both holiday and vacation pay for the same time period.

15.4. PAYOFF UPON RESIGNATION/TERMINATION

Prorated, accrued vacation will be paid after employment in an eligible status if the employee:

retires under the provisions of a University retirement plan;
is laid off or discharged;
resigns;
dies, (payment will be made to the employee's estate or heirs).

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Section 16 HOLIDAYS

16.1. ANNUAL HOLIDAYS

Regular full-time employees and temporary employees who have been continuously employed for at least 90 calendar days and regularly work 40 hours or more per week are granted the following holidays, with pay and without any waiting period:

Holiday Date

New Year's Day - January 1

Martin Luther King Jr Day - Monday in January

Memorial Day - Last Monday in May

Independence Day - July 4

Labor Day - First Monday in September

Thanksgiving Day - Fourth Thursday in November and following Friday

Christmas Period five days during the Christmas period as designated each year.

In addition, two floating holidays during the calendar year is available to regular employees who have completed a minimum of six months of continuous service and obtain supervisory approval at least two weeks in advance.

No pay will be granted if an employee resigns or has an unexcused absence the day before or the day after the holiday. An excused absence must be verified in writing by the employee's supervisor.

Holiday pay is limited to a maximum of eight (8) hours times the individual's regular rate for each officially declared holiday.

Time off for an authorized, paid holiday is counted toward the base workweek for purposes of computing overtime. Other time lost (i.e., sick leave, vacations, jury duty, etc.) whether or not paid, is not counted as time worked. An employee who works on an official University holiday will receive appropriate pay for the hours actually worked as well as holiday pay. A holiday falling within an approved vacation period will be paid as a holiday and not counted against vacation time.

16.2. WEEKEND HOLIDAY OBSERVANCE

A designated holiday falling on Saturday will be observed on the preceding Friday; a designated holiday falling on Sunday will be observed on the following Monday.

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Section 17 COURT AND COURT-RELATED APPEARANCES

17.1 JURY DUTY

The University considers jury duty to be an important civic responsibility. Having loyal, conscientious, honest citizens serving on our juries is a basic and essential element of our American system of justice. Therefore, it shall be the policy of this University to encourage jury service by its employees when their duties to the University permit.

An employee called to serve will be excused to serve on jury duty, and for up to ten (10) work days shall be paid at their regular base salary for such service. For an employee serving on a jury in which the trial extends beyond ten (10) paid work days, his/her absence will be excused until the trial is completed, even though the employee will be paid a maximum of ten (10) work days.

17.2 SUBPOENAS

The University will continue the regular salary of a full-time employee subpoenaed for court appearances, depositions, including reasonable travel time, during the employee's scheduled working hours. A deposition is the taking of testimony outside of court. Continuation of pay for subpoenas or depositions is not applicable to criminal or civil actions in which the employee is a party of or has a personal or financial interest in the outcome.

17.3 SUBPOENAS FOR DOCUMENTS

The term "subpoena duces tecum" is a command for a witness to appear and bring specified documents. However, under California law the custodian of such documents may furnish copies of the documents by mail unless the subpoena specifically requires personal appearance. Unless personal appearance is required, arrangements should be made with the subpoenaing party for mailing the requested documents and for payment of reasonable expenses for copying, etc. Also, if the subpoena is for University records, the University's General Counsel must be notified and must grant approval before any University documents are provided.

17.4 PROCEDURES FOR COMPLIANCE

When an employee receives notice of possible selection for jury service or a subpoena which would necessitate time off from work, the employee shall promptly provide a copy of such notice or subpoena to his/her supervisor. Time spent on jury duty or appearing in response to a subpoena during regular working hours shall be identified as jury service or subpoena response on the employee's time sheet or absentee report.

If a reasonable portion of the working day remains after being excused from jury duty or the subpoenaed appearance, the employee is to return to work.

17.5 REQUESTS FOR POSTPONEMENT/EXCUSE FROM SERVICE

If, after consultation, the employee and/or his or her supervisor believes that jury service would impose an undue hardship on the employee or the University, the supervisor will assist the employee, as appropriate, in preparing a request to the court to be excused from the jury service or that it be postponed.

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Section 18 EMERGENCIES AND NATURAL DISASTERS

18.1. OVERVIEW

When hazardous weather, power failures, road closures, or other emergency situations raise the question of whether employees should be told to go home or not to report to work, the decision will be made by the President, the Executive Vice President or the Provost. The University's Department of Public Safety, Road Condition Hotline (310) 506-ROAD, will be able to answer inquiries about the University being open or closed. If the University loses telephone service, updated emergency information can be obtained from Pepperdine's toll-free, out-of-area voice-mail telephone number: (888) 286-5659. Staff, faculty, and students are also encouraged to reference the Pepperdine homepage for the latest campus, class closure information.

18.2. EMERGENCY PREPAREDNESS PLAN

The emergency preparedness plan delineates the responsibilities of individuals and organizational units for campus site emergency preparedness.

The principle objectives of the plan are:

to protect all persons on the University campus;
to safeguard classified documents and vital University records;
to preserve University property; and
to resume normal operations as soon as possible.

The plan is designed for full or partial activation depending upon the assessed severity of the event.

It shall be the responsibility of the Director of Public Safety to coordinate services on the Malibu Campus during an emergency.

The Emergency Operations Committee (EOC), concerned with campus site emergencies and effective action capabilities, is separate and distinct from that of the formal organization structure. The extent to which the EOC is activated will be conditioned upon the assessed severity of the emergency occurrence.

The Executive-in-Charge will assess the extent to which safety is threatened or facilities are endangered, and then decide if a major emergency exists. Under major emergency conditions, an Emergency Operations Command Post will be formed and the EOC activated to direct the campus site operations for the duration of the emergency. When the emergency is of less than major severity, selected elements of the Emergency Operations Center will be activated.

All staff members not designated as Critical Support Personnel or participants in the Emergency Response Plan must remain clear of emergency operations and respond promptly to any directives or instructions issued by the emergency response agencies.

18.3 ROAD CLOSURES

In past years, heavy rains and landslides have caused closure of some of the roads in the Malibu area for varying lengths of time. Communications are often difficult at such times, and it is the intent of this policy to provide University employees with some guidance in the event of future road closures.

During the periods of road closures, the University's fiduciary responsibilities continue for daily operations; for preservation of University property; and for the welfare of its students, especially those residing in campus housing. The only means of fulfilling these responsibilities is through the efforts of a dedicated staff. Therefore, it is University policy that the University will be open for its employees whenever possible.

It is the responsibility of each University employee to report for work in order to meet the University's obligations to its students. In the event of closures of particular roads, it is the responsibility of each employee to make sincere, diligent efforts to ascertain alternative routes to the campus. Seldom has it been impossible for very long periods of time to travel to the campus. In all road closures to date, there have been many employees who were able to find a route to campus. In the case of compelling personal reasons, employees may be excused from appearing for work by their supervisors. "Compelling personal reasons," means a clear and present danger to life or property, and not merely that it is inconvenient to get to work.

If stopped by law enforcement officials, employees should present a University I.D. card and ask permission to proceed. If there is no immediate danger, officials will often allow an employee to proceed if he or she is politely insistent. If refused passage, other alternate routes should be pursued by each employee. Should campus telephones be out of order, other means of inquiry (e.g., KNX and KMPC radio stations, Caltrans, the University's toll-free out-of-state message system at (888) 286-5659, Los Angeles County Sheriff, California Highway Patrol, or supervisors) may be utilized to obtain information regarding access to campus.

In the event of a disaster, which makes it impossible or too dangerous for most employees to report to work, the campus may be closed to employees. In such an event, the University will attempt to inform employees in advance through the supervisors or other reasonable means. Employees should pay close attention to announcements on the radio or other media but should rely upon the University's own information resources for accurate updates regarding campus/class closures ((310) 506-ROAD, (888)-286-5659; www.pepperdine.edu). Such announcements may not apply to employees, but may be applicable only to students, if authorities do not wish to allow students to enter the area.

Even though the campus may be closed to other employees, Critical Support Personnel are expected to use all reasonable means to come to the campus. Such individuals are designated by their departments to be available to respond in emergencies, to continue essential operations, and to protect life and property.

18.4 COMPENSATION

On rare occasion, an emergency or natural disaster may cause a University closure. In addition, there are occasions when natural disasters result in the closure of roads surrounding the University preventing an employee from reporting to work. Under such conditions, the University may close at the discretion of the President or his designee.

Certain employees are paid only for actual hours worked. Thus, these employees are not paid for the time that is missed due to the emergency or natural disaster unless they choose to utilize any accrued, but unused vacation pay. However, there may be situations when employees who are unable to come to work; or employees who work only a partial day, due to an emergency or a campus or road closure; may make up time missed with supervisory approval. If possible, time should be made up during the same workweek it was lost. Make-up time must have the approval of the supervisor prior to beginning work.

For questions regarding make-up time and the application of this change in overtime rules, please contact the Center for Human Resources at extention 4397.

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Section 19 UNIVERSITY BENEFIT CLASSES

19.1 OVERVIEW

Three classes of employees are recognized by the University in the administration of employee benefits:

Class I. Regular (non-adjunct) Faculty, including Administrative Faculty;

Class II. Senior Administrators, Professional Librarians, and other Administrators holding faculty rank or status;

Class III. Staff.

19.2 CLASS I FACULTY BENEFITS

Except for general policies in this manual which apply to all employees, Faculty members should refer to the current Faculty Handbook, University Benefit Plan documents, and/or individual contractual obligations for specific information concerning their employment-related benefits.

19.3 CLASS II EMPLOYEE BENEFITS

Senior administrators, professional librarians, and other administrators holding faculty rank or status, are afforded the faculty benefits package with one exception: time off for vacation. Except as otherwise specified below, the Class II vacation policy parallels the staff vacation policy.

19.4 CLASS II VACATION BENEFITS

Administrators who have attained faculty rank or status through appointment or previous service will retain all privileges and benefits accorded faculty members under the applicable Faculty Handbook in effect at the time such rank or status was obtained. The timing of vacation is at the discretion of the administrator's immediate superior. Two weeks' vacation per year are earned during the first year, continuing through the fifth year of employment, three weeks per year are earned through the 15th year of employment and four (4) weeks per year thereafter. Professional librarians earn four (4) weeks of vacation per year of employment. Subject to a 160-hour maximum cap for administrators and a 240-hour maximum cap for professional librarians, unused vacation time will be paid at the time the employment relationship is ended by either party. (See also: VACATIONS).

19.5. CLASS II TRANSFER PROCEDURE

An employee entering Class II from Class I will be allowed the appropriate amount of vacation based on years of service with the University during the twelve (12) months following each employment anniversary date after transfer. Prorated vacation time is allowed between the date of transfer and the next employment anniversary date.

An employee entering Class II from Class III will retain vacation accrual balances as of the date of transfer and, in addition, will be allowed the appropriate amount of vacation based on years of service with the University during the twelve (12) months following each employment anniversary date after transfer. Prorated vacation time is allowed between the date of transfer and the next employment anniversary date.

19.6. CLASS III STAFF BENEFITS

The Class III staff benefits package encompasses staff benefits as outlined in the most recent Employee Information Bulletin, this Policy Manual, and University Benefit Plan documents.

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Section 20 TUITION BENEFITS

20.1 BENEFITS

Eligible employees shall be granted the following benefits for themselves and for all members of their family who qualify under ELIGIBILITY:

50% tuition remission on courses taken in the University's undergraduate programs, with an additional benefit computed at the rate of five percentage points per year of employment. Thus an eligible employee would receive 100% tuition remission after ten years of employment.
25% tuition remission on courses taken in the graduate programs of the University's professional schools and Seaver College, with an additional benefit of five percentage points per year to a maximum of 75% tuition remission. Thus an eligible employee would be entitled to a 75% tuition remission after ten years of employment. Professional schools include the School of Law, the Graziadio School of Business and Management and the Graduate School of Education and Psychology and the School of Public Policy.
For employees only, 100% tuition remission in the & #8220;space available program" in the Graziadio School of Business and Management's fully employed MBA and BSM programs limited to one course per trimester provided all program enrollment and participation requirements are met.

NOTE: A year of employment shall be interpreted as twelve months beginning with the first day of service in an eligible category.

For those employed prior to August 31, 1971, tuition discounts will be in accordance with the Manual of Standard Procedures dated May 1967, and the Faculty Handbook dated September 1970.

20.2. ELIGIBILITY

In order to be eligible for tuition benefits, the student must be in one of the following categories:

A regular full-time member of the faculty who has been assigned a full load of teaching or equivalent service during two or more trimesters/semesters of the academic year.
A regular full-time staff member who is continuously employed in a regular full-time position requiring at least forty (40) hours of work per week.
The spouse of any of the above.
A dependent son or daughter of any of the above, who is 25 years of age or younger. The child of an eligible employee will be considered a dependent when he or she is considered a dependent for federal income tax purposes.

20.3 LIMITATIONS OF BENEFITS

The following limitations apply to the staff tuition benefit program:

Students shall not receive a faculty/staff tuition benefit and other forms of unrestricted financial aid which, when combined, exceeds the cost of tuition.
Benefits may not be granted after the last day of registration of the term for which benefits are claimed.
Employees shall schedule their classes outside of regular working hours unless other arrangements are approved in writing and in advance by the Administration.
An employee, spouse or dependent receiving tuition benefits shall be required to pay a registration fee, if any, for each session. In addition, all other fees provided for in the catalog shall be paid by the student.
Remission benefits are not available for some programs including but not limited to field trips, workshops and seminars. Consult the Financial Aid Office for details.
Some specialized courses and independent study courses require special equipment or materials. Employees or their dependents will pay the cost of such special equipment or materials.
Remission benefits do not cover room and board charges.

20.4 PERSONNEL ON LEAVE OF ABSENCE

Employees on leave of absence from the University, and members of their family, shall not be eligible for tuition benefits except under one of the following conditions:

When specifically approved in writing by the President of the University.
During a Sabbatical Leave that has been approved by the President of the University.

If benefits are so granted, they shall not exceed those for which the employee and members of his or her family were eligible during the last trimester/semester of active service and employment with the University.

20.5 TUITION BENEFITS FOR DEPENDENTS OF DISABLED OR DECEASED EMPLOYEES

The University is eager to provide as much security for employees as is consistent with sound fiscal policies. In line with this intention, if an eligible employee who has served the University for three years or longer should become disabled or die while an employee of the University, any dependents of that employee will be granted full tuition benefits in the undergraduate divisions of the University, provided such dependents are twenty-five years of age or under on the last day of registration.

20.6. BENEFITS TO EMPLOYEES WHO ARE TERMINATED OR WHO RESIGN

Pepperdine University grants no tuition remission benefits to administrators, faculty or staff members and/or their dependents when such employees have resigned or have been terminated with or without cause. (If the resignation/termination occurs after the last day of registration, benefits granted for that trimester will be honored.)

If an employee returns to the employ of the University at some later date, tuition benefits (only) will be computed on the basis of total years of service at the University.

20.7 APPLICATION FOR BENEFITS

An application form, available from the Financial Aid Office, must be filed with and approved by that office before a tuition discount may be credited to the student's account.

20.8. TAX IMPLICATIONS

Employees interested in the staff tuition remission program should be encouraged to investigate the possible tax implications of participation through their personal financial advisors.

20.9. RECIPROCAL TUITION REMISSION AGREEMENT AMONG CHRISTIAN COLLEGES

Pepperdine University has entered into an agreement with eight other senior colleges affiliated with the churches of Christ. Other participating institutions are:

Abilene Christian University - Abilene, Texas
Cascade Christian College - Portland, Oregon
David Lipscomb University - Nashville, Tennessee
Faulkner University - Montgomery, Alabama
Freed-Hardeman College - Henderson, Tennessee
Harding University - Searcy, Arkansas
Lubbock Christian University - Lubbock, Texas
Oklahoma Christian University - Oklahoma City, Oklahoma

The agreement provides qualifying children of eligible Pepperdine employees with 50% tuition remission at one of the other participating institutions. Interested employees should consult the complete text of the reciprocal agreement for statements of qualifications, benefits and limitations. Copies of the agreement are available in the Center for Human Resources or Financial Aid offices.

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Section 21 MISCELLANEOUS BENEFITS

21.1 SPECIAL ACTIVITIES

Employees and their families may be admitted to specified campus activities at reduced rates or at no cost upon presentation of the employee's staff I.D. card.

21.2 EMPLOYEE DISCOUNTS

All full-time employees are entitled to a ten percent (10%) discount on most purchases in excess of one dollar ($1) at the Bookstore. Staff I.D. cards must be presented to qualify for the discount.

21.3 LIBRARY

Employees are permitted to use the campus library facilities upon presentation of their staff I.D. card.

21.4 ATHLETIC FACILITIES

Employees and their families are permitted the use of the gymnasium, racquetball/ hand ball courts, swimming pool and tennis courts upon presentation of the staff I.D. card. This use may be restricted due to scheduled athletic events and physical education classes.

21.5 CHECK CASHING

As a benefit to employees, personal checks may be cashed at the Cashier's Office. A valid staff I.D. card and one other means of identification (driver's license, state identification card, etc.) must be presented to the Cashier.

Checks returned for insufficient funds will be assessed a service charge.

Employees with a record of insufficient funds checks may have their check cashing privileges canceled by the Finance Department.

Current check-cashing procedures, check-cashing limits and service charge information are available at the Cashier's Office.

21.6 CREDIT UNION

Two credit unions are available for staff participation: The University Credit Union and the Kinecta Federal Credit Union.

Regular full-time Pepperdine University employees are eligible to join the Kinecta Federal Credit Union. Details of membership are available from their office at (310) 828-5795.

All employees are eligible to join the University Credit Union. Details of membership are available from their office at (310) 477-6628.

The University will honor requests for credit union deductions from employee paychecks upon receipt of written authorization.

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Section 22 INSURANCE COVERAGE

22.1 COVERAGES

Eligible employees will be insured for life insurance, accidental death and dismemberment, and long-term disability income.

The University offers four (4) medical plans to eligible employees: Two (2) group medical plans and two (2) prepaid medical plans.

The University offers two (2) dental plans to all eligible employees: a group dental plan and a prepaid dental plan.

The University offers one vision plan to all eligible employees.

The University offers one psychological counseling plan to eligible employees.

NOTE: Additional or alternate prepaid health insurance plans may be available from time to time and plans may be changed without prior notice. If there is a difference between this Section and the official University Plan document, the latter shall prevail. Information regarding such plans will be available from the Benefits Manager in Center for Human Resources.

The University expects to continue group insurance plans indefinitely, but must necessarily reserve the right to modify or terminate any insurance at any time.

22.2 ELIGIBILITY

Eligible employees are active, regularly assigned, full-time staff employees working a minimum of 30 hours per week (except where applicable law requires a lesser number of hours) and active, regularly assigned, full-time faculty, including all faculty employed under a regular (non-adjunct) faculty contract teaching 0.5 FTE.

22.3 PARTICIPATION: LIFE INSURANCE AND ACCIDENTAL DEATH AND DISMEMBERMENT

All eligible employees must complete the online enrollment process within 31 days of employment.

Term life insurance benefits for employees will be an amount equal to two times the base annual earnings, adjusted to the next higher multiple of $1,000 (if not already a multiple thereof) with a minimum benefit of $10,000 and a maximum of $750,000. Accidental Death and Dismemberment Insurance (AD&D) is two times the base annual earnings, adjusted to the next hire multiple of $1,000 (if not already a multiple thereof).

A comprehensive explanation of Life and AD&D is available in the Health and Welfare Summary Plan Descriptions which is available through the Center for Human Resources.

22.4 PARTICIPATION: LONG-TERM DISABILITY

All employees are covered automatically. Online enrollment is not required.

Long-Term Disability (LTD) Insurance provides eligible employees with income protection in the event of total disability resulting from a covered sickness, accidental bodily injury or pregnancy. Benefits under this program are equal to 66-2/3% of the employee's insured earnings* reduced by income from other sources. The maximum LTD benefit is $10,000 per month.

LTD benefits also include continuation of retirement program contributions equal to 10% of the employee's monthly LTD benefit.

LTD benefits become payable after an employee has been totally disabled for a 180-day waiting (or "elimination") period. When an employee becomes totally disabled, he or she may use any accrued sick leave and should file for State Disability Insurance.

For additional information relative to LTD eligibility or benefits and provisions, contact the Benefits Manager in Center for Human Resources. Each enrollee will receive a certificate with a detailed and controlling description of coverage.

*Insured earnings are the first $15,000 of monthly earnings excluding bonuses, overtime pay and any extra compensation.

22.5 PARTICIPATION: MEDICAL PLANS

Eligible employees may elect to enroll in the program of their choice. The employee must elect one of the plans through online enrollment within 31 days of employment. If an employee waives University coverage, proof of other medical coverage must be provided. A change in enrollment from one medical plan to another may be made during an annual open enrollment period, which normally occurs each July.

Note: Enrollment in the Kaiser Plan is limited to employees residing in Los Angeles, Ventura, and Orange Counties.

22.6. PARTICIPATION: DENTAL and VISION PLANS

Eligible employees may elect to enroll in the program of their choice. An online enrollment process must be completed within 31 days of employment. A change in enrollment from one dental plan to another or a change in enrollment in the vision plan may be made during an annual open enrollment period, which normally occurs each July.

22.7 PSYCHOLOGICAL COUNSELING

The University provides licensed, professional, confidential psychological counseling to eligible employees and dependents. Services include individual or group counseling, marriage and family counseling, alcohol and drug dependency treatment and crisis counseling.

Strict confidentiality is maintained and the University is not informed of individual participation.

Inquiries relative to eligibility, coverage and how to use the services should be directed to the Center for Human Resources, ext. 4397, or to Pacificare Behavioral Health (800) 999-9585.

22.8 COSTS

The University will pay one hundred percent 100% of the cost for the life, accidental death and dismemberment, and long-term disability income plans. In addition, the University will contribute one hundred percent (100%) of the cost for personal coverage for the medical programs selected.

If the employee elects to cover dependents, the University will contribute to the actual premium cost for medical and dental programs and will pay one hundred percent (100%) of the cost for psychological services for a limited (5) number of consultations.

For additional information, summary plan descriptions can be obtained from the Center for Human Resources.

22.9 CONVERSION PRIVILEGES

Following termination of employment, conversion options are available and must be exercised within 30 days of termination for medical coverage and 31 days of termination for life insurance coverage.

22.10 CONTINUATION COVERAGE (COBRA)

Each covered, eligible employee and/or previously covered dependent(s) has the right to choose continuation coverage if group health coverage is lost because of one of the following events:

For employees:

Termination of employment for any reason (except for the employee's gross misconduct); or
Reduction in hours worked.

(NOTE: The maximum continuation period is 36 months.)

For dependents:

Death of the "covered employee;"
Divorce or legal separation (when the latter causes termination of coverage);
Loss of status as a dependent child for any reason; or
Cessation of dependent's coverage because the employee becomes entitled to Medicare benefits.

(NOTE: The maximum continuation period is 36 months .)

The required continuation ceases on the earlier of the following:

The date the University ceases to provide any health coverage to employees;
The nonpayment of the necessary continuation premium by the employee or dependents;
The date the continued individual becomes covered under any other group health plan, through employment or otherwise, or is entitled to Medicare ; or
Expiration of the maximum continuation period.

The University requires payment of 102% of the total cost of continuation coverage in advance or as the premium becomes due.

The employee has at least 60 days from the date the group health plan coverage terminates to elect continuation of coverage. The Center for Human Resources will provide, in writing,

the date group health coverage terminated; and
the date election notice(s) must be received in Center for Human Resources for processing.

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Section 23 CALIFORNIA STATE DISABILITY INSURANCE

23.1 PROVISIONS

Under the California Unemployment Insurance Code, disability insurance is payable when the employee cannot work because of illness or injury not caused by his or her job, as well as for pregnancy, or when entitled to temporary worker's compensation at a rate less than the daily benefit amount.

Eligibility for benefits is available to California resident employees under the California State Disability Insurance Act. This benefit is paid entirely by the employee. The required contributions, as mandated by law, are withheld from each paycheck.

If an employee is disabled at home because of a non-job-related illness or injury, the employee must immediately contact the Center for Human Resources or the nearest State Disability Office for eligibility requirements and application forms.

NOTE: Brochures further describing the benefits under the State Disability Plan are available in the Center for Human Resources office. Also, any further questions not covered in this policy may be answered by the nearest State Disability Office.

23.2 PAYMENTS: COORDINATION OF BENEFITS

The University coordinates sick leave with payments the employee may be eligible to receive from the California State Disability Insurance program. In order to take advantage of this benefit, it is necessary to file a State Disability claim form immediately upon hospitalization or if the employee is disabled for more than seven (7) consecutive calendar days, and is under a doctor's care. Upon verification of the actual amount of State Disability Insurance benefits paid, the number of sick leave hours available to the employee may be adjusted appropriately. If applicable, the next paycheck will be reduced by the appropriate amount of State Disability Insurance payment received for the period of time sick pay was available. State Disability benefits will be prorated at one-fifth of the weekly benefit that is received from State Disability Insurance.

It is the employee's responsibility to file a timely application for State Disability Insurance benefits. Should an employee fail to file a claim and/or meet the State's requirements, sick leave benefits will be paid to the extent they are available, thus reducing the number of sick leave hours available to the employee.

23.3 LIMITATIONS

If the employee receives wages while disabled, basic benefits and wages added together are limited to his or her weekly wage (less overtime) immediately prior to disability.

Benefits for a normal pregnancy are available upon a doctor's certificate that the employee is disabled.

23.4 DISQUALIFICATIONS

An employee is disqualified for the receipt of benefits:

if the claim is mailed later than the twentieth day after the day for which benefits are payable;

NOTE: Earlier filing will speed the payment. Late filing results in loss of payment for the number of days the claim is late unless "good cause" for the delay is established.

if a false statement is made or failure to report a material fact is discovered;
if the employee fails to have an independent medical examination when requested to do so. (Fees for such examinations are paid by the State.)

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Section 24 WORKER'S COMPENSATION INSURANCE

24.1. PROVISIONS

Pepperdine University has complete Workers' Compensation coverage on all employees for injuries that may occur while at work . This coverage is provided at no cost to the employee.

The employee must notify his or her supervisor immediately about what, where, and how the injury happened. It is the supervisor's responsibility to notify Human Resources the day on which a work-related injury or illness occurs. Human Resources will complete necessary reports and arrange for prompt medical treatment.

If the injured employee wants to be treated by a personal physician, Human Resources must have on file the name, address, and phone number of that doctor before treatment of a medical problem is needed.

If the employee does not notify the Human Resources and is sent to a doctor or clinic that Liberty Mutual (the insurance carrier) has chosen, after thirty days the employee may change to a doctor of his or her choice. In such a case, Human Resources and Liberty Mutual are to be given advance notification of the name and address of the physician or facility selected.

NOTE: The term PERSONAL PHYSICIAN is defined as "the employee's regular physician or surgeon who has previously directed the medical treatment of the employee and who retains the employee's medical records including his or her medical history."

California Labor Code Section 3600 was amended on January 1, 1979, to provide that injuries incurred out of voluntary participation in off-duty recreational activity, even if they occur on-campus, are not compensable under Worker's Compensation. The Division of Industrial Accidents has now issued an administrative regulation (Section 9883) to inform employees of their rights under the amendment:

(9883) NOTICE TO EMPLOYEE CONCERNING OFF-DUTY

RECREATIONAL, SOCIAL, OR ATHLETIC ACTIVITY

Your employer or its insurance carrier may not be liable for the payment of workers' compensation benefits for any injury which arises out of an employee's voluntary participation in any off-duty recreational, social, or athletic activity which is not a part of the employee's work related duties.

24.2 BENEFITS

Worker's Compensation Insurance will pay the employee two-thirds of the average wage up to a maximum amount set by the State Legislature.

Effective June 1, 1988, all regular staff employees assigned to work a minimum of twenty (20) hours per week and all temporary full-time staff employees assigned to work a minimum of thirty (30) hours per week may be eligible for the University's "lost time" pay policy due to a work-related illness or injury, as stated below:

Hours lost on the first day due to a work-related injury or illness will be paid in full by the University.

Regular and temporary staff employees may be eligible for "lost time" pay provided by the University under a special paid leave of absence policy during the first three (3) calendar days not paid by the worker's compensation carrier, provided that the employee would normally have been scheduled to work during the special, paid leave of absence.

If loss of work is more than fourteen (14) days, the worker's compensation carrier will also pay benefits for the first three days. The special payment provided by the University will then become subject to coordination of benefits and the amount of worker's compensation benefits received for the first three days will be deducted from the employee's next paycheck or is to be reimbursed by the employee.

Coordination of Benefits for Faculty and Staff:

The University allows but does not require that regular staff and faculty members coordinate accrued sick and/or vacation benefits with payments actually received under the worker's compensation law. If the total dollar amount received from worker's compensation and sick/vacation benefits is greater than the employer's regular rate of pay for the period of work-related absence, the employee's next paycheck will be reduced by the excess or the employee may reimburse the excess to the University. The number of sick leave or vacation hours available to the employee will then be adjusted appropriately.

The California Workers' Compensation Law guarantees four kinds of benefits:

Payments to replace lost wages, described above;
Death benefit to eligible dependents;
Medical care for the injury; and
Rehabilitation services, if necessary.

Rehabilitation may be just an extension of medical treatment for example, physical therapy to strengthen muscles. If the employee is out of work more than three days, the first compensation check should be received within fourteen days and every two weeks thereafter until the doctor advises it is permissible to return to work. If loss of work is more than fourteen (14) days, benefits will also be paid for the first three days.

Additional payments will be made for a permanent handicap such as the amputation of a finger or loss of sight, even though the employee may return to work. However, if the injury keeps the employee from returning to a job, he or she may qualify for vocational rehabilitation and retraining. The insurance provider can supply further information.

If there has been a mistake or misunderstanding regarding benefits due, the Center for Human Resources or the nearest office of the State Division of Industrial Accidents (listed under CALIFORNIA, State of, in the telephone book) may be contacted.

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Section 25 UNEMPLOYMENT COMPENSATION

25.1 GENERAL

On January 1, 1972, Pepperdine University became a participant in the California State Unemployment Plan.

Coverage is provided for unemployment transpiring through no disqualifying fault of the employee. Decisions regarding eligibility are reserved by the state.

25.2 EMPLOYER PENALTIES

The State of California takes a very active role in policing employer responses to employment insurance claims. False statement penalties, assessed under Section 1142 of the California Unemployment Insurance Code, result in a direct dollar charge penalty to the employer that must be reimbursed in cash.

The two major sources of employer false statements are:

incomplete termination records prepared by supervisors; and
unnecessary and ill-advised supervisor discussions with local unemployment insurance office interviewers.

In order to avoid employer false-statement policies, it is mandatory that supervisors prepare accurate, truthful termination records.

Absolutely no telephone discussions with unemployment insurance interviewers are allowed prior to the supervisor's discussion with authorized Human Resources representatives.

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Section 26 RETIREMENT

26.1 OVERVIEW

The end of the month in which an employee reaches age 65 is considered the normal, but not MANDATORY, retirement date for staff employees.

An employee desiring to work beyond that date must inform the University in writing of his or her intention 45 days prior to attaining age 65.

26.2. RETIREMENT PLAN ELIGIBILITY

Subject to the conditions stated in the section covering retirement plan participation, the following categories of employees are eligible to participate in this retirement plan:

regular and administrative faculty, excluding those with adjunct rank or visiting status*;
administrators at the level of or above, and administrators with faculty rank or status; and
regular staff, including administrators not described above, and clerical, maintenance, and service employees.

However, employees whose employment is incidental to their educational programs at the University are not eligible.

Faculty, administrators, and staff with an existing retirement account currently available within the retirement plans approved by the university may participate beginning on the first day of employment.

26.3 RETIREMENT PLAN PARTICIPATION

Eligible employees may begin participation in this retirement plan on a voluntary basis on or after the first day of the month coinciding with or next following the first anniversary of their employment at the University, and the attainment of age 26, or any first day of the month thereafter.

The anniversary of employment will be determined by the employee's date of employment, unless:

prior to participation in the plan, the employee is absent from service for a period of twelve consecutive months or more due to resignation, retirement, or discharge, or for other reasons during which resignation, retirement, or discharge occurs, or is absent from service for a period of twenty-four consecutive months or more for reasons other than resignation, retirement, or discharge. When an employee is absent from service for such a period, the first anniversary of employment for plan participation purposes will be determined from the date of reemployment with the University.

For the purposes of this plan, the date of employment or reemployment for a faculty member shall be the effective date of the faculty appointment.

For all other employees, the date of employment or reemployment shall be the first day upon which an hour of performance of his or her duties is completed.

26.4 RETIREMENT PLAN CONTRIBUTIONS

The participant will contribute five percent (5.0%) and the University will contribute ten percent (10.0%) of the base monthly salary each month the participant is employed. Unpaid leaves of absences may alter such contributions. Additional contributions on the part of the employee in excess of those required by the plan are permitted, but the total contributions to the employee's annuity must be less than or equal to the employee's statutory exclusion allowance under Sections 403(b) and 415 of the Internal Revenue Code. The employee's contributions may not exceed the calendar year maximum. Under this arrangement the employee's payroll deduction and University contributions are tax exempt for the current tax year.

University contributions do not begin until the participant attains age 26.

The contributions shall be used to purchase retirement benefits.

Employee contributions are deducted from each participant's check.

Upon retirement, participants may be required to pay income tax on any taxable income which results from such a tax-deferred investment.

26.5 TAX-DEFERRED ANNUITIES

In addition to the regular retirement plan, the University provides an opportunity for all employees to participate in tax-deferred annuity programs without regard to age or years of service. For additional information and application, please contact the Human Resources.

When combined with the employee's contributions to the retirement plan, tax-deferred annuity contributions may not exceed the Internal Revenue Service (IRS) limits per calendar year.

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Section 27 SOCIAL SECURITY

27.1 OVERVIEW

Employees participate in the Old Age and Survivor's Insurance Program, commonly known as Social Security.

Deductions are mandatory and are made from each paycheck in the amount prescribed by law.

Equal amounts are contributed to employees' accounts by the University.

Detailed information is available either from Human Resources or the local Social Security Office.

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Section 28 SERVICE AWARDS

28.1 OVERVIEW

The Service Award Program provides recognition of continuous service for eligible employees at 1, 3, and 5 year levels, and each additional 5 years thereafter (10, 15, etc.). Continuous service is reduced by part-time status or leaves of absence in excess of three months. Employees who were previously employed by the University in a regular faculty or staff position are eligible to receive full service credit towards continuous service for service award purposes.

Upon the employee's service anniversary month, the Human Resources will provide a service certificate and, if applicable, a catalogue from which employees may select a gift of their choice. An employee may choose an award from any level up to and including the level for which the award is being given.

Orders are placed on a quarterly basis and sent to the appropriate supervisor for formal presentation to the employee.

All gifts may be ordered online or over the phone by using the the employee's personal code provided by the service vendor.

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Section 29 BENEFITS REVIEW

29.1. BENEFITS REVIEW PROCEDURE

Proposals for changes to the University's current benefits package are to be submitted to the Associate Vice President of Human Resources who may delegate to the Senior Associate Director and/or outside consultants responsible for research and formal program comparisons. A formal proposal will then be presented to the University's Benefits Committee. The Benefits Committee will determine which proposals will be submitted to the Administration who will transmit the committee's recommendations to the Steering Committee for decision.

29.2. SOLICITATION OF EMPLOYEES

On-campus solicitation of the faculty and/or staff, including the utilization of campus mail, by outside organizations or by individuals, including employees of the University, is prohibited unless approved by the University.

All proposals for on-campus solicitation of the faculty and/or staff shall be submitted to the Associate Vice President of Human Resources for review. Proposals involving new University benefit programs shall be subject to the University's benefit review procedure.

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Section 30 COMPLAINTS

30.1 EMPLOYEE GRIEVANCE PROCEDURE

Purpose: The purpose of this employee grievance procedure is to provide for the resolution of work-related grievances, including, but not limited to, allegations of harassment, unlawful discrimination, and the denial of reasonable accommodations to persons with disabilities. This policy is not applicable to situations where another policy with a right of appeal applies.

Non-retaliation: This procedure is designed to allow employees to address complaints in a fair, consistent, and objective manner. Any act of reprisal by a University employee or by one acting on behalf of the University, including the intimidation of a grievant, respondent, or witness, will result in prompt disciplinary action.

Improper Complaints: This procedure shall not be used to bring frivolous or malicious complaints. If a complaint has been made in bad faith, disciplinary action may be taken against the person bringing the complaint.

A. Initiating a Grievance Proceeding

Informal Resolution: Before initiating a formal grievance, the employee should discuss the matter in dispute with the supervisor or the other person with whom the employee has a concern and seek a mutual resolution. Human Resources is available to consult with employees/grievants and managers in an effort to facilitate informal resolution. Also, the University Equal Employment Officer is available to consult with employees/grievants regarding allegations of unlawful discrimination or harassment. An informal resolution may be pursued at any time during this procedure. It is the University's belief that most grievances can and will be resolved at this level.

Employees should report allegations of unlawful discrimination or harassment to their supervisors as soon as possible after the alleged occurrence of discrimination or harassment. Supervisors receiving a report of unlawful discrimination or harassment must immediately notify Human Resources, and Human Resources will notify the University's Equal Employment Officer.

Initiation of Complaint: If an informal resolution does not result, the grievant may submit a complaint to his or her immediate supervisor, with a copy to Human Resources, to initiate a grievance. Initially, concerns may be communicated orally; however, they must be submitted in writing before any formal review takes place under this procedure. The written complaint should specify the University policy, departmental procedure, or norm violated, and specifically set forth all relevant factual details.

If at any time a supervisor receives allegations of unlawful discrimination or harassment, he or she must immediately notify Human Resources, even if the allegations are not made in writing and no formal grievance has been initiated.

At any time a superior to the grievant's immediate supervisor may choose to take the place of the supervisor for purposes of this procedure. In such cases, the term "supervisor" in this procedure would apply to the immediate supervisor's superior.

If the complaint involves the grievant's immediate supervisor, and the grievant can reasonably demonstrate to the supervisor's superior that the immediate supervisor may not be able to deal objectively with the situation, the grievant may make the formal complaint to the immediate supervisor's superior. In such cases, the term "supervisor" in this procedure would apply to the immediate supervisor's superior.

Supervisors receiving a complaint of unlawful discrimination or harassment must immediately notify the Human Resources, and Human Resources will notify the University's Equal Employment Officer.

B. Review by the Supervisor

The supervisor shall read the complaint and determine whether the complaint's allegations warrant implementing the remainder of the procedures outlined below. If, for example, the allegations in the complaint, even if true, would not constitute a violation of a University policy, procedure, or norm, then the supervisor should inform the grievant in writing that the grievant's allegations are not subject to further investigation.

If the supervisor determines that the allegations in the complaint warrant further investigation and consideration, then the supervisor shall forward a copy of the complaint to the person against whom the complaint is made ("respondent"). This shall be done within a reasonable amount of time after the supervisor receives the complaint.

Written Response: The respondent shall be given 14 calendar days from receipt of the complaint to return a written response to the supervisor with a copy to Human Resources. Necessary extensions may be granted at the discretion of the supervisor.

Investigation: The supervisor has the discretion to initiate a reasonable investigation into the matter. The scope of any investigation shall be in the sole discretion of the supervisor. The investigation may include, but is not limited to, meeting with the parties, talking with witnesses, and reviewing any supporting documents. The University's Office of Human Resources may initiate its own investigation into the matter, and/or it may participate in the supervisor's investigation. The scope of Human Resources' investigation shall be the sole discretion of the Associate Vice President of Human Resources or his or her designee.

In cases where there is alleged unlawful discrimination or harassment, the University Equal Employment Officer has the discretion to initiate his or her own investigation into the matter, and/or he or she may participate in the supervisor's investigation. The scope of the University Equal Employment Officer's investigation shall be the sole discretion of the University's Equal Employment Officer.

A grievant may elect to withdraw a complaint at any time; however, the University reserves the right to investigate all complaints in order to protect the interests of the University and its community.

Advisory Committee: If the supervisor desires, he or she may appoint an advisory committee to assist in the investigation of the complaint and/or for advice concerning the handling of the matter. In cases where there is alleged unlawful discrimination or harassment, the University Equal Employment Officer or his or her designee will be an ex-officio member of the committee, at the Equal Employment Officer's discretion.

C. The Decision

Within a reasonable time, the supervisor shall make a decision based on the formal complaint, response, and any other information the supervisor determines is relevant. This decision shall be in writing and shall consist of factual findings, conclusions, and a remedy if one is appropriate. All parties, Human Resources, and where discrimination or harassment is alleged, the University Equal Employment Officer, shall receive a copy of the supervisor's decision.

D. Appeal of Supervisor's Decision

Request for Appeal: Any party may submit a written request for appeal of the supervisor's decision to Human Resources within 14 calendar days from the date of the mailing of the supervisor's decision. The Human Resources will forward the request to the successive superior of the individual who conducted the investigation. The successive superior of the individual who conducted the investigation will act as the reviewing officer. The request for appeal must specifically set forth all grounds for appeal. The non-appealing party must be given the opportunity to respond in writing to the request for appeal.

Grounds for Appeal: The reviewing officer shall be limited to addressing only the following questions:

Did the supervisor consider the important and appropriate facts in the handling of this matter?
Did the grievant prove by a "preponderance of the evidence" (i.e., more likely than not) that the person against whom the grievant has a grievance in fact violated a University policy, procedure, or norm, or otherwise engaged in any unlawful or illegal activity?
Was the process carried out in a fair manner?
Was the decision one which a reasonable person might have made?

Reviewing Officer's Decision: Within a reasonable time, the reviewing officer shall make a decision based on the written complaint, the written response, the supervisor's written decision, the written request for appeal, any written response to the request for appeal, any meeting the reviewing officer held in regard to the appeal, and any other material or evidence relevant to the appropriate grounds for appeal. Whether to grant a meeting with the appellant and/or respondent shall be the sole discretion of the reviewing officer. All parties, Human Resources, and where discrimination or harassment is alleged, the University Equal Employment Officer, shall receive a copy of the reviewing officer's decision.

E. Final Appeal

Request for Final Appeal: Unless the Appeal of the Supervisor's Decision, set forth in Section 30.1(E) above, was heard by a University senior administrator, any party may submit a written request for a final appeal of the reviewing officer's decision to Human Resources within 7 calendar days from the date of the mailing of the reviewing officer's decision. Human Resources will forward the request to the Assistant Vice President for the President's Office, who will assign the appeal to a University senior administrator, or his or her designee, who will act as the final appeal officer. The request for a final appeal must specifically set forth all grounds for appeal. The non-appealing party must be given the opportunity to respond in writing to the request for a final appeal.

Grounds for Final Appeal: The final appeal officer shall be limited to addressing only the following questions:

Did the supervisor consider the important and appropriate facts in the handling of this matter?
Did the grievant prove by a "preponderance of the evidence" (i.e., more likely than not) that the person against whom the grievant has a grievance in fact violated a University policy, procedure, or norm, or otherwise engaged in any unlawful or illegal activity?
Was the process carried out in a fair manner?
Was the decision one which a reasonable person might have made?

Final Appeal Decision: Within a reasonable time, the final appeal officer shall make a final decision based on the written complaint, the written response, the supervisor's written decision, the written request for appeal and for final appeal, and any written response to the request for appeal or request for final appeal. The decision of the final appeal officer shall be final. All parties, Human Resources, and where discrimination or harassment is alleged, the University Equal Employment Officer, shall receive a copy of the final appeal officer's decision.

Retention of Records

All written decisions made and materials produced in connection with a grievance conducted under this procedure shall be retained by the supervisor for at least two years from the date that the final decision was issued.

30.2 GRIEVANCE PROCEDURE FOR DISCHARGED EMPLOYEE

In cases involving the discharge of a staff member, a written request to initiate a grievance process must be submitted to the Associate Vice President of Human Resources within 7 calendar days following the date on which the discharge took place. The grievant has 14 calendar days from the date on which the discharge took place to submit a complaint in writing to the superior of the supervisor who discharged the grievant, with Human Resources. The contents of the complaint must include the elements listed in Section 30.1, under "Initiating a Complaint."

From this point, the process for a discharged grievant will be the same as that described in Section 30.1, except that in cases of a discharge:

(1) a superior to the supervisor who discharged the grievant will act as the supervisor for purposes of the process (the term "supervisor" in Section 30.1 will apply to a superior of the supervisor who discharged the grievant); and

(2) a grievant who was serving in an initial introductory period at the time of discharge, or whose employment was not extended beyond a previously established term, or whose position was eliminated due to a layoff or reduction in work force will not have the right of appeal described in parts D and E of section 30.1

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Section 31 SUPERVISOR'S RESPONSIBILITIES

31.1. GUIDELINES

The following guidelines are minimum requirements of responsibility expected from each supervisor.

31.2 TO THE UNIVERSITY

Know thoroughly the functions of the supervised department/unit:

What is the section charged with doing?
Who does what, and why?
Where does the work come from? Where does it go?
What standards of quality are required?
What volume of work is to be handled?

Know the departmental budget and stay within it:

Discuss cost concerns with departmental staff.
Practice preventative maintenance in order to avoid equipment breakdown and loss of production.
Analyze jobs periodically to improve efficiency and reduce/avoid duplication of Effort.

Ensure that assigned work is produced on time, within budget, and up to expected standards:

Provide job descriptions for all employees to ensure that they know what responsibilities have been assigned to them.
Provide adequate training, tools, and supplies to enable employees to accomplish assigned duties.
Provide employees a safe environment in which to work.
Allow sufficient time for planning work assignments.
Determine what constitutes a full day's work under normal conditions and ensure that each employee produces a full day's work.

31.3 TO IMMEDIATE SUPERVISOR

Show courtesy and respect.
Cooperate, obey orders, and execute instructions in detail.
Always assume full responsibility for work assigned.
Report the status of any important phase of operation fully, simply, and accurately when requested.
Alert superior to any significant change in either working conditions or in the ability to meet production schedules.
Look for better ways of doing things and offer ideas and suggestions for improvements.
Make every effort to relieve the immediate supervisor of job details, whenever possible and as appropriate.

31.4. TO OTHER SUPERVISORS

Show courtesy, respect, understanding, and tolerance.
Cooperate and be willing to help.
Set a good example.
Exchange ideas for improvements in all areas of policy and operation.
Never belittle a fellow superior.
Show confidence in and respect for fellow supervisors.

31.5 TO SUBORDINATES

Set a good example.
Treat subordinates as individuals, worthy of respect.
Become acquainted with the staff individually.
Represent subordinates to superiors in a professional and accurate manner.
Praise work that is well done.
Reprimand in private.
Evaluate carefully, objectively, and honestly.
Never permit individual personalities or prejudices to cloud an objective opinion.
Place an employee on a job according to skills, ability, and attitude.
Take time to give proper and adequate introductions and orientation to new employees.
Make every effort to interpret and explain policies accurately.
Ensure that job instructions and day-to-day orders are clearly understood.
Provide employees with every opportunity to develop and improve skills and earnings.
Improve confidence in dealings with subordinates by being considerate, firm and fair.
Assume responsibility for the action or the job done.

NOTE: A supervisor may not supervise a relative.

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Section 32 SAFETY

32.1 Introduction

The University considers the safety of its students, faculty, staff and visitors to be of the highest priority. Accident prevention is a function of good management and contributes to a positive educational and work environment. The quality of service at the University is directly affected by each individual's commitment to performing his or her role in a safe and efficient manner. Achieving a safe campus environment at each University location is one of the University's safety program goals.

Each department head is responsible for maintaining safe and healthful conditions in his or her area, as well as assuring that all activities are performed in a safe manner. Performance evaluations should reflect the success or failure of each supervisor in fulfilling this responsibility.

Supervisors, faculty and staff must understand that safety is to be given a higher priority than expedience and unsafe shortcuts are not to be tolerated. Each supervisor is charged with effectively implementing the University's safety program, including investigating actual and potential accident causes and promptly recommending corrective measures.

Individuals must assume responsibility for their personal safety both on and off campus. Each person has an important place in the safety program and is expected to cooperate fully in all safety related programs and activities. All members of the University are encouraged to report immediately any unsafe conditions and/or actions and to make suggestions to the Safety Committee through the Center for Human Resources or the Office of Insurance and Risk.

No job or activity should be conducted unless all reasonable precautions and safety considerations have been taken. No job or task is so important and no request is too urgent that the time cannot be taken to perform it safely.

The University will continue to develop and implement programs that inspect for and correct unsafe behaviors and/or physical hazards. In addition, the University will provide supervisory and employee safety training on a periodic basis, as well as emergency preparedness training for all members of the University community.

32.2 INJURY AND ILLNESS PREVENTION PROGRAM

The Pepperdine University Injury and Illness Prevention Program is designed to support the educational environment through improved workplace operations, better control of hazards, reduced accidents and losses, and was adopted and implemented in compliance with California Labor Code Section 6401.7 (SB 198) and General Industry Safety Order Section 3203.

32.3 ASSIGNMENT OF RESPONSIBILITIES

32.3.1 POLICY COMMITTEE(S)

Senior management supports the University's safety policy by setting policy, assigning safety responsibility and accountability to all individuals, monitoring safety program developments, progress and effectiveness, providing active leadership by participation, example and a demonstrated interest in the program.

32.3.2 SAFETY PROGRAM DIRECTORS

(Responsible Persons)

Executive Vice President

Provost

While all members of the University community are responsible for safety and health on our campuses and in the workplace, the Executive Vice President and the Provost have the authority and responsibility for implementation of the program.

32.3.3 Insurance & Risk Manager

The Insurance & Risk Manager in the capacity of the safety program coordinator has the responsibility for coordination of loss control activities; review of supervisor accident investigation reports; provide assistance to the Center for Human Resources in the design and implementation of safety training for employees and supervisors; report to senior management concerning safety concerns; provide assistance and support to the Safety Committee.

32.3.4 SAFETY COMMITTEE(S)

The Safety Committee(s) will assist in carrying out the University's safety policy and programs to protect all members of the University community, University assets and the ability of the University to continue its mission.

Responsibilities of a Safety Committee member may include participation in periodic safety inspections, investigation and analysis of accidents involving injuries or illness, investigation of allegations of hazardous conditions which are brought to the member's attention and facilitating communication between members of the campus community on both specific and general safety issues and recommendations.

32.3.5 MANAGERS

In effectively executing their safety responsibilities, academic and administrative managers will familiarize themselves with the safety program and ensure its effective implementation; be aware of safety considerations when introducing a new process, procedure, machine, material or substance to the workplace; support the programs and committees whose function is to promote safety and health.

32.3.6 SUPERVISORS

Our supervisors are the foundation of the safety program. They should familiarize themselves with University safety policies, programs and procedures; consistently and fairly enforce University safety rules; investigate injuries to determine cause, and to take action to prevent repetition; see that injuries are treated and referred to the Center for Human Resources to ensure prompt reporting to the worker's compensation insurance carrier; regularly inspect work areas to detect unsafe work practices and resulting conditions; conduct department safety meetings on a regular basis; ensure that proper reports are completed and appropriate action is taken to prevent repetition.

32.3.7 FACULTY AND STAFF

Individual injury and illness prevention is a responsibility of all University faculty and staff (including student workers). They should adhere to all safety rules and regulations; report injuries to their supervisor; report unsafe acts and resulting conditions; utilize appropriate safety equipment as required; maintain equipment in good condition, encourage other members of the campus community to work safely.

32.4 EMPLOYEE COMPLIANCE

At the time of initial employment and at other periodic intervals, faculty and staff are notified that compliance with established and/or common sense safe and healthy work practices (whether written or unwritten) is a mandatory condition of employment. Faculty and staff who fail to adhere to job safety standards are subject to disciplinary action, up to and including discharge. Nothing herein, shall alter the right of the employee or employer to terminate employment at any time with or without cause.

From time to time, faculty and staff may be recognized for their compliance with safety and health standards and/or continuation of work without injury or incident by means of special notice or award.

32.5 COMMUNICATING WITH FACULTY AND STAFF

At the time of initial employment and at other intervals, faculty and staff are notified of applicable safe work practices and working conditions, and that all faculty and staff have the right to report any work-related injury or unsafe condition or hazard without fear of reprisal. Such information may be submitted using a standard form or otherwise in writing (signed or anonymous), or verbally to the supervisor, or other member of management.

32.6 IDENTIFYING & EVALUATING HAZARDS

Recognizing that unsafe acts cause more accidents than unsafe conditions by themselves, the University intends to focus on correcting both unsafe work practices as well as unsafe physical conditions. Although it is our intention to eliminate any unsafe act and condition as quickly as possible, some corrective actions will require longer periods of time and/or larger expenditures of capital. It will be necessary to evaluate the seriousness of the hazards and prioritize corrective actions.

Inspections should be conducted whenever new substances, processes, procedures or equipment are introduced that represent an occupational hazard; whenever the University is made aware of a new or previously unrecognized hazard, and at other frequencies determined by the level of hazard associated with the department, site or process. Records of inspections, including the data of inspection, identification of the area or process inspected, person conducting the inspection, findings of the inspection, and required actions must be retained for a minimum period of three years.

32.7 INJURY & ILLNESS INVESTIGATION

Some accidents are caused by unsafe conditions. The great majority, however, are the result of the unsafe manner in which work is conducted. The objective of investigation is to find the root causes of an accident. This will allow corrective action to be devised and implemented and to minimize recurrent accident problems. Occupational injuries and illnesses are documented on a comprehensive report of accident and are investigated by the supervisor to determine what action of the affected employee (or others) caused or contributed to the injury or illness; what tools, equipment, job, site or building condition, etc. were allowed to exist in a state which may have caused or contributed to the incident; and what action has been taken or will be taken to prevent recurrence. In cases where corrective action is required, follow up should be made to assure that appropriate action has been completed. Standardized forms may be used to organize and document the investigation and completed actions.

32.8 CORRECTING UNSAFE WORK PRACTICES & CONDITIONS

To maintain a safe and healthful campus requires correcting potential hazardous work practices and conditions. At such time that unsafe or unhealthy conditions, work practices, or work procedures are discovered, action will be taken to remove immediate dangers. Potential hazards will be handled on a priority basis using standards such as those set by Cal-OSHA. Corrective procedures may include a documented investigation of the cause and/or source of the hazard, identification of corrective actions needed, assignment of persons responsible for the completion of specific remedial actions, and follow up for compliance. Training and/or retraining of affected employees is provided as applicable.

32.9 TRAINING AND INSTRUCTION

Safety education and training for faculty and staff should occur at the time of initial employment; when employees are given new job assignments for which training has not previously been given; when new substances, processes, procedures, or equipment are introduced that represent a new hazard; when the University is made aware of a new or previously unrecognized hazard; and at other intervals designated by management. Employees may be trained in applicable safe and healthy work practices in groups or individually through distribution and review of the University's safety handbooks and its supplements; through other written communications, posters, booklets, etc.; and by various other methods as applicable, in a form readily understandable by the affected employee or group of employees. Individual records of training, including date of training, type of training, and training providers are retained for a minimum period of three years except of shorter periods as otherwise allowed by law.

APPROVAL

This Injury and Illness Prevention Program was approved by the University's Policy Committee on 6-19-91 and updated 2-2002.

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Section 33 SUBSTANCE ABUSE POLICY

33.1 PURPOSE

In keeping with the mission of the University and its commitment to provide an alcohol and drug-free work environment, the University has formulated the following policy regarding alcohol and drugs.

33.2 APPLICABILITY

This policy applies to all employees, including those persons who are classified as faculty, staff and student workers.

This policy also applies to independent contractors employed directly by the University.

33.3 DEFINITIONS

SUBSTANCE means any drug (including alcohol) that has known mind or function-altering effects on a human subject, specifically including psychoactive substances and including, but not limited to, substances controlled or prohibited by State and/or Federal law. Alcohol in this context means beer, wine and all forms of distilled liquor, or any beverage, mixture or preparation containing ethyl alcohol.

33.4 PROHIBITIONS

The University prohibits the illegal use, possession, transport, manufacture, distribution, promotion or sale of drugs, drug paraphernalia or look-alike (simulated) drugs and the unauthorized use or possession of alcohol while performing work for the University.

University employees and independent contractors must not report to work or be on University controlled property while under the influence of any drug, alcohol or other substance which will in any way affect their work performance, alertness, coordination or response, or affect the safety of others on the job, or which would effect their ability to appropriately represent the University.

At no time or place shall an employee use or be under the influence of drugs or alcohol or any mind altering substance while driving, riding or sitting in a University vehicle.

33.5 MEDICALLY AUTHORIZED DRUGS

Any employee who is required to use a medically prescribed or over-the-counter drug which may impair or affect the employee's alertness, coordination or responses must advise their supervisor of this fact before reporting to work. It is the employee's responsibility to determine whether or not a prescribed or over the counter drug may impair their job performance.

The University reserves the right to require any employee using prescribed or over-the-counter drugs to provide a physician's certification that the use of the drug will not impair the ability of the employee to perform their job properly and safely.

33.6 FITNESS FOR DUTY, EXAMINATIONS AND TESTING

A supervisor may request a medical evaluation when (1) an employee has taken time off work due to a serious health condition or injury which creates a reasonable belief that the employee cannot perform the essential job functions in an effective manner or are a threat to the health or safety of the employee or others; or (2) an employee's statements or conduct creates a reasonable belief that the employee cannot perform the essential job functions in an effective manner or are a threat to the health or safety of the employee or others. The purpose of the evaluation is to find out if the employee can perform his or her job in a safe manner. In order to ensure safety while the employee is being evaluated, the employee may, if appropriate, be placed on administrative leave for the time needed to conduct the evaluation.

All such medical evaluations must be approved by the Center for Human Resources.

33.7 EMPLOYEE ASSISTANCE

Employees who voluntarily seek assistance for a substance abuse related problem may do so without jeopardizing their employment status, provided:

a recognizable treatment or rehabilitation program is followed, and
the work performance is acceptable.

In some cases, temporary reassignment to another position may be necessary.

Staff employees are expected to seek assistance through the Center for Human Resources.

Faculty employees are expected to seek assistance through the Office of the Provost.

Information concerning employees who participate in treatment and/or rehabilitation programs will be accorded confidential status. Only those persons who have a need to know shall have access to such information.

33.8. REPORTING OBLIGATIONS

In accordance with and pursuant to the requirements of the DRUG-FREE WORKPLACE ACT OF 1988:

any staff employee must notify the Associate Vice President of Human Resources within five days of any conviction for criminal conduct related to drugs in the workplace; and
any faculty employee must notify the Office of the Provost within five days of any conviction for criminal conduct related to drugs in the workplace.

33.9. DISCIPLINARY ACTION

Employees who violate this policy in any way, or who refuse to cooperate with any aspect of this policy, will be subject to appropriate disciplinary action up to and including termination of employment, even for a first offense.

Independent contractors who violate this policy may be barred from the premises, even for a first offense.

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Section 34 VOLUNTEER EMPLOYEES

34.1 OVERVIEW

The University has benefited immeasurably over the years by the services of volunteers. Appreciative of these special friends of the University and aware of the legal ramifications of volunteer service, the University has adopted this policy to protect both the interests of the University and of the volunteers. The following does not govern or restrict the activities of on or off-campus service organizations or students who provide services closely related to their educational goals or otherwise assist departments to fulfill degree requirements.

34.2. VOLUNTEER ASSIGNMENT

Persons appropriately qualified, who wish to perform a service to the University without remuneration, may be recommended to appointment to volunteer teaching or non-teaching positions. Such appointments are without salary or benefits and successive reappointments do not confer tenure or any continuing or other employment status. Appointment and reappointment are at the discretion of the department or school. Regular staff employees who also accept volunteer appointments will be limited in that their primary responsibility and income shall be outside the unit in which the volunteer appointment is made, and their regular employment duties must be dissimilar to those of the volunteer position.

34.3. PROCEDURES

A Personnel Action Request (PAR) should be completed and submitted to the Center for Human Resources. Under "title," simply enter "Volunteer." Under comments, supply a brief description of the nature of the work. While no position description questionnaire is required, the entry requested under comments is needed to provide appropriate worker's compensation coverage.

The Center for Human Resources screens each request for compliance with University policy and applicable labor laws before a volunteer assignment begins.

Time-keeping is an important part of the volunteer program, even for assignments which seem comparable to "exempt" positions, in order to provide workers' compensation insurance coverage. Once a volunteer assignment has been established, supervisors will receive monthly time-keeping records on which to note daily hours worked by volunteer employees. These records are to be submitted to Payroll on a regular basis.

Before starting work, a volunteer should be directed to the Center for Human Resources for completion of necessary documentation and issuance of an I.D. card.

It is the supervisor's responsibility to provide appropriate job instruction and orientation to the campus, and to ensure that the volunteered service continues to be a positive contribution to the efforts of the University. It is also the supervisor's responsibility to notify the Center for Human Resources in writing when a volunteer terminates his or her assignment. No notice or administrative approval is required for either the supervisor or the volunteer to end the volunteer relationship.

NOTE: Volunteers may not operate University vehicles.

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Section 35 - FELONY CONVICTION NOTIFICATION

Any full- or part-time staff member who is convicted of a felony criminal offense shall notify the University within five (5) working days of any such conviction through a memorandum to the Associate Vice President of Human Resources. Any full- or part-time faculty member who is convicted of a felony criminal offense shall notify the University within five (5) working days of any such conviction through a memorandum to the Office of the Provost. A conviction will not automatically disqualify an employee from employment. Each case will be considered on its own.

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Section 36 - EMPLOYEE REPORTING OBLIGATIONS

This policy is intended to summarize the various obligations the employment relationship places on individual employees to volunteer certain kinds of information. They are collected in this one section for convenience of reference and, in some cases, described in detail elsewhere in this manual.

University staff members are held individually responsible for the following reporting requirements:

To Be Reported	Affected Staff	Reporting Method	Also See
Tardiness/absence	All employees	Call supervisor within 30 minutes	Section 12.5, 12.6
Hours worked	Nonexempt staff	Timesheets (payroll)	Section 12.4
Work days missed	Exempt staff	Absentee reports	Section 12.5
Felony conviction	All employees	Memo to Human Resources (or Provost for faculty)	Section35
Drug crime conviction	All employees	Memo to Associate Vice President of Human Resources or Provost	Section 33.8
Driving record	University vehicle drivers	DMV report
Conflict of interest	See policy	Memorandum	Section 11.6
Crime witnessed on campus	All employees	Call Public Safety
Bomb threat	All employees	Call Public Safety
Sexual harassment	Any victim or witness	Call supervisor and Center for Human Resources	Section 11.5
Prescribed drugs	When performance affected	Memo to supervisor	Section 33.5
Campus road hazard	All employees	Call Public Safety	Section 32
Hazard in buildings	All employees	Call Central Plant operations	Section 32

While supervisors' responsibilities may include ensuring some of the above reporting, such as time reporting, the individual employee is nonetheless held personally responsible for accurate, adequate and timely reporting in all cases.

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Section 37 - SUGGESTION AWARDS PROGRAM

37.1 OVERVIEW

The Pepperdine University Suggestion Awards Program is designed to recognize and reward individual faculty and staff members whose ideas and suggestions which, after implementation, either reduce or eliminate expenditures, enhance revenues and/or improve operations at the University. In addition, the program is designed to reward the department(s)/work group(s) who make suggestions and/or through whose efforts changes in operations are effected.

Where the suggestion results in demonstrable dollar savings or increased revenues to the University, an individual or group cash award of 10 percent of the first year's actual savings or increased revenues may be granted up to a maximum of $2,500.00 and a minimum of $50.00. Fifty percent of the anticipated award amount may be granted as soon as practicable upon acceptance of the suggestion. The balance, if any, will be payable based on the actual results after the first year of implementation. Awards will be granted only to those employed with the University at the time of the award.

If a department or work group, rather than the individual making the suggestion, is responsible for implementing a given suggestion, the area's budget manager may, at the University's sole discretion, be allocated additional merit funds in the amount of 10 percent (a maximum of $2,500.00 and a minimum of $50.00) of the first year's actual savings or increased revenue, that is actually generated by the implemented suggestion. These merit funds may be allocated within the work group through a group decision-making process as one-time lump sum payments to those work group members who were instrumental in reaching the results achieved.

Individual cash awards for suggestions which produce non-monetary benefits to the University may be granted in the amount of $50.00.

Any applicable taxes will be the responsibility of the award recipient(s).

37.2 ELIGIBILITY

All regular faculty and staff, except administrators above the level of Director are eligible.

Employees who have signed employment agreements with clauses requiring assignment of inventions or publications to the University are not eligible, unless the suggestion results from efforts outside of working hours, outside of University facilities, without the use of University resources and is not related to the job responsibility of the employee.

37.3 EXCLUSIONS

Excluded from consideration under this program shall be any suggestion dealing with personal grievances, position classification or pay. Supervisory and management personnel shall not receive cash awards for suggestions they submit that would normally be considered as part of their job responsibility.

37.4 SUBMISSION PROCEDURE

Suggestions are to be submitted in writing using an official Suggestion Award Program form, which is available from Center for Human Resources. Suggestion forms are to be completed during non-working hours. Each suggestion submitted will become the property of Pepperdine University (including all patents and copyrights) once the signed and dated form is received by the Associate Vice President of Human Resources.

The Associate Vice President of Human Resources will review the suggestion and, if it is found to be eligible for the awards program, will forward the suggestion, without the name of the suggester, to the appropriate budget manager for evaluation. Following a normal evaluation period of three weeks, the budget manager will forward his or her recommendation to the appropriate administrator, who will approve or disapprove adoption of non-monetary benefit awards. Suggestions that have a potential to produce monetary benefits or suggestions that cross lines of administrative authority will be submitted to the Policy Committee, which will recommend adoption approval or disapproval to the President, whose decision will be final.

The final decision will be transmitted to the suggester by the Center for Human Resources and will include the reason(s) for adoption or non-adoption. If the suggestion is adopted, and is deemed to yield either monetary savings or revenue gains, a means of measuring the dollar value will be established by the appropriate administrator and/or the Policy Committee and submitted to the President for final approval.

Each suggestion is submitted with the understanding that the University has the right to use, publish or refuse it and that if it is used or published, the decision of the University shall be final and conclusive as to the amount of a cash award, if any, and the person or persons that may be entitled to such awards, as well as all other matters concerning the suggestion, including its eligibility for inclusion in this program.

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Section 38 PEPPERDINE UNIVERSITY COMPUTER AND NETWORK USAGE POLICY

38.1 PURPOSE

This is a university-wide policy adopted by Pepperdine University (University) to allow for the proper use and management of all University computing and network resources. Those University schools which operate separate networks or systems may add individual guidelines which supplement, but do not relax, this policy.

The University grants access to its networks and computer systems subject to certain responsibilities and obligations set forth herein and subject to all local, state, and federal laws. Appropriate use should always be legal, ethical and consistent with the University's mission.

38.2 AUTHORIZED USE

Authorized use of University-owned or operated computing and network resources is use consistent with this policy. An Authorized User is any person who has been granted authority by the University to access its computing and network systems and whose usage complies with this policy. Authority to use a particular University computing or network resource should come from the campus unit responsible for operating the resource. Unauthorized use is strictly prohibited. The terms "Authorized User" and "user" are hereinafter used interchangeably.

38.3 PRIVACY

Users must recognize that there is no guarantee of privacy associated with their use of University network and computer systems. The University may find it necessary to view electronic data and it may be required by law to allow third parties to do so (e.g. electronically stored data may become evidence in legal proceedings). It is also possible that messages or data may be inadvertently viewed by others.

38.4 INDIVIDUAL RESPONSIBILITIES

38.4.1 Common Courtesy and Respect for Rights of Others

All users are responsible to respect and value the privacy of others, to behave ethically, and to comply with all legal restrictions regarding the use of electronic data. All users are also responsible to recognize and honor the intellectual property rights of others.

Communications on University computers or networks should be businesslike, courteous and civil. Such systems must not be used for the expression of animus or bias against individuals or groups, offensive material such as obscenity, vulgarity or profanity, inappropriate jokes or other non-businesslike material. Sexually explicit material, cursing and name-calling are not appropriate communications. Users who engage in such activity will be subject to disciplinary action.

No user may, under any circumstances, use University computers or networks to libel, slander, or harass any other person. The following are examples of Computer Harassment: (1) intentionally using the computer to annoy, harass, terrify, intimidate, threaten, offend or bother another person by conveying obscene language, pictures, or other materials or threats of bodily harm to the recipient or the recipient's immediate family; (2) intentionally using the computer to contact another person repeatedly with the intent to annoy, harass, or bother, whether or not any actual message is communicated, and/or where no purpose of legitimate communication exists, and where the recipient has expressed a desire for the communication to cease; (3) intentionally using the computer to contact another person repeatedly regarding a matter for which one does not have a legal right to communicate, once the recipient has provided reasonable notice that he or she desires such communication to cease (such as debt collection); (4) intentionally using the computer to disrupt or damage the academic, research, administrative, or related pursuits of another; or (5) intentionally using the computer to invade the privacy, academic or otherwise, of another or the threatened invasion of the privacy of another.

38.4.2 Responsible Use

All users are responsible for refraining from all acts that waste University computer or network resources or prevent others from using them. Each user is responsible for the security and integrity of information stored on his/her personal desktop system. Computer accounts, passwords, and other types of authorization are assigned to individual users and must not be shared with or used by others. All users must maintain confidentiality of student information in compliance with the Family Educational Rights and Privacy Act of 1974 and the California Education Code as interpreted in the Pepperdine University Student Records Policy .

38.4.2.1 Permitting unauthorized access

All users are prohibited from running or otherwise configuring software or hardware to intentionally allow access by unauthorized users.

38.4.2.2 Use of privileged access

Special access to information or other special computing privileges are to be used in the performance of official duties only. Information that is obtained through special privilege is to be treated as private.

38.4.2.3 Termination of access

Whenever a user ceases being a member of the University community or if such user is assigned a new position and/or responsibilities within the University, such user shall not use facilities, accounts, access codes, privileges, or information for which he/she is not authorized in his/her new position or circumstances.

38.4.3 Attempts to circumvent security

Users are prohibited from attempting to circumvent or subvert any security measures implemented for the University computing and network systems. The use of any computer program or device to intercept or decode passwords or similar access control information is prohibited. This section does not prohibit use of security tools by Information Resources system administration personnel.

38.4.3.1 Denial of service

Deliberate attempts to degrade the performance of a computer system or network or to deprive authorized users of access to or use of such resources are prohibited.

38.4.3.2 Harmful activities

The following harmful activities are prohibited: creating or propagating viruses; disrupting services; damaging files; intentional destruction of or damage to equipment, software or data belonging to the University and the like.

38.4.3.3 Unauthorized access

All users are also strictly prohibited from: (1) damaging computer systems; (2) obtaining extra resources without authority; (3) depriving another user of authorized resources; (4) sending frivolous or excessive messages (e.g. chain letters); (5) gaining unauthorized access to University computing and networking systems; (6) using a password without authority; (7) utilizing loopholes in the University computer security systems without authority; (8) using another user's password; and (9) accessing abilities used during a previous position at the University.

38.4.4 Use of licensed software

No software may be installed, copied, or used on University resources except as permitted by the owner of the software and by law. Software subject to licensing must be properly licensed and all license provisions (installation, use, copying, number of simultaneous users, term of license, etc.) must be strictly adhered to.

38.4.5 Personal business, political campaigning, and commercial advertising

The University's computing and network systems are a University-owned resource and business tool to be used only by authorized persons for University business and academic purposes. Except as may be authorized by the University, users should not use the University's computing facilities, services, and networks for (1) compensated outside work; (2) the benefit of organizations not related to the University, except in connection with scholarly pursuits (such as faculty publishing activities); (3) political campaigning; (4) commercial or personal advertising; (5) the personal gain or benefit of the user.

38.5 SECURITY

38.5.1 System administration access

Certain system administrators of the University's systems will be granted authority to access files for the maintenance of the systems, and storage or backup of information.

38.5.2 University Access

The University may access usage data, such as network session connection times and end-points, CPU and disk utilization, security audit trails, network loading, etc. Such activity may be performed within the reasonable discretion of the Information Resources Division management, subject to University approval.

38.5.3 Departmental responsibilities

Each University department has the responsibility of: (1) enforcing this policy; (2) providing for security in such department area; (3) providing authorized users within the department with resources for regular disk backups (software, hardware, media, and training) and (4) providing for virus protection.

38.5.4 Public information services

Departments and individuals may, with the permission of the Executive of the University, configure computing systems to provide information retrieval services to the public at large under the auspices of the University. (Current examples include "anonymous ftp," "gopher" and "World Wide Web.") However, in so doing, particular attention must be paid to issues addressed earlier in this policy, such as authorized use, responsible use of resources and individual and departmental responsibilities. In addition, copyrighted information and materials and licensed software must be used in an appropriate and lawful manner.

38.6 PROCEDURES AND SANCTIONS

38.6.1 Responding to security and abuse incidents

All users and departmental units have the responsibility to report any discovered unauthorized access attempts or other improper usage of University computers, networks, or other information processing equipment. If a security or abuse problem with any University computer or network facility is observed by or reported to a user, such user shall immediately report the same to such user's department head and/or the Information Resources Division Security Administrator.

38.6.2 Range of disciplinary sanctions

Persons in violation of this policy are subject to a full range of sanctions, including, but not limited to, the loss of computer or network access privileges, disciplinary action, and dismissal from the University. Some violations may constitute criminal offenses, as defined by local, state, and federal laws; and the University may prosecute any such violations to the full extent of the law.

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Section 39 - EMPLOYMENT OF RELATIVES

Since its inception, Pepperdine University has been well served by families. In some cases, several generations of the same family have been involved in the life and work of the University. While valuing and encouraging the contribution these families make, the University is committed to fostering a work environment free from the employment problems commonly associated with nepotism. It is, therefore, the intent of this policy to avoid the real or apparent conflict of interest that may arise from members of the same family working for the University.

Employees' relatives will not be eligible for employment with the University in positions where potential problems of favoritism, morale, supervision, safety, security or conflict of interest exist. Therefore, employees may not directly supervise relatives. Relatives include an employee's parent, child, spouse, brother, sister, in-laws and step relationships. Nor may members of the same family normally serve in positions falling within the same reporting line or hierarchy. So, for example, an Assistant Director should not hire a relative of the Director as a Receptionist. In cases where related employees assignments are in different departments and/or otherwise assure the absence of favoritism or nepotism, exceptions may be approved by the Executive Vice President.

Employees, whether or not in the same reporting line, shall not use the influence or authority of their University positions to the undue advantage of their relatives in University employment matters.

Employees who are members of the same family are not considered agents for each other in human resources matters. They should not interfere with the University's employer/employee relationship with their relative(s) nor expect undue access to the various aspects of that relationship.

If two employees become related by marriage or adoption or if related employees find themselves in the same reporting line due to a University reorganization, they will have six months to make arrangements to be in compliance with this policy. If after six months, the two relatives are still out of compliance, the Associate Vice President of Human Resources will propose a solution to the Executive Vice President.

Complaints of unfair treatment on the basis of family connections with regard to specific employment actions (hiring, promotion, termination, assessment, salary administration, etc.) should be made in writing to the Associate Vice President of Human Resources.

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Section 40- UNIVERSITY SMOKING POLICY

Purpose:

Many within our community are calling for a smoke-free campus environment and a smoke-free work environment. Research demonstrates that tobacco smoke is a health hazard to both smokers and non-smokers. According to the Surgeon General, cigarette smoking is the leading preventable cause of illness and premature death in the United States. Non-smokers who are exposed to environmental (secondhand) smoke also face an increased risk of illness or disease as there is no safe amount of secondhand smoke – any exposure poses a health risk. The American Cancer Society estimates that secondhand smoke kills 46,000 people per year. A smoke-free campus policy at Pepperdine will reduce health hazards, and encourage healthy living, as well as reduce cigarette litter and the resultant risk of wildfire. As of 2011, nearly 141,000 cigarette-ignited fires occur in the United States each year.

Policy:

All Pepperdine University campuses are smoke-free at all times and smoking is strictly prohibited with the exception of any limited, designated areas where smoking may be permitted for some period while moving toward the goal of a 100% smoke-free campus. This prohibition includes but is not limited to the interior of University facilities, outdoor areas, and undeveloped property, as well as in any vehicle owned, leased, or operated by the University. Also, the sale, distribution, and advertisement of, or sponsorship by tobacco products is prohibited anywhere on campus, at University-sponsored events, or in publications produced by the University. This policy applies to all persons on a Pepperdine University campus.

Implementation:

We at Pepperdine University acknowledge and respect the fact that certain individuals experience extreme difficulty in ceasing the habit of smoking. Consistent with our University mission and identity, we must avoid alienating community members, and treat those who smoke with respect, dignity, and care as we seek to implement and enforce this policy.

Cessation:

Increased subsidized cessation programs will be made available to faculty, staff, and students. The University encourages participation in these programs. For more information, employees should call Human Resources, and students should call their dean's office.

Compliance:

All members of the University community share in the responsibility of adhering to and enforcing this policy. The success of this policy depends upon the thoughtfulness, consideration, and cooperation of those who smoke and those who do not. Informational rather than punitive enforcement is the intent of this policy. However, repeated violations of the smoking policy, such as smoking in an area other than at a designated smoking location, may result in intervention by the Department of Public Safety, discipline by the supervisor in the case of an employee, or discipline by the applicable dean's office in the case of a student.

Adopted by University Management Committee: January 15, 2003

Amended by University Management Committee: August 20, 2009 and October 26, 2009

Amended by the University Management Committee: July 6, 2012.

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SECTION 41 - DRIVER POLICY

41.1 PURPOSE

To ensure drivers are properly licensed and trained to operate University-owned and personal vehicles in a safe manner while driving on University business.

41.2 POLICY

Employees who operate University-owned and personal vehicles while driving on University business, must be registered with the Office of Insurance and Risk; they must have a safe driving record with the Department of Motor Vehicles as defined by this policy; and they must complete any applicable driver training prior to driving on University business. Notwithstanding the policy requirements above, the University reserves the right to prohibit any employee from driving on University business. Additionally, any employee may be disciplined as a result of violating this policy or using poor judgment while driving on University business.

41.3 PROCEDURES

Driving on Pepperdine University business¹ is a privilege that is available to employees who meet the following criteria:

The driver must be a Pepperdine University full-time or part-time employee, or a student employee.
- Student drivers must be 18-years of age and maintain a clear disciplinary record with the University.
The driver must submit an authorized and completed Driver Status Form to the Office of Insurance and Risk. These forms are made available to new employees at the New Employee Orientation in the Center for Human Resources and are available to current employees from the Office of Insurance and Risk. In the event an employee transfers departments or changes driving status, it is the responsibility of the employee's immediate supervisor to submit an updated Driver Status Form to the Office of Insurance and Risk prior to the employee driving on University business. A completed form includes the signatures of the employee and his/her immediate supervisor and attached copies of the employee's current, valid driver's license and proof of personal insurance. By signing the form, the supervisor recommends that the employee be allowed to drive on University business. Employees should note on their Driver Status Form if they prefer to receive driver training (if applicable) in Spanish.
Drivers need the proper class of license, passenger endorsement, and medical certificate to operate the vehicles required by their job functions. A passenger endorsement is required for employees with a Class B license transporting passengers. A medical certificate is required for a passenger endorsement and for vanpool drivers. Proper licensing and endorsements are acquired through the Department of Motor Vehicles (DMV).
The Office of Insurance and Risk requires a Motor Vehicle Report (MVR) indicating a satisfactory driving record on file for:
- Employees driving University-owned vehicles
- Student employee drivers
- Vanpool drivers
- Upper level administrators²
- Employees using their personal vehicles on University business one or more times per month
Generally, the Office of Insurance and Risk will request and secure the MVR from the DMV. MVRs requested from the DMV by Insurance and Risk take up to four weeks to arrive. If an employee needs approval to drive sooner, the employee or sponsoring department is responsible for acquiring an MVR from the DMV and submitting it to the Office of Insurance and Risk.
Periodic driver training is required for:
- Employees driving University-owned fleet vehicles
- Student employee drivers
- Vanpool drivers
The Office of Insurance and Risk provides materials for a 90-minute defensive driver training course. Insurance and Risk will lead training sessions regularly or as requested. Additionally, supervisors who complete the training will have access to the materials to lead their staff through the training as necessary.
Once a driver has submitted a completed and authorized Driver Status Form to the Office of Insurance and Risk, has successfully completed any applicable driver-training, and the Office of Insurance and Risk has received a MVR (if necessary) showing a safe driving record as defined by this policy, a driver is then approved to drive on University business.

Notes: ¹ If an employee is driving a University vehicle or is seeking reimbursement from the University for mileage, the driving is likely "on University business." For more information, please contact the Office of Insurance and Risk at (310) 506-4410.

²Upper Level Administrators are defined as having president, chancellor, chief, dean, provost, or vice president as their title or a portion of their title.

41.4 SAFE DRIVING RECORD

Pepperdine does not permit any employee to drive with a DMV point count that exceeds one-half the DMV "neglect operator" point count. Employees with a major citation within the last 36 months may not be allowed to drive on University business. Examples of major citations include, but are not limited to, DUI, reckless driving, or driving with a suspended or revoked license.

By California Vehicle Code, any driver with 4 points in 12 months, 6 points in 24 months, or 8 points in 36 months shall be presumed to be a negligent operator of a motor vehicle, and his/her driver's license is automatically suspended by the DMV. Therefore, in order to drive on University business, Pepperdine employees may not exceed 2 points in 12 months, 3 points in 24 months, or 4 points in 36 months and must not have had a major citation in the last 36 months. Student drivers are held to the following acceptable level: 1 point in 12 months, 2 points in 24 months, and 3 points in 36 months and must not have had a major citation in the last 36 months.

	DMV Tolerance Level	University Regular Employee Tolerance Level*	University Student Employee Tolerance Level*
12-months	4	2	1
24-months	6	3	2
36-months	8	4	3

*And, must not have had a major citation in the last 36 months.

In addition to points assigned by the vehicle code. Pepperdine assigns a one-half point for each verified negative Driver Alert incident report. These are calls received from the "How's My Driving" bumper-stickers on University vehicles.

41.5 PROTOCOLS WHILE DRIVING

Obey all traffic laws and appropriate safety precautions for the location being driven.
Cell phone use while driving on University business is prohibited, except in emergency situations or if using a hands-free device.
- A California State law bans the use of cell phones without a hands-free device while driving a vehicle.
Two-way radio use while driving on University business is prohibited except for Public Safety officers and Business Services employees within the scope of their employment. In all other situations, pull to the side of the road before using a two-way radio.
On group road trips exceeding 100 miles from campus, at least one person other than the driver must be awake and seated next to the driver.

41.6 REPORTING AUTO COLLISIONS

If an accident occurs, follow the guidelines below:

Ensure all passengers and drivers are out of immediate danger.
Seek medical aid for the injured.
- On the Malibu campus, call Public Safety at (310) 506-4441.
- At any other location call 911.
If off-campus, notify the local police department of the accident. Note: The police, in many cities, may not respond to vehicle accidents unless there are injuries or significant damage. If the police do not respond, please request to file a police report concerning the collision and proceed to the next steps listed below.
State the facts, but NEVER ASSUME OR ADMIT FAULT. (Fault is a legal issue dependent on the facts and is determined by the insurance companies, law enforcement, and the judicial system.)
If driving a University vehicle, utilize the forms in the Auto Accident Packet located in the glove compartment. Provide the information on the University Insurance Identification Card to the other party involved. If driving a personal vehicle, provide insurance information for the owner of the vehicle.
- California insurance laws state that the owner of the vehicle is liable for any accidents caused by the vehicle. Therefore, the vehicle owner's insurance is the primary insurer in the event of an accident.
Obtain information from the other driver including their name, address, phone number, driver license number, vehicle make, model, and license plate, and insurance company and policy number.
Obtain statements from witnesses, if possible. Ask witnesses to write down their account of the accident and include their name and phone number.
Take photos of the scene including vehicles at the point of impact, damage to each vehicle, and the overall scene in each direction.

Report all accidents to your immediate supervisor as soon as possible and to the Office of Insurance and Risk within 24-hours of the incident's occurrence. Submit all Auto Accident Packet forms to the Office of Insurance and Risk; (310) 506-4410.

41.7 AUTO COLLISION FOLLOW-UP

The Office of Insurance and Risk serves as an intermediary between the University department and the University's insurance carrier. The department using the vehicle is responsible for obtaining an estimate to repair any damage to the University vehicle and submitting a copy to Insurance and Risk. Once the estimate is approved, the department owning the damaged vehicle is responsible for ensuring that the repairs are completed in a timely fashion.

41.8 RENTAL CARS

A Driver Status Form must be submitted and approved by the Insurance and Risk Department prior to an employee renting a car or driving on behalf of University business.

To be eligible to rent a car on a University credit card, a driver must be an approved University driver meeting all the requirements of this policy. Car rentals must be in the name of Pepperdine University and the individual's name. Employees must not purchase insurance from car rental agencies for rentals within the United States as the University's automobile insurance will apply as primary coverage. Pepperdine University's insurance will respond for rental terms of less than 30 consecutive days (as long as the automobile is rented in the name of Pepperdine University). Additional insurance offered by a car rental company is not necessary and purchasing this insurance is not reimbursable.

Car rentals originating outside the United States should include insurance from the car rental agency. Prior to renting vehicles outside of the United States, please notify the Office of Insurance and Risk.

Prior to an employee taking possession of a rental car, employees should thoroughly inspect it to assure that any existing damage is noted on the rental agreement.

Those employees who plan to utilize a rental car for University business should ensure they have an "Auto Accident Packet" from the Office of Insurance and Risk. An "Auto Accident Packet" includes a proof of insurance card, a checklist to follow in an accident, and forms to report an accident. The packet should be obtained from the Office of Insurance and Risk prior to renting a vehicle.

Employees involved in an accident with a rental car should follow the checklist provided in the "Auto Accident Packet" which includes the following:

Secure the scene
Seek medical aid if injured
Notify the local police department
Provide information to and obtain information from the other driver
Take photos of the vehicles and scene
The employee should alert the Office of Insurance and Risk regarding the accident and refer the rental company, injured party or anyone claiming injury to contact the Office of Insurance and Risk at (310) 506-4410.
The employee should be prepared to furnish the Office of Insurance and Risk with the completed forms from the "Auto Accident Packet" and any photos of the accident.

If an employee elects to retain the rental vehicle for personal travel or vacation, the employee is responsible for providing appropriate auto insurance coverage during that period of time. Please note that some car rental agencies may require the vehicle be turned back in to activate a new contract under different auto insurance coverage.

Approved by University Management Committee: February 6, 2003
Approved by Steering Committee: February 7, 2003

Effective Date: August 1, 2003

SECTION 42 - BACKGROUND SCREENING

42.1 PURPOSE:

To ensure a safe and secure campus environment for students, employees and visitors, and protect the valuable resources of the University.

42.2 POLICY:

1. New Employees

Pepperdine requires background screenings on all individuals prior to employment as well as existing faculty and staff prior to transfer or promotion[1]. Department supervisors or their designee shall serve as the point person for the department's background screening process in collaboration with Human Resources. Department supervisors are responsible for the screening process for their area, including maintaining and destroying the confidential results and ensuring compliance with University policy, and state and federal laws. Offers of employment are to be made contingent on the applicant consenting to and passing the background screening process. Applicants will initially be notified of the background screening requirement by the online job posting which will include language consistent with University policy. If a background check screening is still in progress on the employee's start date, the employee may begin working with the understanding that their continued employment is contingent upon successful completion of the check.

If a background screen report yields negative information, the candidate will have the opportunity to respond to the negative information. The department supervisor will consult with General Counsel and/or Human Resources regarding future employment decisions for the individual based on the position specifics.

2. Existing Employees

Department supervisors may require background screenings on an individual or an entire department at any time as long as there is a legitimate business reason to do so. Prior to performing background screenings on current employees or entire departments, department supervisors should consult General Counsel or Human Resources.

If a background screen report yields negative information, the employee will have the opportunity to respond to the negative information. The department supervisor will consult with General Counsel and Human Resources regarding employment decisions for the individual based on the position specifics.

Legitimate business reasons to conduct a background screening include all lawful reasons. Examples of legitimate business reasons would include, but are not limited to: access to cash, checks, raw materials or inventory with a marketable street value, donor lists, or other proprietary information; access to residences, offices or personal property; and when required by law.

3. Employees of Third-Party Vendors

Employees of third-party vendors who are assigned to University campuses for their regular shifts shall have background checks conducted by their employer prior to reporting to work at a Pepperdine campus. Vendors include but are not limited to security firms, bookstores, housekeeping, and catering services. The Pepperdine manager responsible for the contract with the third-party vendor must have discretion regarding whether negative information from the screening precludes assignment of a third-party employee to Pepperdine. In instances where the background check yields negative information about the third-party vendor's employee that does not immediately disqualify that employee from service to the University (e.g., a suspended driver's license 10 years ago), the negative information shall be disclosed to the responsible Pepperdine manager for consideration in a maner that protects the employee's identity.

4. All Employees

There may be rare occasions that require employment without contingency of an applicant successfully passing a background screening; in these situations the department supervisor must obtain express written consent from the provost or executive vice president.

42.3 DEFINITIONS:

1. Employees include faculty and staff, whether part-time or full-time, regular, contract or restricted, exempt or non-exempt.

i. Human Resources maintains a clerical temporary pool and assumes responsibility for background screenings of those employees. Supervisors of all other temporary employees will decide whether background check screenings are appropriate.

2. Negative information is any information that would have the potential to impact an employment decision. This may include, but is not limited to, convictions, inaccurate previous employment or education data, etc.

42.4 PROCEDURES:

DETERMINE INFORMATION TO BE COLLECTED

The information requested on the screening must be job and/or business related. For University employees, department supervisors are to have access to the results and associated documentation. Background screenings shall meet the minimum standards described in the Background Check Guidelines in Human Resources. The department supervisors shall attend training and sign the Human Resources Confidentiality Agreement. Background screening content shall remain confidential and shared only when legitimate business needs warrant it.

Please contact Human Resources at (310) 506-4397 for further information, training and best practices.

Policy approved by the University Management Committee on March 15, 2012.

[1] Faculty promotions are defined as promotions from teaching into administrative roles, such as transitions to assistant dean, associate dean, dean, or division chair.

Go to Table of Contents

INDEX

Absentee Reports 12.5
Absenteeism 11.2
Accidental Death/Dismemberment Coverage 22.1, 22.3
Accruals 15.1
Acting Status 3.13
Advertising Open Positions 2.2
Affirmative Action (see Equal Employment Opportunity) 1.2
Alcohol 33.4
Alcohol Abuse 22.7
Anniversary Dates 6.5
Annual Review Dates 6.5
Applications for Employment 2.3
Assessment Forms 6.5
Athletic Facilities 21.4
Attendance 12.5
Awards for Suggestions 37

Background Screening 42

Benefit Classes 19
Benefits Review 29.1
Bereavement Leave 14.2
Bookstore Discount 21.2
Break Periods 3.9
Breaks in Service 10.4, 14.3, 14.4, 14.5, 28.1
California State Disability Insurance 23
Campus Closure 18
Campus Store 21.2
Changes in Salary 7.1
Changes in Status 3.11
Check Cashing 21.5
Classification Grading system 5.5
Complaints 30
Computers, Use of University Systems 38
Conduct 11.2
Conflict of Interest 11.6
Continuation Coverage 22.10
Conviction Notification 35
Counseling, Psychological 22.7
Court and Court-Related Appearances 17
CP1, CP2, CP3, etc. 5.3, 5.4, 7.3
Credit Unions 21.6
Critical Classification 5.3
Death in the Family 14.2
Demotional Transfers 8.4
Dental Plans 22.1, 22.6
Disability Benefits 14.3
Disciplinary Action 9
Discrimination #1
Dismissal 10.2, 10.3, 10.4
Doctor's Appointment 14.6
Documentation of New Employees 6
Dress Code 11.1
Driver Policy 41
Driving on Campus 6.6
Drug Abuse 11.2
Drug Testing 33.6
During Disasters 18
Emergencies 18.2
Emergencies and Natural Disasters 18
Employment Applications 2.3
Employee Bulletin 6.4
Employee Categories 3
Employee Discounts 21.2
Employee Files 4.1
Employee Reporting Obligations 36
Employment Selection Criteria 2.4
Equal Opportunity 1
Evacuation of the Campus 18.2
Exempt Staff 3.8
Faculty/Staff Discounts 21.2
Falsification of Records 11.2
Felony Conviction Notification 35
Fighting 11.2
Fires 18.1
Flex Time 13.7
Full-Time Staff 3.6
Funeral Leave 14.2
Grade Levels 5.2
Grading of Positions 5.5
Grievances 30
Handicapped Employees 1.1
Harassment (sexual) 11.5
Health Insurance 22
Hiring 2.2, 2.4
Hiring Managers 5.4
Hiring Ranges 5.4
Holidays 16
Holidays Falling Within a Vacation Period 15.3
Identification Cards 6.3
Illness 14.6
Immigration 6.1
Injuries on the job 24
Insubordination 11.2
Insurance Coverage 22.1
Introductory Increases/Period 7.2
Involuntary Terminations 10.3
I-9 Forms 6.1
Job Classification Process 5.5
Job Description 5
Job Posting/Application Process 2
Jury Duty 17.1, 17.5
Lateral Transfers 8.2
Layoffs 10.4
Leaves of Absence 14
Leveling Increases 7.1, 7.3
Library Privileges 21.3
Life Insurance 22.1
Local Emergency 18
Long-Term Disability 22.4
Maternity Leaves 14.3
Medical Benefits 3.6, 22.5
Medical Leave 14.3
Merit (Performance) Increases 7.3
Military Leave 14.4
Misconduct 11.2
Mud Slides 18
Multiple Positions 3.10
Natural Disasters 18
Nepotism 39
New Employees 6
New Positions 5.6
Nonexempt Staff 3.9
Orientation of New Employees 6.2
Overtime 13.5
Overtime, During Emergency 13.6
Parking 6.6
Part-time Staff 3.7
Pay Changes 12.3
Pay in Emergencies 13.6
Pay Periods 12.2
Pay Scale 5.2, 5.3
Payroll and Time Reporting 12.1
Performance Reviews/Increases 7.3
Personal Appearance 11.1
Personal Conduct 11.2
Personal Leave of Absence 14.5
Personal Phone Calls 11.4
Personnel Action Request Forms (PAR) 5.6, 5.7
Position Classification 5
Position Description Questionnaire (PDQ) 5
Pregnancy 14.3
Prescribed Drugs 33.5
Probationary Increases (see Introductory Period/Increases) 7.2
Prohibited on Campus 11.2
Promotional Transfers 8.3
Psychological Counseling 22.7
Raises 12.3
Rate Changes 12.3
Regular Staff 3.1
Relatives, Supervision of 31.5
Replacements 5.7
Reporting Absences 12.4, 12.5
Reporting Obligations 36
Reprimands 9.1
Resignations 10.2
Restricted Positions 3.12
Retirement 26
Road Closures 18.1
Rules of Conduct 11
Safety 32
Salary Ranges 5.3
Service Award Program 28
Sex Discrimination 1.1, 11.5
Sexual Harassment 11.5
Shifts 13.3, 13.4
Sick Leave 14.6
Sick Pay 14.6
Smoking 11.3
Social Security 27
State Disability Insurance 23
Status Change: Effects of 3.11
Student Workers 3.5
Subpoenas 17.2
Substance Abuse Policy 33
Suggestion Awards Program 37
Supervisors' Responsibilities 31.2
Suspension 9.2
Table of Contents
Tardiness 12.6
Tax-deferred Annuities 26.5
Telephone Use 11.4
Temporary Employment Agencies 3.4
Temporary Staff 3.2
Tempos 3.3
Terminations 10
Testing 33.6
Time Off 12.5
Time Records (Time Sheets) 12.4
Transfers 8
Tuition Benefits 20
Unemployment Compensation 25
Vacation 15.1
Vacations and Benefit Classes 19.3, 19.4, 19.5
Vendor Solicitation of Employees 29.2
Voluntary 10.2
Volunteers 34
W-4 Form 6
Wage and Salary Administration 5
Work Day 13.1
Work Week 13.2
Worker's Compensation Insurance 24

Community | Pepperdine University

Academic

Accounts and Finances

Campus Services

Central Services

Outreach

Human Resources

TABLE OF CONTENTS

Section 1 - POLICY ON EQUAL EMPLOYMENT OPPORTUNITY AND NONDISCRIMINATION

I. EQUAL EMPLOYMENT OPPORTUNITY AND NONDISCRIMINATION

II. RESPONSIBILITIES OF THE EQUAL OPPORTUNITY OFFICER WITH REGARD TO THE POLICY

III. Applicability of Policies

Section 2 - JOB POSTING/APPLICATION PROCESS

2.1 OVERVIEW

2.2 JOB POSTINGS

2.3 APPLICATION PROCESSING

2.4 HIRING

Section 3 - EMPLOYEE CATEGORIES

3.1 REGULAR STAFF

3.2 TEMPORARY STAFF

3.3 TEMPORARY POOL

3.4 TEMPORARY EMPLOYMENT AGENCIES

3.5 STUDENT WORKERS

3.6 FULL-TIME STAFF

3.6.1 Nine to Twelve Month Positions

3.7 PART-TIME STAFF

3.8 EXEMPT STAFF

3.9 NONEXEMPT STAFF

3.10 MULTIPLE POSITIONS

3.11 STATUS CHANGE: EFFECTS OF

3.12 RESTRICTED POSITIONS

3.13 ACTING STATUS

Section 4 - EMPLOYEE FILES

4.1 EMPLOYEE FILES

Section 5 - WAGE AND SALARY ADMINISTRATION

5.1 OVERVIEW

5.2 GRADE LEVELS

5.3 SALARY RANGES

5.4 HIRING RANGES

5.5 CLASSIFICATION GRADING SYSTEM

5.6 NEW POSITIONS

5.7 REPLACEMENTS

Section 6 - NEW EMPLOYEES

6.1 DOCUMENTATION

6.2 ORIENTATIONS

6.3 I.D.CARDS

6.4 EMPLOYEE BULLETIN

6.5 ANNIVERSARY DATES

6.6 PARKING

Section 7 - CHANGES IN SALARY

7.1 OVERVIEW

7.2 INTRODUCTORY INCREASES

7.3 PERFORMANCE (MERIT) INCREASES

Section 8 - TRANSFERS

8.1 OVERVIEW

8.2 LATERAL TRANSFERS

8.3 PROMOTIONAL TRANSFERS

8.4 DEMOTIONAL TRANSFERS

Section 9 - DISCIPLINARY ACTION

9.1 REPRIMANDS

9.2 SUSPENSION

Section 10 - TERMINATIONS

10.1 OVERVIEW

10.2 VOLUNTARY TERMINATIONS

10.3 TERMINATIONS FOR CAUSE

10.4 LAYOFFS

Section 11 - PERSONAL APPEARANCE AND CONDUCT

11.1 PERSONAL APPEARANCE

11.2 CONDUCT

11.3 SMOKING AND TOBACCO USE

11.4 PERSONAL TELEPHONE CALLS

11.5 SEXUAL HARASSMENT

11.6 CONFLICT OF INTEREST

11.7 OFFICER AND EMPLOYEE SERVICE AS FIDUCIARIES

11.7.1 DEFINITIONS

11.7.2 GENERAL POLICY

11.7.3 EXCEPTIONS

11.7.4 AMENDMENTS

11.7.5 STANDARDS FOR SERVICE AS A FIDUCIARY