Title PAP Policies and Procedures

Chapter PAP.1 Governmental Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This personnel policy and procedural manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians in the implementation of Title XII, Chapter 3 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law (LCOTCL) – Employment Code. This personnel policy and procedural manual, outlines the general policies, rules and practices in effect for the Lac Courte Oreilles Tribal Government and is intended to be a helpful reference during your employment with the Tribe. The information contained herein is general information, and its contents do not create or constitute a contract between the Tribe and any employee. The Tribal Governing Board acting in its sovereign capacity may in its sole discretion amend this personnel policy and procedural manual from time to time. The Human Resource Director, or designee, will distribute approved revisions to all employees.

Subchapter PAP.1.1 General Provisions

PAP.1.1.010 Title

This personnel policies and procedures manual shall be known as the Governmental Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.1.1.020 Authority

PAP.1.1.030 Purpose

It is the purpose of this personnel policy and procedural manual to provide the general policies, rules and practices in effect at Tribe. This personnel policy and procedural manual is intended to be a helpful reference during your employment with the Tribe. The information contained herein is general information, and its contents do not create or constitute a contract between the Tribe and any employee. The Tribal Governing Board acting in its sovereign capacity on behalf of the Tribe may in its sole discretion amend this personnel policy and procedural manual from time to time. The Tribal Human Resource Director, or designee, will distribute approved revisions to all employees.

PAP.1.1.040 Mission Statement

We the people of Odaawaa Zaaga'iganing, the Lac Courte Oreilles Band of Lake Superior Chippewa, will sustain our heritage, preserve our past, strengthen our present, and embrace our future. We will defend our inherent sovereignty and safeguard our Mother Earth and provide for the education, health, social welfare, and economic stability of the present and future generations. We will provide for the spiritual, cultural, intellectual, physical, emotional and social wellbeing of all employees and will assist employees to grow and develop as members of the Tribe's workforce to share in the success and prosperity of the Tribe.

PAP.1.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this personnel policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.1.1.060 Interpretation

The provisions of this personnel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the employment related activities of the Tribe;

(b) Shall be liberally construed in favor of the Tribe;

PAP.1.1.070 Severability and Non-Liability

If any section, provision or portion of this personnel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this personnel policy and procedural manual shall not be affected thereby. The Tribe further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this personnel policy and procedural manual.

PAP.1.1.080 Repeal of Inconsistent Governmental Manual(s)

All previous personnel policy and procedural manual(s) of the Tribe inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the employment related activities of the Tribe.

Subchapter PAP.1.2 Definitions

PAP.1.2.010 General Definitions

Any term not defined in this section shall be given its ordinary meaning. The following terms, wherever used in this ordinance, shall be construed to apply as follows, except where the context indicates otherwise:

(a) "Compensatory time" and "compensatory time off" means paid time off, which is not counted as hours worked during the applicable workweek, or other work period for purposes of overtime compensation, and for which the non-exempt employee is compensated at the non-exempt employee's regular rate.

(b) "Contracted Employee" means an employee who has entered into a written contract, which has been properly authorized and signed by a signatory of the Tribe and the employee which defines the employment relationship. The contract will be for a specified period, and will outline benefits, pay and other conditions of employment. The terms and conditions of employment for Contracted employees may differ from the terms in this personnel policy and procedural manual, and this manual may be incorporated by reference in the Contracted Employee's written contract.

(c) "Employee" means an employee of the Tribe including: Exempt Employee, Non-exempt Employee, Full-time Employee, Part-time Employee, Seasonal Employee, or Temporary Employee.

(d) "Executive Director" means the individual employed by the Tribal Governing Board to manage the affairs of the Lac Courte Oreilles Tribal Government as provided for in this manual, the Employment Ordinance, and other relevant documents.

(e) "Exempt Employee" means an employee who the Human Resources Director, or designee, categorizes as being exempt from accruing compensatory time, and includes executive, administrative, and professional employees who are compensated on a salary basis.

(f) "Extreme Circumstance" means an unscheduled or unplanned circumstance exceeding an ordinary, usual, or expected event.

(g) "Full-time Employee" means an employee regularly scheduled to work thirty-two to forty (32-40) hours per week who has completed the ninety (90) day probationary period. Full-time employees are eligible for employee benefits subject to the limitations of the applicable benefit plans.

(h) "Fringe Benefit" means an extra benefit supplementing an employee's salary, such as: health insurance, Worker's compensation, 401(k) benefits, short-term and long-term disability.

(i) "Immediate family member" means Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Grandparent, Grandchild, Niece, Nephew, Aunt and Uncle (including great-grandparents, in-laws, and step-relationship etc.). Immediate family member may also include a partner who has been in a relationship for a period of time or in relationship under Ojibwe tradition and practices.

(j) "Independent contractor" means an individual who is not an employee of the Tribe, but rather has entered into a contract with the Tribe, which defines the scope of services. Independent contractors are not employees, do not receive benefits, are not subject to this personnel policy and procedural manual and are governed by a written or verbal contract.

(k) "LCOCHC" means the Community Health Center of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(l) "Management" means the Executive Director, Department Director(s), and any employee who is assigned permanent or temporary supervisory or decision making authority.

(m) "Non-Exempt Employee" means an employee who the Human Resource Director, or designee, categorizes as being non-exempt from accruing compensatory time.

(n) "Part-time Employee" means an employee regularly scheduled to work less than thirty-two (32) hours per week. Part-time employees are not eligible for employee benefits or leave.

(o) "Positive Test Result" means a Blood Alcohol Concentration determined to be under the influence as established in Section PAP.1.2.010(w) andSection PAP.1.8.080(c).

(p) "Probationary Employee" means an employee who has not successfully completed their required probationary period.

(q) "Seasonal Employee" means an employee hired for an established period usually during peak workloads or seasonal demands. Seasonal workers may not be eligible for all employee benefits.

(r) "Serious Health Condition" means a condition which requires inpatient care at a hospital, hospice, or residential medical care facility, or a condition which requires continuing care by a licensed health care provider. This policy covers illnesses of a serious and long-term nature, resulting in recurring or lengthy absences. Generally, a chronic or long term health condition which, if left untreated, would result in a period of incapacity of more than three (3) days would be considered a serious health condition.

(s) "Temporary Employee" means an employee hired for a period of ninety (90) days or less. Temporary employees may work a full-time or part-time schedule and are not eligible for employee benefits and paid leave.

(t) "Tribe" means the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(u) "Tribal Court" means the Court of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(v) "Tribal Governing Board" means the Tribal Governing Board of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(w) "Under the Influence of Alcohol, Illegal Drugs or Controlled Substances" means the following: a Blood Alcohol Concentration that indicates a positive test result as established in Section PAP.1.8.080(c); or are results that confirm the presence of illegal substance; or are results that confirm the presence of a controlled substances that an employee does not have a valid prescription for or the levels exceed the prescribed dosage.

(x) "Valid Prescription" means a prescription that is current and issued for a medical purpose in the usual course of professional practice by a practitioner or a covering practitioner who has conducted at least 1 in-person medical evaluation of the patient.

Subchapter PAP.1.3 Governance

PAP.1.3.010 General

The Tribal Governing Board is the governing body of the Tribe. Pursuant to the Amended Constitution and Bylaws of the Tribe, ultimate legal and fiscal responsibility of the Tribe is with the Tribal Governing Board, as the elected representatives of the members of the Tribe. The Tribal Governing Board possesses the inherent sovereign authority to delegate oversight and management responsibilities to program directors for the planning and daily operations of Tribal programs and entities. The Tribal Court interprets and enforces, in accordance with and subject to applicable law, as well as these policies and procedures established by the Tribal Governing Board.

PAP.1.3.020 Sovereignty

The Tribe is a sovereign nation, with inherent reserved rights recognized through federal treaties; as such the tribe exists within the geographical boundaries of the United States. Immunity from private lawsuits is one aspect of inherent tribal sovereignty. Immunity from suit means that no private lawsuit can be maintained against the Tribe, unless the Tribe consents to the action. Nothing in this manual, including without limitation the provisions of Subchapter PAP.1.12, constitutes a waiver of the Tribe's inherent sovereign immunity.

PAP.1.3.030 Employment Laws

It is the general policy of the Tribe to extend to its employees, where possible, the rights and benefits provided by employers regulated by the laws of the United States. However, the Tribe looks to federal employment laws as guidelines only, and nothing in this personnel policy and procedural manual shall be construed as the Tribe's consent to application of such laws. Another aspect of the Tribe's inherent sovereignty is that Wisconsin Statutes are not applicable on Tribal operations without the express written permission of the Tribal Governing Board. The Tribe reserves the right to create and modify its employment laws and policies without regard to such laws or interpretations thereof.

Subchapter PAP.1.4 Hiring Process

PAP.1.4.010 Equal Employment Opportunity

The Tribe reaffirms its commitment to equal employment opportunity and advancement toward all applicants and employees regardless of race, color, creed, national origin, gender, sexual orientation, marital status, veteran status, religion, status with regard to public assistance, membership or activity in a local commission, disability, age or any other status protected by law.

PAP.1.4.020 Indian Preference

Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000 et. seq. prohibits various forms of discrimination, including racial, color, gender-based, religion or national origin within the employment context. However, similar to the United States government, Indian tribes are expressly exempted from the definition of a covered "employer." Consistent with this exemption, the Tribe grants Indian preference in employment, and will apply preference in the following order when there are two or more candidates that meet the job qualifications:

(a) Members of the Lac Courte Oreilles Tribe,

(b) Members of other Federally Recognized Tribes with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(d) Non-members with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(e) All Others.

PAP.1.4.030 Hiring Preferences

The Tribe will utilize the following preference ranking when considering an applicant for employment. It is the responsibility of the applicant to provide the necessary documents listed below for the purpose of obtaining preferences:

(a) Indian preference as described in Section PAP.1.4.020 of this manual (Applicant must provide a signed official document from a federally recognized Tribe acknowledging enrollment);

(b) Veteran preference (Applicant must provide a Veterans Administration form DD214);

(c) Former employees of the Tribe whom left in "good standing" and whose separation was not as a result of disciplinary action or an agreement in lieu of disciplinary action which would have otherwise resulted in termination.

PAP.1.4.040 Employment of Relatives

The Tribe encourages relatives of Lac Courte Oreilles Tribal members to seek employment with the Tribe. However, the Tribe also seeks to avoid potential problems arising from family members directly supervising one another. A waiver of this provision may be granted by the Executive Director when the services of the employee cannot be obtained from any other available person with the same or equivalent qualifications.

PAP.1.4.050 Employment of Minors

The Tribe will utilize, solely as a guideline, federal laws pertaining to the employment of minors.

PAP.1.4.060 Disclosure and Background Check

(a) All applicants who are being considered for employment with the Tribe must provide the information as described in Section PAP.1.4.090 of this manual. Incomplete applications and application which fail to provide consent for background checks will not be considered. For all applicants considering employment with the Tribe, the Tribe reserves the right to:

(1) conduct background checks on all Governmental employees.

(b) While employed with the Tribe, every employee must notify his or her department head or director in writing of any pending criminal charge or conviction, which may result in disciplinary action pursuant to Subchapter PAP.1.12 of this manual. The Tribe reserves the right to:

(1) issue disciplinary action depending upon the severity of the charge or conviction.

(2) conduct a criminal background check or personnel background check of current Governmental employees with reasonable suspicion of policy violations as detailed in this manual.

(c) Failure to pass a background check to the satisfaction of the Tribe or to disclose a criminal charge or conviction may result in revocation of a conditional offer of hire or disciplinary action, up to and including termination.

PAP.1.4.070 Funding and Approval

Prior to posting or filing a position, the department head or director must ensure there are sufficient funds to pay for salary, fringe benefits and all other costs of the position. If the job is for a shorter period and only limited funds are available or if the position is contingent upon receiving funding, this constraint will be explicitly specified at the time of advertisement. The Human Resource Director or designee shall ensure that all positions submitted for posting have all required approvals.

PAP.1.4.080 Posting

Only the Human Resources Director, or designee, is authorized to post a position, provided an existing position shall only be posted with the prior approval of the Executive Director and a new position shall only be posted with the prior approval of the Tribal Governing Board. All positions shall be posted for at least ten (10) working days, provided temporary positions may be exempt from this section that are of a 14 (fourteen) day duration or less. The Human Resource Director, or designee, will advertise all job postings locally at various locations and other places as appropriate including electronic posting.

PAP.1.4.090 Job Application

(a) Application Form. Applicants for employment are required to submit an application form, which will include without limitation:

(1) Signature for permission to perform a background and reference check.

(2) Driving record and insurance information (if applicable).

(3) Pre-employment drug testing consent and authorization form.

(4) Letter of interest

(5) Resume

(6) Proof of any stated qualifications

(7) Three (3) letters of recommendation

(8) Documentation of hiring preferences pursuant to Section PAP.1.4.030 of this manual.

(b) Background Investigations. The Human Resource Director, or designee, shall ensure that background investigations are performed prior to applicant screening pursuant to Section PAP.1.4.060 of this manual.

PAP.1.4.100 Screening and Selection Process

As an employer, the Tribe seeks to employ individuals who possess the qualifications, skills, abilities and background to meet the employment needs of the Tribe. It is also the intent of the Tribe to treat all applicants with respect and fairness along with ensuring the provisions of Section PAP.1.4.010 of this manual, are adhered to. Pursuant to the Privacy Act of 1974, 5 U.S.C. § 552a, all applications shall be treated as privileged information and shall be made available only to those directly involved in the hiring process.

(a) Applicant Screening.

(1) Upon receipt, all applications will be date stamped and kept in the hiring file until the deadline date and time has expired. After the deadline, all applications received, within the required time lines, will be reviewed by the Human Resources Director for completeness and minimum qualifications. In addition, the Human Resources Director will conduct a background and reference check to determine any issues that might prohibit an individual from being employed by the Tribe.

(2) Applicants that are deemed to meet these minimum qualifications will be notified in writing, emailed (if applicable) and/or telephonically of an offer to be interviewed. Any applications deemed to not be complete, not meet the minimum qualifications or have a background check that contains information that is detrimental to the Tribe will be notified in writing that they were not selected to be interviewed.

(3) The decision to not offer an interview will not be subject to any grievance, complaint or appeal provisions of the Tribe.

(4) In the event the Human Resources Director determines that there is no qualified or insufficient applicants the position may be reposted.

(5) Reference and background checks made by the Human Resources Director should be properly documented and retained for a period no longer than the probationary period of the position being considered.

(b) Applicant Interview.

(1) All eligible applicants will be interviewed by a committee which shall be facilitated by the Human Resources Director and composed of the following:

(A) Human Resource Director,

(B) Executive Director,

(D) Immediate Supervisor for the position being interviewed,

(E) Other as the department head or director deems appropriate.

(1) The committee will interview each eligible applicant and shall make the selection based upon all relevant factors, including but not limited to:

(A) Preferences defined in Section PAP.1.4.030 of this manual,

(B) Education/Training,

(D) Experience relevant to position,

(E) Interview.

(2) The committee may utilize a ranking system that factors all of the areas established in Section PAP.1.4.100(c)(1) above, that will ensure a fair and equitable process for determining the best qualified candidate, and if applicable an alternate, to fill the position being interviewed. Such system may utilize points or other forms of ranking that is deemed relevant for the position in consideration.

(3) The Human Resource Director or designee shall notify the successful and unsuccessful applicants in writing within five (5) working days. If the selected individual does not accept the position or an employee does not successfully complete the probationary period, the Human Resource Director shall offer the position to the alternate selection, if applicable. If there was no alternate selected then the Human Resource Director or designee may repost the position.

(4) All relevant documents related to a hiring will be retained by the Human Resources Director for a period not longer than the probationary period for the position being considered. Pursuant to the Privacy Act of 1974, 5 U.S.C. § 552a, all such information shall be treated as privileged information and shall be made available only to those directly involved in the hiring process.

(5) If an employee does not complete the probationary period, the Human Resource Director shall offer the position to the alternate selection. If there was no alternate selected then the Human Resource Director or designee may repost the position.

(6) The decision to not hire an interviewee will not be subject to any grievance, complaint or appeal provisions of the Tribe.

PAP.1.4.110 Tribal Governing Board Notification

The Executive Director will notify the TGB who was hired for what position(s) and/or if a position(s) was reposted.

PAP.1.4.120 Orientation

(a) All new employees will be provided an orientation within the first day of employment, and will be provided this personnel policy and procedural manual, all required forms for employment, benefits, a copy of Chapter CMP.6 – Worker's Compensation Code, and day-to-day procedures. The Human Resource Director, or designee, will also answer any questions which may arise throughout the course of employment. Supervisors will provide further direction relevant to the operation of their department.

(b) Orientation for department head or directors will include additional training with the Contracts Office, the Accounting Department and other required areas to familiarize the employee with grants management responsibilities, accounting codes and procedures, and other applicable functions.

PAP.1.4.130 Position Description

The Human Resource Director, or designee, will provide every employee with a copy of his or her current and or amended position description. The position description is intended to provide a general overview of the duties of the position. From time to time, however, employees will perform duties and handle duties and responsibilities that are not a part of the original position description. Position descriptions contain a general description of a position and do not create any employment rights or entitlements.

PAP.1.4.140 Probationary Period

(a) All newly-hired employee's will be placed on a ninety (90) calendar day probationary period. with the exception of positions identified by the department head or director as needing an extended period in order to adequately assess the employees capabilities to perform the job duties. During an employee's probationary period they will get to know fellow employees, Management and the duties involved for the position. The Tribe will work closely with employees during the probationary period to assist in understanding the needs and processes of the job. The probationary period may be waived by the Executive Director for short term or seasonal employment.

(b) The probationary period is a trial time for both the employee and the Tribe. During this probationary period, the Tribe will evaluate the employee's suitability for employment. At any time during the probationary period, an employee may resign without any detriment to the employee's record. In addition, if during this period an employee's work habits, attitude, attendance, or performance do not measure up to the Tribe's standards, the Tribe may extend the probationary period for up to ninety (90) calendar days or terminate the employee's employment without the ability of the employee to appeal the decision.

(c) Probationary employees are eligible for holiday leave and funeral leave. Probationary employees accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from the Executive Director and only for medical reasons or extreme circumstances. If an employee does not complete the probationary period for any reason, the employee forfeits all accrued but unused benefits.

(d) At the end of the probationary period, the Tribe will prepare a written performance evaluation and discuss overall job performance with the employee. During the course of the discussion, the employee is encouraged to present his or her comments and ideas as well.

(e) The probationary period ends only when a written evaluation of the employee is filed by the supervisor indicating the employee has passed probation, with no exceptions.

PAP.1.4.150 Classifications

Upon hire, the Tribe will inform every employee of his or her employment classification, whether exempt or non-exempt, full-time, part-time, seasonal or temporary. This is important because employment classification has an effect on employee rights and benefits under this personnel policy and procedural manual (See Subchapter PAP.1.2 – Definitions for the various classifications).

PAP.1.4.160 Employment At-Will

Employees, with the exception of certain contracted employees, are hired for an indefinite and unspecified duration and are not guaranteed employment for any specified length of time. As such, either the Tribe or an employee can terminate the employment relationship at-will, at any time. In addition, the Tribe can modify, amend, supplement or delete terms and conditions of employment relationship at-will, at any time, with or without cause or advance notice. No individual or governmental body, other than the Tribal Governing Board, or its authorized designee, has the power or legal authority to alter the at-will nature of the employment relationship.

Subchapter PAP.1.5 Employment

PAP.1.5.010 Work Site Accommodations

The Tribe is exempted from the federal and state offered definition of an employer as provided by the American's with Disabilities Act, 42 USC § 12111 (5) (B). However, as a matter of its own internal policies the Tribe discourages discrimination against persons with disabilities and when possible seeks to accommodate persons with disabilities on the job. When possible, the Tribe will make reasonable efforts to provide reasonable accommodations to all employees and applicants, including work site accessibility. Employees must notify their department head or director or the Human Resource Director, or designee, in writing of any requested reasonable accommodation within a reasonable period of time after the employee learns of the need for such accommodation.

PAP.1.5.020 Personnel Files

(a) The Tribe will create and maintain a personnel file for each employee beginning at the time of employment. These files are the sole property of the Tribe and are deemed confidential. All employee files, past and present, will be secured in a locked location at all times. Access will be limited to the Human Resource Director, or designee, a department head or director, the executive director, an employee or his or her representative if designated in writing which states the purpose of the disclosure. An employee may inspect his or her personnel file in the Human Resources department by contacting the Human Resource Director, or designee, to make an appointment. Files will be reviewed in a secure location under the supervision of the Human Resource Director, or designee. A personnel file may contain the following types of information:

(1) Original employment application,

(2) Letters of reference,

(3) Notice of hire,

(4) New hire forms,

(5) Current position description,

(6) Records of all disciplinary actions,

(7) Performance evaluations,

(8) Starting pay scale and subsequent increases,

(9) Change of employment status,

(10) Applicable skills test results,

(11) Training and career development records,

(12) Copy of certification or licenses as required,

(13) Copy of separation notice or letter of resignation,

(14) Exit interview and inventory checklist,

(15) Other documents relied upon by the Tribe to make decisions concerning the employee's employment.

(b) The Accounting Department will maintain time, attendance, and payroll and leave records for each employee in a separate file.

PAP.1.5.030 Medical Documentation

The Tribe will maintain employee documentation as it relates to Doctor's excuse for longer than the allowable three day absence, return to work statements or any limitations on type of work to be performed by the employee. This information shall be maintained alongside an employee's personnel file, but shall be maintained in a separate file. Access will be limited to the Human Resource Director, or designee. All personal medical related information is subject to the provisions of the Health Insurance Portability and Accountability Act of 1996, 110 Stat. 1936.

PAP.1.5.040 Hours of Work

(a) The standard work hours are from 8:00 a.m. to 4:30 p.m. Employee hours may be changed at the discretion of the department head or director, and each department may establish its own work schedule, subject to the approval of the Executive Director. A written approval shall be maintained in an employee's personnel file.

(b) Each Employee must accurately record, sign and in addition have their respective Supervisor attest to the hours being paid by signing an approved timesheet or timecard. Each timesheet or timecard shall accurately reflect the actual hours being paid during the pay period and distributed by the correct payroll and account/department coding for each employee. The timesheet or timecard is a legal record of hours worked and may not be altered without consent of both the employee and his or her department head or director. Each employee and their Supervisor are responsible for the accuracy of their timesheet or timecard. The department head or director must initial all timecards recorded by the use of a time clock. Timecards are the property of the Tribe and must remain in the timecard rack. No employee shall knowingly punch the timecard of another employee or allow another employee to punch his or her timecard.

PAP.1.5.050 Pay Period

The Tribe's pay period is from Monday through Sunday and all hours worked during this period are to be recorded as defined in Section PAP.1.5.040 of this manual.

PAP.1.5.060 Reclassification

The Tribe may reclassify an employee (full-time, part-time, exempt, nonexempt, etc.) if the duties or need for the employee has changed. The reclassification of an employee may result in a change in the terms and conditions of employment including without limitation eligibility for benefits, and leave. Any supervisor who seeks to reclassify an employee shall obtain proper authorization in collaboration with the Executive Director.

PAP.1.5.070 Evaluations

(a) Each employee will receive an annual written performance evaluation from their supervisor. The evaluation will highlight the employee's strengths and weaknesses, and ways to improve or enhance job performance. The employee and the department head or director must sign the evaluation. The employee's signature does not necessarily indicate concurrence, but does record acknowledgement and delivery of the document. Employees should not expect that evaluations will automatically result in a change in pay. However, the Tribe will rely on evaluations, in addition to all other relevant information, to make decisions about an employee's terms and conditions of employment.

(b) Failure of the department head or director to complete an evaluation for their employees may result in disciplinary action.

PAP.1.5.080 Resignations

PAP.1.5.090 Transfers

PAP.1.5.100 Promotions

A department head or director may recommend an employee for a promotion based upon job performance and the needs of the Tribe, subject to the prior approval of the Executive Director. The promoted employee must accept all provisions of the new position (i.e. benefits, rate of pay, duties, hours of work, etc.). The provisions of Subchapter PAP.1.4 of this manual shall not apply to transfers with the exception of Section PAP.1.4.040, Section PAP.1.4.070, Section PAP.1.4.130, Section PAP.1.4.150, and Section PAP.1.4.160. In addition, the provisions of Section PAP.1.4.140, may not apply upon approval of the new department head or director, with concurrence from the Executive Director. The Executive Director shall provide the Tribal Governing Board with written notice of all promotions.

PAP.1.5.110 Attendance

Punctuality and regular attendance are essential to the effective operation of the Tribe. Employees must report to work on time. Any employee who will be absent from work must notify his or her immediate supervisor no later than their respective scheduled start time. Any employee who wants to leave early for any reason must have prior approval from his or her immediate supervisor, sign out and sign in upon return. Failure to report to work, without notice, for three consecutive working days will be considered job abandonment and the employee will be considered to have resigned from the Tribe. Job abandonment will not be subject to any appeal provisions and shall be subject to the provisions of Section PAP.1.5.080 of this manual.

PAP.1.5.120 Lunch

Employees are allowed one (1) hour leave for lunch. Employees must take their lunch at the usual time, between 12:00 – 1:00, unless mutually changed by the employee and supervisor.

PAP.1.5.130 Break Periods

PAP.1.5.140 Inclement Weather

(a) In the event of inclement weather conditions, the Tribal Governing Board and Administrative staff will gather information on existing and anticipated weather and road conditions from the Transportation Directors and local TV broadcasts.

(b) Administrative Staff will contact Tribal Governing Board members to determine if Tribal Government offices will open as usual, will be closed, or will have a later opening time.

(c) By 6:30 am, Administrative Staff will contact local radio stations (WOJB, WRLS, WHSM) if the Tribal Government offices will be closed or opening later than normal. If there are no announcements on the local radio stations, then the Tribal Government offices will be open as usual.

(d) When Tribal Government offices are open, employees that would prefer to not drive during inclement weather conditions must contact their supervisor to obtain the approval to utilize accrued PTO. However, employees are to make every reasonable effort to come to work, especially employees with meetings or appointments scheduled.

Subchapter PAP.1.6 Wages

PAP.1.6.010 Wage Classifications

The Tribe establishes wage and salary classifications for each position based on many factors, including, but not limited to position category, education, experience, knowledge, ability and level of responsibility.

PAP.1.6.020 Wage Increases

The Tribe will consider cost of living, merit and wage increases on an annual basis. All such increases are contingent upon many factors, including funding availability and performance evaluation. Any increase is at the discretion of the Tribal Governing Board.

PAP.1.6.030 On Call Staff

Personnel that are designated to be a weekly "on-call" worker will be provided an additional stipend above their normal pay to compensate them for their services. Such compensation will be in lieu of compensatory time accrual.

PAP.1.6.040 Compensatory Time

(a) The Human Resource Director, or designee, will classify and consistently review the classification of employees as either Exempt or Non-exempt. Exempt employees are compensated on a salary basis and will not accrue compensatory time for hours worked in excess of forty (40) hours in a workweek. Non-exempt employees will accrue, in lieu of overtime compensation, compensatory time for authorized hours worked in excess of forty (40) hours in a workweek.

(b) A Non-exempt employee shall not work over forty (40) hours in a workweek without the prior written authorization of the department head or director. A department head or director may adjust any employee's work schedule to avoid accumulation of compensatory time.

(c) The Tribe will permit a Non-exempt employee to use accrued compensatory time off with their supervisor's approval as long as the use of the compensatory time will not unduly disrupt the operations of the Tribe.

(d) A Non-exempt employee must use compensatory time during the fiscal year in which it was accrued, and all such unused time shall be forfeited at the end of the fiscal year, provided a maximum of forty (40) hours may be carried over into any new fiscal year. The Tribe may enforce this provision any time it becomes aware an employee carried over too much compensatory time from one fiscal year to the next.

(e) A Non-exempt employee who has accrued compensatory time off shall be paid for up to forty (40) hours of unused compensatory time at employee's ending rate of pay upon the resignation of employment. Employees that have been terminated pursuant to Subchapter PAP.1.12 of this manual shall forfeit all remaining uncompensated accrued compensatory time. At no other time may an employee cash out accrued compensatory time.

PAP.1.6.050 Temporary Increases

A department head or director who obtains prior authorization of the Executive Director may temporarily increase the pay rate of an employee during the time that the employee is temporarily performing the duties of a position with a higher salary range. Any increase will cease upon removal of the conditions that warranted the increase.

PAP.1.6.060 Employer Payroll Deductions

Various payroll deductions are made each payday to comply with applicable laws, including but not limited to federal and state income tax withholding and social security. At the end of each calendar year, the Tribe will provide each employee with a Wage and Tax Statement (W-2) form. This statement summarizes employee income and deductions for the year.

PAP.1.6.070 Bank Deposits or Payroll Deductions

The Tribe may automatically deposit Employees' paychecks at financial institutions and may provide for payroll deductions, subject to applicable, charges, procedures and limitations. In addition, the Tribe may make deductions from Employees' paychecks in accordance with orders issued by a court of competent jurisdiction. Employees should contact the Accounting Department with any questions.

PAP.1.6.080 Workers' Compensation

The Tribe carries insurance to cover the cost of work-incurred injury or illness. Benefits help pay for employees' medical treatment and a portion of any income lost while recovering. An employee must report any work-related injury or illness to his or her department head or director by completing the "First Report of Injury or Illness Form," which must be completed within the timelines as stated in the Chapter CMP.6 – Worker's Compensation Code. Refer to the Chapter CMP.6 – Worker's Compensation Code for additional guidelines.

Subchapter PAP.1.7 Available Benefits

PAP.1.7.010 Available Benefits

(a) The following is a brief list of benefits available to eligible employees;

(1) Group Health Insurance/COBRA

(2) Holiday

(3) Personal Time Off (PTO)

(4) Additional Paid Leave

(5) Unpaid Leave

(6) Family and Medical Leave

(7) Life Insurance, Disability Insurance and Retirement Plan

(8) Employee Assistance Program

(9) Christmas Bonus

(10) Employee Recognition – Years of Service

(b) The Tribe reserves the right, at its sole and absolute discretion, to rescind or amend benefits, to change insurance carriers, or to require employees to contribute towards premium costs. The Tribe may make these changes at any time, except as provided by law. The Human Resource Director or Benefits Administrator, or their designee, will notify employees of changes. While the Tribe intends to continue offering sponsored benefits, there is no guarantee that such benefits will always be available.

PAP.1.7.020 Eligibility

The following employee classifications and eligibility for Fringe Benefits are as follows;

(a) Full Time Employee. Full time Employees, as defined in Section PAP.1.2.010(h) of this manual, are eligible for all Fringe Benefits after satisfactorily completing their probationary period, unless otherwise provided for in an Employment Contract with the Tribe or mandated by law.

(b) Part Time Employee. Part Time Employees, as defined in Section PAP.1.2.010(p) of this manual, are not eligible for any fringe benefits offered by the Tribe, unless otherwise mandated by law.

PAP.1.7.030 Group Health Insurance / Cobra

(b) Employees who are covered by the group health plan may have the right to choose continuation of health coverage if coverage is lost due to a reduction in hours of employment or termination of employment. Continuation coverage is provided pursuant to the Consolidated Omnibus Budget Reconciliation Act of 1985, and later amendments, otherwise known as "COBRA". Employees should contact the Human Resource Director for additional information regarding qualifying events or other requirements of COBRA.

PAP.1.7.040 Holiday Leave

The Tribe grants eligible employees paid holiday leave. The Tribal Governing Board will approve the holiday schedule at least one (1) month prior to the beginning of a new calendar year. Eligible employees will receive the following paid holidays:

(a) New Year's Eve Day and New Year's Day (2 Days)

(b) Martin Luther King Jr. Day

(d) President's Day

(e) Good Friday

(f) Easter Monday

(g) American Indian Day

(h) Memorial Day

(i) Independence Day

(j) Honor the Earth Powwow (Friday prior to or the Monday after)

(k) Labor Day

(l) Indigenous Day

(m) Veterans Day

(n) Thanksgiving (2 Days)

(o) Christmas Eve Day and Christmas Day (2 Days)

(p) Other official holidays as established by the Tribal Governing Board

PAP.1.7.050 Personal Time off

(a) Employees will accrue paid Personal Time Off (PTO) at the following rates:

(1) If employed up to three (0 to 3) years, 16 hours per month for a total of 192 hours per year.

(2) If employed three years to ten years (3 to 10), 20 hours per month for a total of 240 hours per year.

(3) If employed more than ten (10+) years, 24 hours per month for a total of 288 hours per year.

(4) Employees who work 32-39 hours per week shall receive a prorated annual leave at 75% of the above.

(b) In no circumstance will employees accrue any amounts over the maximum designated accumulations stated above. If an employee is on any leave without pay the employee will not accrue any PTO until the employee returns to a full time status. An employee who quits his or her employment without providing at least a two (2) week notice will forfeit any accrued PTO unless otherwise approved by his or her department head or director in collaboration with the Executive Director. An employee who provides the requisite notice will be paid up to one hundred twenty (120) hours of accrued PTO.

(c) For purposes of calculating length of service it will be the responsibility of the employee to provide the Human Resources Director with a statement from other Lac Courte Oreilles Tribally controlled entities stating the start and end dates. The length of service will only be calculated utilizing the certifiable time for an employee that left a position in good standing (i.e. not termination).

(d) Prior to the utilization of accrued PTO, Employees must schedule and have the use of accrued PTO time approved so it will not interfere with job responsibilities, except as otherwise provided by law. If an employee is on PTO and there is early release or closure of the employee's worksite, the employee shall be credited any such leave during the period of early release or closure. If requesting more than three (3) days of PTO time employees shall obtain prior authorization at least five (5) working days in advance of the leave date. The department head or director may or may not approve such request depending on a variety of factors, including project deadlines and schedules. In extreme emergency situations the Executive Director, in consultation with the employees Supervisor, may waive the five (5) day notification provision, if requested by the employee in writing citing the reason.

(e) To utilize PTO for unscheduled absences employees must notify the Tribe and their immediate supervisor prior to their designated start time. If an Employee is absent from work for 3 days or longer, which is related to an illness or other medical related issues, a Physicians excuse must be provided that substantiates their absence.

(f) Probationary employees will not be able to use PTO during their 90 day probationary period unless it is for extreme circumstances with approval of their department head or director and concurrence of the Executive Director.

PAP.1.7.060 Sharing of Personal Time Off

Employees are permitted to share PTO within the same Employer Tax ID. Under no circumstances are probationary employees entitled to participate in the sharing of Personal Time Off. Employees may cash-out PTO with Tribal Governing Board approval.

PAP.1.7.070 Additional Paid Leave

The Tribe grants employees additional paid leave in certain situations, including the following:

(a) Civil Leave. The Tribe grants eligible employees paid civil leave during the required absence when any employee appears as a witness for the federal, state or Tribal Government, in obedience to a subpoena. An employee must promptly notify his or her department head or director upon receipt of any subpoena. If an employee receives any stipend for such civil leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for civil leave.

(b) Jury Duty Leave. The Tribe grants eligible employees paid leave during the required absence for jury service. An employee must promptly notify his or her department head or director upon receipt of any notice to appear. If an employee receives any stipend for such jury duty leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for jury service.

(1) All full-time employees will be given a five (5) day leave without loss of pay for funeral services for immediate family. Immediate family includes the following:

(A) Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Grandparent, Grandchild, Niece, Nephew, Aunt and Uncle (including great-grandparents, in-laws, and step-relationship, etc.), including a partner who has been in a relationship for a period of time or in relationship under Ojibwe tradition and practices.

(2) Up to three (3) day leave for other persons will be given only if the full-time employee is assisting the family during their immediate time of loss, subject to prior approval of employee's supervisor.

(3) All other funeral leave will be limited to no more than one (1) day with pay to attend the funeral services, subject to the notification and approval of employee's immediate supervisor.

(d) Committee or Board Leave. The Tribe grants eligible full-time employees paid leave to serve on committees or boards of the Tribal Governing Board and may approve leave to participate in other outside boards or committees. An employee must receive prior approval from his or her department head or director prior to accepting an appointment or volunteering to sit on any committee or board. An employee may receive a stipend for such committee or board service, he or she shall not need to use PTO during any work absence for such service. Attendance at any meetings related to such appointment must be preapproved by the employees immediate Supervisor and such appointment/meetings shall not interfere with an employees work performance and duties.

(e) Maternity Leave. The Tribe grants eligible full-time female employees up to eight (8) weeks, a maximum of three hundred and twenty (320) hours paid leave, for time to deliver and care for a newborn child. If an employee has medical problems prior to delivery, she may utilize paid maternity leave, subject to the maximum limit, with written verification from her doctor. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.1.7.090 of this manual.

(f) Paternity Leave. The Tribe grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave to care for a newborn child. An employee must request and obtain the prior approval of their department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.1.7.090 of this manual.

(g) Parental Leave. The Tribe grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave for adoption, customary adoption, guardianship, protective placement, or an emergency safety plan of a pre-school (0-5 years of age) child. Leave may be granted prior to the legal proceedings having been completed. An employee must request the leave as early as possible and obtain approval of his or her department head or director to utilize leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.1.7.090 of this manual.

(h) Military Leave. The Tribe grants eligible full-time employees up to ten (10) days, maximum of eighty (80) hours, paid leave upon presentment of official orders requiring attendance for training or to perform other duties as a member of the United States Armed Forces. An employee serving on military leave with pay will be paid only the difference between compensation fees received for such duties and his or her normal salary. An employee must notify his or her department head or director prior to such leave. The Tribe will look to the provisions of the Uniformed Services Employment and Reemployment Rights Act (USERRA) 38 U.S.C. § 4301 et. seq. solely as a guideline in determining reemployment of employees who take extended military leave.

(i) Voting Leave. The Tribe will grant eligible employees two (2) hours paid leave to exercise the right to vote subject to the voting verification requirements established by the Tribal Governing Board. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave.

(j) Birthday Leave. The Tribe will grant eligible employees eight (8) hours of paid leave for the employee's birthday, provided the employee must take such leave within five (5) calendar days, either before or after, the date of the birthday.

(k) In-House Medical Appointments. The Tribe may grant employees paid release time to attend medical appointments at the Lac Courte Oreilles Community Health Center.

(l) Education Leave. The Tribe may grant employees paid release time to attend job-related or degree seeking courses. An employee must consult with his or her department head or director prior to registering to ensure the course is acceptable and must request and obtain the prior written approval of his or her Department head or Director with concurrence from the Executive Director to utilize this benefit. An employee must also have an approved Professional Development Plan on file with the Human Resource office. An employee must promptly provide his or her Department head or Director and the Human Resource Director, or designee, with written proof of course completion. A failure to successfully complete a course may jeopardize an employee's ability to obtain approval of subsequent paid release time hereunder. The Tribe may pay the tuition, books and associated fees of an employee attending an accredited institution of higher learning. The employee must be attending for the purpose of obtaining a degree or enrolling in courses in a field of study that is related to their position of employment with the Tribe. An employee desiring to have the Tribe pay these expenses must have an approved Professional Development Plan on file which is approved by their immediate Supervisor and agree to the terms and conditions of an Educational Expense Reimbursement Agreement and is subject to program availability of funding pursuant to Section PAP.1.4.070 of this manual.

(m) Conferences and Meetings. The Tribe may grant employees time to attend job-related conferences and professional meetings. An employee must consult with his or her department head or director prior to registering to ensure the conference or professional meeting is acceptable. An employee must request and obtain the prior written approval of his or her department head or director to utilize this benefit.

PAP.1.7.080 Unpaid Leave

(a) Disciplinary Leave. The Tribe may take disciplinary action, up to and including termination or suspension without pay, against employees who violate the provisions of this personnel policy and procedural manual.

(b) 30-Day Leave of Absence. The Tribe may grant eligible employees up to thirty (30) days unpaid leave, without loss of employment status. The Tribe may grant such leave only when the resulting leave will not adversely affect the operations of the Tribe. An employee must request and obtain the prior written approval of his or her department head or director with written concurrence from the Executive Director to utilize this leave.

(c) Religious Leave. The Tribe may grant eligible employees up to an additional fifteen (15) days of unpaid religious leave. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave.

PAP.1.7.090 Family and Medical Leave

Employees may be eligible for up to twelve (12) weeks of family and medical leave during any twelve (12) month period. The leave may be paid, unpaid, or a combination of paid and unpaid, depending on the circumstances. This policy sets forth the Tribe's policies and procedures for requesting family and medical leave.

(a) Eligibility for Leave. To be eligible for family and medical leave under this policy all of the following conditions must be met:

(1) An employee must have been employed by the Tribe for at least twelve (12) months or fifty-two (52) weeks.

(2) An employee must have worked at least one thousand two hundred fifty (1250) hours during the twelve (12) months immediately preceding the request for leave.

(b) Reasons for Requesting and Types of Leave. Employees who are eligible for leave under this policy may request up to twelve (12) workweeks of unpaid leave during any twelve (12) month period for the following reasons:

(1) To care for a child following the child's birth or placement for adoption or foster care (this may be taken only within twelve (12) months of the birth or placement).

(2) To care for an immediate family member who has a serious health condition as defined in Section PAP.1.2.010(r) of this manual.

(3) Because the employee has a serious health condition as defined in Section PAP.1.2.010(r) of this manual, which prevents the employee from performing the functions of the position.

(c) If an employee takes PTO for a condition that progresses into a serious health condition and the employee requests unpaid leave as provided under this policy, the Tribe may designate all or some portion of related leave taken as leave under this policy, to the extent that the earlier leave meets the necessary qualifications.

(d) If both parents work for the Tribe, and each wishes to take leave for the birth of a child, adoption or acceptance of a child in foster care, or to care for an immediate family member with a serious health condition, the employees may only take a combined total of twelve (12) weeks of unpaid leave.

(e) Employees can take up to twelve (12) weeks of leave under this policy during any twelve (12) month period. The Tribe will measure the twelve (12) month period as a rolling twelve (12) month period measured backward from the date an employee uses any leave under this policy. Each time an employee takes a leave, the Tribe will compute the amount of leave you have taken under this policy and subtract it from the twelve (12) weeks of available leave, and the balance remaining is the amount an employee is entitled to take at that time. An employee's family or medical leave taken may run concurrently with other types of leave including workers' compensation and other leaves, such as short-term or long-term disability, etc.

(f) Intermittent or Reduced Work Schedule Leave. Leaves may be taken all at once or on an intermittent or reduced work schedule basis. Intermittent or reduced work schedules may be used only in the following circumstances:

(1) In situations where leave is requested due to the birth, adoption or acceptance of a child in foster care, intermittent or reduced work schedules will be granted at the Tribe's sole discretion and if granted must be taken within one (1) year of the birth or placement of the child.

(2) In situations where leave is requested in order to care for an immediate family member who suffers from a serious health condition or because of an employee's own serious health condition, intermittent or reduced work schedules will be granted only when an employee can prove the leave is medically necessary.

(3) In situations where an intermittent or reduced work schedule is permitted, the Tribe may require an employee to transfer to an alternative position with equivalent pay and benefits in order to accommodate the recurring periods of absence.

(g) Use of Paid and Unpaid Leave. Employees who have accrued PTO must use paid leave first and take the remainder of the twelve (12) weeks as unpaid leave.

(1) Employees who take a leave because of their own serious health condition or the serious health condition of a family member must use all accumulated PTO prior to being eligible for unpaid leave.

(2) Employees who take leave for the birth of a child must use paid PTO for physical recovery following childbirth, except where such leave is compensated as paid maternity leave under this personnel policy and procedural manual or as paid short-term or long-term disability leave. These employees must then use all paid PTO, and then will be eligible for unpaid leave for the remainder of the twelve (12) weeks. Employees who take leave for the adoption or acceptance of a child in foster care must use all paid PTO prior to being eligible for unpaid leave.

(h) Procedure for Requesting Leave. In situations where leave is foreseeable, employees must provide written notice to the department head or director at least thirty (30) days prior to the date on which the leave is scheduled to begin. If the leave is foreseeable due to a planned medical treatment, employees must make reasonable efforts to schedule the treatment(s) to minimize disruptions to governmental operations. If circumstances occur, in which it is not practicable to provide thirty (30) days' notice, employees must provide written notice as far in advance as is practicable. If an employee fails to provide thirty (30) days advance written notice of a requested leave and have no reasonable excuse, the leave may at the Executive Director's discretion be delayed for up to thirty (30) days from the date of written notice.

(i) Medical Certification Requirement. When leave is requested because of a serious health condition affecting an employee or his or her immediate family member, the Tribe requires the employee to obtain certification of the health condition from the pertinent doctor or health care provider. This certification must be provided to the department head or director within fifteen (15) days after the leave is requested or, when the need for leave was unforeseeable, within fifteen (15) days after the leave has commenced unless it is not practicable to do because of the nature of the health condition.

(1) If an employee seeking leave due to a serious health condition fails to provide the required medical certification, the leave will be denied until the certification is provided. If the leave request was not foreseeable, such as in a medical emergency, the failure to provide the required medical certification within a reasonable time may result in the denial of continuation of leave. Medical certification provided in justification of a request for leave must include the following information:

(A) The date on which the serious health condition started and its expected duration,

(B) The diagnosis concerning the condition,

(D) A statement of whether in-patient hospitalization is required, or

(E) A statement that the employee is needed to care for his or her immediate family member afflicted with a serious health condition or, if the employee has the serious health condition, a statement that he or she is unable due to the health condition to perform the essential functions of the position or work of any kind.

(2) The Tribe, if it doubts the certification, at its expense, may require an employee seeking leave due to a serious medical condition to obtain a second opinion from a doctor or other health care professional designated by the Tribe. If the second opinion conflicts with the certification provided by the employee, the Tribe may, at its sole discretion and at its expense, require a third opinion from a doctor or other health care professional designated jointly by the Tribe and the employee. Such a third opinion will be final and binding.

(3) If an employee plans to take intermittent leave or work a reduced schedule, the certification must also include dates and the duration of treatment and a statement of medical necessity for taking intermittent leave or working a reduced schedule. During a leave taken under this section, employees may be required to provide, periodically, written notice to the Executive Director concerning his or her status and intention to return to work.

(j) Return from Leave. Upon completion of leave due to an employee's own serious health condition, the employee must provide the Tribe with medical certification from his or her doctor or other health care professional that the employee is now able to return to work. If an employee fails to provide this certification, he or she will not be permitted to return to work until such certification is provided. An employee who takes leave under this policy will be able to return to the same job or a job with equivalent status, pay, benefits and other employment terms. The Tribe may choose to exempt certain highly compensated employees from this requirement and not return them to the same or similar position.

(k) Health Benefits during Leave.

(1) During a leave taken pursuant to this policy, an employee's health benefits under any existing Tribal sponsored health plan will be continued as if the employee had continued in employment continuously for the duration of the leave. If, however, an employee fails to return at the end of a leave taken under this policy, except if this is due to the continuation, recurrence or onset of a serious health condition or something else beyond the employee's control, then the Tribe may recover from the employee all of the health care premiums paid to maintain health coverage during the leave.

(2) If under the Tribe's current policy, an employee pays a portion of the health care premium, while on paid leave, the Tribe will continue to make payroll deductions to collect the employee's share of the premium. While on unpaid leave, the employee must continue to make this payment, either in person or by mail. The payment must be received by the first day of each month. If the payment is more than thirty (30) days late, the employee's health care coverage may be dropped for the duration of the leave.

PAP.1.7.100 Life Insurance, Disability Insurance and Retirement Plan

If requested by the Employee, the Tribe provides eligible employees Life and Disability insurances along with a Retirement Plan. An Employee wanting these types of benefits should consult with the Tribe's Benefit's Administrator for further information.

PAP.1.7.110 Employee Assistance Program

The Tribe recognizes that individual employees may develop personal problems which could have negative effects on job performance. The Tribe offers an Employee Assistance Program (EAP) for all employees, the purpose of which is to encourage the early diagnosis and treatment of personal, psychological, and medical problems. Employees are encouraged to contact the Human Resource Director, or designee, for information regarding the EAP. Employees are responsible for submission of all documents and paperwork to pay the costs incurred for services rendered in connection with the EAP. Employees may utilize their health insurance plan as coverage is available; otherwise the service will be self-pay. Employees may attend a scheduled EAP appointment with the LCO-CHC during work hours. If the EAP appointment is at another facility the employee may use permitted paid or unpaid leave for EAP absences. EAP appointments (that the employee is required to attend by the Employer) will be coordinated with the employee's supervisor so customer service does not get interrupted.

(a) Self-Referral. An employee may request assistance from their supervisor for personal, psychological, or medical reasons at any time during their employment. Strict confidentiality will be maintained throughout this process.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCOCHC – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCOCHC – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Regardless of any EAP referral, employees must maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(A) A leave of absence to attend inpatient treatment shall be granted to employees requesting assistance through self-disclosure. The leave of absence may not exceed 12 weeks pursuant to Section PAP.1.7.090 of this manual.

(B) Employees placed on a leave of absence from self-disclosure shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.1.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from self-disclosure will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.1.2.010(o), the employee shall be subject to disciplinary action, up to and including termination pursuant to Section PAP.1.8.080(f) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.1.8.080(a) of this manual.

(D) Utilization of this self-disclosure provision does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.1.8.080(f) of this manual, or any other tribal law or policy.

(b) Employer Referral. An employee's department head or director shall refer an employee to the Human Resource Director, or designee, when an employee's conduct mandates as such.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCOCHC – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCOCHC – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Employees shall comply with the referral to the EAP and follow subsequent recommendations for referral and treatment. Failure to show-up for required scheduled EAP appointment will result in further disciplinary action up to and including termination of employment. Regardless of any EAP referral, employees must maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(A) A leave of absence to attend inpatient treatment shall be granted to employees when required by an approved LCOCHC- Behavioral Health EAP treatment plan. The leave of absence may not exceed 12 weeks pursuant to Section PAP.1.7.090 of this manual.

(B) Employees placed on a leave of absence when required by an approved LCOCHC- Behavioral Health EAP treatment plan shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.1.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from a referral of the employer will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.1.2.010(o), the employee shall be subject to disciplinary action, up to and including termination pursuant to Section PAP.1.8.080(f) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.1.8.080(a) of this manual.

(D) Participation in an approved LCOCHC- Behavioral Health EAP treatment plan does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.1.8.080(f) of this manual, or any other tribal law or policy.

PAP.1.7.120 Christmas Bonus

Christmas bonuses may be paid to employees as determined by the Tribal Governing Board, which will be subject to any funding or other limitations.

PAP.1.7.130 Employee Recognition – Years of Service

(a) Employees that have worked for the Tribe for fifteen (15) years shall receive a gift equal to one week's pay.

(b) Employees that have worked for the Tribe for twenty (20) years shall receive a gift equal to two week's pay.

(c) Employees that have worked for the Tribe for twenty five (25) years shall receive a gift equal to two week's pay, a gift and plaque.

(d) Upon retirement (25 years or more), an employee shall receive one hundred dollars for each year of service to the Tribe.

Subchapter PAP.1.8 Conduct

PAP.1.8.010 General Statement of Conduct

All Employees must conduct themselves in a manner, which is kind, courteous, ethical and respectful to all members of the public, including fellow employees. In all instances, employees must exercise good judgment and conduct themselves with the highest degree of professionalism. A failure to follow any conduct policies or other provisions of this personnel policy and procedure manual may result in disciplinary action, up to and including termination.

PAP.1.8.020 Conflict of Interest

Employees are not permitted to engage in nepotism, favoritism, and any outside business transactions, or other activities, which are detrimental to the best interests of the Tribe. This includes activities that, directly or indirectly, divert business opportunities from the Tribe or confer an unfair advantage upon or benefit to a family member. It also includes activities that negatively reflect upon the Tribe's image or are contrary to the mission of the Tribe, except for activities specifically protected by law. The Tribe respects the right of employees to engage in activities outside their employment that are of a private nature and unrelated to their job or the Tribe. However, employees must fully disclose to their department head or director or the Human Resource Director, or designee, all business and personal activities that represent such a conflict of interest with the Tribe. If an employee is unsure whether a conflict of interest exists, the employee is encouraged to seek the advice of the Human Resource Director, or designee.

PAP.1.8.030 Outside Employment

Employees may not accept simultaneous employment with another tribal agency or another employer without the express permission of the Executive Director. Permission may be denied if the other employer is a competitor or supplier of the Tribe. The request may be denied with employment of another tribal agency if the total hours worked in a given week violates tribal policy or interferes with the work expectations of the Tribe. The Tribe considers all full time employees' work with the Tribe to be their primary employment responsibility. As such, outside employment will not be considered an excuse for poor performance, absenteeism, tardiness or refusal/inability to work overtime.

PAP.1.8.040 Political Activity

Employees shall not directly or indirectly use their authority, influence or political aspirations to compel individuals to participate or not participate in Tribal political activity and/or election processes. Campaign buttons, posters, or apparel related to tribal political activity is prohibited at the workplace, and distributing literature, emailing, and circulating petitions related thereto during work time or in work areas is strictly prohibited. In addition, employees shall not use Tribal property and services to influence individuals to participate or not participate in the Tribal election process.

PAP.1.8.050 Harassment

(a) The Tribe has a "zero-tolerance" policy with respect to employee harassment. Any form of unlawful employee harassment based on race, color, religion, sex, national (including Tribal) origin, age, disability or status in any protected group is prohibited. The Tribe will not tolerate interference with the ability of employees to perform their expected job duties. Harassment of employees or members of the public by employees will result in disciplinary action, up to and including termination.

(1) Sexual Harassment. Sexual harassment includes unwelcome sexual advances, requests for sexual favors, and other verbal, visual or physical conduct of a sexual nature. No supervisor, manager or any other employee shall threaten or insinuate, either explicitly or implicitly that another employee's refusal to submit to sexual advances will adversely affect that person's employment, wages, advancement, assigned duties, or any other condition of employment or career development. Similarly, no supervisor, manager or employee shall promise, imply or grant any preferential treatment in connection with another employee engaging in sexual conduct.

(A) Sexual harassment also includes unwelcome sexual flirtations, advances or propositions, verbal abuse of a sexual nature, subtle pressure or requests for sexual activities, unnecessary touching of an individual, graphic or verbal commentaries about an individual's body, sexually degrading words used to describe an individual, a display in the workplace of sexually suggestive objects or pictures, sexually explicit or offensive jokes, or physical assault.

(2) Racial and National (including Tribal) Origin Harassment. Racial and national origin harassment is verbal or physical conduct that denigrates, belittles or shows hostility or aversion towards an individual because of his or her race or national (including tribal) origin and has the purpose or effect of creating an intimidating, hostile, or offensive working environment, or has the purpose or effect of unreasonably interfering with an individual's work performance or otherwise adversely affects an individual's employment opportunities. This includes, but is not limited to, epithets, slurs, intimidating or hostile acts that relate to race, or national (including tribal) origin, written or graphic material that denigrates, belittles or shows hostility or aversion toward an individual because of his or her race, or national (including tribal) origin and that is placed on walls, bulletin boards or elsewhere on our premises or circulated in facilities.

(3) General. Harassment under this policy may also include words or conduct committed by customers or suppliers of the Tribe. In the event that any harassing or offensive language or conduct occurs, employees must report it to the Human Resource Director, or designee, immediately so the matter can be addressed promptly.

(4) Enforcement. Each member of Management is responsible for creating an atmosphere free of harassment, sexual, racial or otherwise. Further, employees are responsible for respecting the rights of their coworkers.

(b) If an employee experiences any job-related harassment based on sex, race, national (including tribal) origin, disability, or another factor, or believes that he or she has been treated in an unlawful, discriminatory manner, the employee must promptly report the incident to his or her department head or director or Human Resource Director, or designee, who will investigate the matter and take appropriate action. All employee complaints will be kept confidential to the maximum extent possible.

(c) The Tribe prohibits any form of retaliation against any employee for filing a bona fide complaint under this policy or for assisting in a complaint investigation. However, if, after investigating any complaint of harassment or unlawful discrimination, the Tribe determines that the complaint is not bona fide and was not made in good faith or that an employee has provided false information regarding the complaint, disciplinary action may be taken against the individual who filed the complaint.

PAP.1.8.060 Alcohol and Drugs

(a) All employees of the Tribe are subject to the drug testing procedures as provided in Section PAP.1.8.080 of this manual.

(b) Employees are expected to come to work with a clear mind, unimpaired by drugs or alcohol. No employee under the influence of alcohol, illegal drugs or controlled substances as established in Section PAP.1.2.010(w) shall be permitted to come to or remain at work.

(c) Employees, while on the Tribe's property or on duty, shall not be under the influence of alcohol or illegal drugs; possess or consume alcoholic beverages; possess or consume prescription drugs in the absence of a valid prescription; or use, sell, possess, transfer or purchase illegal drugs or controlled substances. Prescription drugs shall be used only in the manner, combination, and quantity prescribed by a licensed medical practitioner while on the Tribe's property or while on duty. As a condition of continued employment with the Tribe, all employees must notify the Tribe of any criminal drug statute conviction or charges against them no later than five (5) days after receiving such conviction or charges.

(d) Drug means any substance other than alcohol capable of altering an individual's mood, perception, pain level or judgment. A prescribed drug is any substance prescribed for individual consumption by a licensed medical practitioner. An illegal drug is any drug or controlled substance, the sale or consumption of which is illegal.

(e) The legal use of controlled substances prescribed by a licensed medical provider is not prohibited, but all employees are required to make such use known to the appropriate supervisor within five (5) days they are prescribed the controlled substance. Failure to make the legal use of a controlled substance as prescribed by a licensed medical provider to the appropriate supervisor shall result in disciplinary action up to and including termination.

PAP.1.8.070 Drug Free Workplace Act Compliance

(a) The Tribe hereby establishes a policy providing for a drug-free workplace as required by the Drug Free Workplace Act of 1988, 41 U.S.C. 701 et. seq. As such, as required by the Act, the Tribe hereby publishes a statement notifying employees that the Tribe prohibits the unlawful manufacture, illegal distribution, dispensation, possession or use of a controlled substance in the workplace. All employees who violate this policy shall be subject to disciplinary action, up to and including termination. As a condition of continued employment with the Tribe, all employees must notify the Tribe of any criminal drug statute conviction or charges no later than five (5) days after receiving such conviction or charges.

(b) General Provisions.

(1) Consent. No alcohol test may be administered, urine sample obtained, or any drug test conducted without the consent of the person being tested. An employee gives consent to participate in any and all forms of testing as a condition of continued employment with the Tribe.

(2) Record Keeping. It is essential that all necessary documentation from each form of testing is maintained in the Human Resources Department in applicable employee files for no less than 5 years. Employee violations will never expire.

(3) Notice of Conviction or Charges.

(A) An employee will be responsible for notifying his/her immediate supervisors in writing within five (5) day of any criminal drug statute conviction or charges for violation. The employee's department head or director shall notify the Human Resource Director who will notify the Office of the Attorney General.

(B) As required by law, the Office of the Attorney General will be responsible for notifying the applicable funding agency of the employee's department within ten days after receiving notice from the human resource director, or designee of an employee's criminal drug statute conviction or charges occurring in the workplace or while on duty.

(4) Illegal Distribution or Illegal Dispensing of Controlled Substance on Tribal property. Any employee who manufactures, illegally distributes, or illegally dispenses a controlled substance on Tribal property or while on duty will be terminated. Such termination shall not be subject to appeal.

(c) Rehabilitation and Rehiring. Any employee who has been dismissed for violation of the Tribe's Drug-Free Workplace Policy may be eligible for re-employment after 90-days with the Tribe upon proof of rehabilitation provided by an accredited treatment facility that the person has been to treatment or has successfully completed appropriate treatment and is in recovery.

PAP.1.8.080 Drug and Alcohol Testing Procedures

All employees and applicants for employment are subject to drug and alcohol testing, including reasonable suspicion, pre-employment, and return-to-duty; with the exception of TANF, WIOA & WIOA youth workers. Drug tests require laboratory testing as provided by the Mandatory guidelines for Federal Workplace Drug Testing Programs pursuant to 94 FR 28101, May 15, 2015 as amended, as minimum standards for the following classes of drug and correlative cutoff concentrations: Cocaine; Opiates including opium and codeine derivatives such as Oxycodone, Oxymorphone, Hydrocodone, Hydromorphone; Amphetamines and Methamphetamines including Methylenedioxyamphetamine (MDA) and Methylenedioxyethylamphetamine (MDEA); Phencyclidine (PCP). Nothing precludes the Human Resource Director, or designee, in testing for substances which are not included on this list, should the Tribal Governing Board, or designee, determine it is in the best interests of the Tribe to include substances which are not listed above to ensure a drug free workplace. Employees are encouraged to contact the Human Resource Director, or designee, with any questions regarding drug and alcohol testing. Failure or refusal to participate in an employer-directed drug test is considered insubordination and the employee will be terminated for insubordination.

(a) General Drug and Alcohol Testing Procedures. In cases where an employee is required to undergo testing for the presence of alcohol or drugs including reasonable suspicion, pre-employment, and return-to-duty, the following procedures shall apply:

(1) LCO-CHC using a licensed laboratory of the LCO-CHC choice that conducts substance abuse testing that is deemed appropriate by the Tribal Governing Board for business purposes; i.e., screening and confirmatory testing, will take a sufficient sample to assure that confirmation testing can occur in the event of an initial positive test result. The initial cost for this testing will be incurred by the Tribe.

(2) The laboratory evaluation of the samples will be carried out by a laboratory that is contracted with the LCO-CHC and is certified by either the College of American Pathologists or the National Institute on Drug Abuse.

(3) In the event of a positive test result, a confirmation test will be performed by a laboratory specified in Section PAP.1.8.080(a)(2) above, using the original sample (not a new sample). The confirmation test will be based on a different analytical method of higher analytical certainty.

(4) The employee within two (2) working days of the results must request any further confirmation testing (using the original sample) by a laboratory specified in subs. 1(a) above, in writing. Costs of confirmation testing incurred will be paid by the employee.

(5) The results of any drug or alcohol tests shall be kept confidential, except information shall be shared between departments as deemed necessary. All policies regarding employee personnel records shall be strictly adhered to and followed in accordance with the provisions of this Manual.

(6) A portable breath test (PBT) conducted by a Class 1 PBT Certified person of the LCO-CHC choice that is deemed appropriate by the Tribal Governing Board for business purposes shall be utilized for alcohol testing.

(b) Pre-Employment Testing Procedures.

(1) An applicant for employment will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of employment. If the applicant is suspected to be under the influence of alcohol at the time of their pre-employment drug screen, a PBT may be requested.

(2) Applicants who test positive for alcohol, illegal drugs, and/or prescribed medication for which they do not have a valid prescription, shall be denied employment.

(3) An applicant who initially declines a drug test will be denied employment and not eligible for employment for 90 days.

(1) Upon a finding by an employee's department head or director that there is probable cause that the employee is either under the influence of alcohol (under the influence shall mean a blood alcohol concentration of 0.02 grams of alcohol per 100 milliliters of a person's blood or while the person has 0.02 grams of alcohol per 210 liters of a person's breath) or drug abuse that is impairing the employee's ability to carry out job-related activities, the employee shall be required to be tested for the presence of drugs or alcohol pursuant to Section PAP.1.8.080(c)(3), below. A finding of probable cause and directive requiring the employee to submit to testing for drugs or alcohol must be in writing signed by the employee's department head or director. The probable cause finding must be supported by evidence of specific, personal observations concerning job performance, appearance, behavior, speech, or bodily odors of the employee. If hearsay information is received, such information must be corroborated by personal observations, or observations and evaluation by the Executive Director, or designee.

(2) Once an employee's department head or director has determined that probable cause pursuant to Section PAP.1.8.080(c)(1), above exists, the employee's department head or director shall immediately contact the Human Resource Director, or designee and convey that one of his or her employees is under the influence of alcohol or a controlled substance and that such influence is impairing that employee's ability to carry out his or her job related duties.

(3) Upon receiving contact from an employee's department head or director, the Human Resource Director, or designee shall have the employee drug tested and if alcohol related have the employee submit to a portable breath test (PBT) conducted by a Class 1 PBT Certified person as specified in Section PAP.1.8.080(a)(6), above. If the employee refuses to take a test (including but not limited to a drug test, drug urine test, or PBT test) after being required to do so, the employee is thereby insubordinate and considered to be in violation of the Drug Testing Policy and shall be terminated.

(4) Upon receipt of a positive test result, the employee shall be immediately relieved of their duty station and will be subject to disciplinary action, Section PAP.1.8.080(f) below, and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.1.8.080(a) above. In all cases, an employee may face legal consequences for his/her actions. Upon receipt of a positive confirmation test result pursuant to Section PAP.1.8.080(a) above, the employee shall be referred by the Human Resource Director, or designee to participate in the Employee Assistance Program pursuant to Section PAP.1.7.110(a) of this manual. Failure to comply and successfully complete an approved LCOCHC- Behavioral Health EAP treatment plan within the timeframe established in the treatment plan will result in termination.

(d) [Open.]

(e) Return to Duty Procedures. An employee returning to duty following a chemical dependency related leave of absence must receive a release by a licensed physician stating that the reasons for the employee being placed on leave have been resolved.

(f) Discipline for Drug Testing Violation. In all cases, an employee may face legal consequences for his/her actions.

(1) Any employee who uses (or is under the influence of) alcohol and/or drugs, possesses alcohol and/or drugs or intoxicants on Tribal property or while on duty will be subject to disciplinary action, up to and including termination as follows:

(A) First Offense: The employee will be informed of a first offense in writing and will be suspended three (3) days without pay.

(B) Second Offense: If a second offense occurs, the employee will be suspended five (5) days without pay. During the suspension, the employee must have a conference with the LCO-CHC's alcohol and drug counselor and undergo an assessment. If it is determined that the violation reflects a drug or alcohol abuse problem that is affecting the employee's job performance, then a plan of action will be developed by a licensed counselor and the employee. The licensed counselor will put the plan in writing and the plan will be approved for employment purposes by the employee's department head or director with final approval by the executive director. Failure to comply and successfully complete any approved LCO-CHC Behavioral Health EAP treatment plan will result in termination. Such termination shall not be subject to appeal.

(C) Third Offense: If a third offense occurs, the employee shall be terminated. Such termination shall not be subject to appeal.

(2) Any employee who refuses to take a test as established in Section PAP.1.8.080(a) will be considered insubordinate and will be terminated for insubordination. Such termination shall not be subject to appeal.

(3) Rehabilitation and Rehiring. Any employee who has been dismissed for violation of the Tribe's Drug Testing Policy may be eligible for re-employment after 90-days with the Tribe upon proof of rehabilitation provided by an accredited treatment facility that the person has been to treatment or has successfully completed appropriate treatment and is in recovery.

PAP.1.8.090 Inspection and Search

(a) The Tribe has the authority to inspect or search the entire work-place, including, but not limited to any office or desk when there are reasonable grounds for suspecting that the search will turn-up evidence that an employee violated any provision of this manual or otherwise engaged in work-related misconduct.

(b) The Tribe has the authority to inspect or search, when the inspection or search is necessary for non-investigatory work-related purpose, including locating and retrieving any information from a location within the work place.

(c) The Tribe has the authority to inspect or search any employee's personal possessions located within the work place when there are reasonable grounds for suspecting that the search will turn-up evidence that the employee violated any provision of this manual or otherwise engaged in work-related misconduct.

(d) If an employee is found to be in possession of any item or substance prohibited by this manual or fail to comply with any inspection or search conducted in accordance with this manual, the employee will be subject to appropriate disciplinary action, up to and including termination. Any illegal substances that are found, in the course of an inspection or search, will be turned over to law enforcement.

PAP.1.8.100 Confidentiality

(a) In the course of performing duties for the Tribe, employees may obtain or become aware of confidential information, such as personnel, financial and legal information of the Tribe, its programs, operations, enterprises and employees, including but not limited to information encompassed in any reports, investigations, research or development work, mailing lists, bid lists, directories, listings, plans, specifications, proposals, marketing plans, financial projections, cost sheets, bid estimates, bid spreadsheets, vendor or subcontractor quotes, financial data and any and all concepts or ideas, materials or information related to the business, products, or services of the Tribe or its customers and vendors ("Confidential Information").

(b) Employees must hold all Confidential Information in strict confidence and shall not directly or indirectly disclose Confidential Information or permit the release thereof to any outside person or entity except as necessary to perform employment duties or as otherwise required by law. If any question arises about whether information must be treated as confidential, employees must treat such information as confidential until confirmed otherwise by their department head or director, in consultation with the Office of the Attorney General.

(c) Employees also must not use or release, directly or indirectly, any proprietary information or trade secrets of the Tribe without prior authorization from their department head or director, in consultation with the Office of the Attorney General. Trade secrets include any formula, pattern or devise of compilation of information which is used in the Tribe's business or operations.

(d) Violations of confidentiality, including the disclosure of confidential information (verbal, written or documents) as defined under this section shall be subject to discipline, up to and including termination. The Tribe reserves the right to prosecute any violations to fullest extent allowed under tribal, state or federal law.

PAP.1.8.110 Media Inquiries

The Tribe generates public interest and persons often seek newsworthy information. Therefore, it is our policy to allow only authorized representatives to make contact with or provide information or comments to reporters and news agencies regarding the Tribe. Any employee who is contacted by a reporter regarding the Tribe must inform his or her department head or director of the request for information. Prior written authorization by the Tribal Governing Board Chairman or his/her designee is required prior to any media release of information.

PAP.1.8.120 Security Measures / Limited Access Control Areas

Maintaining security and limiting access to certain areas of the Tribe's facilities is important to the continued success and is required by law in some instances. Employees shall not permit unauthorized persons, which may include Tribal employees, to enter secure and limited access controlled areas or to access confidential or protected information.

PAP.1.8.130 Dress and Appearance

Employees must dress and groom themselves in accordance with appropriate social and business standards. An employee's department head or director or the Executive Director retain the right to request any employee to change his or her mode of dress or grooming if deemed provocative or otherwise inappropriate. In addition, employees must maintain good personal hygiene.

PAP.1.8.140 Smoking

(a) Employees shall smoke only in designated areas, notwithstanding subd. (3) below.

(b) Smoking is prohibited in the following areas, notwithstanding subd. (3) below:

(1) In any Tribal owned or leased vehicle;

(2) In any Governmental building designated as a workplace.

Violators of this section are subject to disciplinary action, up to and including termination.

(c) Nothing in this policy shall be deemed to limit or interfere with the use of tobacco at traditional ceremonies and cultural functions.

PAP.1.8.150 Internet and Telephones

(a) All electronic and telephonic communication systems and all communications and information transmitted by, received from, or stored in these systems are the property of the Tribe and as such are to be used solely for job-related purposes. The use of any software and business equipment, including, but not limited to, e-mail, internet access, facsimile machines, computers, telephones (land lines and cellular phones) and copy machines for private purposes is prohibited.

(b) No employee may not use a pass code or voice-mail access code that has not been issued to that employee or that is unknown to the Tribe. Moreover, improper use of the e-mail system (e.g., distributing offensive jokes or remarks) will not be tolerated.

(c) Employees shall not use the Tribe's internet, voice mail and e-mail resources, phones and other systems in a prohibited manner, including:

(1) To transmit, view, retrieve, or store any communications of a discriminatory or harassing nature or materials that are considered obscene or pornographic;

(2) To access pornographic internet sites, display or print any associated materials, pictures and cartoons;

(3) To harass or transmit messages with derogatory or inflammatory remarks about an individual's race, sex (including pregnancy), age, disability, religion, national origin or physical attributes or transmit abusive, profane or offensive language;

(4) For non-business, personal or private use, including but not limited to game playing and personal communication not associated with business;

(5) To disclose any confidential or proprietary information except where such disclosure is authorized or permitted in this personnel policy and procedural manual.

(d) Employees shall not use the Tribe's internet, voice mail and e-mail resources and other systems and equipment, including but not limited to computer hardware, software, copier, fax machine and postage machine in a manner that is contrary to the provisions of any purchase or lease contract, such as unlawful copying of computer software.

(e) Notwithstanding the Tribe's right to retrieve and read any voice or electronic mail messages, such messages should be treated as confidential by other employees and accessed only by the intended recipient. Employees are not authorized to retrieve or read any voice or e-mail messages that are not sent to them. Any exception to this policy must receive prior written approval by Management.

(f) The Tribe may monitor, record and listen to all internet, e-mail and voice mail usage, to assure compliance with its policies, for cost analysis and for legitimate business purposes. Thus, the Tribe may listen to, access and disclose any information in the electronic communication and telephone systems, even such information or communication protected by an employee's personal password, at any time, with or without notice to the employee. Employees have no expectation of privacy in connection with the use of these systems, or the transmission, receipt or storage of information in such systems.

PAP.1.8.160 Solicitation and Distribution

(a) In the interest of good housekeeping and safety, employees shall not distribute non-work literature such as leaflets, pamphlets, etc., at all times in working areas. It is the responsibility of each employee of the Tribe to keep all facilities clean and orderly.

(b) Non-employees, other than customers and vendors, are not permitted on Tribal property for the purpose of solicitations or any other reason without the express authorization of the Tribal Governing Board.

PAP.1.8.170 Workplace Violence

(a) The Tribe is concerned about the increased violence in society, which has also filtered into many workplaces, and has taken steps to help prevent incidents of violence from occurring at its facilities. It is our policy to expressly prohibit any acts or threats of violence against any employee in or about our facilities or elsewhere at any time. We will not condone any acts or threats of violence against our employees, customers, or visitors on the Tribe's property at any time or while they are engaged in business with or on behalf of the Tribe, on or off our premises.

(b) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the Tribe is committed to the following:

(1) To provide a safe and healthful work environment;

(2) To take prompt remedial action, up to and including immediate termination, against any employee who engages in any threatening behavior or acts of violence or who uses any obscene, abusive, or threatening language or gestures;

(3) To take appropriate action when dealing with customers, former employees, or visitors to our property who engage in such behavior. Such action may include notifying the police or other law enforcement personnel and prosecuting violators of this policy to the maximum extent of the law;

(4) To establish viable security measures to ensure that the Tribe's facilities are safe and secure to the maximum extent possible and to properly handle access to the Tribe's facilities by the public, off-duty employees, and former employees.

(c) Employees, former employees, customers and visitors shall not bring or possess unauthorized firearms or other weapons onto the Tribe's premises. Any employee who displays a tendency to engage in violent, abusive, or threatening behavior or who otherwise engages in behavior that the Tribe, in its sole discretion, deems offensive or inappropriate, or who possesses a firearm or weapon in violation of this policy will be subject to disciplinary action, up to and including termination.

(d) Employees have a "duty to warn" Tribal Management of any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve other employees, former employees, customers, or visitors and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The Tribe will not condone any form of retaliation against any employee for making a report under this policy.

PAP.1.8.180 Off-Duty Misconduct

Employees shall not engage in off-duty misconduct which is deemed detrimental to the Tribe. While it is impossible to predict every detrimental situation, the Tribe may determine that off-duty misconduct is adverse to the Tribe, because it is serious in nature; is at odds with an employee's job duties; or is notorious and has the potential to discredit the Tribe. Any arrest shall be reported to the employee supervisor and the Human Resource department within 72 hours. Any arrest shall be subject to review by the department director, and may include discipline including a suspension or termination depending on the determination and severity of the allegations leading to an arrest. An arrest and conviction related to misconduct shall be subject to discipline which may include termination.

PAP.1.8.190 Children in the Workplace

The presence of children in the workplace is discouraged because it can be disruptive to other employees. However, the Tribe recognizes that there may be circumstances when it is necessary for an employee to have a child at the workplace for a short period. A supervisor has the authority to prohibit an employee from having a child at the workplace if the supervisor determines that the employee is abusing this policy or the workplace is being disturbed.

PAP.1.8.200 Policy Regarding Use of Social Media by Employees

(a) While the Tribe encourages its employees to enjoy and make good use of their off-duty time, certain activities on the part of employees may become a concern if they have the effect of impairing the work of any employee; harassing, demeaning, or creating a hostile working environment for any employee; disrupting the smooth and orderly flow of work within the office; or harming the goodwill and reputation of the Tribe. In the area of social media (print, broadcast, digital, and online services such as Facebook, LinkedIn, MySpace, Plaxo, and Twitter, among others), employees may use such media in any way they choose as long as such use does not produce the adverse consequences noted above. For this reason, the following provisions apply regarding an employee's use of social media, both on and off duty:

(1) An employee shall be subject to disciplinary action, up to and including termination of employment, depending upon the severity and repeat nature of the offense, if an employee publishes any personal information about the employee, another employee of the Tribe, the Tribe and its officials, or a tribal member in any public medium (print, broadcast, digital, or online) that:

(A) has the potential or effect of involving the employee, their coworkers, tribal members or the Tribe in any kind of dispute or conflict with other employees or third parties;

(B) interferes with the work of any employee;

(D) disrupts the smooth and orderly flow of work within the office, or the delivery of services to tribal members;

(E) harms the goodwill and reputation of the Tribe in the community at large; or

(F) tends to place in doubt the reliability, trustworthiness, or sound judgment of the person who is the subject of the information.

(2) No employee may use the Tribe's equipment or facilities for furtherance of non-work-related social media related activities or relationships without the express advance permission of their program Director.

(3) Employees who conduct themselves in such a way that their social media related actions toward and relationships with each other interfere with or damage work relationships, disrupt the flow of work or tribal member relations, or cause unfavorable publicity in the community, should be concerned that their conduct may be inconsistent with one or more of the provisions of this policy. In such a situation, the employees involved should request guidance from their program Director or the Executive Director to discuss the possibility of a resolution that would avoid such problems. Depending upon the circumstances, failure to seek such guidance may be considered evidence of intent to conceal a violation of the policy and to hinder an investigation into the matter.

(4) Use of social media that involves any kind of criminal activity or harms the rights of others may result in criminal prosecution or civil liability to those harmed, or both.

(5) Social media access and use involving Tribal equipment and resources are subject to the Tribe's computer and internet policy at all times.

(6) The provisions in this policy are not intended to restrict communications regarding the terms and conditions of the workplace.

(b) How an employee uses social media is not a matter of concern as long as it is consistent with the aforementioned provisions on this policy. Employees may address any questions on this policy to the Lac Courte Oreilles Legal Department.

Subchapter PAP.1.9 Workplace Safety

PAP.1.9.010 General Rules

(a) The safety of employees is important to the Tribe. Fire extinguishers, exits and first-aid kits are available in marked locations around Tribal facilities. Employees must strictly adhere to all applicable safety regulations and comply with the following general rules:

(1) Employees must report immediately all accidents or injuries to a supervisor without exception;

(2) Employees may smoke only in designated areas;

(3) Employees must be careful and take necessary precautions when operating, cleaning or repairing any machinery;

(4) Employees must be present prior to starting any operation or task which calls for more than one employee;

(5) Employee must not attempt to operate equipment without authorization or proper training or certification;

(6) The Tribe will not tolerate horseplay or practical jokes. Accidents or injuries resulting from such horseplay or conduct shall not be considered work related.

PAP.1.9.020 Accidents or Injuries

If an accident or injury occurs, until medical help arrives employees should try to provide aid and comfort to the injured person. Employees should try to keep the circumstances of any accident or injury fresh in their minds so that the incident can be reported accurately and to provide information that may prevent a repeated incident.

PAP.1.9.030 Protective Equipment

The Tribe will furnish required safety equipment to employees, if the work requires such equipment. Safety equipment includes safety glasses, gloves, safety shoes, noise protection devices, special protective devices for handling hazardous chemicals and waste, etc. Employees must follow all rules concerning the wearing of safety equipment at all times and must not remove safety equipment from any machinery, such as machine guards.

PAP.1.9.040 Hazardous Materials

The Tribe complies with all applicable "Right to Know" laws, which means employees will be made aware of any chemical hazards at the workplace. Employees will also receive special training concerning the labeling, handling and disposal of hazardous substances, and what steps should be taken in the event of a spill or release.

PAP.1.9.050 Personal Responsibility

Subchapter PAP.1.10 Vehicle Driver Certification

PAP.1.10.010 Purpose

The purpose of this subchapter is to certify employees who may operate a vehicle or travel on tribal business and to minimize Tribal exposure to liability claims resulting from vehicle accidents.

PAP.1.10.020 Scope

Any person driving on Tribal business including all employees and volunteers shall comply with this subchapter. Tribal business does not include an employee's regular commute to and from the work place.

PAP.1.10.030 Policy

Drivers of Tribal, personal, or rental vehicles may be authorized to drive on Tribal business if they are 18 years of age and certification criteria contained in this subchapter are satisfied.

PAP.1.10.040 Procedures

Drivers must achieve certification to drive on tribal business by meeting the requirements listed in Section PAP.1.10.050 of this manual.

PAP.1.10.050 Minimum Certification Requirements

(a) Tribal Vehicle Certification.

(1) Current Wisconsin Driver's License

(2) Commercial Driver's License if required by Federal law or other contractual obligations

(3) License requirements listed in the employee's current job description.

(4) Completed Driving Record Authorization Form in employee's personnel file.

(5) None of the following driving violation convictions within the last year:

(A) Operating without valid driver's license

(B) Obstruction in regard to driver violation

(D) Violation of Occupational License

(E) Causing great bodily harm with vehicle

(F) Negligent homicide by use of motor vehicle

(G) Operating while license suspended

(H) Vehicle usage resulting in felony conviction

(I) Operating a school bus without a school bus license

(b) Personal Vehicle Certification.

(1) Current Wisconsin Driver's License

(2) Evidence of current minimum insurance coverage as follows, verified by an insurance policy with copy supplied to the Human Resource Director at every policy renewal:

(A) $100,000 per Person

(B) $300,000 per Accident for Bodily Injury

PAP.1.10.060 Recordkeeping

(a) The Human Resource Department will maintain a current list of all certified drivers.

(1) Lists will be supplied to the Travel Clerk.

(b) Tribal Vehicle Drivers must notify the Human Resource Department within five (5) working days of any conviction affecting their certification eligibility. Failure to do so may be considered "employee misconduct" and subject to disciplinary action.

PAP.1.10.070 Supervisors Responsibility

(a) Supervisors shall ensure that no uncertified employees drive on Tribal business.

(1) Departments, where appropriate, shall create Standard Operating Procedures which minimize drivers risk exposure.

(b) Supervisors shall take action when employees or the Human Resource Department report violations. Actions may be, but are not limited to:

(1) Reassigning the uncertified employee to a position which does not require driving.

(2) Removing the driving requirement from the employee's job description.

(3) Place the employee on unpaid leave until they become recertified.

(4) Termination of employment because of a valid driver's license is a required qualification on the job description.

(c) If all fines, suspensions, revocations, and any other penalties or conditions imposed on the driver due to the driving violation conviction(s) are satisfied, the Supervisor may decide to re-certify the driver if all other certification requirements are satisfied.

(d) If a supervisor has reason to question an employee's mental or physical health as it relates to the employee's ability to drive on Tribal business, the supervisor shall refer the employee to the Employee Assistance Program (EAP) for an assessment.

Subchapter PAP.1.11 Problem Solving

PAP.1.11.010 Scope

(a) Problem Solving Process. When people work closely together it is only natural that problems, questions or conflict may sometimes arise. It is in the best interest of the Tribe and all employees that these issues be resolved as quickly and fairly as possible; therefore, the Tribe supports an "open-communication policy" to encourage addressing these issues. The following "Problem Solving Process" has been designed to provide guidelines for resolution of questions, problems or conflicts:

(1) If you have a work related or personal problem that you think the Tribe can help you resolve, you are encouraged to discuss it with your supervisor. Your supervisor is usually in the best position to help you.

(2) If you do not get an answer, or you are not satisfied with the answer, the issue should be written down and presented to the Human Resources Director. The Human Resources Director will facilitate a meeting to assist with mutually resolving the issue.

(3) In the unlikely situation that these steps have not resolved the issue, you may take your problem to the Executive Director.

(b) Chain of Command. All employees are required to follow the chain of command, with no exceptions. The chain of command consists of and is limited to the following:

(1) Your Supervisor

(2) Human Resources Director

(3) Executive Director

(c) Open Communication Policy. The Tribe supports open lines of communication between employees, which assures all employees concerns will be heard and considered. It is the belief and commitment of the Tribe to maintain direct lines of communication and good working relationships with all employees. Problems arise in all work places and this process is designated to identify and correct those problems and issues in a fair, equitable and timely manner. It should be noted that not all problems or issues will have an outcome that all parties agree with but in no circumstances will insubordinate behavior or communications be tolerated.

Subchapter PAP.1.12 Disciplinary Action and Appeal

PAP.1.12.010 Consent

Each employee shall agree to, by signing, a Consent to Appeal Procedure as a condition of continued employment. The Appeals Procedure constitutes a contract between the Tribe and the employee and establishes the framework under which employees may appeal disciplinary action imposed under this subchapter or employment claims, provided no employee can appeal any disciplinary action based on activity that results in an arrest and conviction. In addition, regarding employment claims, it is important to note that nothing in this personnel policy and procedural manual shall be construed as the Tribe consenting to application of any law or waiving applicable defenses, including the defense that the subject law does not apply to the Tribe.

PAP.1.12.020 Grounds for Disciplinary Action

(a) Employees must perform assigned duties at or above satisfactory levels; they must follow standards of workplace behavior contained in this manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford employees an opportunity to correct behavior. Therefore, verbal and written warnings are utilized as a corrective action tool and will not be subject to the appeal procedures identified in Section PAP.1.12.040.

(b) An employee may be suspended for any conduct which results in an arrest, pending the determination of the Executive Director of the seriousness of the offense. Conduct by an employee which results in a felony arrest and/or felony conviction as defined under state and federal law will result in termination.

(c) The Tribe reserves the right to impose discipline for any of the actions listed in this section; such action may include suspension and /or termination:

(1) Incompetence;

(2) Neglect of duty;

(3) Insubordination;

(4) Refusal to work;

(5) Willful misconduct;

(6) Political activity as defined in Section PAP.1.8.040 of this manual;

(7) False representation in conjunction with job performance;

(8) Intoxication or use of intoxicants during working hours;

(9) Conviction of any felony either in performance of job duties, or in private affairs;

(10) Negligence or willful damage to tribal property;

(11) Discourteous treatment of the public or fellow employees during working hours;

(12) Loss of driver's license if required for the job;

(13) Job performance which results in serious harm to the employee's program;

(14) Failure to properly report to work on time;

(15) Unauthorized disclosure of confidential information;

(16) Conflict of interest;

(17) Theft;

(18) Falsification of timecards;

(19) Willful violation of any Tribal law, rule, regulations or any deliberate action that is detrimental to the Tribe;

(20) Willful violation of security or safety rules;

(21) Negligence or any careless action which endangers the life or safety of another person;

(22) Unauthorized possession of dangerous or illegal firearms, weapons, or explosives on the Tribe's property or while on duty;

(23) Engaging in criminal conduct or acts of violence, or making threats of violence toward anyone on the Tribe's premises or when representing the Tribe;

(24) Provoking a fight on Tribal property;

(25) Refusing to obey instructions properly issued by Management;

(26) Refusing to help out on a special assignment;

(27) Threatening, intimidating, or coercing fellow employees on or off the premises – at any time, for any purpose;

(28) Dishonesty; willful falsification or misrepresentation on the application for employment or other work records; falsifying other data requested by the Tribe;

(29) Giving confidential or proprietary Tribal information to competitors, other organizations, the general public, or to unauthorized employees; working for a competing business while still employed by the Tribe, breach of confidentiality of personnel information;

(30) Malicious gossip and/or spreading rumors; engaging in behavior designed to create discord and lack of harmony; interfering with another employee on the job;

(31) Poor work performance;

(32) Leaving work before the end of a workday or not being ready to work at the start of a workday without approval of Management; stopping work before time specified for such purposes, unless authorized by law.

PAP.1.12.030 Types of Disciplinary Actions

(a) Employees must perform assigned duties at or above satisfactory levels, follow standards of workplace behavior contained in this personnel policy and procedural manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford employees an opportunity to correct behavior, however some personnel infractions are severe enough to impose any of the below-mentioned disciplinary actions, up to and including termination. Disciplinary actions may be handled in any manner deemed appropriate by the Tribe. This may include, but is not limited to, the following:

(1) Employee Warning.

(A) An employee may receive a verbal or written warning from their supervisor to rectify behavior which requires disciplinary action. Neither a verbal or written warning is appealable pursuant to Section PAP.1.12.040 of this manual.

(B) The department head or director will discuss with the employee the seriousness of the problem and the possible consequences of a failure to correct the problem. The department head or director will review applicable policies and will document the meeting through signature of both the department head or director and the employee.

(C) The Human Resource Director, or designee, will maintain all employee warnings in an employee's personnel file in the event that further progressive discipline is necessary.

(2) Suspension.

(A) An employee may be recommended for suspension by their supervisor when the employee's behavior warrants such disciplinary action. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources Director. The Human Resources Director will consult with the Supervisor to ensure the reason is justified and clearly stated. If the Human Resources Director is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the suspension, the same will be forwarded to the Executive Director for final approval or denial. All suspensions are without pay. Suspensions are appealable pursuant to Section PAP.1.12.040 of this manual.

(B) Upon return from suspension, the department head or director will meet with an employee regarding the nature of the problem. A corrective action plan will be developed with the employee including specific timelines for completion.

(C) The Human Resource Director, or designee, shall document all suspensions and maintain all corrective action plans in the employee's personnel file in the event that further progressive discipline is necessary.

(3) Probationary Period in lieu of Termination.

(A) In lieu of termination an employee may be placed on a probationary period for a serious violation of this personnel policy and procedural manual, as recommended by a Supervisor and agreed to and evidenced by the signature of the employee on a "Waiver of Appeal Process" form. The Supervisor must follow the same procedures as outlined in Section PAP.1.12.030(a)(2). During this probationary period, the Tribe will evaluate the employee's continued suitability for employment. If during this period an employee has not shown improvement or adequately addressed the issues surrounding the probationary period in lieu of termination the Supervisor may recommend the termination of the employee's employment, without the ability of the employee to appeal the decision, subject to the approval of the Executive Director.

(B) Employees placed on a probationary period pursuant to this section are eligible for holiday leave and funeral leave. Probationary employees pursuant to this section shall accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from the Executive Director and only for medical reasons or extreme circumstances.

(C) At the end of the probationary period pursuant to this section, the Tribe will prepare a written performance evaluation and discuss with the employee the curative conduct of the employee pertaining to the problem causing the probationary period as well as the employee's overall job performance.

(D) The Human Resource Director, or designee, shall document all probationary periods pursuant to this section and maintain all written performance evaluations pertaining to this section in the employee's personnel file in the event that further progressive discipline is necessary.

(4) Termination.

(A) An employee may be recommended for termination from employment by their supervisor at any time, depending upon the severity of the offense. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources Director. The Human Resources Director will consult with the Supervisor to ensure the reason is justified and clearly stated. If the Human Resources Director is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the termination, the same will be forwarded to the Executive Director for final approval or denial. All terminations are appealable pursuant to Section PAP.1.12.040 of this manual.

(B) The department head or director shall document all terminations and provide a copy of all documentation to the Human Resource Director, or designee.

(b) The Tribe retains the sole discretion to determine what behavior warrants disciplinary action and what type of disciplinary action will be imposed. The Tribe reserves the right to terminate employees at any time for any reason that does not violate applicable law with or without notice and with or without prior resort to other means of discipline.

PAP.1.12.040 Disciplinary Action Appeal Procedure

(a) Appeal Policy.

(1) It is the policy of the Tribe to ensure fair and equitable treatment for all employees. Therefore, the Tribe hereby issues a waiver of its sovereign immunity pursuant to Section TCT.1.3.010 to all non-contracted employees for the limited purpose of appealing in Tribal Court as detailed in this section, any suspension or termination received by an employee pursuant Section PAP.1.12.020 of this manual. Verbal and written warnings are corrective action tools and thus are not subject to appeal.

(2) Any additional claims asserted by an employee against the Tribe, must be filled pursuant to Section TCT.2.9.010. The Tribe has not waived its sovereign immunity with regard to any claims filed pursuant to Section TCT.2.9.010.

(b) Appeal Procedures. A formal appeal will be filed and processed in the manner described below, except that time limits may be waived or extended by written mutual consent of the parties involved.

(2) If at any time during the process the Employee and the Employee's Supervisor are able to agree on a solution to the appeal filed, they may submit a joint statement outlining the acceptable terms to the Executive Director. If the terms are approved by the Executive Director, then the matter is settled with copies provided to the Employee and the Supervisor with a copy retained by the Human Resource Director. The Executive Director decision will be final.

(1) Scheduling of Hearings.

(A) Upon timely receipt of all appeal documentation, the Human Resource Director, or designee, will file the employment appeal with the Tribal Court and request an initial hearing.

(B) The Tribal Court shall notify the employee of the initial hearing date of their employment appeal by personal delivery or certified mail at least five (5) days prior to the scheduled hearing date.

(C) The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals by the Tribal Court in the same manner as provided in Section PAP.1.12.040(c)(1)(B), above. The Human Resource Director, or designee, shall provide the Lac Courte Oreilles Office of the Attorney General with the entire record of the grievance and all information submitted in connection to the appeal.

(D) All employees requested to testify at an employment appeal hearing, must attend the hearing when directed by the Human Resource Director, or designee. Failure to appear may result in a monetary fine or disciplinary action or both. The Tribe recognizes that some employees possess official immunity and may not be compelled to testify.

(2) Tribal Court Hearings. The Tribal Court will conduct an employment appeal hearing pursuant to the provisions of this section. Any reliance by the Tribal Court upon the provisions of Chapter TCT.2 of the LCOTCL – Court and Civil Procedure Code shall be secondary to the provisions of this ordinance.

(A) The Tribal Court shall schedule an initial appearance within thirty (30) days of the filing, at which time the Tribe shall enter its initial plea, the Tribal Court shall set forth a scheduling order pursuant to Section TCT.2.9.050 and shall schedule a trial date pursuant to Section TCT.2.10.010. The initial trial date shall be scheduled within sixty (60) days of the filing.

(B) the Trial shall be conducted pursuant to Subchapter TCT.2.10.

(C) The Tribal Court shall determine, by a preponderance of the evidence, whether the Tribe reasonably believed that the employee committed any of the policy violation(s) upon which the discipline was based and whether the employer followed the appropriate procedural steps established in Section PAP.1.12.020 of this manual.

(i) The Tribal Court is required to defer to interpretations of this ordinance as made by the Tribe [pursuant to the Chevron Doctrine], unless such interpretations are unreasonable. An action determined to be unreasonable shall be established by clear and convincing evidence.

(D) If the Tribal Court determines that the employer had a reasonable basis to believe that it met the burden of proof regarding any of the violations and the appropriate procedural steps established in Section PAP.1.12.020 of this manual were followed, it shall uphold the decision of the employer; and shall uphold all disciplinary measures taken without substituting its judgment for that of the employer.

(E) If the Tribal Court determines that the employer did not have a reasonable basis to believe that it met the burden of proof regarding any of the violations and procedural steps established in Section PAP.1.12.020 of this manual, it shall overturn the decision of the employer and order that the employee's personnel file reflect such decision conditioned on the following:

(i) Any award of back wages or other benefits that may have been withheld from the employee shall be limited to ninety (90) days;

(ii) No attorney's fees may be awarded as established in Section TCT.2.11.060.

(iii) Any award of back wages shall be reduced by all amounts earned through other employment or unemployment insurance during the time between the employee's separation and the conclusion of this action;

(iv) The employee has a duty to mitigate any award of back wages by attempting to retain other employment. In order to provide proof of mitigation, the employee must provide evidence to the Tribal Court that the employee has applied for at least one (1) equivalent positions per week.

(v) The employee is not guaranteed restoration to his or her previous position. Such reinstatement shall occur at the discretion of the Tribe. If the Tribe restores the employee to his or her previous position, the Human Resource Director shall meet with the employee and the department head or director and develop a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(F) The Tribal Court may issue its decision orally immediately. In all cases it shall issue a written decision within forty-five (45) days as established by Section TCT.2.11.040 and shall provide the parties with notice thereof. If the Tribal Court does not issue a written decision within forty-five (45) days, it is presumed that the Tribal Court has determined that the employer had a reasonable basis to believe that it met the burden of proof and as a result the action of the employer shall be upheld. The written decision shall include findings of fact, a conclusion regarding each violation, and any money judgments as conditioned in Section PAP.1.12.040(c)(2)(E), above. The decision shall be provided to each party by first-class mail to the person's last known address; electronic mail to the party and to the party's attorney or lay advocate who has filed a notice of appearance in the action; or by delivery to such person, the person's home, or the person's office.

(G) If either party disagrees with the decision of the Tribal Court, that party may appeal the decision to the Court of Appeals by filing a notice of appeal within ten (10) working days of the party's receipt of the decision pursuant to Section PAP.1.12.040(c)(2)(F) above. The filing of an appeal by the employer shall stay any action under Section PAP.1.12.040(c)(2)(E) above, pending resolution of the appeal by the Court of Appeals. Failure to abide by the timeline stated in this section shall be deemed a waiver of the disciplinary appeal and the Tribal Court's decision shall be deemed as final. A Clerk of Court shall submit to the Court of Appeals the record of the employment appeal hearing within five (5) working days of receiving a copy of the notice of appeal. The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals of a Tribal Court decision pursuant to the methods established in Section PAP.1.12.040(c)(2)(F) above.

(3) Court of Appeals Hearings. Either party may request a review of the Tribal Court's decision by the Lac Courte Oreilles Court of Appeals. The Court of Appeals review will be limited to the information presented to the Tribal Court and the limited review is to determine whether the Tribal Court committed a clear error. If the Court of Appeals finds any clear errors in the decision of the Tribal Court, it shall overturn the decision and may remand the matter back the Tribal Court for further review consistent with the Court of Appeals findings.

(A) The Court of Appeals shall have the discretion to decide whether to schedule an oral argument pertaining to an employment appeal.

(B) The Court of Appeals may issue a decision without an oral argument after reviewing the decision of the Tribal Court and the evidence submitted during the grievance and appeal processes.

(C) In all cases, the Court of Appeals shall review the findings of fact and conclusions of law solely to determine whether the Tribal Court committed a clear error. A "clear error" occurs when a decision is not reasonably supported by the facts, law, standard of review, or evidentiary standards.

(D) If the Court of Appeals determines that the Tribal Court committed a clear error, regarding any of the violations and procedural steps established in Section PAP.1.12.020 of this manual, it shall overturn the decision of the Tribal Court and may remand the matter back the Tribal Court for further review consistent with the Court of Appeals findings

(E) If the Court of Appeals determines that the Tribal Court did not commit a clear error(s) regarding any of the violations and the procedural steps established in Section PAP.1.12.020 of this manual, it shall uphold the decision of the Tribal Court.

PERSONNEL POLICIES AND PROCEDURES MANUAL

RECEIPT AND ACKNOWLEDGEMENT

I hereby acknowledge receipt of a copy of the Governmental Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. This personnel policy and procedural manual contains the policies and rules that apply to me. I agree to read the manual and follow it during my employment with the Tribe. I further understand the Tribe may amend this personnel policy and procedural manual at any time and that such changes will be communicated to me in writing.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this acknowledgement for your records.

CONSENT TO APPEAL PROCESS

I hereby consent, as a condition of my employment, to the exclusive jurisdiction of the Tribe's Disciplinary Action and Appeal procedures as set forth in Subchapter 1.12 of this manual, and the jurisdiction of the Tribal Court for all disputes in connection with my employment with the Tribe. I acknowledge that my failure to comply with time limitations for resolving a complaint or filing an appeal will preclude further consideration of any matter. I hereby waive any right I may have to litigate in another court of law, any and all claims arising out of my employment, and hereby waive any right I may have to a jury trial, and agree instead to submit any and all disciplinary action claims to the Disciplinary Action and Appeal procedures as set forth in Subchapter 1.12 of this manual. I hereby consent to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the Tribe.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

WAIVER OF APPEAL PROCESS

I hereby consent, as a condition of my employment, to participate in a Probationary Period in lieu of Termination pursuant to Section PAP.1.12.030(a)(3) of this manual. I hereby waive any right I may have to the Appeal procedures as set forth in this section of this manual through my participation in this Probationary Period in lieu of Termination. I hereby acknowledge that as a condition of my employment that I have consented to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the Tribe.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

Chapter PAP.2 Property and Procurement Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This ordinance is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians to negotiate, make and perform contracts and agreements of every description which predates its treaties of 1825, 1826, 1837, 1842, 1847, and 1854 with the United States Government. In the implementation of this inherent sovereign authority, Article V, § 1(c) of the Amended Constitution and By-laws of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians empowers the Tribal Governing Board to "negotiate, make and perform contracts and agreements of every description, not inconsistent with law or with any provisions of this Constitution, with any person, association, or corporation, with any county, or with the State of Wisconsin or the United States." It is the purpose of this ordinance to: (1) Provide for the fair and equitable treatment of all persons or firms involved in purchasing by the Tribe; (2) Provide a means to assure that supplies, services, and construction are procured efficiently, effectively, and at the most favorable prices available to the Tribe; (3) Provide a means to assure competition in contracting; (4) Provide safeguards for maintaining a procurement system of quality and integrity; and (5) Provide a means to assure that Tribe's purchasing actions are in full compliance with applicable federal standards and regulations along with any applicable state and local laws.

Subchapter PAP.2.1 General Provisions

PAP.2.1.010 Title

This ordinance shall be known as the Property and Procurement Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.2.1.020 Authority

This ordinance is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. In the implementation of this inherent sovereign authority, Article V, § 1(c) of the Amended Constitution and By-laws of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians empowers the Tribal Governing Board to "negotiate, make and perform contracts and agreements of every description, not inconsistent with law or with any provisions of this Constitution, with any person, association, or corporation, with any county, or with the State of Wisconsin or the United States."

PAP.2.1.030 Purpose

It is the purpose of this ordinance to:

(a) Provide for the fair and equitable treatment of all persons or firms involved in purchasing by the Tribe;

(b) Provide a means to assure that supplies, services, and construction are procured efficiently, effectively, and at the most favorable prices available to the Tribe;

(d) Provide safeguards for maintaining a procurement system of quality and integrity; and

(e) Provide a means to assure that Tribe's purchasing actions are in full compliance with applicable federal standards and regulations along with any applicable state and local laws.

PAP.2.1.040 Application

This ordinance shall govern all contracts and grants for the procurement of supplies, services, and construction entered into by the Tribe. It shall apply to purchasing, irrespective of the source of funds, including contracts, which do not involve an obligation of funds (such as concession contracts); however, nothing in this ordinance shall prevent the Tribe from complying with the terms and conditions of any grant, contract, gift, or bequest that is otherwise consistent with law.

When both federal and non-federal funds are used for a project, the work to be accomplished with the funds should be separately identified. The term "procurement," as used in this ordinance includes both contracts and modifications (including change orders) for construction or services, as well as purchase, lease, or rental of supplies and equipment.

PAP.2.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this ordinance shall be effective on the date adopted by the Tribal Governing Board.

PAP.2.1.060 Interpretation

The provisions of this ordinance:

(a) Shall be interpreted and applied as minimum requirements applicable to all contracts and grants for the procurement of supplies, services, and construction subject to this ordinance;

(b) Shall be liberally construed in favor of the Tribe;

PAP.2.1.070 Severability and Non-Liability

If any section, provision or portion of this ordinance is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this ordinance shall not be affected thereby. The Tribe further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this ordinance.

PAP.2.1.080 Consistency with Good Business Practices

The fundamental goal of the Tribe's procurement system is to satisfy end users in terms of cost, quality, and timeliness of the delivered product or service while complying with applicable laws, rules, and the Tribe's own policies. Further, those involved in the procurement function should exercise personal initiative and sound business judgment in providing best value product or services in meeting the tribe's needs. Consistent with that goal, the CPO may assume that, if a specific strategy, practice, policy or product is in the best interests of the Tribe and is not addressed in this ordinance, nor prohibited by tribal law, federal law, or other directive including this procurement ordinance, the strategy, practice, policy or procedure may be a permissible exercise of authority. The CPO is advised to seek advice whenever doubts arise about an intended strategy, practice, policy or procedure.

PAP.2.1.090 Public Access to Procurement Information

Certain information about the Tribe's procurements are normally considered public (e.g. name of the winner contractor and total contract price) and may be released to the public in accordance with this procurement ordinance as well as applicable tribal laws and regulations governing information.

Other information related to procurement is often protected from disclosure (e.g., proprietary business information such as technical methods or processes, detailed pricing information, personal information, or other information). The Tribe must exercise caution to ensure that protected information is not made public. Contracting personnel should consult the Tribe's Legal Department whenever there is any question regarding the release of information.

PAP.2.1.100 Regulations and Law Requirements

(a) The Tribe shall make efforts to ensure that qualified Indians, Indian Organizations, and Indian-Owned economic enterprises are used when possible. Such efforts shall include, but shall not be limited to:

(1) Placing qualified Indians, Indian Organizations, and Indian-Owned economic enterprises on solicitation lists;

(2) Assuring that qualified Indians, Indian Organizations, and Indian-Owned economic enterprises are solicited whenever they are potential sources;

(3) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by qualified Indians, Indian Organizations, and Indian-Owned economic enterprises;

(4) Establishing delivery schedules, where the requirement permits, which encourage participation by qualified Indians, Indian Organizations, and Indian-Owned economic enterprises;

(5) Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce; and

(6) Including in contracts a clause requiring contractors, to the greatest extent feasible, to provide opportunities for training and employment for qualified Indians, Indian Organizations, and Indian-Owned economic enterprises and to award subcontracts for work in connection with the project to qualified Indians, Indian Organizations, and Indian-Owned economic enterprises which are located in, or owned in substantial part by persons residing in the area of the project.

(7) Requiring prime contractors, when subcontracting is anticipated, to take the steps listed above.

(b) Regulations and Law References:

(1) Administrative Procurement Requirements for Indian Tribal Governments: 24 CFR 85.36

(2) HUD Procurement Handbook: HUD Handbook

(3) Indian Self Determination Act : Public Law 93-638; 25 CFR Part 900

(4) Indian Health Services Manual: Chapter 11

(5) OMB Circular A-87: OMB Circular A-87

(6) Tribal Preferences requirements: 24 CFR 1000.48

(7) Wage and Labor Standards: 25 U.S.C. §450e

(8) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards: 2 C.F.R. Part 200

Subchapter PAP.2.2 Definitions

PAP.2.2.010 General Definitions

(a) "Acceptance" means the act of an authorized representative of the Tribe acknowledging that the supplies or services delivered to or received by the Tribe conform to contract requirements.

(b) "Amendment" means the written revision or clarification made to a solicitation.

(c) "Anti-competitive Practices" means the actions by potential contractors that improperly reduce or eliminate competitors to restrain trade, such as submitting collusive bids or proposals, rotating low bids, follow-the-leader pricing, or sharing of the business. Competitions may also be wrongfully discouraged by illicit business actions that have the effect of restraining trade, such as controlling the resale price of products or an improper collective refusal to bid.

(d) "Architect/Engineer" means the person (or company) usually responsible for developing the plans and specifications of a building or development and, in some cases, supervision of the construction effort.

(e) "Bid" means the price submitted by a bidder in the sealed bidding method of procurement.

(f) "Bidder's List" means the general list of persons or firms who may be interested in contracting opportunities with the Tribe, and in submitting bids in response to an Invitation for Bid.

(g) "Change Order" means a unilateral modification made to the contract by the Contracting Officer under the authority of the contract's Changes clause. Only the specific changes permitted by the particular Changes, clause may be made under a change order ( e.g. modify the drawings, design, specification, method of shipping or packaging, place of inspection, delivery, acceptance, or other such contractual requirement). All change orders must be within the scope of the contract.

(h) "Changed Conditions" means the construction site or repair conditions that differ significantly from those indicated in the contract or from those ordinarily encountered in the performance of the specific type of work required by the contract.

(i) "Competitive Proposals" means the use of an adequate method of evaluating technical proposals and/or when there is an adequate number of qualified sources identified to be solicited.

(j) "Contract" means a mutually binding legal relationship obligating the seller to furnish the supplies or services (including construction) and the Tribe to pay for them. It includes all type of commitments that obligate the Tribe to an expenditure of funds, except as otherwise authorized in writing. In addition to bilateral instruments, contracts include: Contract awards and notices of awards; job orders or task letters issued under basic ordering agreements, requirement contracts, definite- or indefinite- quantity contracts; letter contracts; and orders, such as purchases ordered, under which the contract modification and various cooperative and interagency agreements (as described elsewhere in this ordinance). Contracts do not include grants covered under a different federal agency.

(k) "Chief Procurement Officer" or "CPO" means the official authorized by the Tribe to enter into and/or administer contracts and make related determination and findings on behalf of the Tribe as well as establish and maintain an inventory of all property and equipment. For the purpose of this ordinance, the term includes any Tribal employee designated and authorized to perform the duties of the CPO.

(l) "Contract Administration" means all actions taken with regard to a contract after its award. Administration includes monitoring the contractor's performance to ensure compliance with the contract requirements, and terms and conditions.

(m) "Contract Modification" means any written alteration to a contract executed by an authorized contracting officer.

(n) "Contractor" – means an offeror who is awarded a contract.

(o) "Custodian" means an employee that has been entrusted with keeping and maintaining property or equipment of the Tribe.

(p) "Director" or "Department Director" means an employee responsible for managing a department of the Tribal Government Operations.

(q) "Tribal Governing Board" or "TGB" – means the Tribal Governing Board as established by the Lac Courte Oreilles Constitution and Bylaws dated November 2, 1966.

(r) "Tribe" means the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.2.2.020 General Acronyms

Any acronym not defined in this section shall be given its ordinary meaning. The following acronyms, wherever used in this ordinance, shall be construed to apply as follows, except where the context indicates otherwise:

(a) A/E – Architect/Engineer

(b) ABA – American Bar Association

(d) CPO – Chief Procurement Officer

(e) CSS – Community Supportive Services

(f) DOE – Department of Energy

(g) DOL – Department of Labor

(h) HUD – U.S. Department of Housing and Urban Development

(i) ICE – Independent Cost Estimate

(j) HIS – Indian Health Services

(k) LCO – Lac Courte Oreilles Band of Chippewa Indians

(l) LS – Legal Services

(m) MBDC – Minority Business Development Center

(n) MOC – Minority Owned Corporation

(o) PHA – Public Housing Agency

(p) Pub. L. – Public Law

(q) RFP – Request for Proposals

(r) SBDC – Small Business Development Center

(s) TGB – Tribal Governing Board

(t) U.S.C. – United States Code

(u) WBC – Women's Business Centers

(v) WBE – Woman's Business Enterprise

Subchapter PAP.2.3 Authority and Administrations

PAP.2.3.010 General

This chapter discusses the authority for procurement activity and delegation of the administration of the procurement function.

PAP.2.3.020 Delegation of Authority

(a) Generally, this procurement ordinance delegates responsibility for procurement functions to the Tribal Governing Board (hereinafter "TGB"). As established in Article V(1)(c) of the Lac Courte Oreilles Constitution and Bylaws dated November 2, 1966, the TGB has the power to exercise or limit any procedures, agreements, or contracts including this procurement ordinance. Furthermore, projects developed with the use of federal monies are also subject to the Chief Financial Officers Act of 1990; OMB Circular A-87; and Section 7(b) and (c) of the Indian Self Determination and Education Assistance Act (25 U.S.C. §450e(c)).

(b) The TGB hereby appoints and delegates procurement authority and the administration of this ordinance to the Chief Procurement Officer (hereinafter "CPO") when s/he performs that function, regardless of any other job, position or title s/he may have. The CPO shall issue operational procedures, including procedures for the processing of purchase orders, to implement this ordinance. Violation of this ordinance, including the ethical standards, shall constitute insubordination and shall be subject to disciplinary action (which may include suspension and/or termination) by the TGB.

PAP.2.3.030 Responsibility of the Chief Procurement Officer

Pursuant to the delegated authority established in this ordinance, it is the responsibility of the CPO or his/her designee to:

(a) Use sound judgment in accomplishing the procurement activities for the Tribe;

(b) Ensure that bidders and contractors receive fair, impartial, and equitable treatment;

(c) Ensure that contract actions comply with all applicable Tribal and Federal laws and rules and with this procurement ordinance; and

(d) Seek the best value and greatest overall benefit for the Tribe in response to the needs desired.

PAP.2.3.040 Chief Procurement Officer Signature/Obligation of Funds

Each contract or purchase action (e.g., new contract, modification, interagency agreement, purchase order, etc.) that obligates the Tribe to pay a contractor or vendor must be approved by the TGB or otherwise authorized by an individual to whom the Tribe has expressly delegated the authority to make such an obligation.

The approval of the TGB on contracts is a legal commitment and requires continuing performance by the Tribe under the terms and conditions of the contact. Performance includes such duties as monitoring contractor performance and for the acceptance or rejection of contractors' requests for changes in performance, specification, or price.

Caution: Only the TGB is authorized to bind the Tribe by making an implied contract such as making a promise or stating an intent to purchase, either orally or in writing. Under the laws of the Tribe, the Tribe may be liable for, or bound by, an action of the CPO, or his/her designee only if the offeror has been given authority by the TGB. Therefore, all unapproved actions that could be misinterpreted as committing the TGB to purchase should be clarified with a statement such as, "this request for price quotation is not an offer to buy and should not be assumed as such."

PAP.2.3.050 Staffing and Training

The Tribe should ensure that procurement employees have training and experience commensurate with the requirements of their duties. The Tribe should develop training and experience standards for their procurement positions and periodically review their procurement operations to ensure that procurement personnel meet those standards. The TGB should consider any changes in the procurement environment (e.g., new laws, regulations, market conditions, or buying needs and practices of the Tribe) when assessing the qualifications for personnel and the need for additional training.

Subchapter PAP.2.4 General Requirements

PAP.2.4.010 Procurement Planning

(a) General. Planning is essential to managing the procurement function properly; however the type and extent of planning will depend on, among other factors, the method and size of the procurement, with larger and more complex procurements requiring more planning.

(1) Careful advance planning provides the Tribe with adequate time to accomplish its procurement actions. Advance planning helps to: maximize competitive pricing among contracts and decrease the Tribe's procurement costs; without any need for re-procurement, e.g., resolving bid protest; and minimize errors that occur when there is inadequate lead-time. Contractors that develop or draft specifications, requirements, statements of work, and invitations for bids or requests for proposals must be excluded from competing for such procurements.

(2) The Tribe should periodically review their record of prior purchases, as well as future needs to find patterns of procurement actions that could be performed more efficiently or economically. Items purchased repetitively might be obtained more economically through various master contracts. However, consideration should be given to storage, security, and handling requirements when planning these types of purchasing actions. For example, it may not be economical or prudent to buy truckloads of a product at deep discounts if there is no appropriate storage space for the product or if the cost of handling the product would exceed the savings price.

(b) Individual Procurement Plans (IPPs). For larger, more complex procurements, such as major computer purchases or construction projects, the CPO should establish IPPs. IPPs establish deadlines or milestones for completion of the steps necessary to assure timely delivery or performance by the CPO.

(c) Equipment Lease or Purchase. Based on a case-by-case evaluation of costs and other factors, the Tribe should consider the leasing of equipment. Those factors would include length of period the equipment is to be used and the extent of use within that period; financial and operating advantages of alternative types and makes of equipment; cumulative rental payments for the estimated period of use; net purchase price; transportation and installation; maintenance and other service costs; potential obsolescence of the equipment because of imminent technological improvements; availability of the purchase items; trade-in or salvage value; imputed interest; and availability of servicing capability (for example, whether the equipment can be serviced by Tribal staff).

PAP.2.4.020 Independent Cost Estimate (Ice)

(a) The ICE is an estimate of the cost of the goods or services to be acquired under a contract or a modification. It serves as the Tribe's standard for evaluating the reasonableness of the contractor's proposed cost or prices.

(b) The ICE helps the CPO determine the contracting method to be used.

(c) While the CPO is responsible for the preparation of the ICE, other personnel (e.g., the end user, or budget and finance) are usually involved and may actually do most of the preparation. The Tribe may develop the ICE using its own employees, outside parties (e.g., consultants), or a combination of the two. If any outside party (whether compensated or not) assists in developing the ICE, the Tribe must take the appropriate action to ensure that organizational conflicts of interest are avoided and that the outside party does not obtain any competitive advantage from its advance knowledge of the Tribe's cost estimate.

(d) The CPO shall prepare, or have prepared an ICE commensurate with the purchase requirement. The level of detail will depend upon the dollar value of the proposed contract and the nature of the goods or services to be acquired. The ICE must be prepared prior to the solicitation of offers. The requirements for ICEs are:

(1) For Purchases Less Than $3,000. The CPO generally does not need to prepare an ICE. Price reasonableness normally will be based on a comparison with historical prices paid for the item, commercial catalog prices, or other offers.

(2) For Purchases Above $3,000. For Purchases above $3,000 but less than the Tribe's small purchase threshold ($150,000), documentation should be kept to a minimum. The ICE may be based on prior purchases, commercial catalogs, or detailed analyses (e.g., purchases for services).

(3) For Purchases Above the Tribe's Small Purchase Threshold. The level of detail will vary but should be commensurate with the size (i.e. dollar value), complexity, and commercial nature of the requirement. ICEs are normally broken out into major categories of cost (e.g., labor, materials, and other direct costs such as travel, overhead, and profit). Commercially available products and services may require less detail as the marketplace tends to provide current reliable pricing information for commercially available products; a CPO may also not need to break out components. Non-commercial type requirements, and work designed specifically for the tribe will require much more extensive estimation and detailed ICE.

(e) The ICE serves as the primary in-house gauge of cost and price reasonableness, but it should not be relied upon to the exclusion of other sources of pricing information. Market conditions may fluctuate between the time the ICE is prepared and the receipt of offers. For example, materials or labor cost may have increased or decreased. If a significant period of time has elapsed, or the CPO knows that certain market conditions have changed, the CPO should request that an updated ICE be prepared to use in evaluating offers.

PAP.2.4.030 Documentation

(a) General. The CPO must maintain records sufficient to detail the significant history of each procurement action. Such documentation is particularly important in the event a protest is lodged against the Tribe. It will also facilitate future purchases of similar supplies or services since it will not be necessary to recreate solicitation documents. Supporting documentation shall be manually or electronically written and placed in the manual or electronic procurement file. These records shall include, but shall not necessarily be limited to the following:

(1) Rationale for the method of procurement selected. For example, the contract file would not need to state why the CPO chose small purchase procedures to order a desk but would want to note why a non-competitive proposals was used for a roofing contract;

(2) The solicitation;

(3) Selection of contract pricing arrangement, but only if not apparent. For example, the contract file would not need to document why a firm fixed-price was used to obtain building materials;

(4) Information regarding contractor selection or rejection, including, where applicable, the negotiation memo, the source selection panel, evaluation report, cost and price analysis, email correspondence (including offers, selections, pertinent pre- and post-award discussions and negotiations, etc.);

(5) Basis for the contract price); and

(6) Contract administration issues/actions.

The level of documentation should be commensurate with the value of the procurement.

(b) Retention of Procurement Records. The Tribe shall retain all significant and material documentation and records concerning all procurements they conduct. These records must be retained for a period of three (3) years after final payment and until all matters pertaining to the contact are closed. If any claims or litigation are involved, the records shall be retained until all issues are satisfactorily resolved. A separate file for each procurement activity shall be maintained for quick reference and/or review.

(c) Audits. The TGB or its designated representative, has the right to audit all books, documents, papers, and records that are pertinent to the functionality of this ordinance. The performance of periodical audits and management reviews help determine whether the procurement actions meet the requirements set forth in this ordinance.

PAP.2.4.040 Funding and Payment

(a) The CPO must make sure that funds are available for any purchases made and that there is an orderly process to pay contractors promptly.

(1) The CPO must receive approval from the TGB or Finance Department that funds are, indeed, available before making the purchase.

(b) To maintain good relations with contractors, the CPO should ensure that work performed is inspected in a timely manner and that contractor invoices for work accepted by the CPO are paid promptly. Unnecessary delays in either inspection or payment can discourage contractors from participating in future Tribal procurements or cause them to increase their bid price to account for expected delays in payment.

Subchapter PAP.2.5 Small Purchase Procedures

Small purchase procedures are a simplified method for acquiring supplies, materials, and services (including professional and construction) that do not exceed the Tribe's small purchase threshold. These procedures are the simplest method of procurement and will be used for the vast majority of Tribal purchases.

PAP.2.5.010 Small Purchase Dollar Limits

(a) The TGB hereby establishes that the threshold for individual small purchases shall not exceed the Federal small purchase threshold which is currently $150,000, or any lower dollar value set by the Tribe. In no case may the Tribe adopt an approved threshold that exceeds $150,000.

(b) The Tribe may establish a separate Purchase threshold of up to $5,000 per purchase.

PAP.2.5.020 Selection Method

(a) The Tribe shall choose the appropriate procurement method to purchase goods and services based on the dollar amount of the purchase and the available vendors.

(b) Indian Preference: To the greatest extend permissible and feasible; the Tribe shall give preference in the award to qualified Indians, Indian Organizations, and Indian-Owned economic enterprises. See Appendix A for Indian Preference guidelines.

PAP.2.5.030 Method Specifications

(a) Purchases that are Less than $3,000:

(1) For purchase of less than three thousand dollars ($3,000), the TGB shall set the guideline allowing the tribe the ability to purchase without soliciting competitive quotations if the CPO or designee considers the price to be reasonable.

(2) A Requisition Request must be used for all purchases less than three thousand dollars ($3,000). The CPO or designee must determine reasonableness based on prior purchase of a similar nature or other source of information. When the purchase order is signed, it signifies that the cost has been determined to be reasonable.

(3) For purchase of less than three thousand dollars ($3,000), only one bid is required, provided it is determined to be reasonable. Estimates may be based upon recent purchases of similar items, obtained from catalogs, the internet, emails, fax or verbally but must be documented. If the purchase is made for reasons other than price, the file must clearly describe the reason for the purchase. Under no circumstances will a purchase be broken down into more than one action in order to meet the less than three thousand dollars ($3,000) purchase threshold. The purchase must be documented by the CPO or designee.

(b) Requisition Purchase:

(1) Requisition Purchase Procurement: For purchases of three thousand and one dollars ($3,001) but less than one hundred and fifty thousand ($150,000) dollars, also known as Requisition Purchases, supporting documentation documenting at least three price quotations is required. Under no circumstance may a purchase be broken down into more than one action in order to meet the Requisition Purchase threshold. The Requisition Purchase must be documented by an authorized Requisition Form. During the Requisition sign off review the CPO may request additional quotes. The CPO at their discretion may audit any purchase by requesting additional quotes.

(2) Purchases utilizing the Requisition Request form shall be restricted to staff designated by the CPO or his/her designee.

(A) All purchases/acquisitions exceeding $3,000 must utilize the Requisition Request form which shall be reviewed by the Tribal Legal Department upon the discretion of the CPO or CPO Representative.

(B) Procurement activities for HUD housing projects should be coordinated with the performance objectives described in the Tribe's Indian Housing Plan (IHP) to assure efficient and economical purchasing.

(C) Contracts and modifications shall be in writing, clearly specifying the desired supplies, services, or construction, and are supported by sufficient documentation regarding the history of the procurement, including, at a minimum, the method of procurement chosen, the selection of the contract type, the rationale for selecting or rejecting offers, and the basis for the contract price.

(D) For procurement other than small purchases, a minimum of thirty (30) days for major construction contracts and fifteen (15) days for other contract types are provided for the preparation and submission of bids or proposals.

(E) Solicitation procedures are conducted in full compliance with federal standards including the Indian preference requirements.

(F) An independent cost estimate is prepared before solicitation issuance and is appropriately safeguarded for each procurement above the small purchase limitation; and a cost or price analysis shall be conducted for each of the responses received for all procurement.

(G) A Contract award shall be made to the responsive and responsible bidder offering the lowest price, consistent with Indian preference requirements; or contract award is made to the offeror whose proposal offers the greatest value to the Tribe, considering price, technical qualifications, and other factors as specified in the solicitation, including Indian preference; unsuccessful firms are notified within ten days after contract award.

(H) There are sufficient unencumbered funds available to cover the anticipated cost of each procurement before contract award or modification (including change orders); work is inspected before payment; and payment is made promptly for contract work performed and accepted.

(I) Effective contract administration is performed.

(J) Effective monitoring of contractor's performance is conducted.

(1) Any Purchase Procurement valued at three thousand and one dollars ($3,001) up to the small purchase threshold may be conducted in accordance with the Purchase Order purchase procedures authorized in this section. Contract requirements shall not be artificially divided so as to constitute a purchase order under this section.

(A) Obtaining Quotes. The Department wishing to make the procurement shall solicit price quotations by phone, letter or other informal procedures that allows participants by reasonable number of competitive sources. When soliciting quotations the Department shall inform the sources solicited of the specific item being procured, the time by which quotations must be submitted, and the information required to be submitted with each quotation. The Department shall obtain written quotation such as a letter or email; however the written quotation may be a confirmation of a previous oral quotation only if it is submitted within ten (10) days of the oral quotation or by the date for submitting quotation. The names, addresses, and/or telephone numbers of the offerors and person contacted, and the date and amount of each quotation shall be recorded and maintained as a public record.

(B) Competition. The Department wishing to make the procurement shall attempt to obtain quotations from a minimum of three qualified sources and document the procurement file with a justification whenever it has been unable to obtain at least three quotations. Solicitation of fewer than three sources is acceptable only if the Department has attempted but has been unable to obtain a sufficient number of quotations. The sole quotation received may be accepted only in unusual circumstances (such as an emergency, threatening public health and safety) and must be certified and documented as such by the CPO

(i) Award based on price. For purchases awarded based on price and fixed specifications (i.e., not subject to negotiation) the Tribe shall make an award to the qualified Indian, Indian Organization or Indian-Owned economic enterprise when the quotation received is within 15% of the lowest responsive quotation from any qualified source, then award shall be made to the source with the lowest responsive quotation from any qualified source, then award shall be made to the source with the lowest quotation.

(ii) Award based on Factors other than price. For purchases to be awarded based on factors other than price, formal solicitation (request for proposals or request for quotations) shall be issued, including evaluation factors and a rating system to evaluate each proposal or quotation. The solicitation shall identify all evaluation factors, including cost or price. The solicitation shall reserve 15% of the total evaluation points for providing Indian preference. Award shall be made to the best proposal or quotation in accordance with the state rating system.

(D) Soliciting Proposals. For the purpose of soliciting written proposals for small purchases under the $150,000 threshold, one or more of the following methods may be used:

(i) Advertisement placed in a newspaper and/or newsletter of general circulation;

(ii) A written notice to potential vendors by CPO and/or TGB;

(iii) Telephone or fax contact; or

(iv) E-mail and/or Internet postings.

(2) All purchase order procurement shall be processed in accordance with procedures issued by the CPO pursuant to Section PAP.2.1.020.

PAP.2.5.040 Preparation of the Work Order

Work Orders will be prepared in accordance with the policies and procedures of the Tribe. They are to be typed or neatly hand-written. Purchase Orders may be written against the approved Work Order and shall reference the Project Number assigned.

PAP.2.5.050 Preparation of a Purchase Order

(a) Purchase Orders may only be used at vendors that have an established account with Tribe or an "Open Purchase Order". Purchase Orders shall be used by authorized staff for those supplies, materials, tools or equipment that are not available through the Tribe.

(b) A Requisition Request form may initiate Purchase Orders. Requisition Requests will be typed, computer generated or neatly hand-written. Requisition Requests missing any of the information requested below will be returned to the department initiating the request and will not be filled until such time that all items have been included on the form. All Requisition Request forms must be signed by the Program Director. This document will list in detail:

(1) The items to be purchased;

(2) The quantity of items to be purchased;

(3) The location to where the items are to be delivered;

(4) The time frame in which the materials are needed;

(5) The correct project number or to which program year the material is to be charged;

(6) The name and signature of the program director authorizing the requisition request.

(c) Only designated personnel shall be authorized to purchase goods. Such designation shall be in writing, by the CPO, and the authorized staff member shall be forwarded a copy of such designation. All Purchase Orders must be signed by the CPO or his/her designee;

(d) A list of authorized personnel shall be distributed to all vendors where such purchasing shall take place. Vendors shall be notified that should they accept and process a Purchase Order from any unauthorized personnel, the purchase order shall be considered invalid;

(e) Purchases for three thousand dollars ($3,000) or less may be executed by CPO or a representative designated by the CPO;

(f) Purchases in excess of three thousand and one dollars ($3,001) but less than one hundred and fifty thousand ($150,000) dollars shall be reviewed by the Tribe's Legal Department upon the discretion of the CPO or CPO Representative.

(g) Purchases in excess of one hundred and fifty thousand ($150,000) dollars shall be approved by the TGB upon review by the Tribe's Legal Department;

(Note: The table below is the $ amounts of purchases and whom are authorized to approve the purchases.)

Amount of Purchase	Authorized by CPO Designee	Authorized by CPO	Authorized by LCO TGB
$1 - $3,000	X	X
$3,001 - $150,000		X
$150,000			X

(h) The purchase order is used as the primary contract document for contracts, single material and supply purchases of one hundred and fifty thousand ($150,000) dollars or less. At all times the procedures for Informal Solicitations shall be followed. For all purchases in excess of one hundred and fifty thousand ($150,000) dollars, a Purchase Order shall be assigned to the contract. Note the following exceptions:

(1) Procurements that are expected to exceed five thousand dollars ($5,000) and include labor shall be prepared utilizing a Request for Contract document and shall be administered by the Chief Procurement Officer (CPO);

(2) Procurements that are expected to exceed three thousand ($3,000) dollars but not exceed one hundred and fifty thousand ($150,000) dollars and do not include labor shall be prepared utilizing the Tribes informal solicitations Invitation For Bids (IFB) or Request For Proposals (RFP) format or the Requisition Request and shall be coordinated through the CPO;

(3) For the procurement of professional services (i.e. consultant, design professional, etc.) the primary contract document shall be a professional services contract executed between the professional and the TGB or delegated TGB Representative.

(A) For all other contracts for services a Legal Department template shall be used for any term < 12 months and is valued < $3k, however prior to execution the contract for services shall be reviewed by the Tribe's Legal Department.

(i) Regardless of the dollar amount, single purchases for which an emergency or a sole source exception is made, the Purchaser shall obtain the signed approval of the CPO or designee on the Purchase Order. The Procurement Department shall prepare a memorandum, which documents the emergency or special circumstances. The memo shall be signed by the CPO and attached to the Purchase Order. If the contract is federally funded, the vendor must comply with payroll reporting requirements when labor is involved (as described below). Therefore, the Procurement Department must obtain the required documentation from the contractor before payment is made for the goods or services.

(j) The Purchase Order will be computer generated from the centralized accounting program sequentially pre-numbered and properly labeled with the Tribal billing information. Copies of the Purchase Order with supporting documentation shall be distributed as follows:

(1) Vendor File

(2) Program Director

(k) The Purchase Order shall identify the account code and/or Project Number that has been assigned by the Tribal Finance Department.

(l) The Purchase Order form shall have blocks that identify the following:

(1) Date of Purchase;

(2) Program name;

(3) Vendor name;

(4) Vendor e-address or postal mailing address;

(5) Quantity of item(s) being purchased under this Purchase Order;

(6) Description of item(s) being purchased;

(7) Unit price of item(s) being purchased;

(8) Item SKU number if in use;

(9) Appropriate coding;

(10) Any special instructions, such as delivery address, date and or time delivery is expected (if necessary);

(11) Signature and date blocks for:

(A) Authorized personnel;

(B) TGB where required;

(D) Cash Management Director (when required)

(m) Procedures:

(1) Purchase Orders: Less than $3,000

(A) Authorized Personnel. CPO or CPO designee should ensure that all procurement is in compliance with these procedures:

(i) The Purchase Order will be filled out legibly by hand, typewritten, or computer generated;

(ii) All information pertinent to the purchase shall be identified on the Purchase Order;

(iii) All purchase descriptions shall fully detail what is being purchased;

(iv) All individual prices shall be noted and all prices shall be extended and totaled;

(v) Proper coding shall be noted;

(vi) The original, shall be given to the vendor, all other copies forwarded as described above or on the Purchase Order; and

(vii) If there are any attachments to the Purchase Order, ensure copies of the attachment accompany all copies of the Purchase Order.

(B) Procedures Performed by the Finance Department. Purchase Orders, numbered sequentially, shall be stored in a safe and secure location until assigned.

(C) The Procurement Department shall maintain a Purchase Order Log identifying which numbered Purchase Orders are given to whom;

(D) The receiving or responsible Department shall verify receipt of a purchase. It will be the responsibility of each dept. to maintain a sub-log of the Purchase Orders received and to whom they are assigned or to which vendors they have been issued.

(E) If the purchase is for non-expendable, capitalized equipment with a value greater than five thousand ($5,000) dollars the Receiving Clerk shall identify the capital equipment on both the original and the copy of the receiving document. The CPO shall ensure a pre-numbered Tribal decal or barcode label is issued to the recipient of the item. It shall be the responsibility of the recipient to ensure the decal is affixed to the piece of equipment in such a manner as to prohibit removal by unauthorized personnel.

(F) Upon receipt of the Finance copy of the Purchase Order and the vendor's original receipt, the Finance office shall ensure that the items are correctly charged against the specific account or ID No. for which they were purchased. ALL purchases shall be encumbered against the proper account(s). Items purchased for re-stocking inventory shall be charged to the general ledger account for such purchases.

(2) Purchase Order: Greater than $3,000

(A) Authorized Personnel. The CPO or their designee ensures that all procurement is in compliance with procedures found later in this document.

(B) The Purchase Order will be filled out legibly by hand, typewritten, or computer generated;

(D) All purchase descriptions fully detail what is being purchased;

(E) All individual prices are noted and all prices are extended and totaled;

(F) Proper coding has been noted;

(G) The Purchase Order shall be forwarded to the Tribe's Legal Department for review upon the discretion of the CPO or CPO Representative.

(H) Upon review of the Purchase Order by the Tribe's Legal Department, the Purchase Order must be signed by the CPO and then processed;

(I) Ensure the original Purchase Order is given to the vendor and upon receipt of the goods, all other copies forwarded to the appropriate department as described above for processing.

PAP.2.5.060 Personnel Duties and Responsibilities

(a) Chief Procurement Officer Responsibilities

(1) Review all Purchase Orders greater than $3,000 for completeness;

(2) Ensure that the bids acquired are properly documented;

(3) Review account code, coding and/or Project Number recorded by the requestor or, as applicable, indicate the account code which should be charged for the purchase;

(4) When applicable, ensure that the Tribe's Legal Department has reviewed the document;

(5) When applicable, ensure that the TGB has signed the documents to signify approval and that the document has been reviewed;

(6) Return to the CPO Designee to finalize the purchase;

(7) Ensure the document is properly filed; and

(8) Debarment. The Tribe shall not hire, contract with, or otherwise do business, either directly or indirectly, with contractors or individuals, which have been debarred, suspended, or subjected to a Limited Denial of Participation (LPD) by the U.S. Government. Prior to contract award (i.e. the preparation of the Notice to Proceed), the Chief Procurement Officer or designee shall verify that the contractor has not been debarred, suspended or (LPD) by reviewing the company listing on the sam.gov website. This list can be obtained at: http://www.sam.gov. The CPO or designee must document the review and place in the manual or electronic vendor file.

(b) Finance Department Responsibilities

(1) Purchases over $3,000

(A) If the purchase is for non-expendable, capitalized equipment, the Finance clerk shall identify the capital equipment on both the original and the copy of the receiving document using a highlighter. The Finance clerk or shall ensure a pre-numbered Tribal decal or barcode label is issued to the recipient of the item.

(B) It shall be the responsibility of the recipient/Program Director to ensure the decal is affixed to the piece of equipment in such a manner as to prohibit removal by unauthorized personnel.

(C) Upon receipt of the Finance copy of the Purchase Order and the vendor's Packing Slip / Bill of Lading , the Finance office shall ensure that the items are correctly charged against the specific account or Project Number for which they were purchased. Items purchased for re-stocking the inventory at the warehouse shall be charged to the general ledger account for such purchases.

(D) Upon receipt of the invoice, the Accounts Payable clerk (or designee) will attach the invoice to the copy of the purchase order. The A/P clerk will then match the invoice to the purchase order and the vendor's delivery receipt. If the purchase order, invoice, and vendor's delivery receipt match, the A/P clerk shall prepare a check in accordance with current vendor terms. An invoice should not be paid without a matching vendor's delivery receipt and purchase order.

(1) Check the Departmental budget and year-to-date expenditures to verify that funds are available to pay for the purchase by reviewing all outstanding Requisition Requests and expenditures and comparing the purchase amount to the remaining budgeted funds;

(2) Verify or assign program and general ledger code;

(3) Once reviewed, return the Requisition Request to the CPO or designee for processing and authorization;

(4) If the purchase price exceeds the available budget, return the Requisition Request to the Program Director. Note on the Requisition Request that funds are not available in the budget to process a Purchase Order. Inform the Cash Management Director of the action taken.

(5) If the purchase is for non-expendable, capitalized equipment, the Finance clerk (or designee) shall identify the capital equipment on both the original and the copy of the receiving document using a highlighter. The Finance clerk (or designee) shall ensure a pre-numbered Tribal decal or barcode label is issued to the recipient of the item.

(6) It shall be the responsibility of the recipient to ensure the decal is affixed to the piece of equipment in such a manner as to prohibit removal by unauthorized personnel.

(7) Upon receipt of the Finance copy of the Purchase Order and the vendor's original invoice, the Finance office shall ensure that the items are correctly charged against the specific account or Project Number for which they were purchased. Purchases shall be expensed against the proper account(s). Items purchased for re-stocking inventory shall be charged to the general ledger account for such purchases.

(d) The Receiver's Responsibilities

(1) Upon receipt of the goods, the receiver shall sign and date the vendor's delivery receipt only after verifying quantity and condition of goods received. Upon preparation, the receiver should forward the original and the signed copy of the vendor's delivery receipt (if applicable) to the Finance office. A duplicate copy of the vendor's delivery receipt should be attached to the Purchase Order and filed by the requester in the filled order's file.

(2) Over Order Quantity. If the shipment contains more products than was specified in the Purchase Order, the over shipment will be returned to the vendor at the vendor's expense.

(3) Partial Shipments. In the event of a partial shipment, the Purchase Order will be marked with the received quantity and the date by line item. A copy of the Purchase Order will be made, marked as a "Partial Shipment," and forwarded to the Finance office. The vendor's delivery receipt will then be re-filed with the Purchase Order. This process will continue until all goods are received or the order is canceled. If the order is canceled, the original request should be forwarded to the Finance office.

PAP.2.5.070 Special Circumstances

Contracts with Labor Costs - For federally funded labor contracts, a release from the CPO or designee is required to pay for a contractor billing. If progress payments are made to the vendor, then retainage shall be withheld in accordance with the procedures for federally funded labor contracts as required.

PAP.2.5.080 Final Distribution

(a) These documents shall be filed alphabetically by vendor name in the Finance Office:

(1) payment voucher, which consists of the invoice;

(A) requisition request;

(B) purchase order; and

(b) The originating department in its vendor files shall file a copy of the requisition request and vendor's delivery receipt.

Subchapter PAP.2.6 Sealed Bids

PAP.2.6.010 Formal Advertising or Formal Solicitations

(a) Construction contracts exceeding the small purchase limitation shall be awarded based on competitive sealed bidding if the following conditions are present: a complete, adequate, and realistic specification or purchase description is available; two or more responsible bidders are willing and able to compete effectively for the work; the procurement lends itself to a firm fixed price contract; and the selection of the successful bidder can be made principally on the basis of price. Sealed bidding is the preferred method for construction procurement for all construction contracts exceeding the small purchase limitation. For professional services contracts, sealed bidding should not be used.

PAP.2.6.020 Bid Documents

(a) Specifications and Estimates. The CPO must coordinate work plan specifications and estimates of the cost of the contract. The amount of detail of the cost estimate and the degree of analysis will depend on the particular complexity of the contract. The specifications shall serve as evaluative criteria at the completion of the contract, and the estimates serve as a reference for proper evaluation of the solicited bids. See "Cost and Price Analysis" section for further detail.

(b) Budget Approval. The CPO or designee shall assign a Contract Number and forward to the Compliance Officer. The Compliance Officer will approve or reject this request based on fund availability, program and account coding, and the estimated amount of contract. If funding is available, the Compliance Officer shall provide a project number to the CPO and open a file for the proposed contract. The form should then be forwarded to the Chief Financial Officer for review and approval.

(c) Wage Requirements. The CPO shall complete the request for wage rate determination form based on the specifications for labor determined above or use the adopted Tribally Determined Wage Rates.

(d) Wage Determination. If applicable, the CPO shall obtain Davis-Bacon wage-rates as determined by the Department of Labor using the request for wage rate determination form at least forty-five (45) days prior to the initial solicitation. This determination must be provided to the bidder at the time the quote is requested. For HUD related projects, the CPO must confirm the wage rates with HUD, at least ten (10) days before award of the contract (Reference 24 CFR 85.36(i)(5) and 24 CFR 1000.16).

(e) Invitation for Bids. The invitation for bids shall be prepared in the form prescribed by the Tribe. The invitations should define the goods or services for bidder to properly respond and include any specifications and pertinent attachments. The bid acceptance period shall be specified, and the bidders shall be informed that the Tribe reserves the right to reject any or all bids received.

(f) Instructions to Bidders for Contracts. The bid package shall contain the "Instructions to Bidders for Contracts" form. The CPO shall mark all places required within the instructions. The "Instructions to Bidders for Contracts" shall be used to inform interested bidders of the general bidding requirements, the responsibilities of each party, and the factors to be considered in determining the successful bidder.

(g) "Representations, Certifications, and Other Statements of Bidders" Form. For all construction contracts over $5,000, the bidder shall be required to submit a "Representations, Certifications, and Other Statements of Bidders" form with the bid. The CPO shall mark the form highlighting all required statements. If a form is not submitted with the bid, the bid may be considered incomplete and non-responsive. No contract award shall be made without a properly executed "Representations, Certifications, and Other Statements of Bidders" form.

(h) General Conditions. Provisions of the general conditions reflect federal statutes, executive orders and/or established Tribal ordinances. The Statement of General Conditions shall be included in the solicitation.

(i) Project Manual. The CPO or designee should ensure that bound construction specifications and working drawings or other description of supplies and/or services are signed by the preparer.

(j) Bid Form. Two (2) of the actual bid forms will be required to be submitted in compliance with the invitation for bids. The bidder shall be required to quote prices and specify completion or delivery date.

(k) Non-Collusive Affidavit. For all construction and equipment contracts over $50,000, the bidder shall be required to submit a "Non-Collusive Affidavit" with the bid. If the affidavit is not submitted with the bid by the low bidder, the CPO shall require submission within three (3) working days. If the affidavit is submitted after that date, the bid shall be considered non-responsive and incomplete. The contract may then be awarded to the second low bidder. No contract award shall be made without a properly executed non-collusive affidavit.

(l) Equal Opportunity for Business and Lower Income Persons. For all construction contracts over $150,000, the contractor is required to comply with the requirements that, to the greatest extent feasible, opportunities for training and employment be given to lower income residents of the project area and contracts for work in connection with the project be awarded to business concerns which are located in the area or to businesses owned in substantial part by persons residing in the area of the project.

(m) Statement for Indian Preference. All IFB's shall contain the Tribal Indian Preference Statement which delineates the Bidders responsibility toward ensuring the project, and that the contractor and all sub-contractors meet the requirements of the Indian Preference regulations.

(n) Contract Form. The contract shall be prepared by the CPO or designee, reviewed by the Tribe's Legal Department and approved by the TGB. Signature by the Tribal Chairman or designee shall signify approval by the TGB.

(o) Insurance Requirements. Before the notice to proceed is authorized, the contractor and each subcontractor shall furnish the CPO with certificates of insurance, which demonstrate that the insurance requirements are in force and will insure all operations under the contract. Insurance requirements must be in accordance with the "General Conditions" document and the contract. All insurance shall be carried with companies, which are financially responsible and authorized to do business in the Tribes service area. The Chief Finance Officer shall verify the insurance company is acceptable to the TGB. The CPO shall notify the contractor to stop work if the required insurance coverage is not in force at the time the work begins or if the coverage expires before the work is accepted. The CPO shall also notify the contractor that any such work stoppage is an infraction of the contract and that the contractor is liable for any losses or delays.

PAP.2.6.030 Solicitation for Bids

(a) General. Once the bid documents and/or specifications have been approved, the Procurement Department shall prepare a copy of the invitation to bid, with a request for publication, along with the bid packages to be disbursed. The Procurement Department shall number sequentially each copy of the bid package for control purposes.

(b) Restricting Solicitations. The invitation may be restricted to qualified Indian-owned economic enterprises and Indian organizations if the Tribe has reasonable expectation of receiving the required minimum number of responsive bids. The Tribe shall solicit bids from non-Indian as well as Indian-owned economic enterprises and Indian organizations if: (1) the TGB decides not to restrict the solicitation; (2) an insufficient number of qualified Indian-owned economic enterprises or organizations submit responsive bids in response to the solicitation; or (3) a single bid is not acceptable.

(c) Pre-bid Conference. The Chief Procurement Officer (CPO) may hold pre-bid conferences to inform the bidders about the requirements of the scope of work and also give a walk-through of the project. Attendance to the pre-bid conference may be made mandatory.

(d) Publication. The Chief Procurement Officer (CPO) shall give full opportunity for open and competitive bidding by publishing the invitation for bids at least twice for two (2) consecutive weeks in local newspapers, trade publications, the tribal newsletter, or on the tribal website. The CPO shall also extend an invitation to known potential vendors.

(e) Bid Period. Emergencies as certified by the CPO or designee are not required to be advertised and are considered non-competitive procurements. The invitation for bids shall be first published not less than ten (10) days prior to the date specified for public bid opening. However, if an addendum is issued, the CPO shall consider the magnitude of change and allow at least five (5) working days as an extension to the date specified for public opening.

(f) Methods for Soliciting Bids. For the purpose of soliciting bids, the following methods may be used:

(1) Advertisement placed in a newspaper of general circulation, in the project area. The advertisement shall run in the legal section for a period, at minimum, of twice for two consecutive weeks, thus allowing firms adequate time for preparation of bids;

(2) Advertisement placed in the tribal newsletter;

(3) Advertisement posted on the tribal website; and

(4) Advertisement at designated plans review centers.

(g) Plans Fee. The Finance Office may require a plan fee for each bid package in an amount that is determined by the CFO and is based on local practice. The fee should at least be sufficient to offset the cost of reproducing the bid package. A fee is not required for bid packages issued to plan centers. All checks or drafts shall be made payable to the Tribe and may be nonrefundable.

(h) Alternate Bids. The Procurement Department may request alternate bids (e.g., two different structural systems) or specify the most expensive system as the base bid and list additive or deductive alternates in priority order. In the event that the bids are higher than the cost estimates (i.e. which may result in a budget overrun), the Tribe may choose an alternate bid which is equal to or less than the available funds.

(i) Addendum to Bid Package. The Procurement Department shall issue changes to the standard bid package in the form of an addendum. The CPO shall not interpret the meaning of bid documents except by addendum. Each addendum shall be numbered sequentially by the Purchasing Department who will provide a copy to each bidder of record to each place where bidding documents are on file and, if necessary, to the funding agency (when the CPO is required to submit construction and bid documents before advertisement). The addendum also shall specify, if applicable, the revised deadline date for submission of bids. If the Addenda is issued within five (5) working days of the date of the bid submission date, the bid closing date shall be moved at least five (5) days from the date of the issued Addenda.

(j) Control Record. The CPO shall maintain a record of all bidding documents. This record shall identify the following for each individual or firm that requested a bid package: the bid package control number; the name of the company; the address and telephone number of the company; the contact person; the date and time of bid package receipt; the number of any addendum sent to the company and the date sent; the amount and date of any deposits received; and the date the bidder (i.e. contact person) was notified as to the successful low bidder.

PAP.2.6.040 Bid Opening and Evaluation

(a) Restricted Solicitations. If the solicitation is restricted to Indian-owned economic enterprises and organizations, and two or more (or a greater number determined by the CPO and stated in the invitation) qualified Indian-owned economic enterprises or organizations submit responsive bids, award shall be made to the qualified enterprise or organization with the lowest responsive bid. If equal low bids are received, drawing lots or similar random method shall make award, unless otherwise provided by Tribal law. If fewer than the minimum number of qualified Indian-owned economic enterprises or organizations submit responsive bids, all bids shall be rejected, and the Tribe shall cancel the solicitation and re-solicit, inviting bids from non-Indian as well as Indian-owned economic enterprises and organizations. The Tribe may accept a single bid received from a responsible bidder, in unusual circumstances (i.e. the Tribe determines that the delays caused by re-solicitation would result in higher construction costs and the bid is considered fair and reasonable based on the cost or price analysis prepared by the Tribe.

(b) Unrestricted Solicitations. If the solicitation is not restricted to Indian owned economic enterprises and organizations, award shall be made to the qualified Indian owned economic enterprise or organization with the lowest responsive bid, if that bid is within the maximum total contract price established for the specific project or activity being solicited and the bid is within the range specified in the policy statement. If equal low bids are received from qualified Indian owned economic enterprises or organizations, award shall be made by drawing lots or similar random method, unless otherwise provided in Tribal law. If no responsive bid by a qualified Indian owned economic enterprise or organization is within this range, award shall be made to the lowest responsive bidder after applying any additional Indian Preference requirements or procedures described in this ordinance.

(c) Bid Opening. Upon receipt of each bid, the Procurement Department shall mark the date and time on the envelope and keep it unopened in a secure place. At the date and time specified in the invitation for bids, the bids shall be opened in public and read aloud by the CPO with an additional TGB representative present. The CPO or designee shall record all bids on a spreadsheet, copies of which will be forwarded to the Executive Director and the Finance Department along with the bids.

(d) Securing Certified Checks. The Finance Department will secure all certified or cashier's checks in the safe. The use of a facsimile machine to communicate the bids to the Tribe is not considered acceptable when sealed bids are requested.

(e) Late Bids. Any bids received after the date and time specified in the invitation for bids shall be returned unopened to the bidder with a letter indicating that the bid was not received by the deadline.

(f) Bid Rejection or Withdrawal. After the public opening, the CPO may allow a bidder to withdraw a bid only if it is apparent that the bidder has made a mistake.

(g) Withdrawal. If a bidder seeks to withdraw a bid before the end of the bid acceptance period or the execution date of the contract, whichever is earlier, the CPO shall secure the following before approving or disapproving the withdrawal request: A notarized statement from the bidder indicating that an error was made with an explanation of how it occurred; and a copy of the bidder's cost estimating worksheets or other evidence provided by the bidder in support of the withdrawal request. The CPO shall inform the Tribe's legal department of the withdrawal decision.

(h) Rejection. The CPO shall reject any bid that is incomplete (i.e. the bid bond is not submitted with the bid or the bid fails to conform to the essential items of the invitation for bids). If the Tribe proposes to reject the lowest bidder for reasons other than an incomplete bid, the Tribe shall give the bidder an opportunity, within a time specified in the bid documents, to delete objectionable conditions from a bid only if the conditions do not concern the substance of the bid (such-as the price, quantity, quality, or delivery of items offered). After a specified time, the Tribe shall make a final decision on whether or not to reject the offer.

(i) Bidder Notification. The CPO shall notify the bidder, no later than the specified bid holding period, as to whether the withdrawal request has been approved or disapproved or whether the bid has been rejected. If appropriate, the CPO also shall return the bid bond to the bidder.

(j) Rejection of All Bids. The CPO may decide to reject all bids. Possible reasons may include the following: the bids received were higher than the funds available to procure the contract or none of the bids received met the bid requirements (i.e. technically).

(k) Reasons for Rejection. The TGB, and the Chief Procurement Officer shall review the bids received to determine the reason that the contract cannot be awarded. The purpose of this review is to ascertain that:

(1) The bid amount exceeds the approved budget amount;

(2) The bids are unreasonably high due to unusual circumstances affecting construction in the applicable market area;

(3) The project is over-designed; or

(4) The award cannot be made for other identified causes. If only one responsive bid is received from a responsible bidder, award shall not be made unless a cost or price analysis verifies the reasonableness of the price.

(l) Over-design. If it is determined that the high bids are due to project over-design, the CPO and the architect shall identify design modifications that would likely result in lower bids. The architect shall be held responsible for making any design modifications under the terms of the architect's contract.

(m) Invitation for Bids. Upon the approval of the revised construction documents, the CPO shall be authorized to issue a subsequent invitation for bids.

(n) Re-Solicitations. May be re-bid for a shorter period of time, but no less than twenty-one (21) days.

(o) Bid Protests. See Appeals & Remedies section of this ordinance.

(p) Award. The Chief Procurement Officer (CPO) shall provide the Chief Financial Officer (CFO) with a bid spreadsheet and the file containing the documentation for the bid that the CPO proposes to accept. A checklist should contain a list of required documents to award the contract.

(q) General Requirements. After bid opening, the CPO shall perform the following procedures:

(1) When prior funding agency review and approval are required before contract award, submit the following documents to the funding agency:

(A) The bid spreadsheet, certified to completeness by the CPO and identifying the following for each bid received:

(i) The name and address of the bidder;

(ii) The amount of the bid;

(iii) The amounts of any alternates; and

(iv) The amount and type of bid bond.

(B) The bid documents for the proposed award, including a copy of the bid bond and the non-collusive affidavit.

PAP.2.6.050 Contract Award

(a) Notice of Award. The Chief Procurement Officer or designee shall prepare a notice of award letter and forward it to the Tribal Chairman or designated representative. If acceptable, the Tribal Chairman or designated representative shall sign the notice of award letter and return it to the CPO for processing. The CPO must request that the contractor provide the assurance of completion (bonding) in the amount identified in the bid (and as specified in the general conditions of the contract). Before executing the contract, the CPO shall ensure that the assurance of completion meets the requirements of the TGB.

(b) Distribution of Executed Documents. The Finance Office shall retain one (1) original copy of the performance and payment bond (or other assurance), the power of attorney, and a signed set of the contract documents for its files. The CPO shall retain the contractor's copy for attachment to the Tribe's notice to proceed.

(c) Pre-construction Conference Minutes. If a pre-construction meeting is held, the minutes of the meeting and a list of attendees shall be prepared and kept in the Vendor file. The CPO should review the minutes.

(d) Notice to Proceed. The CPO shall prepare two (2) original copies of the notice to proceed to be issued to the contractor together with the contractor's set of the executed contract documents. The notice to proceed is the official Tribal order directing the contractor to start work. For all federally assisted labor contracts, work is not allowed to begin until the notice to proceed has been issued and signed by all required parties. The date of completion is counted from the date of the notice to proceed. The contractor shall be requested to sign the notice to proceed, designating receipt and acceptance, and return the signed original to the TGB. The signed original is to be kept in the Vendor file. A copy shall be sent to the Department of Labor for all federally funded contracts involving labor over five thousand dollars ($5,000).

(e) Assurance of Completion. For construction contracts more than one hundred and fifty thousand ($150,000) dollars, each contractor shall be required to provide bid guarantees and adequate assurance of performance and payment acceptable to the Tribe. The following methods may be used to provide performance and payment assurance:

(1) A bid guarantee from each bidder equivalent to five percent of the bid price. The "bid guarantee'' shall consist of a firm commitment such as a bid bond, certified check, or other negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of his bid, execute such contractual documents as may be required within the time specified.

(2) A performance bond on the part of the contractor for one hundred percent (100%) of the contract price. A "performance bond'' is one executed in connection with a contract to secure fulfillment of all the contractor's obligations under such contract.

(3) A payment bond on the part of the contractor for one hundred percent (100%) of the contract price. A "payment bond'' is one executed in connection with a contract to assure payment as required by law of all persons supplying labor and material in the execution of the work provided for in the contract.

(f) Use of a Surety. If the contractor uses a surety company, the surety must be a guarantee or surety company acceptable to the government. U.S. Treasury Circular No.570, entitled Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring Companies, is published annually in the Federal Register. This circular lists companies approved to act as a surety on bonds securing government contracts. It also provides the maximum underwriting limits on each contract bonded, and the states in which each company is licensed to do business. The Tribe must refer to this circular when a surety is used. The circular can be obtained by contacting the Surety Bond Branch of the Financial Management Service (Department of the Treasury).

(g) For all Construction contracts, the Tribe's Legal Department will ensure the contract contains the following provisions:

(1) Compliance with Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60). (All construction contracts awarded in excess of $10,000)

(2) Compliance with the Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3). (All contracts and subgrants for construction or repair)

(3) Compliance with the Davis-Bacon Act (40 U.S.C. 276a to 276a-7) as supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts in excess of $5000 awarded by grantees and subgrantees when required by Federal grant program legislation)

PAP.2.6.060 Competitive Proposals

(a) Competitive Proposals. Competitive proposals (including turnkey proposals for development) may be used if there is an adequate method of evaluating technical proposals and an adequate number of qualified sources to be solicited; and when the Tribe determines that conditions are not appropriate to use the sealed bidding procurement process (i.e. there is not a complete, adequate, and realistic specification or purchase description available and selection of the successful bidder cannot be made principally on the basis of price).

(b) Architect/Engineer Services. Architect/engineering services may be obtained by either the competitive proposal process or qualifications-based selection procedures. Sealed bidding, however, shall not be used to obtain architect/engineer services. Under qualifications-based selection procedures, a competitor's qualifications are evaluated and the most qualified competitor is selected, subject to the negotiation of a fair and reasonable contract amount. Price is not used as a selection factor under this method.

(c) Qualifications. Qualifications based selection procedures shall not be used to purchase other types of services (even though architect-engineer firms are potential sources).

(d) Procedures. Procedures for management improvement contracts and other professional services utilizing competitive proposals.

PAP.2.6.070 Determination of Need

The CPO working in cooperation with the TGB shall determine the need for management improvements and other professional services.

(a) Solicitation. The Tribe shall prepare a request for proposal (RFP), which clearly identifies the relative importance of price and other evaluation factors and sub factors on the award decision (i.e. the weight given to each technical factor and sub factor). A mechanism for fairly and thoroughly evaluating the technical and price proposals shall be established by the Tribe before the solicitation is issued. Proposals shall be handled so as to prevent disclosure of the number of offers, identity of the offers, and the contents of the proposals. The proposals shall be evaluated only on the criteria stated in the RFP solicitation.

(b) Evaluation Factors.

(1) The RFP for the procurement of management improvement contracts and other professional services shall include evaluation factors that clearly identify the criteria that are going to be used in the award decision. The proposals shall be evaluated only on the criteria stated in the request for proposal. Such determining factors may include Indian Ownership, Indian training and employment opportunities, availability of materials, ability to meet the delivery schedule, shipping methods, price, etc. When this method is used, prior to the issuance of the solicitation, scoring criteria shall be developed, as part of the solicitation packet, which outlines the criteria and their respective weights that will be used to determine contract award.

(2) The scoring criteria shall be made an integral part of the RFP packet that is distributed to an adequate number of possible respondents.

(1) The request for proposal (RFP) may be restricted to qualified Indian-owned economic enterprises and Indian organizations if the Tribe has a reasonable expectation of receiving offers from two (or a greater number stated in the RFP) such entities.

(2) The Tribe shall solicit proposals for non-Indian as well as Indian-owned economic enterprises and Indian organizations if:

(A) The TGB prefers not to restrict the RFP;

(B) There are an insufficient number of qualified Indian-owned economic enterprises or Indian organizations to be able to satisfactorily respond to a restricted RFP; or

(d) Preparation of Request for Proposal.

(1) The Procurement Department of the Tribe shall prepare the RFP. The RFP shall at least contain the following information:

(A) A brief description of the Tribe and the project contemplated;

(B) The specific professional services required;

(D) The evaluation factors and their relative importance in the award of the contract;

(E) The submission deadline; and

(F) The name of Tribe's contact person.

(2) The RFP shall request that the respondent provide a proposal that:

(A) Demonstrates an understanding of the required services needed and the firm's or individual's ability to perform the services in a timely and effective manner (including a profile of the firm's principles, staff and facilities);

(B) Provides a cost estimate to perform the work; and

(e) Advertisement of RFP. The Procurement Department shall advertise the RFP through public announcement in local newspapers, trade publications, the Tribal newsletter, the tribe's website, or direct requests to qualified respondents in the Tribe's files which the Tribe or other authorities have previously retained, and/or direct requests to local associations of minority respondents. The advertisement shall run for a period of 2 weeks thus allowing firms adequate time for preparation of bids or proposals. The CPO shall furnish all interested parties with a copy of the RFP.

(f) Pre-Proposal Conference. The CPO may hold pre-proposal conferences to inform the proposers about the requirements of the scope of work and also give a walkthrough of the proposed project, if applicable.

(g) Addendum to RFP. The Procurement Department shall issue changes to the standard RFP package in the form of an addendum. The CPO shall not interpret the meaning of RFP documents except by addendum. Each addendum shall be numbered sequentially by the Procurement Department who will provide a copy to each proposer of record to each place where RFP documents are on file. The addendum also shall specify, if applicable, the revised deadline date for submission of proposals. If the Addenda are issued within 5 working days of the date of the RFP submission date, the RFP closing date shall be moved at least 5 days or as otherwise determined by the Tribe from the date of the issued Addenda.

(h) RFP Submission Date.

(1) Upon receipt of each proposal, the Procurement Department shall mark the date and time on the envelope and keep it unopened in a secure place. At the date and time specified in the Request For Proposals, it shall be noted that the time for submission has occurred and a list of firms submitting proposals shall be compiled for the public record, copies of which will be forwarded to the CPO and the Finance Department along with the proposals.

(2) Any RFP's submitted after the date and time specified in the Request for Proposals shall be date and time stamped and returned, unopened, to the Proposer with a letter indicating that the proposal was not received by the deadline.

(i) Review of Proposals Received.

(1) After the request period has ended, the CPO or designee will perform a completeness review of all proposals received utilizing a checklist made up of items listed under the "Minimum Submission Requirement" section of the RFP. Dependent on the necessity of the document requested, to the RFP, any omissions may render the proposal incomplete and therefore non-responsive. Once the review has been completed, the CPO or designee shall notify the TGB and the Tribes Legal Department of the results, select the review committee and schedule the pre-review conference to discuss the technical review process, the evaluation factors and the objective of the resultant contract award.

(2) The review committee shall independently review all proposals in accordance with the Evaluation Factors for the RFP. Each reviewer shall score each proposal in accordance with the rating points established for each evaluation factor and sub factor. Once all members of the review committee have completed the review of all proposals, the committee will meet to review and discuss the results of the scoring. Based on final discussion, the proposals shall be ranked with the firm receiving the most points as the "Top Ranked Firm" for that RFP.

(j) Negotiations.

(1) Unless there is no need for negotiations with any of the offers, negotiations shall be conducted by the Procurement Department with offertory who submit proposals determined to have a reasonable chance of being selected for award, based on an evaluation against the technical and price factors as specified in the RFP. Such offers shall be accorded fair and equal treatment with respect to any opportunity for negotiation and revision of proposals. The purpose of the negotiations shall be to seek clarification of TGB questions and, if considered appropriate, advise the offeror of deficiencies in both the technical and price aspects of their proposals that may impact the offertory full understanding of; and conformance to, the solicitation requirements. No offeror shall be provided information about any other offeror's proposal, and no offeror shall be assisted in bringing its proposal up to the level of any other proposal. Offertory shall not be directed to reduce their proposed prices to a specific amount in order to be considered for award.

(2) A common deadline shall be established for receipt of proposal revisions during the negotiations. The Contracting Department shall determine if all required forms and/or documents are included in the submitted proposals.

(k) Award.

(1) After evaluation of the proposals (and any revisions), the contract shall be awarded to the responsible firm whose qualifications, price, and other factors considered are the most advantageous to the Tribe. The Tribe shall not order or agree to any changes in the contract work when prior funding agency approval is required. Contract changes shall include a description of the proposed change in work, the fixed cost (credit, debit or no change) of the change, and an estimate of any additional time required to complete the work.

(2) For solicitations restricted to qualified Indian-owned economic enterprises and Indian organizations, if two (or a greater number stated in the RFP) such entities submit acceptable proposals, award shall be made to the qualified Indian-owned economic enterprise or Indian organization with the best proposal, provided that the price is within the maximum total price established for the specific project or activity.

(3) If fewer then the number of Indian-owned economic enterprises or Indian organizations submits acceptable proposals, the Tribe should consider re-soliciting the RFP without restriction to qualified Indian-owned economic enterprises and Indian organizations. The Tribe may accept the sole proposal received, subject to HUD approval regarding HUD projects, in unusual circumstances (such-as when the Tribe determines that the delays caused by re-soliciting the RFP would cause higher costs or when the Tribe determines that the proposal has a fair and reasonable price.

(l) Contract Review and Approval.

(1) Once the Procurement Department has reviewed and approved the RFP process and award, it will prepare a contract which contains the following:

(A) A clear statement of the specific services and tasks to be performed;

(B) A description of the methodology to be used in carrying out the services;

(D) A time frame for completion of all services;

(E) A payment schedule that is related to the successful completion of specific tasks; and

(F) The total cost of the project.

(m) Abandonment or Termination.

(1) In the event of abandonment of the project or termination of the contract for any cause, under the respective sections of the contract, the terms of any settlement between the Tribe and the service provider shall be subject to approval by the TGB or designee.

(2) The Tribe shall not disburse any monies to the service provider after the notice of abandonment or termination has been issued and the funding agency (if required) have approved the settlement agreement.

PAP.2.6.080 Non-Competitive Procurement Proposals

(a) Conditions for Use. Procurements shall be conducted competitively to the maximum extent possible. However, procurement by noncompetitive proposal may be used when the award of a contract is not feasible using small purchase procedures, sealed bids, or competitive proposals, and one of the following applies:

(1) The item is available only from a single source based on a good faith review of available sources;

(2) An emergency exists that seriously threatens the public health, welfare, or safety, or endangers property, or would otherwise cause serious injury to the Tribe, as may arise by reason of a flood, earthquake, epidemic, riot, equipment failure, or similar event. In such cases, there must be an immediate and serious need for supplies, services or construction such that the need cannot be met through any other procurement methods. Note: The emergency procurement shall be limited to those supplies, services, or construction necessary to meet the emergency. In cases where labor is involved, Davis-Bacon wage or Tribally determined wage rates will apply and a determination has to be acquired if the amount of the work is over the $5,000 threshold;

(3) HUD authorizes the use of noncompetitive proposals for HUD funded projects; or

(4) After solicitation of a number of sources, competition is determined inadequate.

(b) Justification. Each procurement based on noncompetitive proposal shall be supported by a written justification for using such procedures. The justification shall be documented in writing by the Chief Procurement Officer and reviewed by the Tribe's Legal Department prior to processing by the CPO.

(c) Price Reasonableness. The reasonableness of the price for all procurements based on noncompetitive proposals shall be determined by performing a cost analysis, as described under the "Cost and Price Analysis" chapter below.

Subchapter PAP.2.7 Cost and Price Analysis

PAP.2.7.010 Cost or Price Analysis

(a) A cost or price analysis shall be performed for all procurement actions (including contract modifications). The degree of analysis shall depend on the facts surrounding each procurement. The method of analysis shall be determined based on the criteria listed below.

(1) Submission of Cost or Pricing Information.

(A) A cost analysis will be necessary when adequate price competition is lacking, and for sole source procurements, including contract modifications or change orders, unless price reasonableness can be established on the basis of a catalog or market price of a commercial product sold in substantial quantities to the general public or based on prices set by law or regulation. A price analysis will be used in all other instances to determine the reasonableness of the proposed contract price.

(B) The CPO or designee will negotiate profit as a separate element of the price for each contract in which there is no price competition and in all cases where cost analysis is performed. To establish a fair and reasonable profit, consideration will be given to the complexity of the work to be performed, the risk borne by the contractor, the contractor's investment, the amount of subcontracting, the quality of its record of past performance, and industry profit rates in the surrounding geographical area for similar work.

(C) Costs or prices based on estimated costs for contracts under grants will be allowable only to the extent that costs incurred or cost estimates included in negotiated prices are consistent with Federal cost principles. Grantees may reference their own cost principles that comply with the applicable Federal cost principles.

(2) The cost-plus a percentage of cost and percentage of construction cost methods of contracting shall not be used.

(3) A comparison of prices shall be used in all cases other than those described in cost analysis above.

Subchapter PAP.2.8 Cancellation of Solicitations

PAP.2.8.010 Cancellation

(a) An invitation for bids, request for proposals, or other solicitation may be canceled before offers are due if:

(1) The Tribe no longer requires the supplies, services or construction;

(2) The Tribe can no longer reasonably expect to fund the procurement; or

(3) The proposed amendments to the solicitation would be of such magnitude that a new solicitation would be desirable.

(b) A solicitation may be canceled and all bids or proposals that have already been received may be rejected if:

(1) The supplies, services, or construction are no longer required;

(2) Ambiguous or otherwise inadequate specifications were part of the solicitation;

(3) The solicitation did not provide for consideration of all factors of significance to the Tribe;

(4) Prices exceed available funds and it would not be appropriate to adjust quantities to come within available funds;

(5) There is reason to believe that bids or proposals may not have been independently arrived at in open competition, may have been collusive, or may have been submitted in bad faith; or

(6) For good cause of a similar nature when it is in the best interest of the Tribe.

(c) The reasons for cancellation shall be documented in the procurement file. The Tribe shall also provide the reasons for cancellation and/or rejection upon request to any offeror solicited.

(d) A notice of cancellation shall be sent to all offers solicited, which if appropriate, shall explain that they will be given an opportunity to compete on any re-solicitation or future procurement of similar items.

(e) If all otherwise acceptable bids received in response to an invitation for bids are at unreasonable prices, or only one bid is received and the price is unreasonable, the Tribe shall cancel the solicitation and either:

(1) Re-solicit using a request for proposal; or

(2) If only one bid is received at an unreasonable price, the Tribe may consider using the noncompetitive proposals method.

Subchapter PAP.2.9 Cooperative Purchasing

PAP.2.9.010 Agreements

(a) The Tribe may enter into state, regional and local intergovernmental agreements to purchase or use common goods and services. The decision to use an intergovernmental agreement or conduct a direct procurement shall be based on economy and efficiency. If used, the intergovernmental agreement shall stipulate who is authorized to purchase on behalf of the participating parties and shall specify inspection, acceptance, termination, payment, and other relevant terms and conditions.

(b) The Tribe encourages the use of federal or state excess and surplus property instead of purchasing new equipment and property whenever such use is economically feasible and reduces costs.

Subchapter PAP.2.10 Contracts, Clauses, and Solicitation

PAP.2.10.010 Contract Categories

(a) Any type of contract which is appropriate to the procurement and which will promote the best interests of the Tribe may be used, provided that the cost plus a percentage of cost and percentage of construction cost methods are prohibited.

(b) All procurements shall include the clauses and provisions necessary to define the rights and responsibilities of the parties. A cost reimbursement contract shall not be used unless it is likely to be less costly or it is impracticable to satisfy the Tribe's needs otherwise.

(c) A time and materials contract should only be used if a written determination is made that no other contract type is suitable, and the contract includes limits or prices that the contractor exceeds at its own risk.

PAP.2.10.020 Options

(a) Options for additional quantities or performance periods may be included in contracts, provided that:

(1) The option is contained in the solicitation;

(2) The option is a unilateral right of the Tribe;

(3) The contract states a limit on the additional quantities and the overall term of the contract;

(4) The options are evaluated as part of the initial competition;

(5) The contract states the period within which the options may be exercised;

(6) The options may be exercised only at the price specified in or reasonably determinable from the contract; and

(7) The options may be exercised only if determined to be more advantageous to the Tribe than conducting a new procurement.

PAP.2.10.030 Specifications

(a) General.

(1) All specifications shall be drafted so as to promote overall economy for the purposes intended and to encourage competition in satisfying the Tribe's needs. Specifications shall be reviewed prior to solicitation to ensure that they are not unduly restrictive or represent unnecessary or duplicative items.

(2) Functional or performance specifications are preferred. Detailed product specifications should be avoided whenever possible.

(3) Consideration shall be given to consolidating or breaking out procurements to obtain a more economical result. For equipment purchases, a lease versus purchase analysis should be performed to determine the more economical form of procurement.

(b) Avoided Limitations.

(1) Geographic restrictions not mandated or encouraged by applicable federal law (except for architect-engineer contracts, which may include geographic location as a selection factor if adequate competition is available);

(2) Unnecessary bonding or experience requirements;

(3) Brand name specification (unless a written determination is made that only the identified item will satisfy the Tribe's needs; and

(4) Brand name or equal specifications (unless they list the minimum essential characteristics and standards to which the item must conform to satisfy its intended use). Nothing in this procurement ordinance shall preempt any applicable licensing laws. Specifications shall be scrutinized to ensure that organizational conflicts of interest do not occur (for example, having a consultant perform a study of the Tribe's computer needs and then allowing that consultant to compete for the subsequent contract for the computers).

PAP.2.10.040 Contract Provisions

(a) Contract and Subcontract Clauses shall include the following:

(1) A implementing Section 7(b) and (c) of the Indian self-determination and Education Assistance Act in connection with the development or operation of Tribal programs;

(2) The ground for termination of a contract or the imposition of penalties for improper subcontracting or false certification as to subcontracting with Indian enterprises or organizations; and

(3) HUD Contracts and subcontracts should also contain the clauses included in 24 CFR 85.36(i).

PAP.2.10.050 Solicitation Notices

(a) Solicitation notices shall include at least the following information:

(1) A statement of the applicability of Indian preference to the solicitation and a time before the due date for offers by which offers must submit evidence of eligibility for Indian preference;

(2) The Indian preference guidelines stated in Appendix A;

(3) Information as to whether the Tribe maintains lists of Indian-owned economic enterprises and Indian organizations by trade specialty which are available to contractors and subcontractors for use in meeting Indian preference responsibilities;

(4) A requirement that offertory provide a statement describing how they will provide Indian preference in subcontracting, training, and employment, including the number or percentage of Indians to be employed and trained;

(5) The Tribe's description of the information to be submitted on Indian preference;

(6) The factors that the Tribe will use in judging the adequacy of the Indian preference information submitted;

(7) A statement that failure to submit the required Indian preference statements on subcontracting, training, and employment shall be grounds for rejection of the offer;

(8) A requirement that each contractor and subcontractor submit a certification and supporting evidence to the Tribe whenever it is not feasible to provide Indian preference in subcontracting;

(9) For request for proposals that are not restricted to Indian-owned economic enterprises of Indian organizations, the percentage of number of points set aside for Indian preference and the method for allocating these points;

(10) A requirement in unrestricted RFP's that subcontractors using request for proposals solicit subcontractors by reserving up to 15% of the available rating points for Indian preference in subcontracting and the criteria to be used in evaluating subcontractor proposals; and

(11) A requirement that offertory submit a list of core crew employees with their offers, and that contractors and subcontractors are required to provide preference to the greatest extent feasible by hiring qualified Indians in all positions other than core crew positions.

PAP.2.10.060 Monitoring and Remedies

The Tribe shall monitor the implementation of Indian preference in its contracts, subcontracts, training, and employment, and take appropriate remedial action (including cancellation of contracts and assessment of penalties) to ensure compliance.

Subchapter PAP.2.11 Appeals and Remedies

PAP.2.11.010 General

It is the Tribe's policy to resolve all procurement or contractual issues informally at the Tribal Administrative level without litigation. When appropriate, the Tribe may consider the use of informal discussions between the parties by individuals who did not participate substantially in the matter in dispute to help resolve any differences.

PAP.2.11.020 Bid Protests

(a) Any actual or prospective individual or contractor may protest the solicitation or award of a contract for serious violations of the principles of this Ordinance.

(b) Any protest against a solicitation must be received before the due date for receipt of bids or proposals, and any protest against the award of a contract must be received within five (5) calendar days after contract award, or the protest will not be considered.

(c) All bid protests shall be in writing, submitted to the Chief Procurement Officer, who shall issue a written decision on the matter.

(d) The CPO may, at his or her discretion, suspend the procurement pending resolution of the protest, if warranted by the facts presented.

PAP.2.11.030 Protests Involving Indian Preferences

Complaints arising out of any of the methods of providing for Indian preference shall be handled in accordance with this ordinance.

Subchapter PAP.2.12 Ethics in Procurement

PAP.2.12.010 General

The Tribe shall adhere to the following code of conduct that shall be consistent with applicable laws.

PAP.2.12.020 Conflict of Interest

(a) In the procurement of supplies, equipment, other property, construction and services by recipients and sub-recipients, no employee, officer or agent of the Tribe shall participate directly or indirectly in the selection or in the award or administration of any contract if a conflict, real or apparent, would be involved. Such conflict would arise when a financial or other interest in a firm selected for award is held by:

(1) An employee, officer or agent involved in making the award, either currently employed or within one year after employment or service of the Tribe;

(2) A relative (including father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother- in- law, sister- in- law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother, or half-sister);

(3) A business partner; or

(4) An organization which employs, is negotiating to employ, or has an arrangement concerning prospective employment of any of the above.

PAP.2.12.030 Gratuities, Kickbacks, and Use of Confidential Information

The TGB, employees or agents of the Tribe shall not solicit or accept gratuities, favors, or anything of monetary value from contractors, potential contractors, or parties to subcontracts, and shall not knowingly use confidential information for actual or anticipated personal gain.

PAP.2.12.040 Prohibition Against Contingent

Contractors shall not retain a person to solicit or secure a Tribe contract for a commission, percentage, brokerage, or contingent fee, except for bona fide employees.

Subchapter PAP.2.13 Property and Equipment Inventory

PAP.2.13.010 Property and Equipment Inventory Policy

The Tribe shall establish an inventory of all property and equipment consistent with this subchapter. The Tribe's inventory of all property and equipment will be maintained. The inventory document will contain sufficient information for insurance and grant requirements.

PAP.2.13.020 Property and Equipment Database Maintenance

(a) The Chief Procurement Officer will maintain the database of all property and equipment owned by the Tribe. The database will include: tag number, description, serial number, acquisition date, cost, vendor, location, source of funding and conditions, and any grant or other restrictions.

(b) All equipment valued over $5,000 will have a tag affixed with a unique identifying number.

(c) The property and equipment database will be consulted prior to the sale of any item to determine if there are restrictions. Grant purchase equipment may generally not be sold without the grantor's permission.

(d) A biennial inventory shall be taken by the each Department Director to verify the existence of the property and equipment listed in the database.

(e) Equipment will be included in the database using the definitions for capitalization found in Section PAP.2.13.050 of this manual.

PAP.2.13.030 Basic Principles Property and Equipment Management System

(a) Location of Records. All records pertaining to this system shall be located in the accounting office. Forms for this system are illustrated in Appendix C – Sample Accounting Forms and are as follows:

(1) Additions of Property Inventory. This form serves as the asset record for each item of equipment acquired. This form is generated by the custodian of purchased equipment. The Chief Procurement Officer is responsible for maintaining the property management system and the recording of general fixed assets in the system. The Chief Procurement Officer shall use this form to document the addition of property, equipment, or inventory.

(2) Property Inventory Data Sheet. These forms are used for taking the bi-annual physical inventory. This form, completed by each Department Director, provides custodian, description, condition and location of all property and equipment. Also, it is periodically updated as to the condition and location of property and equipment. A review of property and equipment should be carried out at least on a yearly basis by the Chief Procurement Officer, or designee.

(3) Property Disposition Authorization. This form is to be used to authorize the sale, trade-in or scrapping of any piece of property. This form, completed by the Custodian, provides reason for disposal, description, condition and location of all property and equipment. All disposals require the approval of the Department Director, and authorization of the Chief Procurement Officer. As required by law, the Department Director shall also obtain the approval of their granting agency for the disposal of any property purchased with funds from a granting agency.

(4) Transfer of Property. This is used to trace the movement of an asset from one department or location to another. This form, completed by the Custodian, provides reason for transfer, description, condition and location of all property and equipment. All transfers require the Department Director, and authorization of the Chief Procurement Officer. Forms should be filled out when an employee terminates employment or a new employee joins the Tribe.

(b) Location Units.

(1) Property location units shall be established for the Tribe to provide control and accountability of property items. The location unit will be identified and clearly assigned on the "Addition of Property Inventory" form when an item of equipment is acquired.

(2) Location units shall be based on physical areas or functional responsibility. These areas shall be defined by the Department Directors. The Department Directors shall also identify those individuals who will be responsible for the property located in a particular location unit. These individuals will be referred to as "Custodians."

(1) The data base is the backbone of the property management system. The sole purpose of all of the forms and procedures used in this system is to keep the information in the data base accurate and up to date.

(2) The data base contains the following information of each item or property:

(A) Description of the item;

(B) Identification tag number;

(D) Date of disposition;

(E) Serial number and or model number of the item;

(F) Program (source of funds for the purchase of the item);

(G) Department location classification;

(H) Whether the item is owned or leased;

(I) Cost of / or estimated value;

(J) Federal funds used to acquire the asset; and

(K) If applicable the sales price and whether or not the item is insured.

(L) Condition

(3) The totals from the data base will be reconciled with the current period financial statements and the general fixed assets account group on an annual basis by the Chief Procurement Officer.

(d) Property Register.

(1) The "Property Register" is a report generated from the information contained in the data base. This report can present this information in any format required by management simply by changing the sort orders. The information on the "Property Register" is used to:

(A) Account for all identification numbers;

(B) Provide for a method for locating an identification number in the equipment record files;

(D) Provide an accounting record for each item of equipment owned, leased or disposed of per the property procedure manual;

(E) Provide cumulative dollar values which should correspond with the general ledger balances;

(F) Assure that all items determined to be insured, are insured and that the organization is not paying insurance for items that it does not own or items that have been sold, traded, or disposed of.

(e) Filing and Retention of Property Inventory Records. Asset records shall be retained and maintained by the accounting office. They shall be filed by each Department Director. When an equipment item is disposed of, the asset record shall be retained for three (3) years after the audit report has been issued.

PAP.2.13.040 Responsibility for Operation of System

The equipment inventory system shall be operated and maintained by the Chief Procurement Officer, who shall be responsible for the installation of the system and its proper operation. The Department Director shall develop a schedule by unit location and designate the individual (custodian) to be physically accountable over property items in each location unit.

PAP.2.13.050 Items to Be Inventoried and Included in the Property Register

(a) Equipment. All equipment items having a unit cost of more than $5,000 and an expected useful life of more than one year shall be inventoried as reportable equipment. These items will be reconciled to the equipment purchases line item in the financial statements.

(b) Sensitive Equipment. Sensitive equipment is defined as all firearms and other property that is subject to theft and pilferage of these additional items can be considered sensitive at the discretion of the Tribe. All sensitive equipment will be inventoried regardless of cost. These items will be given a tag number to track in the inventory database system.

(c) Traditional Items. Native American traditional artifacts and other culturally relevant property owned by the Tribe will be maintained according to traditional law and custom.

(d) Leased Equipment. Equipment that is leased shall be accounted for as part of the regular property management system and assigned an identification number. Leased items will be maintained on a tracking system separate from items listed in the contents and equipment general ledger accounts.

(e) Transfers. Property that has been loaned to another Tribe or Agency shall be accounted for as part of the regular property management system. "Transfer of Equipment" forms must be completed, approved, and attached to the asset record for each item transferred.

(f) Equipment with Motors. Equipment with motors shall either be tagged or assigned an identification number. In the case of vehicles, the VIN number will be used. For other items the serial number will be used. In most cases, a tag number is still assigned.

(g) Intellectual Property. Copyrights or any other intellectual property that has value, and in the property of the Tribe shall be maintained by the IT Director and/or the Custodian.

PAP.2.13.060 Items Not Included in the Inventory

(a) Personal property owned or leased by employees of the Tribe will not be included in the property management system. In order to safeguard the employees and the property management system, each employee having any personal property described above will need to have this information itemized and verified by the custodian. This information will be stored in a separate file. Without this information the physical inventory count process would be prone to error and result in numerous reconciling adjustments.

(b) Software Licenses are the responsibility of the IT Director and/or the Custodian. This should be noted on a separate list within the location unit to insure legal licensing requirements are met.

PAP.2.13.070 Identification Number Tags

(a) All items of property, whether owned or leased, excluding motor vehicles and guns, shall be assigned an identification number. The identification number will be in numerical sequence. Metal identification tags will be used and will be attached in a manner that is easily located, secure, and will not deface the equipment. In situations where identification number tags are not appropriate or practical, the serial number of the item will be used to identify and trace the property. As discussed above, the VIN number will be used for all vehicles, boats, etc.

(b) Consistency shall be followed as to where the identification number is affixed to facilitate finding the numbers on the equipment items.

PAP.2.13.080 Valuation of Property Inventory

(a) Responsibility. The Chief Procurement Officer is responsible for the entire inventory system, including taking the initial inventory. All valuations of property shall be done by the accounting office in accordance with the Tribe's accounting policies and procedures.

(1) Enforcement. Department Directors are responsible for completing the physical inventory on a bi-annual basis, or as otherwise requested by the Chief Procurement Officer. Any Department Director that fails to comply with the provisions of this section shall be subject to disciplinary action pursuant to Section PAP.1.12.030.

(b) Valuation of Equipment on Hand at Initial Inventory. The original purchase price shall be used in establishing property values during the initial inventory whenever possible. Information on original price will be obtained from purchase orders or invoices on file. When original costs are not available, the current fair market value will be used in determining the value of the property item. This will be obtained from current catalogs or best estimated value.

PAP.2.13.090 Valuation of Property Acquired After Initial Inventory

(a) New Items. The value will be the purchase price plus freight and installation charges. The amount will be obtained from the purchase order or invoice.

(b) Trade In Items. If a trade-in is involved, the cost to be used is the gross price before deduction of the trade-in allowance.

(c) Transferred Items. Items received from other Tribes or Agencies (including Federal surplus), gifts, etc. – the cost to be used is the fair market values at the time of acquisition.

PAP.2.13.100 Instructions of Operating an Established Inventory System

(a) Acquisition. Property items may be acquired by purchase or donation. The following procedures shall be used to incorporate items that are acquired subsequent to the initial inventory.

(1) Obtain a complete purchase order and invoice copy from purchasing;

(2) Prepare an "Addition of Property Inventory" form for each item;

(3) Assign and affix an identification tag, or use the serial number or VIN number if tagging is not appropriate, to each new item as soon as it is received;

(4) Enter the information for the "Addition of Property Inventory" form onto the data base; and

(5) File the "Addition of Property Inventory" form, along with a copy of the purchase order and a copy of the invoice to the property management file by department. These documents may be scanned and filed electronically.

(b) Disposition. When a property item is disposed of by trade-in, the following procedures apply:

(1) Obtain a complete "Property Disposition Authorization" form from the custodian;

(2) Remove the asset record from the active file. If funding source notification is required, the Chief Procurement Officer will be responsible for this notification requirement;

(3) Remove identification tag from equipment and destroy tag. Identification numbers used once should not be used again;

(4) Make the appropriate entry in the asset record, next to the listing for the equipment that is being disposed of; and

(5) Remove equipment from "Property Register."

(1) Property that is destroyed, lost or stolen shall be reported to the accounting office by the person responsible for the location unit as soon as the destruction occurs or the loss is discovered;

(2) The Chief Procurement Officer will report this event to the funding source if required, and notify the insurance carrier if the property is insured;

(3) A "Property Disposition Authorization" form shall be completed along with a complete explanation of the circumstances; and

(4) Follow procedure for disposition as outlined above.

(d) Sales of Property.

(1) The custodian determines if property is no longer necessary, not appropriate for trade-in, or transfer and has residual value. The Department Director must approve the property for sale;

(2) Funding source grant awards are reviewed to determine how the proceeds from the sale are to be used. This should insure compliance with the grant provisions;

(3) Property determined to be sold, will be sold on bids. The property will be properly described and bids encouraged. Bid notices will be published in the tribal newspaper and placed on the tribe's website, and local postings on the Tribal office bulletin board. The bids will all be channeled to the Chief Procurement Officer or the appropriate department's property custodian. The bid process should be completed in two weeks. The highest bid will be accepted. Title and property will not transfer until payment is received in full by form of money order or cashier's check.

(e) Physical Inventories. A physical inventory of equipment shall be made at a minimum of once every two years. Physical inventories shall be reconciled to the "Property Register" and the general ledger biennially by the accounting office.

(1) The individual taking the physical inventory shall list all items at a given location of the "Property Inventory Data Sheet." The tag number, condition, quantity and a brief description shall be listed for each item.

(2) Items without identification numbers shall be described in detail on the "Property Inventory Data Sheet" unless the item is clearly labeled as personal property of an employee or the item is rented or borrowed. Personal property, rented or borrowed items should be disclosed to the Chief Procurement Officer.

(3) Personal property inventory will be stored in a distinct and separate file by employee name, department, location, and personal property listed.

(4) The "Property Register," by location, shall be reconciled to the "Property Inventory Data Sheets" by checking the data sheets against the number and descriptions shown on the "Property Register."

(5) The accounting office shall personally conduct a physical check of any items which were not previously recorded and take appropriate action as follows:

(A) If it was determined that an item was missed during the taking of the inventory, that item shall be added to the "Property Inventory Data Sheets;"

(B) If it is established that the identification tag previously assigned has become lost, a new identification number shall be assigned and a new tag attached to the item. The new number shall be shown on the original "Property Inventory Data Sheet" and recorded on the "Addition of Property Inventory" form. A line shall be drawn through the original number and the reason for the change shall be noted on the data sheet;

(C) Missing property, unresolved differences between the custodian and the Chief Procurement Officer, must be resolved. The property is the responsibility of the custodian. Any authorizations for the disposal of missing property must be executed by the Chief Procurement Officer; or

(D) The Chief Procurement Officer can make unannounced inventory checks to determine compliance with these procedures.

(6) Ownership of items classified as property must be established. Those items acquired since the previous inventory, but not recorded, shall be recorded the same as the original acquisition.

(7) A thorough check of all location units and organization records shall be made before reporting items of property missing at the time of the inventory. A report of all items lost, missing, or stolen subsequent to the previous inventory shall be prepared and submitted to the Chief Procurement Officer by the Department Director and shall include the following:

(A) Identification number;

(B) Description of the item;

(D) Unit value; and

(E) Total value of all items listed.

(f) Information Gathering and Communication. In order to maintain accurate and up to date information in the data base, it is essential that information be gathered efficiently and that communications be open and consistent with purchasing and the equipment custodians. The following steps should be taken by the Chief Procurement Officer to achieve this purpose:

(1) Send a copy of the "Property Register," by location, to the Department Director each quarter for review. Request the department list. Also, ask them to list any items that have been purchased that do not appear on the list. Stress to them the importance of the "Property Register" being current. Inform them that this information is used to make sure that all of their program's property is adequately insured and that their program is not paying insurance for equipment that is no longer in service.

(2) Request that all vendors send their invoices directly to accounting and not to a satellite office or some other location.

(3) Inquire of the Accounts Payable Manager weekly as to whether there were any purchase orders issued for property purchases or payments made for property purchased. If there are, check the "Property Register" to determine if the property is in the system. If it is not, set up property records for these items.

PAP.2.13.110 Property and Equipment Forms

(a) Addition of Property Inventory Form. This form is generated by the Department Directors whenever property, equipment or inventory is received. It should be forwarded to the Chief Procurement Officer. The Chief Procurement Officer is responsible for maintaining the property management system and the recording of general fixed assets in the system. The Chief Procurement Officer uses this form to document the addition of property, equipment or inventory.

(b) Property Inventory Data Sheet. This form, completed by the Department Director, provides custodian, description, condition and location of all property and equipment. Also, it is periodically updated as to the condition and location of property and equipment. A review of property and equipment should be carried out at least on a biannual basis.

(c) Property Disposition Authorization Form. This form, completed by the Custodian, provides reason for disposal, description, condition and location of all property and equipment. All disposals require the approval of the Department Director, authorization of the Chief Procurement Officer, and as required by law authorization of the granting agency.

(d) Transfer of Property Form. This form, completed by the Custodian, provides reason for transfer, description, condition and location of all property and equipment. All transfers require the approval of the Department Director, and authorization of the Chief Procurement Officer.

APPENDIX A:

INDIAN PREFERENCE GUIDELINES

INDIAN PREFERENCE:

Eligibility for Indian preference shall be established in accordance with the requirements of federal law. If the Tribe or its prime contractor determines an applicant ineligible for Indian preference, the Tribe or its prime contractor shall notify the applicant in writing before contract award, or filling the position, or providing the desired training

The Tribe may restrict procurement activity to eligible Indian organizations and Indian-owned economic enterprises.

Restricted Solicitations. The Tribe may provide Indian preference in procurement activities by advertising for bids or proposals from only qualified Indian organizations and Indian owned-enterprises. Or, the Tribe may use a two-stage preference procedure. The regulations describe the two-stage procedure as follows:

Stage 1. Invite or otherwise solicit Indian-owned economic enterprises to submit a statement of intent to respond to a bid announcement or request for proposals limited to Indian-owned firms.

Stage 2. If responses are received from more than one Indian enterprise found to be qualified, advertise for bids or proposals limited to Indian organizations and Indian-owned economic enterprises.

If the solicitation is restricted to qualified Indian owned economic enterprises and organizations, and two or more (or a greater number determined by the Tribe and stated in the invitation) qualified Indian owned economic enterprises or organizations submit responsive bids, award shall be made to the qualified enterprise or organization with the lowest responsive bid. If equal low bids are received, drawing lots or similar random method shall make award, unless otherwise provided in state, tribal, or local law. If fewer than the minimum number of qualified Indian owned economic enterprises or organizations submit responsive bids, all bids shall be rejected, and the Tribe shall cancel the solicitation. The Tribe may accept a single bid received from a responsible bidder, subject to HUD approval for HUD projects, in unusual circumstances, such as if the Tribe determines that, based on a cost or price analysis, the bid price is fair and reasonable, or the Tribe determines that the delay of re-soliciting would subject the project to higher costs.

Unrestricted Solicitations. If the Tribe isn't able to award a contract based on the procedures described in the previous section, the Tribe shall re-advertise the contract inviting bids from non-Indians as well as Indian owned economic enterprises or organizations.

The Tribe may require information from prospective contractors seeking to qualify as Indian organizations or Indian-owned economic enterprises.

Complaints arising from any of the methods the Tribe utilizes to implement Indian preference shall be conducted in accordance with this ordinance.

Award shall be made under unrestricted solicitations to the lowest responsive bid from a qualified Indian-owned economic enterprise or organization within the maximum total contract price established for the specific project or activity being solicited, if the bid is no more than 15% higher than the total bid price of the lowest responsive bid from any qualified bidder.

If the bid from the qualified Indian-owned economic enterprise of organization is within the (15%) range of the lowest, non-Indian firm, the Indian-owned firm will be given the opportunity to meet the lowest bid price. Should the Indian-owned firm refuse to meet this lower price, the bid shall then be awarded to the responsive and responsible low bidder for the project.

Example:

Bidder # 1: $120,000.00 Non-Indian Firm

Bidder # 2: $110,000.00 Indian Firm

Bidder # 3: $105,000.00 Non-Indian Firm

Bidder # 4: $116,000.00 Indian Firm

Bidder # 3, a non-Indian-owned firm, is the apparent low bidder for this project, Bidder # 2, an Indian-owned firm is within 15% (of Bidder # 3. Bidder # 2 is then provided the opportunity to meet the dollar amount of Bidder # 3's bid. If Bidder # 2 is unable to meet Bidder # 3's bid, the award shall be made to Bidder # 3, if Bidder # 2 is able to meet the lower bid, the award shall be made under this Indian Preference Policy. The Tribe must always ensure the lowest, responsive and responsible bid is made for every solicitation, under the Informal or Formal Bidding procedures of this document.

APPENDIX B:

WAGE REQUIREMENTS

WAGE REQUIREMENTS.

(Note: Federal Law requires that prevailing wage rates as determined by the Secretary of Labor (commonly known as Davis-Bacon wage rates) be paid to all laborers and mechanics employed in construction contracts utilizing federal funds.

On December 27, 2000, the Omnibus Indian Advancement Act (P.L. 106-568) allows for Indian tribes to determine and apply their own prevailing wage rates in their contracts or agreements for construction contracts in place of federally determined prevailing wage rates.

If needed, the Chief Procurement Officer or designee should request Davis Bacon wage-rates as determined by the Department of Labor at least forty-five (45) days prior to the initial solicitation for construction contracts. This determination must be provided to the bidder at the time the quote is requested. At least ten (10) days before award of the contract, the CPO or designee should confirm that the work is considered eligible for Davis-Bacon wage rates.

Chapter PAP.3 Travel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This travel policy and procedural manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. In the implementation of this inherent sovereign authority, Article V, § 1(j) of the Amended Constitution and By-laws of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians empowers the Tribal Governing Board to "make expenditures from available funds for public purposes, including salaries or other remuneration of Band officials, employees or members." This travel policy and procedural manual, outlines the general policies, rules and practices and is intended to be a helpful reference. The Tribal Governing Board acting in its sovereign capacity may in its sole discretion amend this travel policy and procedural manual from time to time.

Subchapter PAP.3.1 General Provisions

PAP.3.1.010 Title

This travel policies and procedures manual shall be known as the Travel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.3.1.020 Authority

This travel policy and procedure manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. In the implementation of this inherent sovereign authority, Article V, § 1(j) of the Amended Constitution and By-laws of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians empowers the Tribal Governing Board to "make expenditures from available funds for public purposes, including salaries or other remuneration of Band officials, employees or members.."

PAP.3.1.030 Purpose

It is the purpose of this travel policy and procedural manual to provide the general policies, rules and practices governing travel by all employees of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians in the performance of their official job duties on behalf of the Tribe. This travel policy and procedural manual is intended to be a helpful reference to employees when traveling on official tribal business. The Tribal Governing Board acting in its sovereign capacity may in its sole discretion amend this travel policy and procedural manual from time to time.

PAP.3.1.040 Application

This travel policy and procedural manual shall govern travel by all employees while on official tribal business.

PAP.3.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this travel policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.3.1.060 Interpretation

The provisions of this travel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to all employee travel conducted while on official tribal business;

(b) Shall be liberally construed in favor of the Tribe;

PAP.3.1.070 Severability and Non-Liability

If any section, provision or portion of this travel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this ordinance shall not be affected thereby. The Tribe further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this travel policy and procedural manual.

PAP.3.1.080 Cost Control and Consistency with Good Business Practices

All tribal entities involved in preparing, authorizing and processing travel requests shall exercise sound business judgment in preparing and authorizing travel requests. Travel shall be via the lowest reasonable cost alternative to minimize expense. In incurring travel expenses, all employees shall be as conservative as possible consistent with sound business/ cost control practices. The Travel/Purchase Clerk may assume that, if a practice or policy or procedure is in the best interests of the Tribe and is not addressed in this ordinance, nor prohibited by tribal law, federal law, or other directive including this travel policy and procedure manual, the practice, policy or procedure may be a permissible exercise of authority. The Travel/Purchase Clerk is advised to seek advice from the Executive Director or Tribal Governing Board liaison whenever doubts arise about an intended practice, policy or procedure. In circumstance where a conflict of interest may exist between the Executive Director and an employee, then the Travel/Purchase Clerk shall seek advice directly from the Tribal Governing Board liaison.

Subchapter PAP.3.2 Definitions

PAP.3.2.010 General Definitions

(a) "Business Travel" means employee travel conducted in the performance of their official job duties on behalf of the Tribe.

(b) "Per Diem" is a daily payment instead of reimbursement for actual expenses for lodging (excluding taxes), meals, and related incidental expenses. Rate is specified by the U.S. General Services Administration (GSA).

(c) "Reduced Per Diem" is a reduced per diem rate when there are known reductions in lodging and meal costs or when your subsistence costs can be determined in advance and are lower than the prescribed per diem rate.

(d) "Privately Owned Vehicle" or "POV" means any vehicle such as an automobile or motorcycle operated by an individual that is not owned or leased by the Tribe, and is not commercially leased or rented by an employee under a Tribal rental agreement for use in connection with official Tribal business.

(e) "Furnished meal" means a meal provided to an employee, either directly from the Tribe or as a result of the Tribe paying a registration fee or other cost which allows the employee to attend a conference or other event. If the Tribe has already paid for a meal, the employee/travel requester must not count the meal as quarter within the subsistence section of the travel advance request form.

(f) "Travel Advance Request Form" means the form that outlines the request for travel.

(g) "Conference" means a meeting, retreat, seminar, symposium or event that involves employee travel.

(h) "Accompanied baggage" means Tribal property and personal property of the traveler necessary for official travel.

(i) "Tribal Vehicle" means any automobile that is owned by the Tribe.

(j) "Tribal Governing Board" or "TGB" means the Tribal Governing Board as established by the Lac Courte Oreilles Constitution and Bylaws dated November 2, 1966.

(k) "Tribe" means the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

Subchapter PAP.3.3 Travel Authorization

PAP.3.3.010 Approval Authority

Tribal Governing Board, the Executive Director and Program/Department Directors shall have the authority to approve or deny any business travel. Employees shall not approve the reimbursement or advance of their own travel related expenses.

PAP.3.3.020 Authorization

Generally a written or electronic authorization is required prior to employee incurring any travel expenses. If it is not practicable or possible to obtain such authorization prior to travel, the Tribal Governing Board, the Executive Director or Program/Department Director may approve a specific authorization for reimbursement of travel expenses after travel is complete.

PAP.3.3.030 Reimbursement or Advance

(a) The Tribe may reimburse travel expenses, documented through receipt; provided the expense is consistent with all provisions of this Travel Policy and Procedural Manual, including without limitation Section PAP.3.1.080 and Section PAP.3.3.030(b).

(b) Alternatively, the Tribe may provide the employees with travel advances, which constitute a reasonable projection of travel expenses. All travel advances shall be subject to the provisions of this manual, including without limitation Section PAP.3.1.080 and Section PAP.3.3.030(b).

PAP.3.3.040 Travel Advance Request

(a) Employee shall not be eligible to receive a travel advance, if they have failed to timely submit a prior travel pack to the Travel Clerk for reconciliation.

(b) Employee or a designated program/department employee shall submit the Travel Advance Request Form, and all required supporting documentation, to their immediate supervisor. The immediate supervisor shall ensure that the Travel Advance Request Form is complete and that all required supporting documentation is attached and shall forward to Grant Accountant. Grant Accountant shall forward approved Travel Advance Request Form to the Travel Clerk.

(1) Travel advance requests that involve air travel shall be submitted at least twenty one (21) days prior to departure whenever possible to ensure a reduced rate.

(2) Travel advance requests that do not involve air travel shall be submitted at least fifteen (15) days prior to travel.

(3) Employee may choose to make a reservation for lodging consistent with Section PAP.3.1.080 and Section PAP.3.6.030 before completion and/or submission of the travel advance request to ensure availability. Employee or designated employee shall include reservation documentation in the travel advance request.

(c) Program/Department Director shall ensure employees authorized for travel are in compliance with this Travel Policy and Procedural Manual prior to authorizing business travel.

(d) Decision to approve or deny the travel shall be based, as applicable, upon a consideration of the following:

(1) Whether it is necessary for the employee to perform official duties on behalf of the Tribe;

(2) Whether it will increase the employee's understanding or ability to perform official duties on behalf of the Tribe;

(3) Whether it will unreasonably interfere with or delay completion of assigned duties;

(4) Whether the cost is covered by the applicable operating budget;

(5) Whether the travel advance request is consistent with Section PAP.3.1.080, including regarding modes of transportation, whether it is less expensive than an alternative mode or necessarily saves time;

(6) Any other appropriate factor deemed relevant.

PAP.3.3.050 Travel Pack

(a) Travel Clerk will prepare a travel pack for employee with instructions. Travel Clerk will issue a check advancing 80% of the amount determined to be the advance amount.

(1) Upon the request of an employee, the Travel Clerk can advance 100% of the projected cost of lodging when circumstances necessitate.

(b) Upon return, employees shall complete and submit travel pack with required documentation and receipts to the Travel Clerk within ten (10) business days.

(1) It is the employee's responsibility to submit receipts. Travel Clerk is not responsible for obtaining receipts for the employee. Employees shall not be credited for claimed travel expenses which are not documented by receipt.

(2) If employee was advanced for a travel expense (i.e., lodging) for which the Tribe paid separately, employee may include a check for the travel expense with the travel pack.

(3) Employees are required to prepare a synopsis of the meeting, workshop, seminar, conference, etc. to evaluate the benefit of attendance.

(c) As a courtesy, Travel Clerk will send employee an outstanding travel pack notice letter if the travel pack has not been received within ten (10) business days. The notice shall inform the employee that travel pack must be turned in within five (5) business days from the date of the notice and failure may result in the commencement of an automatic payroll deduction for the full amount that was advanced or at the discretion of the Travel Clerk an amount that ensures the Tribe will be reimbursed the advance within a reasonable amount of time.

(d) Travel Clerk will reconcile the travel pack and issue a check for the remaining 20% of the amount determined to be the advance amount adjusting the advance amount as appropriate.

(e) If travel pack reconciliation results in a credit, the Tribe will issue a check to the employee within ten (10) business days.

(f) If travel pack reconciliation results in a deficit, Travel Clerk will send employee a reconciled travel pack notice. The reconciled travel pack notice will indicate the amount that is owed by employee to the Tribe. Employee will have five (5) business days from the date of the notice to pay the full amount or contact the Travel Clerk to make reasonable payment arrangements.

(1) If Employee fails to pay the amount owed or make reasonable payment arrangements within five (5) business days, the Tribe will deduct the full amount from the employee's next payroll check or at the discretion of the Travel Clerk at an amount that ensures the Tribe will be reimbursed within a reasonable amount of time.

(2) Employee may choose to pay the amount owed to the Tribe by check in lieu of having the amount owed deducted from the employee's payroll check. If the check is returned more than twice, the Travel Clerk may deduct the amount owed from the employee's next payroll check.

(g) If an employee resigns or is terminated and has an outstanding travel pack, the amount of the travel advance will be deducted from their final paycheck and held until the travel pack is received and reconciled.

Subchapter PAP.3.4 Transportation Expenses

PAP.3.4.010 Airline Travel

Employees are required to exercise the same care in incurring expenses that a prudent person would exercise if traveling on personal business when making official travel arrangements, and therefore, should consider the least expensive class of travel that meets their needs.

(a) Coach-class shall be used while on business travel consistent with Section PAP.3.1.080.

(b) Coach-class Seating Upgrades are not considered a new or higher class of accommodation since seating is still in the coach cabin. However, the use of these upgraded/preferred coach seating options is generally a traveler's personal choice and therefore is generally deemed to be at the traveler's personal expense. The supervisor of the traveler may in a permissible exercise of authority authorize and reimburse the additional seat choice fee in reasonable circumstances.

(1) No coach-class accommodations are reasonably available. "Reasonably available" means available on an airline that is scheduled to leave within 24 hours of your proposed departure time, or scheduled to arrive within 24 hours of your proposed arrival time;

(2) When use of other than coach-class is necessary to accommodate a medical disability or other special need;

(3) Where the scheduled flight time, including stopovers and change of planes, is in excess of 14 hours;

(4) The use results in an overall cost savings to Tribe by avoiding additional subsistence costs, overtime, or lost productive time while awaiting coach-class accommodations.

(5) Medical conditions may require consideration for the employee who is directed to travel.

(6) Frequent Flyer Miles:

(A) Employees shall retain all benefits from frequent flyer mile programs.

(7) Compensation from Airline for voluntarily vacating seat and rescheduling:

(A) Employees may retain compensation provided by an airline for voluntarily vacating their seat and rescheduling to a later flight as long as it does not interfere with performing their official duties.

(B) Additional expenses incurred as a result of voluntarily vacating seat and rescheduling will not be reimbursed by the Tribe.

(C) If voluntarily vacating seat and rescheduling delays your travel during work hours, the Tribe will charge you for annual leave for the additional hours.

(8) Luggage:

(A) The Tribe will advance or reimburse for luggage fees, and similar expenses, documented through receipt; provided expense is consistent with Section PAP.3.1.080.

(B) Employees shall pack luggage to avoid overweight luggage fees and multiple and excess luggage fees.

(C) Consistent with Section PAP.3.1.080, the Tribe will generally only advance or reimburse for one checked bag if travel is for a duration that is less than one week. Tribe may advance or reimburse for more than one checked bag if approved by Program/Department Director.

PAP.3.4.020 Tribal Vehicle

(a) Tribal vehicles shall be used only for approved business travel.

(b) Employees who seek to use a tribal vehicle shall obtain the prior written authorization pursuant to Subchapter PAP.3.3.

(d) Generally, employees with certain moving violations and other infractions or crimes may be denied insurance coverage and therefore approval.

(e) Tribal vehicles shall be driven on the most direct available route to and from the intended approved business travel destination. Employees shall not detour for personal use or reasons.

(f) Employees shall not permit any other person, except another authorized employee, to operate a tribal vehicle.

(g) Employees shall not operate a tribal vehicle while having any blood alcohol content or while under the influence of any illegal drug, chemical or non-prescribed prescription drug.

(h) Employees shall not possess or transport in a tribal vehicle any alcoholic beverage, illegal drug, chemical or non-prescribed prescription drug.

(i) Employees shall not abuse, misuse or operate contrary to law a tribal vehicle. If a tribal vehicle is damaged through an intentional or reckless act of an employee or while operating contrary to law, the employee may be charged the cost of any insurance deductible and other related costs.

PAP.3.4.030 Privately Owned Vehicle (POV)

(a) Employees who use a POV for business travel must have in effect at all times, and provide the Human Resource Department with, a valid driver's license and proof of current comprehensive automobile insurance, including liability insurance and coverage limits satisfactory to the Tribe, on January 1^st and July 1^st of each year, and upon request.

(b) Employees shall only be authorized to use a POV for business travel if the employee has complied with Section PAP.3.4.030(a) and the business travel is consistent with Section PAP.3.1.080 and Section PAP.3.3.030(b). If not, employee is not authorized to engage in business travel for the Tribe in a POV. It is the responsibility of each employee to confirm whether he or she is authorized to use a POV by contacting the HR department.

(c) Employees must obtain prior approval consistent with Section PAP.3.3.010 and Section PAP.3.3.020 to utilize a POV when a commercial carrier is more cost effective. If approved, the advance amount will factor in the totality of the circumstances. (e.g., airline ticket to Chicago, IL is $250.00, parking is $50.00 and baggage fee is $25.00 and mileage to Chicago, IL would be $500.00 the advance amount consistent with Section PAP.3.1.080 would be $325.00).

(d) Mileage Reimbursement:

(1) In accordance with Section PAP.3.1.080, if more than one employee is traveling to the same destination for business; employees shall make accommodations and arrangements to ride share. Requests to drive separately must be approved by the Program/Department Director.

(2) If more than one employee is traveling together in one POV, mileage will be paid to the driver of the POV.

(3) Mileage will be reimbursed for travel to and from restaurants while on business travel.

(4) If mileage exceeds the amount that was advanced in the travel pack, Employee must submit with the travel pack an explanation and it must be approved by the Program/Department Director.

(e) Employees assume responsibility for all parking and traffic fines and physical damage to vehicle. The Tribe shall not be responsible for any such damages, fines, costs or expenses.

(f) Any expenses incurred during the use of POV (ex: repairs, etc.) are ineligible for reimbursement.

(g) Employees, with the exception of law enforcement, fire and emergency response personnel, shall not talk, text message, or email while operating a POV on business travel, and shall not perform any other work during such time. If an urgent matter arises, employee shall park the vehicle in a safe location, and then may address the work related matter.

(h) TGB members are eligible to receive mileage reimbursement, without prior approval, when attending board meetings or while conducting official tribal business.

PAP.3.4.040 Rental Vehicle

(a) Rental vehicles may be approved in accordance with Section PAP.3.1.080 when more than one employee is traveling together and when lodging was not available at the time of making reservations at the conference/training/meeting location and it is more cost effective to rent a vehicle than pay for transportation that would be incurred for each employee without a rental vehicle. Rental vehicles may also be approved when the Program/Department Director believes a rental vehicle is necessary.

(1) The Tribe will reimburse for fuel costs if documented through receipt.

(b) When an employee as a matter of personal preference (rental car not consistent with Section PAP.3.1.080 and not approved by Program/Department Director) decides to use a rental vehicle, the employee is expected to make arrangements and assume all risk, liability, and costs associated with the rental care. Upon approval by Program/Department Director, Tribe will reimburse an amount that does not exceed what it would have cost for transportation (taxi, bus, super shuttle, etc.). Employee shall submit a copy of the receipt to the travel clerk to verify the rental car.

PAP.3.4.050 Tolls and Parking

(a) The Tribe will advance or reimburse road, bridge, and tunnel tolls and parking fees and similar expenses, documented through receipt; provided the expense is consistent with Section PAP.3.1.080.

(b) Consistent with Section PAP.3.1.080, employees are encouraged to reduce airport parking fees by making reservations at off-site parking.

PAP.3.4.060 Taxi, Bus and Shuttle

(a) The Tribe will advance or reimburse for taxi, bus and shuttle service and similar expenses, documented through receipt; provided the expense is consistent with Section PAP.3.1.080.

(b) Consistent with Section PAP.3.1.080, employees shall use the least expensive alternative among taxi, bus and shuttle service. Therefore, taxi service is permitted only when a bus or shuttle is not available or when delay warrants taxi service.

Subchapter PAP.3.5 Per Diem

PAP.3.5.010 General per Diem Rules

Generally per diem is allowed when travel is for more than 12 hours. However, this can be waived by Tribal Governing Board, the Executive Director or Program/Department Directors upon consideration of the following:

(a) Whether employee is attending a multiple day conference and mileage to and from would be more expensive for the Tribe than providing per diem;

(b) Whether not allowing per diem will unreasonably interfere with or delay completion of assigned duties of employee;

(d) Any other appropriate factor deemed relevant by the Director.

PAP.3.5.020 Meals

(a) Tribe will advance or reimburse for meals at the federal per diem rate. The rate includes taxes and tips, so employees will not be reimbursed separately for those items.

(b) If meals are provided at the conference/training or meeting, the per diem rate shall be adjusted accordingly in the travel advance request.

(1) The Tribe may advance or reimburse when meals are provided if:

(A) You are unable to consume the furnished meal(s) because of medical requirements or religious beliefs.

(B) You were unable to take part in the furnished meal due to the conduct of official business.

PAP.3.5.030 Lodging

(a) Lodging shall be selected based upon comfort, convenience, and cost. Employees are free to select lodging based upon these considerations; provided the Tribe will not reimburse for more than the federal per diem rate, unless approved pursuant to Subchapter PAP.3.3 of this manual.

(b) Employees who lodge with other individuals (family members, etc.) while on business travel shall be solely responsible for all resulting additional costs, including those based upon increased room occupancy.

(c) The Tribe will advance or reimburse, documented through receipt; provided lodging expenses are consistent with Section PAP.3.1.080 of this manual.

PAP.3.5.040 Reimbursement

(a) Meals and incidentals (M&IE) rate will be applied in quarters as follows:

(1) Departure Date – 3 quarters

(2) Return Date – 3 quarters

(3) Full Day – 4 quarters

(b) Per diem shall be reduced in accordance with Section PAP.3.1.080 and Section PAP.3.5.020(b) of this manual when meals are furnished at the conference/training/meeting.

Subchapter PAP.3.6 Miscellaneous

PAP.3.6.010 Unusual Circumstances

(a) Reimbursement of travel expenses incurred based on unusual circumstances must be reviewed and approved by Program/Department Director.

PAP.3.6.020 Travel Outside of Normal Work Hours

(a) Overtime is not allowed in conjunction with travel. Employees will be compensated their regularly scheduled hours at their regularly scheduled rate while in travel status. Actual time spent attending a conference or traveling on the weekend will be paid when it occurs during the employees regularly scheduled hours for a weekday (between 8 AM and 5 PM for most employees). Nonexempt employees will be allowed to work a flexible schedule to avoid exceeding 40 hours in a payroll week (Sunday through Saturday) when travel will be taking place on the weekend.

(b) When it is not possible to avoid exceeding 40 hours in a payroll week due to travel, time above 40 hours will be considered compensatory time. Employee shall make arrangements with Program/Department Director to use compensatory time within a reasonable time frame.

PAP.3.6.030 Tribal Credit Cards

(a) Use of Tribally issued cards shall be for official business only. All receipts for use of the credit cards must be retained and submitted to the fiscal department at the conclusion of each trip or use.

(b) Each holder of a Tribally issued credit card will sign a statement agreeing to the following:

(1) That the card shall not be used for personal items under any circumstances, and that misuse of the card is grounds for disciplinary action up to and including termination.

(2) Any undocumented/unapproved purchase will be deducted from the cardholder's payroll check; three (3) days notice will be given of such a deduction; if receipts are submitted, this amount can be reimbursed.

(c) When utilizing a Tribally issued credit card for travel costs, only approved expenses in accordance with Section PAP.3.1.080 may be charged to the card. Ineligible expenses may not be charged to the card, such expenses must be paid for separately (ex: room service, in room movies, tips, etc.).

PAP.3.6.040 Ineligible Travel Expenses

(a) Common carrier transportation in excess of coach fare.

(b) Any lodging expense in excess of single occupancy, conference/government room rate.

(d) Additional insurance elected on a vehicle rental (this is not required as all rental vehicles are covered by the Tribe's insurance policy when rented by employees for official business).

(e) Additional airfare costs incurred due to personal preference in dates of travel (ex; if traveler will be staying additional days on personal time).

(f) Any costs incurred for entertainment (ex; in room movies, etc.).

(g) Tips of any kind.

Subchapter PAP.3.7 Conferences and Trainings

PAP.3.7.010 Approval

(a) Employees shall obtain approval pursuant to Subchapter PAP.3.3 to attend a conference, training, seminar, etc.

(b) Information regarding the conference, training, seminar, etc. shall be attached to the Travel Advance Request form.

PAP.3.7.020 Attendance

(a) Employees shall attend the entire conference or training and obtain all materials. Employees who fail to attend the entire conference or training may not be reimbursed or receive full credit during reconciliation for amounts received through travel advance.

Subchapter PAP.3.8 Cancellation/Changes

PAP.3.8.010 General Rules

(a) Travel Clerk must be notified within 48 hours of cancellation if all possible to allow for the proper cancellation of lodging, airfare, etc.

(b) If a travel advance has been prepared and disbursed for the business travel, employee must repay the travel advance in full within five (5) business days.

(c) In the event that adequate notice is not given and a "no-show" charge is incurred, it will be the employee's responsibility to cover the charge, unless it is due to unusual circumstances approved by the Program/Department Director. Payments for such charges will be due within five (5) business days.

(d) All costs incurred for non-business related change fees (airfare changes, early/late hotel checkouts, etc.) must be paid by the employee.

Subchapter PAP.3.9 Employee Conduct

PAP.3.9.010 Expectations

(a) When in official travel status, the employee will conduct himself/herself in a professional manner. The employee must be aware that he/she is a representative of the Tribe and act accordingly.

(b) When attending training, attendance is required for the full course. If the employee becomes ill and cannot attend a day of training or complete the course, he/she must contact Program/Department Director as soon as possible.

Subchapter PAP.3.10 Abuse of Policy

PAP.3.10.010 Allegations

(a) Any allegations of abuse of the provisions of this policy will be investigated to the fullest extent possible.

PAP.3.10.020 Violation or Repeated Violations

(a) Violation may result in a suspension of travel privileges and disciplinary action in accordance with Tribal personnel policies and procedures.

(b) Violations shall be subject to the 14 LCOTCL § 1.202 of the Tribal Government Personnel Manual, titled "Grounds for Disciplinary Action;" the procedures under that section will be followed regarding any violations under this manual. All violations are subject to discipline up to and including termination. The tribe reserves the right to pursue recovery for any funds deemed to be used in violation under this manual by current and former employees, including criminal and civil remedies.

Chapter PAP.4 Housing Authority Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This personnel policy and procedural manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians in the implementation of Chapter PRP.7 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law (LCOTCL) – Housing Authority Code, which was enacted by Lac Courte Oreilles Tribal Governing Board Resolution No. 15-95. This personnel policy and procedural manual, outlines the general policies, rules and practices in effect at Lac Courte Oreilles Housing Authority (hereinafter "LCOHA") and is intended to be a helpful reference during your employment with the LCOHA. The information contained herein is general information, and its contents do not create or constitute a contract between the LCOHA and any employee. The Tribal Governing Board acting in its sovereign capacity on behalf of the LCOHA may in its sole discretion amend this personnel policy and procedural manual from time to time. The LCOHA Human Resource Director, or designee, will distribute approved revisions to all employees.

Subchapter PAP.4.1 General Provisions

PAP.4.1.010 Title

This personnel policies and procedures manual shall be known as the Housing Authority Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.4.1.020 Authority

PAP.4.1.030 Purpose

It is the purpose of this personnel policy and procedural manual to provide the general policies, rules and practices in effect at LCOHA. This personnel policy and procedural manual is intended to be a helpful reference during your employment with the LCOHA. The information contained herein is general information, and its contents do not create or constitute a contract between the LCOHA and any employee. The Tribal Governing Board acting in its sovereign capacity on behalf of the LCOHA may in its sole discretion amend this personnel policy and procedural manual from time to time. The LCOHA Human Resource Director, or designee, will distribute approved revisions to all employees.

PAP.4.1.040 Mission Statement

(a) It is the mission of the LCOHA to shelter and protect our people and help our community prosper.

PAP.4.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this personnel policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.4.1.060 Interpretation

The provisions of this personnel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the employment related activities of the LCOHA;

(b) Shall be liberally construed in favor of the LCOHA;

PAP.4.1.070 Severability and Non-Liability

If any section, provision or portion of this personnel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this personnel policy and procedural manual shall not be affected thereby. The LCOHA further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this personnel policy and procedural manual.

PAP.4.1.080 Repeal of Inconsistent LCOHA Manual(s)

All previous personnel policy and procedural manual(s) of the LCOHA inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the employment related activities of the LCOHA.

Subchapter PAP.4.2 Definitions

PAP.4.2.010 General Definitions

(a) "Board" means the Lac Courte Oreilles Housing Board of Commissioners.

(b) "Compensatory time" and "compensatory time off" refers to paid time off, which is not counted as hours worked during the applicable workweek, or other work period for purposes of overtime compensation, and for which the non-exempt employee is compensated at the non-exempt employee's regular rate.

(c) "Contracted Employee" refers to an employee who has entered into a written contract, which has been properly authorized and signed by a signatory of the Tribe/LCOHA and the employee which defines the employment relationship. The contract will be for a specified period, and will outline benefits, pay and other conditions of employment. The terms and conditions of employment for Contracted employees may differ from the terms in this personnel policy and procedural manual, and this manual may be incorporated by reference in the Contracted Employee's written contract.

(d) "Employee" means an employee of the LCOHA including: Exempt Employee, Non-exempt Employee, Full-time Employee, Part-time Employee, Seasonal Employee, or Temporary Employee.

(e) "Executive Director" means the individual employed by the Tribal Governing Board to manage the affairs of the Housing Authority as provided for in this manual, the Housing Authority Ordinance, and other relevant documents.

(f) "Exempt Employee" refers to an employee who the Human Resources Director, or designee, categorizes as being exempt from minimum wage or overtime pay, or both, and includes executive, administrative, and professional employees who are compensated on a salary basis.

(g) "Extreme Circumstance" means an unscheduled or unplanned circumstance exceeding an ordinary, usual, or expected event.

(h) "Full-time Employee" refers to an employee regularly scheduled to work thirty-two to forty (32-40) hours per week who has completed the ninety (90) day probationary period. Full-time employees are eligible for employee benefits subject to the limitations of the applicable benefit plans.

(i) "Housing Authority" or "LCOHA" means the Lac Courte Oreilles Housing Authority which is the entity that has been delegated the responsibility for carrying out the intent of this ordinance, under the direction of the Executive Director.

(j) "Immediate family member" refers to Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Mother-in-law, Father-in-Law, Grandparent, Grandchild. Immediate family member may also include a partner who has been in a relationship for a period of time or in relationship under Ojibwe tradition and practices.

(k) "Independent contractor" is an individual who is not an employee of the Tribe/LCOHA, but rather has entered into a contract with the Tribe/LCOHA, which defines the scope of services. Independent contractors are not employees, do not receive benefits, are not subject to this personnel policy and procedural manual and are governed by a written or verbal contract.

(l) "Management" refers to the LCOHA Executive Director, Assistant Director, Human Resources Director and any employee who is assigned permanent or temporary supervisory or decision making authority.

(m) "Non-Exempt Employee" refers to an employee who the Human Resource Director, or designee, categorizes as being non-exempt from minimum wage or overtime pay, or both.

(n) "Part-time Employee" refers to an employee regularly scheduled to work less than thirty-two (32) hours per week. Part-time employees are not eligible for employee benefits or leave.

(o) "Positive Test Result" means a Blood Alcohol Concentration determined to be under the influence as established in Section PAP.4.2.010(w) andSection PAP.4.8.080(c).

(p) "Probationary Employee" refers to an employee who has not successfully completed their required probationary period.

(q) "Seasonal Employee" refers to an employee hired for an established period usually during peak workloads or seasonal demands. Seasonal workers may not be eligible for all employee benefits.

(r) "Serious Health Condition" refers to a condition which requires inpatient care at a hospital, hospice, or residential medical care facility, or a condition which requires continuing care by a licensed health care provider. This policy covers illnesses of a serious and long-term nature, resulting in recurring or lengthy absences. Generally, a chronic or long term health condition which, if left untreated, would result in a period of incapacity of more than three (3) days would be considered a serious health condition.

(s) "Temporary Employee" refers to an employee hired for a period of ninety (90) days or less. Temporary employees may work a full-time or part-time schedule and are not eligible for employee benefits and paid leave.

(t) "Tribe" means the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(u) "Tribal Court" means the court of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(v) "Tribal Governing Board" means the Tribal Governing Board of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(w) "Under the Influence of Alcohol, Illegal Drugs or Controlled Substances" means the following: a Blood Alcohol Concentration that indicates a positive test result as established in Section PAP.4.8.080(c); or are results that confirm the presence of illegal substance; or are results that confirm the presence of a controlled substances that an employee does not have a valid prescription for or the levels exceed the prescribed dosage.

Subchapter PAP.4.3 Governance

PAP.4.3.010 General

The Tribal Governing Board is the governing body of the Tribe. Pursuant to the Amended Constitution and Bylaws of the Tribe, ultimate legal and fiscal responsibility of the LCOHA is with the Tribal Governing Board, as the elected representatives of the members of the Tribe. The Tribal Governing Board possesses the inherent sovereign authority to delegate oversight and management responsibilities to program directors for the planning and daily operations of Tribal programs and entities. The Tribal Court interprets and enforces, in accordance with and subject to applicable law, as well as these policies and procedures established by the Tribal Governing Board.

PAP.4.3.020 Sovereignty

The LCOHA is a public body established as a subordinate entity of the Tribe pursuant to Chapter PRP.7. The Tribe is a sovereign nation, with inherent reserved rights recognized through federal treaties, as such the tribe exists within the geographical boundaries of the United States. Immunity from private lawsuits is one aspect of inherent tribal sovereignty. Immunity from suit means that no private lawsuit can be maintained against the Tribe or any of its subordinate entities such as the LCOHA, unless the Tribe consents to the action. Nothing in this manual, including without limitation the provisions of Subchapter PAP.4.12, constitutes a waiver of the Tribe's inherent sovereign immunity.

PAP.4.3.030 Employment Laws

It is the general policy of the Tribe to extend to its employees, where possible, the rights and benefits provided by employers regulated by the laws of the United States. However, the Tribe looks to federal employment laws as guidelines only, and nothing in this personnel policy and procedural manual shall be construed as the Tribe's consent to application of such laws. Another aspect of the Tribe's inherent sovereignty is that Wisconsin Statutes are not applicable on LCOHA operations without the express written permission of the Tribal Governing Board. The Tribe reserves the right to create and modify its employment policies without regard to such laws or interpretations thereof.

Subchapter PAP.4.4 Hiring Process

PAP.4.4.010 Equal Employment Opportunity

The LCOHA reaffirms its commitment to equal employment opportunity and advancement toward all applicants and employees regardless of race, color, creed, national origin, gender, sexual orientation, marital status, veteran status, religion, status with regard to public assistance, membership or activity in a local commission, disability, age or any other status protected by law.

PAP.4.4.020 Indian Preference

(a) Members of the Lac Courte Oreilles Tribe,

(b) Members of other Federally Recognized Tribes with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(d) Non-members with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(e) All Others.

PAP.4.4.030 Hiring Preferences

The LCOHA will utilize the following preference ranking when considering an applicant for employment. It is the responsibility of the applicant to provide the necessary documents listed below for the purpose of obtaining preferences:

(a) Indian preference as described in Section PAP.4.4.020 of this manual (Applicant must provide a signed official document from a federally recognized Tribe acknowledging enrollment);

(b) Veteran preference (Applicant must provide a Veterans Administration form DD214);

(d) Former employees of LCOHA whom left in "good standing" and whose separation was not as a result of disciplinary action or an agreement in lieu of disciplinary action which would have otherwise resulted in termination.

PAP.4.4.040 Employment of Relatives

The LCOHA encourages relatives of LCO Tribal members to seek employment with the LCOHA. However, the LCOHA also seeks to avoid potential problems arising from family members directly supervising one another. A waiver of this provision may be granted by the LCOHA Executive Director when the services of the Housing employee cannot be obtained from any other available person with the same or equivalent qualifications.

PAP.4.4.050 Employment of Minors

The LCOHA will utilize, solely as a guideline, federal laws pertaining to the employment of minors.

PAP.4.4.060 Disclosure and Background Check

(a) All applicants who are being considered for employment with the LCOHA must provide the information as described in Section Section PAP.4.4.090 of this handbook. Incomplete applications and application which fail to provide consent for background checks will not be considered. For all applicants considering employment with LCOHA, the LCOHA reserves the right to:

(1) to conduct background checks on all LCOHA employees.

(b) While employed with the LCOHA, every employee must notify his or her department head or director in writing of any pending criminal charge or conviction, which may result in disciplinary action pursuant to Subchapter PAP.4.12 of this manual. The LCOHA reserves the right to;

(1) issue disciplinary action depending upon the severity of the charge or conviction.

(2) to conduct a criminal background check or personnel background check of current LCOHA employees with reasonable suspicion of policy violations as detailed in this handbook.

PAP.4.4.070 Funding and Approval

Prior to posting or filing a position, the Executive Director must ensure there are sufficient funds to pay for salary, fringe benefits and all other costs of the position. If the job is for a shorter period and only limited funds are available or if the position is contingent upon receiving funding, this constraint will be explicitly specified at the time of advertisement. The LCOHA Executive Director or designee shall ensure that all positions submitted for posting have all required approvals.

PAP.4.4.080 Posting

Only the LCOHA Human Resources Director, or designee, is authorized to post a position, provided an existing position shall only be posted with the prior approval of the LCOHA Executive Director. All positions shall be posted for at least ten (10) working days, provided temporary positions may be exempt from this section that are of a 14 (fourteen) day duration or less. The LCOHA Human Resource Director, or designee, will advertise all job postings locally at various locations and other places as appropriate including electronic posting.

PAP.4.4.090 Job Application

(a) Application Form. Applicants for employment are required to submit an application form, which will include without limitation:

(1) Signature for permission to perform a background and reference check.

(2) Driving record and insurance information (if applicable).

(3) Letter of interest

(4) Resume

(5) Proof of any stated qualifications

(6) Letters of recommendation

(7) Documentation of hiring preferences pursuant to Section PAP.4.4.030 of this manual.

(b) Background Investigations. The LCOHA Human Resource Director, or designee, shall ensure that background investigations are performed prior to applicant screening pursuant to Section PAP.4.4.060 of this manual.

PAP.4.4.100 Screening and Selection Process

As an employer, the LCOHA seeks to employ individuals who possess the qualifications, skills, abilities and background to meet the employment needs of the LCOHA. It is also the intent of the LCOHA to treat all applicants with respect and fairness along with ensuring the provisions of Section PAP.4.4.010 of this manual, are adhered to. Pursuant to the Privacy Act of 1974, 5 U.S.C. § 552a, all applications shall be treated as privileged information and shall be made available only to those directly involved in the hiring process.

(a) Applicant Screening.

(2) Applicants that are deemed to meet these minimum qualifications will be notified in writing, emailed (if applicable) and/or telephonically of an offer to be interviewed. Any applications deemed to not be complete, not meet the minimum qualifications or have a background check that contains information that is detrimental to the Tribe or the LCOHA will be notified in writing that they were not selected to be interviewed.

(3) The decision to not offer an interview will not be subject to any grievance, complaint or appeal provisions of the Tribe/LCOHA.

(4) In the event the Executive Director or Human Resources Director determines that there is no qualified or insufficient applicants the position may be reposted.

(b) Applicant Interview.

(1) All eligible applicants will be interviewed by a committee which shall be facilitated by the Human Resources Director and composed of the following, unless the position being considered requires such other composition as determined by the Executive Director:

(A) Immediate Supervisor for the position being interviewed,

(B) Other LCOHA Departmental Supervisor

(1) The committee will interview each eligible applicant and shall make the selection based upon all relevant factors, including but not limited to:

(A) Preferences defined in Section PAP.4.4.030 of this manual,

(B) Education/Training,

(D) Experience relevant to position,

(E) Interview.

(2) The committee may utilize a ranking system that factors all of the areas established in Section PAP.4.4.100(c)(1) above, that will ensure a fair and equitable process for determining the best qualified candidate, and if applicable an alternate, to fill the position being interviewed. Such system may utilize points or other forms of ranking that is deemed relevant for the position in consideration. The Human Resources Director shall forward the committee's recommendation to the LCOHA Executive Director for review and approval.

(3) The LCOHA Human Resource Director or designee shall notify the successful and unsuccessful applicants in writing within five (5) working days. If the selected individual does not accept the position or an employee does not successfully complete the probationary period, the LCOHA Human Resource Director shall offer the position to the alternate selection, if applicable. If there was no alternate selected then the LCOHA Human Resource Director or designee may repost the position as approved by the Executive Director.

(5) If an employee does not complete the probationary period, the LCOHA Human Resource Director shall offer the position to the alternate selection. If there was no alternate selected then the LCOHA Human Resource Director or designee may repost the position as approved by the Executive Director.

(6) The decision to not hire an interviewee will not be subject to any grievance, complaint or appeal provisions of the Tribe/LCOHA.

PAP.4.4.110 Tribal Governing Board Notification

The Executive Director will notify the TGB who was hired for what position(s) and/or if a position(s) was reposted.

PAP.4.4.120 Orientation

All new employees will be provided an orientation within the first five (5) days of employment, and will be provided this personnel policy and procedural manual, all required forms for employment, benefits, a copy of Chapter CMP.6 – Worker's Compensation Code, and day-to-day procedures. The LCOHA Human Resource Director, or designee, will also answer any questions which may arise throughout the course of employment. Supervisors will provide further direction relevant to the operation of their department.

PAP.4.4.130 Position Description

The LCOHA Human Resource Director, or designee, will provide every employee with a copy of his or her current and or amended position description. The position description is intended to provide a general overview of the duties of the position. From time to time, however, employees will perform duties and handle duties and responsibilities that are not a part of the original position description. Position descriptions contain a general description of a position and do not create any employment rights or entitlements.

PAP.4.4.140 Probationary Period

(a) All newly-hired employee's will be placed on a ninety (90) calendar day probationary period with the exception of positions identified by the Executive Director as needing an extended period in order to adequately assess the employees capabilities to perform the job duties. During an employee's probationary period they will get to know fellow employees, Management and the duties involved for the position. The LCOHA will work closely with employees during the probationary period to assist in understanding the needs and processes of the job. The probationary period may be waived by the Executive Director for short term or seasonal employment.

(b) The probationary period is a trial time for both the employee and the LCOHA. During this probationary period, the LCOHA will evaluate the employee's suitability for employment. At any time during the probationary period, an employee may resign without any detriment to the employee's record. In addition, if during this period an employee's work habits, attitude, attendance, or performance do not measure up to the LCOHA's standards, the LCOHA may extend the probationary period for up to ninety (90) calendar days or terminate the employee's employment without the ability of the employee to appeal the decision.

(c) Probationary employees are eligible for holiday leave and funeral leave. Probationary employees accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from the Executive Director and only for medical reasons or extreme circumstances. Under no circumstances are probationary employees entitled to participate in the sharing of Personal Time Off. If an employee does not complete the probationary period for any reason, the employee forfeits all accrued but unused benefits.

(d) At the end of the probationary period, LCOHA will prepare a written performance evaluation and discuss overall job performance with the employee. During the course of the discussion, the employee is encouraged to present his or her comments and ideas as well.

PAP.4.4.150 Classifications

Upon hire, the LCOHA will inform every employee of his or her employment classification, whether exempt or non-exempt, full-time, part-time, seasonal or temporary. This is important because employment classification has an effect on employee rights and benefits under this personnel policy and procedural manual (See Subchapter PAP.4.2 – Definitions for the various classifications).

PAP.4.4.160 Employment At-Will

Employees, with the exception of certain contracted employees, are hired for an indefinite and unspecified duration and are not guaranteed employment for any specified length of time. As such, either the LCOHA or an employee can terminate the employment relationship at-will, at any time. In addition, the LCOHA can modify, amend, supplement or delete terms and conditions of employment relationship at-will, at any time, with or without cause or advance notice. No individual or governmental body, other than the Tribal Governing Board, or its authorized designee, has the power or legal authority to alter the at-will nature of the employment relationship.

Subchapter PAP.4.5 Employment

PAP.4.5.010 Work Site Accommodations

The LCOHA is exempted from the federal and state offered definition of an employer as provided by the American's with Disabilities Act, 42 USC § 12111 (5) (B). However, as a matter of its own internal policies the Tribe discourages discrimination against persons with disabilities and when possible seeks to accommodate persons with disabilities on the job. When possible, the LCOHA will make reasonable efforts to provide reasonable accommodations to all employees and applicants, including work site accessibility. Employees must notify their department head or director or the LCOHA Human Resource Director, or designee, in writing of any requested reasonable accommodation within a reasonable period of time after the employee learns of the need for such accommodation.

PAP.4.5.020 Personnel Files

The LCOHA will create and maintain a personnel file for each employee beginning at the time of employment. These files are the sole property of the LCOHA and are deemed confidential. All employee files, past and present, will be secured in a locked location at all times. Access will be limited to the LCOHA Executive Director, or designee, a department head or director, an employee or his or her representative if designated in writing which states the purpose of the disclosure. Information contained within a personnel file may only be copied and released to an employee or his or her representative with the approval of the Executive Director. A personnel file may contain the following types of information:

(a) Original employment application,

(b) Letters of reference,

(d) New hire forms,

(e) Current position description,

(f) Records of all disciplinary actions,

(g) Performance evaluations,

(h) Starting pay scale and subsequent increases,

(i) Change of employment status,

(j) Applicable skills test results,

(k) Training and career development records,

(l) Copy of certification or licenses as required,

(m) Copy of separation notice or letter of resignation,

(n) Exit interview and inventory checklist,

(o) Other documents relied upon by the LCOHA to make decisions concerning the employee's employment.

PAP.4.5.030 Medical Documentation

The LCOHA will maintain employee documentation as it relates to Doctor's excuse for longer than the allowable three day absence, return to work statements or any limitations on type of work to be performed by the employee. This information shall be maintained alongside an employee's personnel file, but shall be maintained in a separate file. Access will be limited to the LCOHA Executive Director, or designee. All personal medical related information is subject to the provisions of the Health Insurance Portability and Accountability Act of 1996, 110 Stat. 1936.

PAP.4.5.040 Hours of Work

(a) The standard work hours are from 8:00 a.m. to 4:30 p.m. Employee hours may be changed at the discretion of the department head or director, subject to the approval of the Executive Director. A written approval shall be maintained in employee's personnel file.

(b) Each Employee must accurately record, sign and in addition have their respective Supervisor attest to the hours being paid by signing an approved timesheet. Each timesheet shall accurately reflect the actual hours being paid during the pay period and distributed by the correct payroll and account/department coding for each employee. The timesheet is a legal record of hours worked and may not be altered without consent of both the employee and his or her department head or director. Each employee and their Supervisor are responsible for the accuracy of their timesheet. A time clock may be used to assist the employee and supervisor in the management and recording of time worked by an employee but a timesheet is the only official record that will be used for the purpose of paying an employee. If and when a time clock is used the timecards must remain in the LCOHA Administrative Offices and no employee shall knowingly falsify another employee's time.

PAP.4.5.050 Pay Period

The LCOHA pay period is from Monday through Sunday and all hours worked during this period are to be recorded as defined in Section PAP.4.5.040 of this manual.

PAP.4.5.060 Reclassification

The LCOHA may reclassify an employee (full-time, part-time, exempt, nonexempt, etc.) if the duties or need for the employee has changed. The reclassification of an employee may result in a change in the terms and conditions of employment including without limitation eligibility for benefits, and leave. Any supervisor who seeks to reclassify an employee shall obtain proper authorization from the LCOHA Executive Director.

PAP.4.5.070 Evaluations

Each employee will receive an annual written performance evaluation from their supervisor. The evaluation will highlight the employee's strengths and weaknesses, and ways to improve or enhance job performance. The employee and the supervisor must sign the evaluation. The employee's signature does not necessarily indicate concurrence, but does record acknowledgement and delivery of the document. Employees should not expect that evaluations will automatically result in a change in pay. However, the LCOHA will rely on evaluations, in addition to all other relevant information, to make decisions about an employee's terms and conditions of employment.

PAP.4.5.080 Resignations

PAP.4.5.090 Transfers

An employee may be granted a transfer upon agreement of the supervisors of both of the applicable departments or programs involved, subject to the prior approval of the LCOHA Executive Director. The transferred employee must accept all provisions of the other position (i.e. benefits, rate of pay, duties, hours of work, etc.). The provisions of Subchapter PAP.4.4 of this manual shall not apply to transfers with the exception of Section PAP.4.4.040, Section PAP.4.4.070, Section PAP.4.4.130, Section PAP.4.4.150, and Section PAP.4.4.160. In addition, the provisions of Section PAP.4.4.140, may not apply upon approval of the new supervisor, with concurrence from the Executive Director.

PAP.4.5.100 Promotions

A supervisor may recommend an employee for a promotion based upon job performance and the needs of the LCOHA, subject to the prior approval of the LCOHA Executive Director. The promoted employee must accept all provisions of the new position (i.e. benefits, rate of pay, duties, hours of work, etc.). The provisions of Subchapter PAP.4.4 of this manual shall not apply to transfers with the exception of Section PAP.4.4.040, Section PAP.4.4.070, Section PAP.4.4.130, Section PAP.4.4.150, and Section PAP.4.4.160. In addition, the provisions of Section PAP.4.4.140, may not apply upon approval of the new supervisor, with concurrence from the Executive Director.

PAP.4.5.110 Attendance

Punctuality and regular attendance are essential to the effective operation of the LCOHA. Employees must report to work on time. Any employee who will be absent from work must notify his or her immediate supervisor no later than their respective scheduled start time. Any employee who wants to leave early for any reason must have prior approval from his or her immediate supervisor, sign out and sign in upon return. Failure to report to work, without notice, for three consecutive working days will be considered job abandonment and the employee will be considered to have resigned from the LCOHA. Job abandonment will not be subject to any appeal provisions and shall be subject to the provisions of Section PAP.4.5.080 of this manual.

PAP.4.5.120 Lunch

Employees are allowed one (1) hour leave for lunch. Employees must take their lunch at the usual time, between 12:00 – 1:00, unless mutually changed by the employee and supervisor.

PAP.4.5.130 Break Periods

Subchapter PAP.4.6 Wages

PAP.4.6.010 Wage Classifications

The LCOHA establishes wage and salary classifications for each position based on many factors, including, but not limited to position category, education, experience, knowledge, ability and level of responsibility.

PAP.4.6.020 Wage Increases

The LCOHA will consider cost of living, merit and wage increases on an annual basis. All such increases are contingent upon many factors, including funding availability and performance evaluation. Any increase is at the discretion of Management.

PAP.4.6.030 On Call Maintenance Staff

Maintenance personnel that are designated to be the weekly "on-call" worker will be provided an additional stipend above their normal pay to compensate them for their services. Such compensation will be in lieu of any overtime or compensatory time compensation. If there is a need for additional staff to assist the designated "on-call" maintenance staff those Non-exempt employees will be compensated at a rate equal to 1.5 times their regular rate for any hours worked in excess of forty (40) hours actually worked in a work week. Other paid leave does not count as hours worked for purposes of calculating overtime pay in a work week.

PAP.4.6.040 Compensatory Time

(a) The LCOHA Human Resource Director, or designee, will classify and consistently review the classification of employees as either Exempt or Non-exempt. Exempt employees are compensated on a salary basis and will not accrue compensatory time or overtime for hours worked in excess of forty (40) hours in a workweek. Non-exempt employees will accrue, in lieu of overtime compensation, compensatory time for authorized hours worked in excess of forty (40) hours in a workweek.

(c) The LCOHA will permit a Non-exempt employee to use accrued compensatory time off with their supervisor's approval as long as the use of the compensatory time will not unduly disrupt the operations of the LCOHA.

(d) A Non-exempt employee must use compensatory time during the fiscal year in which it was accrued, and all such unused time shall be forfeited at the end of the fiscal year, provided a maximum of forty (40) hours may be carried over into any new fiscal year. The LCOHA may enforce this provision any time it becomes aware an employee carried over too much compensatory time from one fiscal year to the next.

(e) A Non-exempt employee who has accrued compensatory time off shall be paid for up to forty (40) hours of unused compensatory time at employee's ending rate of pay upon the resignation of employment. Employees that have been terminated pursuant to Subchapter PAP.4.12 of this manual shall forfeit all remaining uncompensated accrued compensatory time.

PAP.4.6.050 Temporary Increases

A department head or director who obtains prior authorization of the LCOHA Executive Director may temporarily increase the pay rate of an employee during the time that the employee is temporarily performing the duties of a position with a higher salary range. Any increase will cease upon removal of the conditions that warranted the increase.

PAP.4.6.060 Employer Payroll Deductions

Various payroll deductions are made each payday to comply with applicable laws, including but not limited to federal and state income tax withholding and social security. At the end of each calendar year, the LCOHA will provide each employee with a Wage and Tax Statement (W-2) form. This statement summarizes employee income and deductions for the year.

PAP.4.6.070 Bank Deposits or Payroll Deductions

The LCOHA may automatically deposit Employees' paychecks at financial institutions and may provide for payroll deductions, subject to applicable, charges, procedures and limitations. In addition, the LCOHA may make deductions from Employees' paychecks in accordance with orders issued by a court of competent jurisdiction. Employees should contact the Accounting Department with any questions.

PAP.4.6.080 Workers' Compensation

The LCOHA carries insurance to cover the cost of work-incurred injury or illness. Benefits help pay for employees' medical treatment and a portion of any income lost while recovering. An employee must report any work-related injury or illness to his or her department head or director by completing the "First Report of Injury or Illness Form," which must be completed within the timelines as stated in the Chapter CMP.6 – Worker's Compensation Code. Refer to the Chapter CMP.6 – Worker's Compensation Code for additional guidelines.

Subchapter PAP.4.7 Fringe Benefits

PAP.4.7.010 Fringe Benefits

(a) The following is a brief list of the fringe benefits available to eligible employees;

(1) Group Health Insurance/COBRA

(2) Holiday

(3) Personal Time Off (PTO)

(4) Sharing of PTO

(5) Additional Paid Leave

(6) Unpaid Leave

(7) Family and Medical Leave

(8) Life Insurance, Disability Insurance and Retirement Plan

(9) Employee Assistance Program

(10) Christmas Bonus

(11) Employee Recognition – Years of Service

(b) The LCOHA reserves the right, at its sole and absolute discretion, to rescind or amend benefits, to change insurance carriers, or to require employees to contribute towards premium costs. The LCOHA may make these changes at any time, except as provided by law. The Human Resource Director or Insurance Officer, or their designee, will notify employees of changes. While the LCOHA intends to continue offering sponsored benefits, there is no guarantee that such benefits will always be available.

PAP.4.7.020 Eligibility

The following employee classifications and eligibility for Fringe Benefits are as follows;

(a) Full Time Employee. Full time Employees, as defined in Section PAP.4.2.010(g) of this manual, are eligible for all Fringe Benefits after satisfactorily completing their probationary period, unless otherwise provided for in an Employment Contract with the LCOHA or mandated by law.

(b) Part Time Employee. Part Time Employees, as defined in Section PAP.4.2.010(m) of this manual, are not eligible for any fringe benefits offered by the LCOHA, unless otherwise mandated by law.

PAP.4.7.030 Group Health Insurance / Cobra

PAP.4.7.040 Holiday Leave

The Tribe/LCOHA grants eligible employees paid holiday leave. The Tribal Governing Board will approve the holiday schedule at least one (1) month prior to the beginning of a new calendar year. Eligible employees will receive the following paid holidays:

(a) New Year's Day

(b) Martin Luther King Jr. Day

(d) President's Day

(e) Good Friday

(f) Easter Monday

(g) American Indian Day

(h) Memorial Day

(i) Independence Day

(j) Honor the Earth Powwow (Friday prior to or the Monday after)

(k) Labor Day

(l) Veterans Day

(m) Thanksgiving

(n) Christmas

(o) Other official holidays as established by the Tribal Governing Board

PAP.4.7.050 Personal Time off

(a) Full-time employees will accrue paid Personal Time Off (PTO) at the following rates:

(1) If employed up to three (0 to 3) years, 16 hours per month for a total of 192 hours per year.

(2) If employed three years to ten years (3 to 10), 20 hours per month for a total of 240 hours per year.

(3) If employed more than ten (10+) years, 24 hours per month for a total of 288 hours per year.

(c) For purposes of calculating length of service it will be the responsibility of the employee to provide the LCOHA Human Resources Director with a statement from other Lac Courte Oreilles Tribally controlled entities stating the start and end dates. The length of service will only be calculated utilizing the certifiable time for an employee that left a position in good standing.

(d) Prior to the utilization of accrued PTO, Employees must schedule and have the use of accrued PTO time approved so it will not interfere with job responsibilities, except as otherwise provided by law. If an employee is on PTO and there is early release or closure of the employee's worksite, the employee shall be credited any such leave during the period of early release or closure. If requesting more than three (3) days of PTO time employees shall obtain prior authorization at least three (3) working days in advance of the leave date. The department head or director may or may not approve such request depending on a variety of factors, including project deadlines and schedules. In extreme emergency situations the Executive Director, in consultation with the employees Supervisor, may waive the three (3) day notification provision, if requested by the employee in writing citing the reason.

(e) To utilize PTO for unscheduled absences employees must notify the LCOHA and their immediate supervisor prior to their designated start time. If an Employee is absent from work for 3 days or longer, which is related to an illness or other medical related issues, a Physicians excuse must be provided that substantiates their absence.

(f) Probationary employees will not be able to use PTO during their 90 day probationary period unless it is for medical reasons or extreme circumstances with approval of their Supervisor and concurrence of the Executive Director. Furthermore, probationary employees are not permitted to share PTO.

PAP.4.7.060 Sharing of Personal Time Off

PAP.4.7.070 Additional Paid Leave

The LCOHA grants employees additional paid leave in certain situations, including the following:

(a) Civil Leave. The LCOHA grants eligible employees paid civil leave during the required absence when any employee appears as a witness for the federal, state or Tribal Government, in obedience to a subpoena. An employee must promptly notify his or her department head or director upon receipt of any subpoena. If an employee receives any stipend for such civil leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for civil leave.

(b) Jury Duty Leave. The LCOHA grants eligible employees paid leave during the required absence for jury service. An employee must promptly notify his or her department head or director upon receipt of any notice to appear. If an employee receives any stipend for such jury duty leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for jury service.

(1) All full-time employees will be given a five (5) day leave without loss of pay for funeral services for immediate family. Immediate family includes the following:

(A) Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Mother-in-law, Father-in-Law, Grandparent, Grandchild, including a partner who has been in a relationship for a period of time or in relationship under Ojibwe tradition and practices.

(3) All other funeral leave will be limited to no more than one (1) day with pay to attend the funeral services, subject to the notification and approval of employee's immediate supervisor.

(d) Committee or Board Leave. The LCOHA grants eligible full-time employees paid leave to serve on committees or boards of the Tribal Governing Board and may approve leave to participate in other outside boards or committees. An employee must receive prior approval from his or her department head or director prior to accepting an appointment or volunteering to sit on any committee or board. An employee may receive a stipend for such committee or board service, he or she shall not need to use PTO during any work absence for such service. Attendance at any meetings related to such appointment must be preapproved by the employee's immediate Supervisor and such appointment/meetings shall not interfere with an employee's work performance and duties.

(e) Maternity Leave. The LCOHA grants eligible full-time female employees up to eight (8) weeks, a maximum of three hundred and twenty (320) hours paid leave, for time to deliver and care for a newborn child. If an employee has medical problems prior to delivery, she may utilize paid maternity leave, subject to the maximum limit, with written verification from her doctor. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.4.8.060 of this manual.

(f) Paternity Leave. The LCOHA grants eligible full-time employees up to one (1) week, maximum of forty (40) hours, paid leave to care for a newborn child. An employee must request and obtain the prior approval of their department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.4.8.060 of this manual.

(g) Parental Leave. The LCOHA grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave for adoption, customary adoption, guardianship, protective placement, or an emergency safety plan of a pre-school (0-5 years of age) child. Leave may be granted prior to the legal proceedings having been completed. An employee must request the leave as early as possible and obtain approval of his or her department head or director to utilize the leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.4.8.060 of this manual.

(h) Military Leave. The LCOHA grants eligible full-time employees up to ten (10) days, maximum of eighty (80) hours, paid leave upon presentment of official orders requiring attendance for training or to perform other duties as a member of the United States Armed Forces. An employee serving on military leave with pay will be paid only the difference between compensation fees received for such duties and his or her normal salary. An employee must notify his or her department head or director prior to such leave. The LCOHA will look to the provisions of the Uniformed Services Employment and Reemployment Rights Act (USERRA) 38 U.S.C. § 4301 et. seq. solely as a guideline in determining reemployment of employees who take extended military leave.

(i) Voting Leave. The LCOHA will grant eligible employees two (2) hours paid leave to exercise the right to vote. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave.

(j) Birthday Leave. The LCOHA will grant eligible employees eight (8) hours of paid leave for the employee's birthday, provided the employee must take such leave within five (5) calendar days, either before or after, the date of the birthday.

(k) Education Leave. The LCOHA may grant employees paid release time to attend job-related or degree seeking courses. An employee must consult with his or her department head or director prior to registering to ensure the course is acceptable and must request and obtain the prior written approval of his or her Department head or Director with concurrence from the LCOHA Executive Director to utilize this benefit. An employee must also have an approved Professional Development Plan on file with the Human Resource office. An employee must promptly provide his or her Department head or Director and the Human Resource Director, or designee, with written proof of course completion. A failure to successfully complete a course may jeopardize an employee's ability to obtain approval of subsequent paid release time hereunder. The LCOHA may pay the tuition, books and associated fees of an employee attending an accredited institution of higher learning. The employee must be attending for the purpose of obtaining a degree or enrolling in courses in a field of study that is related to their position of employment with the LCOHA. An employee desiring to have the LCOHA pay these expenses must have an approved Professional Development Plan on file which is approved by their immediate Supervisor and agree to the terms and conditions of an Educational Expense Reimbursement Agreement.

(l) Conferences and Meetings. The LCOHA may grant employees time to attend job-related conferences and professional meetings. An employee must consult with his or her department head or director prior to registering to ensure the conference or professional meeting is acceptable. An employee must request and obtain the prior written approval of his or her department head or director to utilize this benefit.

PAP.4.7.080 Unpaid Leave

(a) Disciplinary Leave. The LCOHA may take disciplinary action, up to and including termination or suspension without pay, against employees who violate the provisions of this personnel policy and procedural manual.

(b) 30-Day Leave of Absence. The LCOHA may grant eligible employees up to thirty (30) days unpaid leave, without loss of employment status. The LCOHA may grant such leave only when the resulting leave will not adversely affect the operations of the LCOHA. An employee must request and obtain the prior written approval of his or her department head or director with written concurrence from the LCOHA Executive Director to utilize this leave.

(c) Religious Leave. The LCOHA may grant eligible employees up to an additional fifteen (15) days of unpaid religious leave. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave.

PAP.4.7.090 Family and Medical Leave

Employees may be eligible for up to twelve (12) weeks of family and medical leave during any twelve (12) month period. The leave may be paid, unpaid, or a combination of paid and unpaid, depending on the circumstances. This policy sets forth the LCOHA's policies and procedures for requesting family and medical leave.

(a) Eligibility for Leave. To be eligible for family and medical leave under this policy all of the following conditions must be met:

(1) An employee must have been employed by the LCOHA for at least twelve (12) months or fifty-two (52) weeks.

(2) An employee must have worked at least one thousand two hundred fifty (1250) hours during the twelve (12) months immediately preceding the request for leave.

(1) To care for a child following the child's birth or placement for adoption or foster care (this may be taken only within twelve (12) months of the birth or placement).

(2) To care for an immediate family member who has a serious health condition as defined in Section PAP.4.2.010(r) of this manual.

(3) Because the employee has a serious health condition as defined in Section PAP.4.2.010(r) of this manual, which prevents the employee from performing the functions of the position.

(c) If an employee takes PTO for a condition that progresses into a serious health condition and the employee requests unpaid leave as provided under this policy, the LCOHA may designate all or some portion of related leave taken as leave under this policy, to the extent that the earlier leave meets the necessary qualifications.

(d) If both parents work for the LCOHA, and each wishes to take leave for the birth of a child, adoption or acceptance of a child in foster care, or to care for an immediate family member with a serious health condition, the employees may only take a combined total of twelve (12) weeks of unpaid leave.

(e) Employees can take up to twelve (12) weeks of leave under this policy during any twelve (12) month period. The LCOHA will measure the twelve (12) month period as a rolling twelve (12) month period measured backward from the date an employee uses any leave under this policy. Each time an employee takes a leave, the LCOHA will compute the amount of leave you have taken under this policy and subtract it from the twelve (12) weeks of available leave, and the balance remaining is the amount an employee is entitled to take at that time. An employee's family or medical leave taken may run concurrently with other types of leave including workers' compensation and other leaves, such as short-term or long-term disability, etc.

(1) In situations where leave is requested due to the birth, adoption or acceptance of a child in foster care, intermittent or reduced work schedules will be granted at the LCOHA's sole discretion and if granted must be taken within one (1) year of the birth or placement of the child.

(3) In situations where an intermittent or reduced work schedule is permitted, the LCOHA may require an employee to transfer to an alternative position with equivalent pay and benefits in order to accommodate the recurring periods of absence.

(g) Use of Paid and Unpaid Leave. Employees who have accrued PTO must use paid leave first and take the remainder of the twelve (12) weeks as unpaid leave.

(1) Employees who take a leave because of their own serious health condition or the serious health condition of a family member must use all accumulated PTO prior to being eligible for unpaid leave.

(2) Employees who take leave for the birth of a child must use paid PTO for physical recovery following childbirth, except where such leave is compensated as paid maternity leave under this personnel policy and procedural manual or as paid short-term or long-term disability leave. These employees must then use all paid vacation, and then will be eligible for unpaid leave for the remainder of the twelve (12) weeks. Employees who take leave for the adoption or acceptance of a child in foster care must use all paid PTO prior to being eligible for unpaid leave.

(h) Procedure for Requesting Leave. In situations where leave is foreseeable, employees must provide written notice to the department head or director at least thirty (30) days prior to the date on which the leave is scheduled to begin. If the leave is foreseeable due to a planned medical treatment, employees must make reasonable efforts to schedule the treatment(s) to minimize disruptions to the Housing Authority's operations. If circumstances occur, in which it is not practicable to provide thirty (30) days' notice, employees must provide written notice as far in advance as is practicable. If an employee fails to provide thirty (30) days advance written notice of a requested leave and have no reasonable excuse, the leave may at the Executive Director's discretion be delayed for up to thirty (30) days from the date of written notice.

(i) Medical Certification Requirement. When leave is requested because of a serious health condition affecting an employee or his or her immediate family member, the LCOHA requires the employee to obtain certification of the health condition from the pertinent doctor or health care provider. This certification must be provided to the department head or director within fifteen (15) days after the leave is requested or, when the need for leave was unforeseeable, within fifteen (15) days after the leave has commenced unless it is not practicable to do because of the nature of the health condition.

(A) The date on which the serious health condition started and its expected duration,

(B) The diagnosis concerning the condition,

(D) A statement of whether in-patient hospitalization is required, or

(2) The LCOHA, if it doubts the certification, at its expense, may require an employee seeking leave due to a serious medical condition to obtain a second opinion from a doctor or other health care professional designated by the LCOHA. If the second opinion conflicts with the certification provided by the employee, the LCOHA may, at its sole discretion and at its expense, require a third opinion from a doctor or other health care professional designated jointly by the LCOHA and the employee. Such a third opinion will be final and binding.

(j) Return from Leave. Upon completion of leave due to an employee's own serious health condition, the employee must provide the LCOHA with medical certification from his or her doctor or other health care professional that the employee is now able to return to work. If an employee fails to provide this certification, he or she will not be permitted to return to work until such certification is provided. An employee who takes leave under this policy will be able to return to the same job or a job with equivalent status, pay, benefits and other employment terms. The LCOHA may choose to exempt certain highly compensated employees from this requirement and not return them to the same or similar position.

(k) Health Benefits during Leave.

(2) If under the LCOHA's current policy, an employee pays a portion of the health care premium, while on paid leave, the LCOHA will continue to make payroll deductions to collect the employee's share of the premium. While on unpaid leave, the employee must continue to make this payment, either in person or by mail. The payment must be received by the first day of each month. If the payment is more than thirty (30) days late, the employee's health care coverage may be dropped for the duration of the leave.

PAP.4.7.100 Life Insurance, Disability Insurance and Retirement Plan

If requested by the Employee, the LCOHA through the Tribe provides eligible employees Life and Disability insurances along with a Retirement Plan. An Employee wanting these types of benefits should consult with the Tribe's Benefit's Administrator for further information.

PAP.4.7.110 Employee Assistance Program

(B) Employees placed on a leave of absence from self-disclosure shall:

1) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

2) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

3) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

4) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.4.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from self-disclosure will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.4.2.010(o), the employee shall be subject to disciplinary action, up to and including termination pursuant to Section PAP.4.8.080(f) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.4.8.080(a) of this manual.

(D) Utilization of this self-disclosure provision does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.4.8.080(f) of this manual, or any other tribal law or policy.

(b) Employer Referral. An employee's department head or director shall refer an employee to the Human Resource Director, or designee, when an employee's conduct mandates as such.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCOCHC – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCOCHC – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Employees shall comply with the referral to the EAP and follow subsequent recommendations for referral and treatment. Failure to show-up for required scheduled EAP appointment will result in further disciplinary action up to and including termination of employment. Regardless of any EAP referral, employees must maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(B) Employees placed on a leave of absence when required by an approved LCOCHC- Behavioral Health EAP treatment plan shall:

1) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

2) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

3) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

4) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.4.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from a referral of the employer will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.4.2.010(o), the employee shall be subject to disciplinary action, up to and including termination pursuant to Section PAP.4.8.080(f) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.4.8.080(a) of this manual.

(D) Participation in an approved LCOCHC- Behavioral Health EAP treatment plan does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.4.8.080(f) of this manual, or any other tribal law or policy.

PAP.4.7.120 Christmas Bonus

Christmas bonuses may be paid to LCOHA employees as determined by the LCOHA Executive Director, which will be subject to any funding or other limitations.

PAP.4.7.130 Employee Recognition – Years of Service

(a) Employees that have worked for the Housing Authority for fifteen (15) years shall receive a gift equal to one week's pay.

(b) Employees that have worked for the Housing Authority for twenty (20) years shall receive a gift equal to two week's pay.

(c) Employees that have worked for the Housing Authority for twenty five (25) years shall receive a gift equal to two week's pay, a gift and plaque.

(d) Upon retirement (25 years or more), an employee shall receive one hundred dollars for each year of service to the Housing Authority.

Subchapter PAP.4.8 Conduct

PAP.4.8.010 General Statement of Conduct

PAP.4.8.020 Conflict of Interest

Employees are not permitted to engage in nepotism, favoritism, and any outside business transactions, or other activities, which are detrimental to the best interests of the Tribe and/or the LCOHA. This includes activities that, directly or indirectly, divert business opportunities from the Tribe/LCOHA or confer an unfair advantage upon or benefit to a family member. It also includes activities that negatively reflect upon the Tribe/LCOHA's image or are contrary to the mission of the Tribe/LCOHA, except for activities specifically protected by law. The Tribe/LCOHA respects the right of employees to engage in activities outside their employment that are of a private nature and unrelated to their job or the Tribe/LCOHA. However, employees must fully disclose to their department head or director or the Human Resource Director, or designee, all business and personal activities that represent such a conflict of interest with the Tribe/LCOHA. If an employee is unsure whether a conflict of interest exists, the employee is encouraged to seek the advice of the Human Resource Director, or designee.

PAP.4.8.030 Outside Employment

Employees may not accept simultaneous employment with another tribal agency or another employer without the express permission of the Executive Director. Permission may be denied if the other employer is a competitor or supplier of the Tribe/LCOHA. The request may be denied with employment of another tribal agency if the total hours worked in a given week violates tribal policy or interferes with the work expectations of the LCOHA. The LCOHA considers all full time employees' work with the LCOHA to be their primary employment responsibility. As such, outside employment will not be considered an excuse for poor performance, absenteeism, tardiness or refusal/inability to work overtime.

PAP.4.8.040 Political Activity

Employees shall not directly or indirectly use their authority, influence or political aspirations to compel individuals to participate or not participate in Tribal political activity and/or election processes. Campaign buttons, posters, or apparel related to tribal political activity is prohibited at the workplace, and distributing literature, emailing, and circulating petitions related thereto during work time or in work areas is strictly prohibited. In addition, employees shall not use Tribal/LCOHA property and services to influence individuals to participate or not participate in the Tribal election process.

PAP.4.8.050 Harassment

(a) The Tribe/LCOHA has a "zero-tolerance" policy with respect to employee harassment. Any form of unlawful employee harassment based on race, color, religion, sex, national (including Tribal) origin, age, disability or status in any protected group is prohibited. The Tribe will not tolerate interference with the ability of employees to perform their expected job duties. Harassment of employees, tenants or members of the public by LCOHA employees will result in disciplinary action, up to and including termination.

(c) The Tribe/LCOHA prohibits any form of retaliation against any employee for filing a bona fide complaint under this policy or for assisting in a complaint investigation. However, if, after investigating any complaint of harassment or unlawful discrimination, the Tribe/LCOHA determines that the complaint is not bona fide and was not made in good faith or that an employee has provided false information regarding the complaint, disciplinary action may be taken against the individual who filed the complaint.

PAP.4.8.060 Alcohol and Drugs

(a) All employees of the Tribe are subject to the drug testing procedures as provided in Section PAP.4.8.080 of this manual.

(b) Employees are expected to come to work with a clear mind, unimpaired by drugs or alcohol. No employee under the influence of alcohol, illegal drugs or controlled substances as established in Section PAP.4.2.010(w) shall be permitted to come to or remain at work.

PAP.4.8.070 Drug Free Workplace Act Compliance

(b) General Provisions.

(3) Notice of Conviction or Charges.

(B) As required by law, the Legal Department will be responsible for notifying the applicable funding agency of the employee's department within ten days after receiving notice from the human resource director, or designee of an employee's criminal drug statute conviction or charges occurring in the workplace or while on duty.

PAP.4.8.080 Drug and Alcohol Testing

All employees and applicants for employment are subject to drug and alcohol testing, including reasonable suspicion, pre-employment, return-to-duty, and random drug testing. Drug tests require laboratory testing as provided by the Mandatory guidelines for Federal Workplace Drug Testing Programs pursuant to 94 FR 28101, May 15, 2015 as amended, as minimum standards for the following five classes of drug and correlative cutoff concentrations: Marijuana; Cocaine; Opiates including opium and codeine derivatives such as Oxycodone, Oxymorphone, Hydrocodone, Hydromorphone; Amphetamines and Methamphetamines including Methylenedioxyamphetamine (MDA) and Methylenedioxyethylamphetamine (MDEA); Phencyclidine (PCP). Employees are encouraged to contact the Human Resource Director, or designee, with any questions regarding drug and alcohol testing. Failure or refusal to participate in an employer-directed drug test is considered insubordination and the employee will be terminated for insubordination.

(a) General Drug and Alcohol Testing Procedures. In cases where an employee is required to undergo testing for the presence of alcohol or drugs including reasonable suspicion, pre-employment, return-to-duty, and random drug testing, the following procedures shall apply:

(3) In the event of a positive test result, a confirmation test will be performed by a laboratory specified in Section PAP.4.8.080(a)(2) above, using the original sample (not a new sample). The confirmation test will be based on a different analytical method of higher analytical certainty.

(b) Pre-Employment Testing Procedures.

(2) Applicants who test positive for alcohol, illegal drugs, and/or prescribed medication for which they do not have a valid prescription, shall be denied employment.

(3) An applicant who initially declines a drug test will be denied employment and not eligible for employment for 90 days.

(1) Upon a finding by an employee's department head or director that there is probable cause that the employee is either under the influence of alcohol (under the influence shall mean a blood alcohol concentration of 0.02 grams of alcohol per 100 milliliters of a person's blood or while the person has 0.02 grams of alcohol per 210 liters of a person's breath) or drug abuse that is impairing the employee's ability to carry out job-related activities, the employee shall be required to be tested for the presence of drugs or alcohol pursuant to Section PAP.4.8.080(c)(3), below. A finding of probable cause and directive requiring the employee to submit to testing for drugs or alcohol must be in writing signed by the employee's department head or director. The probable cause finding must be supported by evidence of specific, personal observations concerning job performance, appearance, behavior, speech, or bodily odors of the employee. If hearsay information is received, such information must be corroborated by personal observations, or observations and evaluation by the Executive Director, or designee.

(2) Once an employee's department head or director has determined that probable cause pursuant to Section PAP.4.8.080(c)(1), above exists, the employee's department head or director shall immediately contact the Human Resource Director, or designee and convey that one of his or her employees is under the influence of alcohol or a controlled substance and that such influence is impairing that employee's ability to carry out his or her job related duties.

(3) Upon receiving contact from an employee's department head or director, the Human Resource Director, or designee shall have the employee drug tested and if alcohol related have the employee submit to a portable breath test (PBT) conducted by a Class 1 PBT Certified person as specified in Section PAP.4.8.080(a)(6), above. If the employee refuses to take a test (including but not limited to a drug test, drug urine test, or PBT test) after being required to do so, the employee is thereby insubordinate and considered to be in violation of the Drug Testing Policy and shall be terminated.

(4) Upon receipt of a positive test result, the employee shall be immediately relieved of their duty station and will be subject to disciplinary action, Section PAP.4.8.080(f) below, and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.4.8.080(a) above. In all cases, an employee may face legal consequences for his/her actions. Upon receipt of a positive confirmation test result pursuant to Section PAP.4.8.080(a) above, the employee shall be referred by the Human Resource Director, or designee to participate in the Employee Assistance Program pursuant to Section PAP.4.7.110(a) of this manual. Failure to comply and successfully complete an approved LCOCHC- Behavioral Health EAP treatment plan within the timeframe established in the treatment plan will result in termination.

(d) Preventive Testing Program (Random Testing) Procedures.

(1) All employees are included in the Tribe's Preventive Testing Program (Random Testing). Employee Preventive Testing will be conducted at unscheduled and unannounced times. If an employee is participating in the EAP they may be exempt from Section PAP.4.8.080(f), below of this manual if a subsequent violation is a result of their initial EAP referral.

(2) Method of Conducting Preventive Testing.

(A) A non-biased selection procedure will be used to assure equitable distribution in the selection process.

(B) The randomly generated list of employees to be tested will be kept on file for 2-years.

(3) Employees who are selected for preventative testing and refuse to take a test will be considered insubordinate and will be terminated. An employee has up to 3 hours to provide a sample and may not leave the property. Consideration for extending the timeframe will be afforded the employee if the employee is cooperating, i.e. drinking water or other fluids. An employee who fails to provide a sample within the allotted or extended timeframe is insubordinate and will be terminated.

(4) If an employee that is selected for preventative testing is on travel, PTO, or other leave, the employee shall be notified upon their return to work to comply with the preventative testing procedure pursuant to Section PAP.4.8.080(d)(3), above.

(5) Upon receipt of a positive test result, the employee shall be immediately relieved of their duty station and will be subject to disciplinary action, up to and including termination pursuant to Section PAP.4.8.080(f), below and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.4.8.080(a), above. In all cases, an employee may face legal consequences for his/her actions.

(f) Discipline for Drug Testing Violation. In all cases, an employee may face legal consequences for his/her actions.

(A) First Offense: The employee will be informed of a first offense in writing and will be suspended three (3) days without pay.

(C) Third Offense: If a third offense occurs, the employee shall be terminated. Such termination shall not be subject to appeal.

(2) Any employee who refuses to take a test as established in Section PAP.4.8.080(a) will be considered insubordinate and will be terminated for insubordination. Such termination shall not be subject to appeal.

PAP.4.8.090 Inspection and Search

PAP.4.8.100 Confidentiality

(a) In the course of performing duties for the Tribe/LCOHA, employees may obtain or become aware of confidential information, such as personnel, financial and legal information of the Tribe/LCOHA, its programs, operations, enterprises and employees, including but not limited to information encompassed in any reports, investigations, research or development work, mailing lists, bid lists, directories, listings, plans, specifications, proposals, marketing plans, financial projections, cost sheets, bid estimates, bid spreadsheets, vendor or subcontractor quotes, financial data and any and all concepts or ideas, materials or information related to the business, products, or services of the Tribe/LCOHA or its customers and vendors ("Confidential Information").

(c) Employees also must not use or release, directly or indirectly, any proprietary information or trade secrets of the Tribe/LCOHA without prior authorization from their department head or director, in consultation with the legal department. Trade secrets include any formula, pattern or devise of compilation of information which is used in the Tribe/LCOHA's business or operations.

(d) Violations of confidentiality, including the disclosure of confidential information (verbal, written or documents) as defined under this section shall be subject to discipline, up to and including termination. The LCOHA reserves the right to prosecute any violations to fullest extent allowed under tribal, state or federal law.

PAP.4.8.110 Media Inquiries

The Tribe/LCOHA generates public interest and persons often seek newsworthy information. Therefore, it is our policy to allow only authorized representatives to make contact with or provide information or comments to reporters and news agencies regarding the Tribe/LCOHA. Any employee who is contacted by a reporter regarding the Tribe/LCOHA must inform his or her department head or director of the request for information. Prior written authorization by the Tribal Governing Board Chairman or his/her designee is required prior to any media release of information.

PAP.4.8.120 Security Measures / Limited Access Control Areas

Maintaining security and limiting access to certain areas of the LCOHA's facilities is important to the continued success and is required by law in some instances. Employees shall not permit unauthorized persons, which may include LCOHA employees, to enter secure and limited access controlled areas or to access confidential or protected information.

PAP.4.8.130 Dress and Appearance

PAP.4.8.140 Smoking

(a) Employees shall smoke only in designated areas, notwithstanding subd. (3) below.

(b) Smoking is prohibited in the following areas, notwithstanding subd. (3) below:

(1) In any LCOHA owned or leased vehicle;

(2) In any LCOHA units designated as a workplace.

Violators of this section are subject to disciplinary action, up to and including termination.

(c) Nothing in this policy shall be deemed to limit or interfere with the use of tobacco at traditional ceremonies and cultural functions.

PAP.4.8.150 Internet and Telephones

(a) All electronic and telephonic communication systems and all communications and information transmitted by, received from, or stored in these systems are the property of the LCOHA and as such are to be used solely for job-related purposes. The use of any software and business equipment, including, but not limited to, e-mail, internet access, facsimile machines, computers, telephones (land lines and cellular phones) and copy machines for private purposes is prohibited.

(b) No employee may not use a pass code or voice-mail access code that has not been issued to that employee or that is unknown to the LOCHA. Moreover, improper use of the e-mail system (e.g., distributing offensive jokes or remarks) will not be tolerated.

(c) Employees shall not use the Tribe/LCOHA's internet, voice mail and e-mail resources, phones and other systems in a prohibited manner, including:

(1) To transmit, view, retrieve, or store any communications of a discriminatory or harassing nature or materials that are considered obscene or pornographic;

(2) To access pornographic internet sites, display or print any associated materials, pictures and cartoons;

(4) For non-business, personal or private use, including but not limited to game playing and personal communication not associated with business;

(5) To disclose any confidential or proprietary information except where such disclosure is authorized or permitted in this personnel policy and procedural manual.

(d) Employees shall not use the Tribe/LCOHA's internet, voice mail and e-mail resources and other systems and equipment, including but not limited to computer hardware, software, copier, fax machine and postage machine in a manner that is contrary to the provisions of any purchase or lease contract, such as unlawful copying of computer software.

(e) Notwithstanding the Tribe/LCOHA's right to retrieve and read any voice or electronic mail messages, such messages should be treated as confidential by other employees and accessed only by the intended recipient. Employees are not authorized to retrieve or read any voice or e-mail messages that are not sent to them. Any exception to this policy must receive prior written approval by Management.

(f) The Tribe/LCOHA may monitor, record and listen to all internet, e-mail and voice mail usage, to assure compliance with its policies, for cost analysis and for legitimate business purposes. Thus, the Tribe/LCOHA may listen to, access and disclose any information in the electronic communication and telephone systems, even such information or communication protected by an employee's personal password, at any time, with or without notice to the employee. Employees have no expectation of privacy in connection with the use of these systems, or the transmission, receipt or storage of information in such systems.

PAP.4.8.160 Solicitation and Distribution

(b) Non-employees, other than customers and vendors, are not permitted on LCOHA property for the purpose of solicitations or any other reason without the express authorization of the Tribal Governing Board.

PAP.4.8.170 Workplace Violence

(a) The Tribe/LCOHA is concerned about the increased violence in society, which has also filtered into many workplaces, and has taken steps to help prevent incidents of violence from occurring at its facilities. It is our policy to expressly prohibit any acts or threats of violence against any employee in or about our facilities or elsewhere at any time. We will not condone any acts or threats of violence against our employees, customers, or visitors on the Tribe/LCOHA's property at any time or while they are engaged in business with or on behalf of the Tribe/LCOHA, on or off our premises.

(b) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the Tribe/LCOHA is committed to the following:

(1) To provide a safe and healthful work environment;

(4) To establish viable security measures to ensure that the Tribe/LCOHA's facilities are safe and secure to the maximum extent possible and to properly handle access to the Tribe/LCOHA's facilities by the public, off-duty employees, and former employees.

(c) Employees, former employees, customers and visitors shall not bring or possess unauthorized firearms or other weapons onto the Tribe/LCOHA's premises. Any employee who displays a tendency to engage in violent, abusive, or threatening behavior or who otherwise engages in behavior that the Tribe/LCOHA, in its sole discretion, deems offensive or inappropriate, or who possesses a firearm or weapon in violation of this policy will be subject to disciplinary action, up to and including termination.

(d) Employees have a "duty to warn" LCOHA Management of any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve other employees, former employees, customers, or visitors and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The LCO Tribe/LCOHA will not condone any form of retaliation against any employee for making a report under this policy.

PAP.4.8.180 Off-Duty Misconduct

Employees shall not engage in off-duty misconduct which is deemed detrimental to the Tribe/LCOHA. While it is impossible to predict every detrimental situation, the Tribe/LCOHA may determine that off-duty misconduct is adverse to the Tribe/LCOHA, because it is serious in nature; is at odds with an employee's job duties; or is notorious and has the potential to discredit the Tribe/LCOHA.

PAP.4.8.190 Children in the Workplace

The presence of children in the workplace is discouraged because it can be disruptive to other employees. However, the LCOHA recognizes that there may be circumstances when it is necessary for an employee to have a child at the workplace for a short period. A supervisor has the authority to prohibit an employee from having a child at the workplace if the supervisor determines that the employee is abusing this policy or the workplace is being disturbed.

PAP.4.8.200 Policy Regarding Use of Social Media by Employees

(a) While the Tribe/LCOHA encourages its employees to enjoy and make good use of their off-duty time, certain activities on the part of employees may become a concern if they have the effect of impairing the work of any employee; harassing, demeaning, or creating a hostile working environment for any employee; disrupting the smooth and orderly flow of work within the office; or harming the goodwill and reputation of the Tribe. In the area of social media (print, broadcast, digital, and online services such as Facebook, LinkedIn, MySpace, Plaxo, and Twitter, among others), employees may use such media in any way they choose as long as such use does not produce the adverse consequences noted above. For this reason, the following provisions apply regarding an employee's use of social media, both on and off duty:

(A) has the potential or effect of involving the employee, their coworkers, tribal members or the Tribe in any kind of dispute or conflict with other employees or third parties;

(B) interferes with the work of any employee;

(D) disrupts the smooth and orderly flow of work within the office, or the delivery of services to tribal members;

(E) harms the goodwill and reputation of the Tribe in the community at large; or

(F) tends to place in doubt the reliability, trustworthiness, or sound judgment of the person who is the subject of the information.

(4) Use of social media that involves any kind of criminal activity or harms the rights of others may result in criminal prosecution or civil liability to those harmed, or both.

(5) Social media access and use involving Tribal equipment and resources are subject to the Tribe's computer and internet policy at all times.

(6) The provisions in this policy are not intended to restrict communications regarding the terms and conditions of the workplace.

Subchapter PAP.4.9 Safety

PAP.4.9.010 General Rules

(a) The safety of employees is important to the Tribe/LCOHA. Fire extinguishers, exits and first-aid kits are available in marked locations around Tribal/LCOHA facilities. Employees must strictly adhere to all applicable safety regulations and comply with the following general rules:

(1) Employees must report immediately all accidents or injuries to a supervisor without exception;

(2) Employees may smoke only in designated areas;

(3) Employees must be careful and take necessary precautions when operating, cleaning or repairing any machinery;

(4) Employees must be present prior to starting any operation or task which calls for more than one employee;

(5) Employee must not attempt to operate equipment without authorization or proper training or certification;

(6) The Tribe/LCOHA will not tolerate horseplay or practical jokes. Accidents or injuries resulting from such horseplay or conduct shall not be considered work related.

PAP.4.9.020 Accidents or Injuries

PAP.4.9.030 Protective Equipment

The LCOHA will furnish required safety equipment to employees, if the work requires such equipment. Safety equipment includes safety glasses, gloves, safety shoes, noise protection devices, special protective devices for handling hazardous chemicals and waste, etc. Employees must follow all rules concerning the wearing of safety equipment at all times and must not remove safety equipment from any machinery, such as machine guards.

PAP.4.9.040 Hazardous Materials

The LCOHA complies with all applicable "Right to Know" laws, which means employees will be made aware of any chemical hazards at the workplace. Employees will also receive special training concerning the labeling, handling and disposal of hazardous substances, and what steps should be taken in the event of a spill or release.

PAP.4.9.050 Personal Responsibility

Subchapter PAP.4.10 Vehicle Driver Certification

PAP.4.10.010 Purpose

The purpose of this subchapter is to certify employees who may operate a vehicle or travel on tribal business and to minimize Tribal exposure to liability claims resulting from vehicle accidents.

PAP.4.10.020 Scope

Any person driving on Tribal/LCOHA business including all employees and volunteers shall comply with this subchapter. Tribal business does not include an employee's regular commute to and from the work place.

PAP.4.10.030 Policy

Drivers of Tribal/LCOHA, personal, or rental vehicles may be authorized to drive on Tribal business if they are 18 years of age and certification criteria contained in this subchapter are satisfied.

PAP.4.10.040 Procedures

Drivers must achieve certification to drive on tribal business by meeting the requirements listed in Section PAP.4.10.050 of this manual.

PAP.4.10.050 Minimum Certification Requirements

(a) Tribal Vehicle Certification.

(1) Current Wisconsin Driver's License

(2) Commercial Driver's License if required by Federal law or other contractual obligations

(3) License requirements listed in the employee's current job description.

(4) Completed Driving Record Authorization Form in employee's personnel file.

(5) None of the following driving violation convictions within the last year:

(A) Operating without valid driver's license

(B) Obstruction in regard to driver violation

(D) Violation of Occupational License

(E) Causing great bodily harm with vehicle

(F) Negligent homicide by use of motor vehicle

(G) Operating while license suspended

(H) Vehicle usage resulting in felony conviction

(I) Operating a school bus without a school bus license

(b) Personal Vehicle Certification.

(1) Current Wisconsin Driver's License

(2) Evidence of current minimum insurance coverage as follows, verified by an insurance policy with copy supplied to the Human Resource Director at every policy renewal:

(A) $100,000 per Person

(B) $300,000 per Accident for Bodily Injury

PAP.4.10.060 Recordkeeping

(a) The Lac Courte Oreilles Human Resource Department will maintain a current list of all certified drivers.

(1) Lists will be supplied to the LCOHA Travel Clerk.

PAP.4.10.070 Supervisors Responsibility

(a) Supervisors shall ensure that no uncertified employees drive on Tribal business.

(1) Departments, where appropriate, shall create Standard Operating Procedures which minimize drivers risk exposure.

(b) Supervisors shall take action when employees or the Human Resource Department report violations. Actions may be, but are not limited to:

(1) Reassigning the uncertified employee to a position which does not require driving.

(2) Removing the driving requirement from the employee's job description.

(3) Place the employee on unpaid leave until they become recertified.

(4) Termination of employment because of a valid driver's license is a required qualification on the job description.

Subchapter PAP.4.11 Problem Solving

PAP.4.11.010 Scope

(a) Problem Solving Process. When people work closely together it is only natural that problems, questions or conflict may sometimes arise. It is in the best interest of the LCOHA and all employees that these issues be resolved as quickly and fairly as possible; therefore, the LCOHA supports an "open-communication policy" to encourage addressing these issues. The following "Problem Solving Process" has been designed to provide guidelines for resolution of questions, problems or conflicts:

(1) If you have a work related or personal problem that you think the LCOHA can help you resolve, you are encouraged to discuss it with your supervisor. Your supervisor is usually in the best position to help you.

(3) In the unlikely situation that these steps have not resolved the issue, you may take your problem to the LCOHA Executive Director.

(b) Chain of Command. All LCOHA employees are required to follow the chain of command, with no exceptions. The chain of command consists of and is limited to the following:

(1) Your Supervisor

(2) Human Resources Director

(3) LCOHA Executive Director

(c) Open Communication Policy. The LCOHA supports open lines of communication between employees, which assures all LCOHA employees concerns will be heard and considered. It is the belief and commitment of the LCOHA to maintain direct lines of communication and good working relationships with all employees. Problems arise in all work places and this process is designated to identify and correct those problems and issues in a fair, equitable and timely manner. It should be noted that not all problems or issues will have an outcome that all parties agree with but in no circumstances will insubordinate behavior or communications be tolerated.

Subchapter PAP.4.12 Disciplinary Action and Appeal

PAP.4.12.010 Consent

Each employee shall agree to, by signing, a Consent to Appeal Procedure as a condition of continued employment. The Appeals Procedure constitutes a contract between the Tribe/LCOHA and the employee and establishes the framework under which employees may appeal disciplinary action imposed under this subchapter or employment claims, provided no employee can appeal any disciplinary action based on activity that results in an arrest and conviction. In addition, regarding employment claims, it is important to note that nothing in this personnel policy and procedural manual shall be construed as the Tribe/LCOHA consenting to application of any law or waiving applicable defenses, including the defense that the subject law does not apply to the Tribe/LCOHA.

PAP.4.12.020 Grounds for Disciplinary Action

(b) An employee may be suspended for any conduct which results in an arrest, pending the determination of the Executive Director of the seriousness of the offense. Conduct by an LCOHA employee which results in a felony arrest and/or felony conviction as defined under state and federal law will result in termination.

(c) The LCOHA reserves the right to impose discipline for any of the actions listed in this section; such action may include suspension and /or termination:

(1) Incompetence;

(2) Neglect of duty;

(3) Insubordination;

(4) Refusal to work;

(5) Willful misconduct;

(6) Political activity as defined in Section PAP.4.8.040 of this manual;

(7) False representation in conjunction with job performance;

(8) Intoxication or use of intoxicants during working hours;

(9) Conviction of any felony either in performance of job duties, or in private affairs;

(10) Negligence or willful damage to tribal property;

(11) Discourteous treatment of the public or fellow employees during working hours;

(12) Loss of driver's license if required for the job;

(13) Job performance which results in serious harm to the employee's program;

(14) Failure to properly report to work on time;

(15) Unauthorized disclosure of confidential information;

(16) Conflict of interest;

(17) Theft;

(18) Falsification of timecards;

(19) Willful violation of any Tribal law, rule, regulations or any deliberate action that is detrimental to the Tribe;

(20) Willful violation of security or safety rules;

(21) Negligence or any careless action which endangers the life or safety of another person;

(22) Unauthorized possession of dangerous or illegal firearms, weapons, or explosives on the Tribe's property or while on duty;

(23) Engaging in criminal conduct or acts of violence, or making threats of violence toward anyone on the Tribe's premises or when representing the Tribe/LCOHA;

(24) Provoking a fight on Tribal property;

(25) Refusing to obey instructions properly issued by Management;

(26) Refusing to help out on a special assignment;

(27) Threatening, intimidating, or coercing fellow employees on or off the premises – at any time, for any purpose;

(28) Dishonesty; willful falsification or misrepresentation on the application for employment or other work records; falsifying other data requested by the Tribe;

(29) Giving confidential or proprietary Tribal/LCOHA information to competitors, other organizations, the general public, or to unauthorized employees; working for a competing business while still employed by the Tribe/LCOHA, breach of confidentiality of personnel information;

(30) Malicious gossip and/or spreading rumors; engaging in behavior designed to create discord and lack of harmony; interfering with another employee on the job;

(31) Poor work performance;

PAP.4.12.030 Types of Disciplinary Actions

(a) Employees must perform assigned duties at or above satisfactory levels, follow standards of workplace behavior contained in this personnel policy and procedural manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford employees an opportunity to correct behavior, however some personnel infractions are severe enough to impose any of the below-mentioned disciplinary actions, up to and including termination. Disciplinary actions may be handled in any manner deemed appropriate by the LCOHA. This may include, but is not limited to, the following:

(1) Employee Warning.

(C) The Human Resource Director, or designee, will maintain all employee warnings in an employee's personnel file in the event that further progressive discipline is necessary.

(2) Suspension.

(3) Probationary Period in lieu of Termination.

(A) In lieu of termination an employee may be placed on a probationary period for a serious violation of this personnel policy and procedural manual, as recommended by a Supervisor and agreed to and evidenced by the signature of the employee on a "Waiver of Appeal Process" form. The Supervisor must follow the same procedures as outlined in Section PAP.4.12.030(a)(2). During this probationary period, the LCOHA will evaluate the employee's continued suitability for employment. If during this period an employee has not shown improvement or adequately addressed the issues surrounding the probationary period in lieu of termination the Supervisor may recommend the termination of the employee's employment, without the ability of the employee to appeal the decision, subject to the approval of the Executive Director.

(C) At the end of the probationary period pursuant to this section, the LCOHA will prepare a written performance evaluation and discuss with the employee the curative conduct of the employee pertaining to the problem causing the probationary period as well as the employee's overall job performance.

(4) Termination.

(B) The department head or director shall document all terminations and provide a copy of all documentation to the Human Resource Director, or designee.

(b) The LCOHA retains the sole discretion to determine what behavior warrants disciplinary action and what type of disciplinary action will be imposed. The LCOHA reserves the right to terminate employees at any time for any reason that does not violate applicable law with or without notice and with or without prior resort to other means of discipline.

PAP.4.12.040 Disciplinary Action Appeal Procedure

(a) Appeal Policy.

(1) It is the policy of the LCOHA to ensure fair and equitable treatment for all LCOHA employees. Therefore, all LCOHA employees have the right to appeal any suspension or termination received by an employee pursuant to Section PAP.4.12.020 of this manual. Verbal and written warnings are corrective action tools and thus are not subject to appeal.

(2) An employee who presents an appeal under the provisions of this manual will not be discriminated against or otherwise penalized for such action. If an employee is threatened or harassed at any time during the appeal process, he or she may notify the Human Resources Director in writing. The Human Resource Director will investigate, with the assistance of the Legal Department, such complaints and recommend proper action to the Executive Director. An appeal and any materials submitted in connection shall be considered confidential until the appeal process has been completed under the provisions of this section.

(b) Appeal Procedures. A formal appeal will be filed and processed in the manner described below, except that time limits may be waived or extended by written mutual consent of the parties involved.

(1) Appeal. The Employee will submit a written statement detailing the issue being appealed within three (3) working days of receiving a suspension or termination pursuant to Section PAP.4.12.020 of this manual. An Employee's failure to file an appeal within the specified time period will be considered a waiver of the formal appeal procedure and the disciplinary action will be final. The Human Resources Office will make four (4) written copies of the appeal; one copy will be given to his or her supervisor, one copy will be given to the Executive Director, one copy shall be retained by the Human Resource Director, and one copy shall be placed in the Employee's file. The original copy of the appeal will always remain with the Human Resources Office.

(3) Once the Employee, the Supervisor, the Executive Director, and the Human Resource Department have copies of the appeal, the LCOHA Human Resource Director shall provide a copy of the appeal to the Tribal Operations Human Resource Director and the process shall continue pursuant to Section PAP.4.12.040(c) below.

(1) Schedule Evidentiary Hearing.

(A) Upon timely receipt of all appeal documentation from the LCOHA Human Resource Director, the Tribal Operations Human Resource Director, or designee, will schedule an appeal committee evidentiary hearing to take place within ten (10) working days.

(B) The Tribal Operations Human Resource Director, or designee, will notify the employee and the LCOHA Human Resource Director of the evidentiary hearing date by personal delivery or certified mail at least five (5) days prior to the scheduled hearing date.

(D) All employees requested to testify at an appeal, must attend the appeal hearing when directed by the Tribal Operations Human Resource Director, or designee. Failure to appear may result in a monetary fine or disciplinary action or both.

(2) Evidentiary Hearing. The appeals committee will conduct an evidentiary hearing. The members of the appeals committee shall select by majority vote a chairperson, who shall preside over the appeal and a recording secretary who shall be responsible for documenting and recording the proceedings. Any decisions or instruction by the Chair shall be final.

(A) All hearings shall be electronically recorded. The order of appearance for the Appeals hearing shall be as follows:

(i) Opening remarks by supervisor;

(ii) Opening remarks by employee;

(iii) Supervisor examination of witnesses with cross-examination by employee;

(iv) Employee examination of witnesses with cross-examination by supervisor;

(v) Supervisor and employee may redirect witnesses after examination of witnesses;

(vi) Closing remarks by supervisor;

(vii) Closing remarks by employee.

(B) The Appeals Committee shall make all decisions by majority vote. No member shall be permitted to abstain from any vote. The Appeals committee shall be permitted to take notes during the hearing; all materials shall be submitted to the Tribal Operations Human Resource Director at the conclusion of the hearing and deliberation. The Tribal Operations Human Resource Director shall maintain all recordings.

(C) The appeals committee shall determine whether the employee committed the policy violation(s) upon which the discipline is based and whether the employer followed the appropriate procedural steps established in Section PAP.4.12.020 of this manual. The employer has the burden of proving by a preponderance of the evidence whether each violation occurred and whether the appropriate procedural steps established in Section PAP.4.12.020 of this manual were followed.

(D) If the appeals committee determines that the employer failed to meet the burden of proof regarding all violations and procedural steps established in Section PAP.4.12.020 of this manual, it shall overturn the decision of the employer and order that the employee's personnel file reflect such decision; that the employee be restored to his or her previous position and that all the benefits which may have been withheld shall be credited to the employee as if no disciplinary action had ever occurred. Upon return to work, the LCOHA Human Resource Director will meet with the employee and the department head or director and development a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(E) If the appeals committee determines that the employer met the burden of proof regarding only a portion, but not all of the violations, it shall overturn the decision of the employer only regarding such violations and may, but is not required to, order such adjustments as it deems proper, including that the employee's personnel file reflect such decision; that the employee shall be restored to his or her previous position and - that all or a portion of the benefits which may have been withheld shall be credited to the employee as if no disciplinary action had ever occurred. Upon return to work, the LCOHA Human Resource Director will meet with the employee and the department head or director and development a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(F) If the appeals committee determines that the employer met the burden of proof regarding all violations and the appropriate procedural steps established in Section PAP.4.12.020 of this manual were followed, it shall uphold the decision of the employer; and shall uphold all disciplinary measures taken without substituting its judgment for that of the employer.

(G) The appeals committee shall issue a written decision within ten (10) working days which includes for each alleged claim or violation, both findings of fact and a conclusion regarding each claim or work rule violation. The decision shall be provided to each party.

(H) If either party disagrees with the appeals committee's decision, the party may appeal the decision to the Tribal Court by filing notice of appeal within three (3) working days of the decision, with a copy to the Tribal Operations Human Resource Director. The filing of an appeal by the employer shall stay any action under Section PAP.4.12.040(c)(2)(D) or Section PAP.4.12.040(c)(2)(D) above, pending resolution of the appeal by the Tribal Court. The Human Resource Director shall submit to the Tribal Court the record of the appeals committee proceedings within five (5) working days of receiving a copy of the notice of appeal. The Lac Courte Oreilles Legal Department shall be notified of all appeals and shall be provided with the entire record of the grievance and the all information submitted in connection to the appeal.

(3) Hearing before the Lac Courte Oreilles Tribal Court. Either party may request a review of the Appeal Committee's decision by the Lac Courte Oreilles Tribal Court. The Court's review will be limited to the information presented to the Appeals Committee and the limited review is to ensure that the Due Process rights of the Employee and the LCOHA were protected and followed. If the Court finds any deficiencies in the Appeals Committee's decision, it shall remand the matter back the Appeal Committee for further review consistent with the Court's findings. Each party shall have five (5) working days to submit their request for Tribal Court review of the Appeals Committee's decision; failure to abide the timeline stated in this section shall be deemed a waiver of the disciplinary appeal and the appeal shall be terminated; the Appeals Committee's decision shall be deemed as final.

(A) The Tribal Court shall have the discretion to decide whether to schedule a hearing in any employment appeal.

(B) The Tribal Court may issue a decision without a hearing after reviewing the decision of the appeals committee and the evidence submitted during the grievance and appeal processes.

(C) In all cases, the Tribal Court shall review the findings of fact and conclusions of law solely to determine whether the appeals committee committed clear error. "Clear error" means that the decision is not reasonably supported by the facts or law.

(D) If the Tribal Court determines that clear error occurred regarding all violations and procedural steps established in Section PAP.4.12.020 of this manual were not followed, it shall uphold/overturn the decision of the appeals committee and order that the employee's personnel file reflect such decision; that the employee be restored to his or her previous position and that all the benefits which may have been withheld shall be credited to the employee as if no disciplinary action had ever occurred. Upon return to work, the LCOHA Human Resource Director will meet with the employee and the department head or director and development a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(E) If the Tribal Court determines that clear error occurred regarding only a portion, but not all of the violations, it shall uphold/overturn the decision of the appeals committee only regarding such violations and may, but is not required to, order such adjustments as it deems proper, including that the employee's personnel file reflect such decision; that the employee shall be restored to his or her previous position and that all or a portion of the benefits which may have been withheld shall be credited to the employee as if no disciplinary action had ever occurred. Upon return to work, the LCOHA Human Resource Director will meet with the employee and the department head or director and development a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(F) If the Tribal Court determines that clear error did not occur regarding any violation and the procedural steps established in Section PAP.4.12.020 of this manual were followed, it shall uphold/overturn the decision of the appeals committee; and shall uphold all disciplinary measures taken by Management without substituting its judgment for that of Management.

PERSONNEL POLICIES AND PROCEDURES MANUAL

RECEIPT AND ACKNOWLEDGEMENT

I hereby acknowledge receipt of a copy of the Housing Authority Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. This personnel policy and procedural manual contains the policies and rules that apply to me. I agree to read the manual and follow it during my employment with the LCOHA. I further understand the Tribe/LCOHA may amend this personnel policy and procedural manual at any time and that such changes will be communicated to me in writing.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this acknowledgement for your records.

CONSENT TO APPEAL PROCESS

I hereby consent, as a condition of my employment, to the exclusive jurisdiction of the Tribe/LCOHA's Disciplinary Action and Appeal procedures as set forth in this subchapter of this manual, and the jurisdiction of the Tribal Court for all disputes in connection with my employment with the LCOHA. I acknowledge that my failure to comply with time limitations for resolving a complaint or filing an appeal will preclude further consideration of any matter. I hereby waive any right I may have to litigate in another court of law, any and all claims arising out of my employment, and hereby waive any right I may have to a jury trial, and agree instead to submit any and all disciplinary action claims to the Disciplinary Action and Appeal procedures as set forth in this subchapter of this manual. I hereby consent to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the Tribe/LCOHA.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

WAIVER OF APPEAL PROCESS

I hereby consent, as a condition of my employment, to participate in a Probationary Period in lieu of Termination pursuant to Section PAP.4.12.030(a)(3) of this manual. I hereby waive any right I may have to the Appeal procedures as set forth in this section of this manual through my participation in this Probationary Period in lieu of Termination. I hereby acknowledge that as a condition of my employment that I have consented to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the Tribe/LCOHA.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

Chapter PAP.5 LCO Community Health Center Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This personnel policy and procedural manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians in the implementation of Title XII, Chapter 3 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law (LCOTCL) – Employment Code and Title III, Chapter 5 of the LCOTCL – Community Health Center Code. This personnel policy and procedural manual, outlines the general policies, rules and practices in effect for the Lac Courte Oreilles Community Health Center and is intended to be a helpful reference during your employment with the LCO-CHC. The information contained herein is general information, and its contents do not create or constitute a contract between the LCO-CHC and any employee. The Tribal Governing Board acting in its sovereign capacity may in its sole discretion amend this personnel policy and procedural manual from time to time. The Human Resource Director, or designee, will distribute approved revisions to all employees.

Subchapter PAP.5.1 General Provisions

PAP.5.1.010 Title

This personnel policies and procedures manual shall be known as the LCO Community Health Center Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.5.1.020 Authority

PAP.5.1.030 Purpose

It is the purpose of this personnel policy and procedural manual to provide the general policies, rules and practices in effect at the LCO-CHC. This personnel policy and procedural manual is intended to be a helpful reference during your employment with the LCO-CHC. The information contained herein is general information, and its contents do not create or constitute a contract between the LCO-CHC and any employee. The Tribal Governing Board acting in its sovereign capacity on behalf of the LCO-CHC may in its sole discretion amend this personnel policy and procedural manual from time to time. The Tribal Human Resource Director, or designee, will distribute approved revisions to all employees.

(a) The LCO-CHC shall be recognized as a family oriented clinic. The LCO-CHC shall strive to provide excellence in compassionate health care, while educating the community utilizing an understanding of traditional Anishinaabe beliefs as follows:

(1) The values of the LCO-CHC:

(A) Wellness

(B) Education

(D) Accessibility

(E) Respect

(F) Excellence

(2) These are our pathways that show "WE CARE."

PAP.5.1.040 Mission Statement

We the people of Odaawaa Zaaga'iganing, the Lac Courte Oreilles Band of Lake Superior Chippewa, will sustain our heritage, preserve our past, strengthen our present, and embrace our future. We will defend our inherent sovereignty and safeguard our Mother Earth and provide for the education, health, social welfare, and economic stability of the present and future generations. We will provide for the spiritual, cultural, intellectual, physical, emotional and social wellbeing of all employees and will assist employees to grow and develop as members of the LCO-CHC's workforce to share in the success and prosperity of the LCO-CHC.

(a) It is the mission of the LCO-CHC to provide confidential quality family orientated healthcare in an environment that is respectful and fosters innovation utilizing available resource to maximize services to improve the overall health of the Tribal community.

PAP.5.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this personnel policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.5.1.060 Interpretation

The provisions of this personnel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the employment related activities of the LCO-CHC;

(b) Shall be liberally construed in favor of the LCO-CHC;

PAP.5.1.070 Severability and Non-Liability

If any section, provision or portion of this personnel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this personnel policy and procedural manual shall not be affected thereby. The LCO-CHC further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this personnel policy and procedural manual.

PAP.5.1.080 Repeal of Inconsistent Governmental Manual(s)

All previous personnel policy and procedural manual(s) of the LCO-CHC inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the employment related activities of the LCO-CHC.

Subchapter PAP.5.2 Definitions

PAP.5.2.010 General Definitions

(a) "Compensatory Time" and "Compensatory Time Off" means paid time off, which is not counted as hours worked during the applicable workweek, or other work period for purposes of overtime compensation, and for which the non-exempt employee is compensated at the non-exempt employee's regular rate. All compensatory time must be pre-approved by the Health Director.

(b) "Contracted Employee" means an employee who has entered into a written contract, which has been properly authorized and signed by a signatory of the LCO-CHC and the employee and which defines the employment relationship. The contract will be for a specified period, and will outline benefits, pay and other conditions of employment. The terms and conditions of employment for contracted employees may differ from the terms in this personnel policy and procedural manual, and this manual may be incorporated by reference in the Contracted Employee's written contract.

(c) "Employee" means an employee of the LCO-CHC including: Exempt Employee, Non-exempt Employee, Full-time Employee, Part-time Employee, Seasonal Employee, or Temporary Employee.

(d) "Exempt Employee" means an employee who the Human Resources Director, or designee, categorizes as being exempt from accruing compensatory time, and includes executive, administrative, and professional employees who are compensated on a salary basis.

(e) "Extreme Circumstance" means an unscheduled or unplanned circumstance exceeding an ordinary, usual, or expected event.

(f) "Full-time Employee" means an employee regularly scheduled to work thirty-two to forty (32-40) hours per week who has completed the ninety (90) day probationary period. Full-time employees are eligible for employee benefits subject to the limitations of the applicable benefit plans.

(g) "Fringe Benefit" means an extra benefit supplementing an employee's salary, such as: health insurance, Worker's compensation, 401(k) benefits, short-term and long-term disability.

(h) "Habitual Absenteeism" means the repeated practice or habit of being absent from work without a verifiable reason as established in this manual.

(i) "Health Center" or "LCO-CHC" means the Community Health Center of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(j) "Health Director" means the individual employed by the Tribal Governing Board to manage the affairs of the Lac Courte Oreilles Community Health Center as provided for in this manual, the Community Health Center Code, and other relevant documents.

(k) "Immediate Family Member" means Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Grandparent, Grandchild, Niece, Nephew, Aunt and Uncle (including great-grandparents, in-laws, and step-relationship etc.). Immediate family member may also include a partner who has been in a relationship for a period of time or in relationship under Ojibwe tradition and practices.

(l) "Independent Contractor" means an individual who is not an employee of the LCO-CHC, but rather has entered into a contract with the LCO-CHC, which defines the scope of services. Independent contractors are not employees, do not receive benefits, are not subject to this personnel policy and procedural manual and are governed by a written or verbal contract.

(m) "Management" means the Health Director, Department Director(s), and any employee who is assigned permanent or temporary supervisory or decision making authority.

(n) "Non-Exempt Employee" means an employee who the Human Resource Director, or designee, categorizes as being non-exempt from accruing compensatory time.

(o) "Part-time Employee" means an employee regularly scheduled to work less than thirty-two (32) hours per week. Part-time employees are not eligible for any fringe benefits offered by the LCO-CHC, unless otherwise provided for in an Employment Contract with the LCO-CHC or mandated by law. Employees who work 16 hours a week are eligible for the FEHB insurance.

(p) "Positive Test Result" means a Blood Alcohol Concentration determined to be under the influence as established in Section PAP.5.2.010(x) andSection PAP.5.8.080(c).

(q) "Probationary Employee" means an employee who has not successfully completed their required probationary period. Probationary employees are eligible for holiday leave and funeral leave. Probationary employees accrue PTO leave, however probationary employees will not be able to use PTO during their probationary period unless it is for extreme circumstances with approval of their department head or director and concurrence of the Health Director. If an employee does not complete the probationary period for any reason, the employee forfeits all accrued but unused benefits.

(r) "Seasonal Employee" means an employee hired for an established period usually during peak workloads or seasonal demands. Seasonal workers may not be eligible for all employee benefits.

(s) "Serious Health Condition" means a condition which requires inpatient care at a hospital, hospice, or residential medical care facility, or a condition which requires continuing care by a licensed health care provider. This policy covers illnesses of a serious and long-term nature, as documented by a licensed health care professional, resulting in recurring or lengthy absences. Generally, a chronic or long term health condition which, if left untreated, would result in a period of incapacity of more than three (3) days would be considered a serious health condition.

(t) "Temporary Employee" means an employee hired for a period of ninety (90) days or less. Temporary employees may work a full-time or part-time schedule and are not eligible for employee benefits and paid leave.

(u) "Tribe" means the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(v) "Tribal Court" means the Court of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(w) "Tribal Governing Board" means the Tribal Governing Board of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(x) "Under the Influence of Alcohol, Illegal Drugs or Controlled Substances" means the following: a Blood Alcohol Concentration that indicates a positive test result as established in Section PAP.5.8.080(c); or are results that confirm the presence of illegal substance; or are results that confirm the presence of a controlled substances that an employee does not have a valid prescription for or the levels exceed the prescribed dosage.

(y) "Valid Prescription" means a prescription that is current and issued for a medical purpose in the usual course of professional practice by a practitioner or a covering practitioner who has conducted at least 1 in-person medical evaluation of the patient.

Subchapter PAP.5.3 Governance

PAP.5.3.010 General

PAP.5.3.020 Sovereignty

The LCO-CHC is a public body established as a subordinate entity of the Tribe pursuant to Title III, Chapter 5 of the LCOTCL – Community Health Center Code. The Tribe is a sovereign nation, with inherent reserved rights recognized through federal treaties; as such the tribe exists within the geographical boundaries of the United States. Immunity from private lawsuits is one aspect of inherent tribal sovereignty. Pursuant to Chapter TCT.1 of the LCOTCL – Sovereign Immunity Code, immunity from suit means that no private lawsuit can be maintained against the Tribe or any of its subordinate entities such as the LCO-CHC, unless the Tribe consents to the action. Nothing in this manual, including without limitation the provisions of Subchapter PAP.5.12, constitutes a waiver of the Tribe's inherent sovereign immunity.

PAP.5.3.030 Employment Laws

It is the general policy of the LCO-CHC to extend to its employees, where possible, the rights and benefits provided by employers regulated by the laws of the United States. However, the LCO-CHC looks to federal employment laws as guidelines only, and nothing in this personnel policy and procedural manual shall be construed as the LCO-CHC's consent to application of such laws. Another aspect of the Tribe's inherent sovereignty is that Wisconsin Statutes are not applicable on Tribal operations without the express written permission of the Tribal Governing Board. The Tribe reserves the right to create and modify its employment laws and policies without regard to such laws or interpretations thereof.

PAP.5.3.040 Health Advisory Board

The Health Advisory Board, as established in Title III, Chapter 5 of the LCOTCL – Community Health Center Code, shall serve in an advisory capacity to the Tribal Governing Board and the Health Director to promote comprehensive planning, delivery of health services and evaluation of health programs. The Board shall assist in the creation and review of policies governing the services of the LCO-CHC and shall provide recommendations thereof, as well as other such policies as requested by the Health Director or the Tribal Governing Board.

PAP.5.3.050 Responsibilities of Health Director

The Health Director, as established in Title III, Chapter 5 of the LCOTCL – Community Health Center Code, is responsible for the planning, organization, and administration of all tribal health services and shall oversee all matters relating to program requirements including daily operations of the LCO-CHC.

(a) The Health Director is responsible for carrying out the following functions:

(1) Report to the Tribal Governing Board regarding the management of all health care programs and personnel. The Health Director works with the Health Advisory Board to ensure policy development, community needs, and development of health services;

(2) Advises the Tribal Governing Board concerning matters affecting contracting, program activities, new initiatives, staffing and policy changes, and directly reports progress in accomplishing activities to the Tribal Governing Board;

(3) Direct responsibilities for personnel management including the monitoring of job performance and work schedules of all Directors and/or Department heads; and

(4) Establish and provide direct supervision over the Health Administration Sections.

(b) In addition to performing Director/Department Head annual evaluations, the Health Director will assist supervisors with:

(1) Employee annual evaluations;

(2) Coordinating employee training, benefits, and salaries;

(3) Approval of employee requests for annual leave, sick leave, and compensatory time; and

(4) Approves employee training and enforces Federal and Tribal travel reimbursement policies.

(1) Oversee employees in the successful discharge of their delegated responsibilities and initiate disciplinary action as necessary or required by this manual;

(2) Carry out the mandate of the Tribal Governing Board pursuant to initiatives of the Tribe;

(3) Ensure that all programs are meeting requirements pursuant to established goals and objectives including reporting, fund accounting, and compliance with federal regulations;

(4) Ensure the LCO-CHC operates within the confines of the approved budget;

(5) Prepare annual strategic plan in conjunction with Health Advisory Board;

(6) Ensure completion of the scopes of work of all activities contained in the Tribe's P.L.93-638 Contract with the Indian Health Service and other programs under the direct control of the LCO-CHC;

(7) Ensure completion of all required reports including an annual report to the people with a copy to the Indian Health Services and documents necessary for implementing required contracts or grants;

(8) Manage the LCO-CHC's budget including approval of expenditures, formulation of program budget requests, modification of contract expenditures and providing necessary information to the Tribal Accounting Department;

(9) Oversee the development of policies and procedures used in the ongoing management of the LCO-CHC and ensure policies are followed by staff and patients;

(10) Oversee planning of program goals and objectives including new service development and identification of issues affecting service delivery and assessment of community needs;

(11) Serve as the primary contact person for all external agencies and area media;

(12) Oversee the development of informational materials developed by the LCO- CHC;

(13) Carry out administration of support activities including training, information systems, and financial management including 3rd party billing;

(14) Be responsible for the implementation of a quality improvement program and evaluation of program services including arranging outside evaluations;

(15) Assign or delegate responsibilities to departmental staff of the LCO-CHC and with Tribal Governing Board support develop the administrative structure of department and personnel.

PAP.5.3.060 Responsibilities of Medical Director

The Medical Director, as established in Title III, Chapter 5 of the LCOTCL – Community Health Center Code, is responsible for the day-to-day operations of the Medical Department of the LCO-CHC and is primarily responsible for patient care. The Medical Director shall report to the Health Director on all matters regarding patient care and the supervision of medical personnel.

(a) The Medical Director is responsible for carrying out the following administrative duties:

(1) Direct supervision of the medical staff including the Lab Technician, Radiology Technicians, Medical Records Staff, and the other physician staff;

(2) Ensure policies and procedures of the LCO-CHC and standards of accreditation are followed in providing patient care;

(3) Ensure patient confidentiality and the safeguarding of medical information is maintained;

(4) Provide technical expertise for administrative decisions regarding patient care, evaluation of medical staff, and resolution of personnel matters affecting patient care;

(5) Assure that providers are available to serve patients during scheduled hours of operation of the LCO-CHC and for planned specialized medical services;

(6) Work with the Health Director to determine and arrange for appropriate training of medical staff; and

(7) Ensure peer review.

PAP.5.3.070 Responsibilities of Program Directors

The Program Directors, as established in Title III, Chapter 5 of the LCOTCL – Community Health Center Code, are responsible for the day-today operations of their various programs. They are responsible for program compliance under the directives of the grant administration or funding source. The Program Directors shall report to the Health Director.

(a) The Program Directors are responsible for, but are not limited to, the following duties:

(1) Ensure that the programs operations are consistent under tribal, state, and federal law.

(2) Ensure completion of the assigned scopes of work of their departments and staff as contained in the Tribe's IHS contract or grants for health care service including reporting and completion of information system requirements;

(3) Manage the staff members of their departments including prioritizing workloads, limiting compensation time requests, assigning responsibilities to staff members, monitoring program budgets, maximize 3rd party revenue, evaluation of work activities, and recordkeeping;

(4) Ensure that personnel policies of the LCO-CHC are adhered to regarding employee job performance, performance appraisals, approval of leave, training, and disciplining of staff as warranted;

(5) Develop appropriate policies, procedures and protocols for their departments forwarding them for approval to the Health Director, including direct participation in quality assurance activities of the LCO-CHC;

(6) Complete tasks delegated by the Health Director and inform the Health Director of anticipated or actual problems occurring in their department;

(7) Coordinate program services with other departments and directly participate as requested by the Health Director in areas of planning, budget development meetings and quality assurance activities;

(8) Submit a monthly report to the Health Director containing minimally the number and type of services delivered to the LCO Community. They must also address the top five health concerns as well as other health concerns. These reports will also outline team achievements for the month in meeting patient care objectives and Continuous Quality Improvement efforts.

PAP.5.3.080 Responsibilities of Employees

It is the responsibility of each employee of the LCO-CHC, as established in Title III, Chapter 5 of the LCOTCL – Community Health Center Code, to learn and understand and comply with the materials contained in this manual and any subsequent revisions. Employees are encouraged, at any time, to submit suggestions for changes or improvements in this manual to the Health Director. The responsibilities of the LCO-CHC employees are as follows:

(a) The Employees are responsible for, but are not limited to, the following duties:

(1) Perform duties as contained in their job description or other duties as deemed necessary by their supervisor or the health director for meeting customer service and program goals and objectives of the LCO-CHC;

(2) Complete all intake, charting, reports, or forms required by the LCO-CHC to provide patient care;

(3) Participate in assigned committees of the LCO-CHC and attend all mandatory staff meetings and required or planned training sessions;

(4) Inform supervisors of suggested improvements or opportunities to improve services;

(5) Maintain professional standards in carrying out their job responsibilities including successful interaction with all patients and LCO-CHC employees;

(6) Inform their supervisor of any real or anticipated problems in meeting their job responsibilities including reporting any known program infractions; and

(7) Assist the LCO-CHC or their department in planning, department goals, developing budgets, establishing policies and procedures, or evaluation activities.

Subchapter PAP.5.4 Hiring Process

PAP.5.4.010 Equal Employment Opportunity

The LCO-CHC reaffirms its commitment to equal employment opportunity and advancement toward all applicants and employees regardless of race, color, creed, national origin, gender, sexual orientation, marital status, veteran status, religion, status with regard to public assistance, membership or activity in a local commission, disability, age or any other status protected by law.

PAP.5.4.020 Indian Preference

Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000 et. seq. prohibits various forms of discrimination, including racial, color, gender-based, religion or national origin within the employment context. However, similar to the United States government, Indian tribes are expressly exempted from the definition of a covered "employer." Consistent with this exemption, the LCO-CHC grants Indian preference in employment, and will apply preference in the following order when there are two or more candidates that meet the job qualifications:

(a) Members of the Lac Courte Oreilles Tribe,

(b) Members of other Federally Recognized Tribes with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(d) Non-members with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(e) All Others.

PAP.5.4.030 Hiring Preferences

The LCO-CHC will utilize the following preference ranking when considering an applicant for employment. It is the responsibility of the applicant to provide the necessary documents listed below for the purpose of obtaining preferences:

(a) Indian preference as described in Section PAP.5.4.020 of this manual (Applicant must provide a signed official document from a federally recognized Tribe acknowledging enrollment);

(b) Veteran preference (Applicant must provide a Veterans Administration form DD214);

(c) Former employees of the LCO-CHC whom left in "good standing" and whose separation was not as a result of disciplinary action or an agreement in lieu of disciplinary action which would have otherwise resulted in termination may re-apply after 6 months of previous separation.

PAP.5.4.040 Employment of Relatives

The LCO-CHC encourages relatives of Lac Courte Oreilles Tribal members to seek employment with the LCO-CHC. However, the LCO-CHC also seeks to avoid potential problems arising from family members directly supervising one another. A waiver of this provision may be granted by the Health Director when the services of the employee cannot be obtained from any other available person with the same or equivalent qualifications.

PAP.5.4.050 Employment of Minors

The LCO-CHC will utilize, solely as a guideline, federal laws pertaining to the employment of minors.

PAP.5.4.060 Disclosure and Background Check

(a) All applicants who are being considered for employment with the LCO-CHC must provide the information as described in Section Section PAP.5.4.090 of this manual. Incomplete applications and application which fail to provide consent for background checks will not be considered. For all applicants considering employment with the LCO-CHC, the LCO-CHC reserves the right to:

(1) conduct background checks on all LCO-CHC employees.

(b) While employed with the LCO-CHC, every employee must notify his or her department head or director in writing of any pending criminal charge or conviction, which may result in disciplinary action pursuant to Subchapter PAP.5.12 of this manual. The LCO-CHC reserves the right to:

(1) issue disciplinary action depending upon the severity of the charge or conviction.

(2) conduct a criminal background check or personnel background check of current Governmental employees with reasonable suspicion of policy violations as detailed in this manual.

(c) Failure to pass a background check to the satisfaction of the LCO-CHC or to disclose a criminal charge or conviction may result in revocation of a conditional offer of hire or disciplinary action, up to and including termination.

PAP.5.4.070 Funding and Approval

Prior to posting or filing a position, the department head or director must ensure there are sufficient funds to pay for salary, fringe benefits and all other costs of the position. If the job is for a shorter period and only limited funds are available or if the position is contingent upon receiving funding, this constraint will be explicitly specified at the time of advertisement. The Health Director or designee shall ensure that all positions submitted for posting have all required approvals.

PAP.5.4.080 Posting

Only the Human Resources Director, or designee, is authorized to post a position, provided an existing position shall only be posted with the prior approval of the Health Director.. All positions shall be posted for at least ten (10) working days, provided temporary positions may be exempt from this section. The Human Resource Director, or designee, will advertise all job postings locally at various locations and other places as appropriate including electronic posting.

PAP.5.4.090 Job Application

(a) Application Form. Applicants for employment are required to submit a current and complete application form, which will include without limitation:

(1) Signature for permission to perform a background and reference check;

(2) Driving record and insurance information (if applicable);

(3) Drug testing consent and authorization form;

(4) Letter of interest;

(5) Resume;

(6) Credentials;

(7) Proof of any stated qualifications;

(8) Three (3) current (within a year) letters of recommendation;

(9) Academic transcripts; and

(10) Documentation of hiring preferences pursuant to Section PAP.5.4.030 of this manual.

PAP.5.4.100 Screening and Selection Process

As an employer, the LCO-CHC seeks to employ individuals who possess the qualifications, skills, abilities and background to meet the employment needs of the LCO-CHC. It is also the intent of the LCO-CHC to treat all applicants with respect and fairness along with ensuring the provisions of Section PAP.5.4.010 of this manual, are adhered to. Pursuant to the Privacy Act of 1974, 5 U.S.C. § 552a, all applications shall be treated as privileged information and shall be made available only to those directly involved in the hiring process.

(a) Applicant Screening.

(2) Applicants that are deemed to meet these minimum qualifications will be notified in writing, emailed (if applicable) and/or telephonically of an offer to be interviewed. Any applications deemed to not be complete, not meet the minimum qualifications or have a background check that contains information that is detrimental to the LCO-CHC will be notified in writing that they were not selected to be interviewed.

(3) The decision to not offer an interview will not be subject to any grievance, complaint or appeal provisions of the LCO-CHC.

(4) In the event the Health Director, Human Resources Director, or Department Head or Director determines that there is no qualified or insufficient applicants the position may be reposted.

(5) Reference and background checks made by the Human Resources Director should be properly documented and retained for a minimum period consisting of the probationary period of the position being considered.

(b) Applicant Interview.

(A) Human Resource Director;

(B) Health Director;

(D) Immediate Supervisor for the position being interviewed;

(E) Other as the department head or director deems appropriate.

(2) In all instances, current tribal member employees shall comprise the interview committee as deemed by the Health Director.

(1) The committee will interview each eligible applicant and shall make the selection based upon all relevant factors, including but not limited to:

(A) Preferences defined in Section PAP.5.4.030 of this manual;

(B) Education/Training;

(D) Experience relevant to position;

(E) Interview;

(F) Pre-determined interview questions will be asked consistently for each applicant for the position.

(2) The committee may utilize a ranking system that factors all of the areas established in Section PAP.5.4.100(c)(1) above, that will ensure a fair and equitable process for determining the best qualified candidate, and if applicable an alternate, to fill the position being interviewed. Such system may utilize points or other forms of ranking that is deemed relevant for the position in consideration. The Human Resources Director shall forward the committee's recommendation to the Health Director for review and approval.

(6) The decision to not hire an interviewee will not be subject to any grievance, complaint or appeal provisions of the LCO-CHC.

PAP.5.4.110 Tribal Governing Board Notification

The Health Director will notify the Tribal Governing Board who was hired for what position(s) and/or if a position(s) was reposted.

PAP.5.4.120 Orientation

(a) All new employees will be provided an orientation checklist within the first day of employment, and will be provided: this personnel policy and procedural manual, all required forms for employment, benefits, a copy of Chapter CMP.6 – Worker's Compensation Code, HIPAA, Cultural Sensitivity, OSHA, risk management, infection control, and day-to-day procedures. The Human Resource Director, or designee, will also answer any questions which may arise throughout the course of employment. Supervisors will provide further direction relevant to the operation of their department.

PAP.5.4.130 Position Description

The Human Resource Director, or designee, will provide every employee on an annual basis with a copy of his or her current and or amended position description. The position description is intended to provide a general overview of the duties of the position. From time to time, however, employees will perform duties and handle duties and responsibilities that are not a part of the original position description. Position descriptions contain a general description of a position and do not create any employment rights or entitlements.

PAP.5.4.140 Probationary Period

(a) All newly-hired employee's will be placed on a ninety (90) calendar day probationary period with the exception of positions identified by the department head or director as needing an extended period in order to adequately assess the employees capabilities to perform the job duties. During an employee's probationary period they will get to know fellow employees, Management and the duties involved for the position. The LCO-CHC will work closely with employees during the probationary period to assist in understanding the needs and processes of the job. The probationary period may be waived by the Health Director for short term or seasonal employment.

(b) The probationary period is a trial time for both the employee and the LCO-CHC. During this probationary period, the LCO-CHC will evaluate the employee's suitability for employment. At any time during the probationary period, an employee may resign without any detriment to the employee's record. In addition, if during this period an employee's work habits, attitude, attendance, or performance do not measure up to the LCO-CHC's standards, the LCO-CHC may extend the probationary period for up to ninety (90) calendar days or terminate the employee's employment without the ability of the employee to appeal the decision.

(c) Probationary employees are eligible for paid holiday leave and paid funeral leave. Probationary employees accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from the Health Director and only for medical reasons with a documented note by a licensed medical professional or extreme circumstances. If an employee does not complete the probationary period for any reason, the employee forfeits all accrued but unused benefits.

(d) At the end of the probationary period, the LCO-CHC will prepare a written performance evaluation and discuss overall job performance with the employee. During the course of the discussion, the employee is encouraged to present his or her comments and ideas as well.

(e) The probationary period ends only when a written evaluation of the employee is filed to the Human Resources Director by the supervisor indicating the employee has passed probation, with no exceptions.

PAP.5.4.150 Classifications

Upon hire, the LCO-CHC will inform every employee of his or her employment classification, whether exempt or non-exempt, full-time, part-time, seasonal or temporary. This is important because employment classification has an effect on employee rights and benefits under this personnel policy and procedural manual (See Subchapter PAP.5.2 – Definitions for the various classifications).

PAP.5.4.160 Employment At-Will

Employees, with the exception of certain contracted employees, are hired for an indefinite and unspecified duration and are not guaranteed employment for any specified length of time. As such, either the LCO-CHC or an employee can terminate the employment relationship at-will, at any time. In addition, the LCO-CHC can modify, amend, supplement or delete terms and conditions of employment relationship at-will, at any time, with or without cause or advance notice. No individual or governmental body, other than the Tribal Governing Board, or its authorized designee, has the power or legal authority to alter the at-will nature of the employment relationship.

Subchapter PAP.5.5 Employment

PAP.5.5.010 Work Site Accommodations

The LCO-CHC is exempted from the federal and state offered definition of an employer as provided by the American's with Disabilities Act, 42 USC § 12111 (5) (B). However, as a matter of its own internal policies the LCO-CHC discourages discrimination against persons with disabilities and when possible seeks to accommodate persons with disabilities on the job. When possible, the LCO-CHC will make reasonable efforts to provide reasonable accommodations to all employees and applicants, including work site accessibility. Employees must notify their department head or director or the Human Resource Director, or designee, in writing of any requested reasonable accommodation within a reasonable period of time after the employee learns of the need for such accommodation.

PAP.5.5.020 Personnel Files

(a) The LCO-CHC will create and maintain a personnel file for each employee beginning at the time of employment. These files are the sole property of the LCO-CHC and are deemed confidential. All employee files, past and present, will be secured in a locked location at all times. Access will be limited to the Human Resource Director, or designee, a Department Head or Director, the Health Director, an employee or his or her representative if designated in writing which states the purpose of the disclosure. An employee may inspect his or her personnel file in the Human Resources department by contacting the Human Resource Director, or designee, to make an appointment. Files will be reviewed in a secure location under the supervision of the Human Resource Director, or designee. A personnel file may contain the following types of information:

(1) Original employment application,

(2) Letters of reference,

(3) Notice of hire,

(4) New hire forms,

(5) Current position description,

(6) Records of all disciplinary actions,

(7) Performance evaluations,

(8) Starting pay scale and subsequent increases,

(9) Change of employment status,

(10) Applicable skills test results,

(11) Training and career development records,

(12) Copy of certification or licenses as required,

(13) Copy of separation notice or letter of resignation,

(14) Exit interview and inventory checklist,

(15) Other documents relied upon by the LCO-CHC to make decisions concerning the employee's employment.

(b) The Human Resources department will maintain time, attendance, and payroll and leave records for each employee in a separate file. The Human Resource Director, or designee, will maintain payroll reports for employees.

PAP.5.5.030 Medical Documentation

The LCO-CHC will maintain employee documentation as it relates to Doctor's excuse for longer than the allowable three day absence, return to work statements or any limitations on type of work to be performed by the employee. This information shall be maintained alongside an employee's personnel file, but shall be maintained in a separate file. Access will be limited to the Human Resource Director, or designee. All personal medical related information is subject to the provisions of the Health Insurance Portability and Accountability Act of 1996, 110 Stat. 1936.

PAP.5.5.040 Hours of Work

(a) Each employee's work schedule shall be determined by the Department Head or Director, subject to approval from the Health Director, and only when patient care or services are not affected by frequent absences. Employee hours may be changed at the discretion of the Department Head or Director, and each department may establish its own work schedule, subject to the approval of the Health Director. A written approval shall be maintained in an employee's personnel file.

(b) Each Employee must accurately record, sign and in addition have their respective Supervisor attest to the hours being paid by signing an approved timesheet or timecard. Each timesheet or timecard shall accurately reflect the actual hours being paid during the pay period and distributed by the correct payroll and account/department coding for each employee. The timesheet or timecard is a legal record of hours worked and may not be altered without consent of both the employee and his or her department head or director. Each employee and their Supervisor are responsible for the accuracy of their timesheet or timecard. The Department Head or Director or the Health Director and the employee must initial all timecards recorded by the use of a time clock. Timecards are the property of the LCO-CHC and must remain in the timecard rack. No employee shall knowingly punch the timecard of another employee or allow another employee to punch his or her timecard.

PAP.5.5.050 Pay Period

The LCO-CHC's pay period is from Monday through Sunday and all hours worked during this period are to be recorded as defined in Section PAP.5.5.040 of this manual.

PAP.5.5.060 Reclassification

The LCO-CHC may reclassify an employee (full-time, part-time, exempt, nonexempt, etc.) if the duties or need for the employee has changed. The reclassification of an employee may result in a change in the terms and conditions of employment including without limitation eligibility for benefits, and leave. Any supervisor who seeks to reclassify an employee shall obtain proper authorization from the Department Head or Director in collaboration with the written approval of the Health Director.

PAP.5.5.070 Evaluations

(a) At the end of the probationary period, the Department Head or Director will prepare a written performance evaluation in accordance with Section PAP.5.4.140 of this manual.

(b) Each employee will receive an annual written performance evaluation from their supervisor. The evaluation will highlight the employee's strengths and weaknesses, and ways to improve or enhance job performance. The employee and the Department Head or Director or Health Director must sign the evaluation. The employee's signature does not necessarily indicate concurrence, but does record acknowledgement and delivery of the document. Employees should not expect that evaluations will automatically result in a change in pay. However, the LCO-CHC will rely on evaluations, in addition to all other relevant information, to make decisions about an employee's terms and conditions of employment.

(c) Failure of the Department Head or Director to complete an evaluation for their employees within 30 days of the employees Anniversary date may result in disciplinary action.

PAP.5.5.080 Resignations

PAP.5.5.090 Transfers

An employee may be granted an internal transfer upon agreement of the supervisors of both of the applicable departments or programs involved, subject to the prior approval of the Health Director. The transferred employee must accept all provisions of the other position (i.e. benefits, rate of pay, duties, hours of work, etc.). The provisions of Subchapter PAP.5.4 of this manual shall not apply to transfers with the exception of Section PAP.5.4.040, Section PAP.5.4.070, Section PAP.5.4.130, Section PAP.5.4.150, and Section PAP.5.4.160. In addition, the provisions of Section PAP.5.4.140, may not apply upon approval of the new supervisor, with concurrence from the Health Director. This transfer may be granted allowing employees to transfer to new "open" positions with the approval of the Health Director and Department Head or Director without having to go through the position posting provision as established in Section PAP.5.4.080 of this manual and the interview process provision as established in Section PAP.5.4.100 of this manual.

PAP.5.5.100 Promotions

A Department Head or Director may recommend an employee for a promotion based upon job performance and the needs of the LCO-CHC, subject to the prior approval of the Health Director. The promoted employee must accept all provisions of the new position (i.e. benefits, rate of pay, duties, hours of work, etc.). The provisions of Subchapter PAP.5.4 of this manual shall not apply to transfers with the exception of Section PAP.5.4.040, Section PAP.5.4.070, Section PAP.5.4.130, Section PAP.5.4.150, and Section PAP.5.4.160. In addition, the provisions of Section PAP.5.4.140, may not apply upon approval of the new Department Head or Director, with concurrence from the Health Director. The Health Director shall provide the Tribal Governing Board with written notice of all promotions.

PAP.5.5.110 Attendance

Punctuality and regular attendance are essential to the effective operation of the LCO-CHC. Employees must report to work on time. Any employee who will be absent from work must notify his or her immediate supervisor no later than their respective scheduled start time. Any employee who wants to leave early for any reason must have prior approval from his or her immediate supervisor, punch out and punch in upon return. Failure to report to work by your respective start time, without notice, for three consecutive working days will be considered job abandonment and the employee will be considered to have resigned from the LCO-CHC. Job abandonment shall be subject to the provisions of Section PAP.5.5.080 of this manual. Job abandonment shall not be subject to appeal.

PAP.5.5.120 Lunch

(a) Employees are allowed one (1) hour leave for lunch. Employees must take their lunch at the usual time, between 12:00 – 1:00, unless mutually changed by the employee and supervisor. No employee may work through lunch without prior approval of their supervisor, with concurrence from the Health Director.

(b) Any employee that chooses to work through the lunch period voluntarily forfeits their leave time for lunch. No lunch time may be taken at the end of the work day.

PAP.5.5.130 Break Periods

PAP.5.5.140 Inclement Weather

(a) In the event of inclement weather conditions, the Tribal Governing Board and Health Director will gather information on existing and anticipated weather and road conditions from the Transportation Directors and local TV broadcasts.

(b) The Health Director will contact Tribal Governing Board members to determine if LCO-CHC offices will open as usual, will be closed, or will have a later opening time.

(c) By 6:30 am, the Health Director or designee will contact local radio stations (WOJB, WRLS, WHSM) if the LCO-CHC offices will be closed or opening later than normal. If there are no announcements on the local radio stations, then the LCO-CHC offices will be open as usual.

(d) When LCO-CHC offices are open, employees that would prefer to not drive during inclement weather conditions must contact their supervisor to obtain the approval to utilize accrued PTO. However, employees are to make every reasonable effort to come to work, especially employees with meetings or appointments scheduled.

Subchapter PAP.5.6 Wages

PAP.5.6.010 Wage Classifications

The LCO-CHC establishes wage and salary classifications for each position based on many factors, including, but not limited to position category, education, experience, knowledge, ability and level of responsibility.

PAP.5.6.020 Wage Increases

The LCO-CHC will consider cost of living, merit and wage increases on an annual basis. All such increases are contingent upon many factors, including funding availability and performance evaluation. Any increase is at the discretion of the Department Head or Director, with written approval of the Health Director.

PAP.5.6.030 On Call Staff

PAP.5.6.040 Compensatory Time

(b) A Non-exempt employee shall not work over forty (40) hours in a workweek without the prior written authorization of the department head or director and the Health Director. A department head or director may adjust any employee's work schedule to avoid accumulation of compensatory time.

(c) The LCO-CHC will permit a Non-exempt employee to use accrued compensatory time off with their supervisor's approval as long as the use of the compensatory time will not unduly disrupt the operations of the LCO-CHC.

(d) A Non-exempt employee must use compensatory time during the fiscal year in which it was accrued, and all such unused time shall be forfeited at the end of the fiscal year, provided a maximum of forty (40) hours may be carried over into any new fiscal year. The LCO-CHC may enforce this provision any time it becomes aware an employee carried over too much compensatory time from one fiscal year to the next.

(e) A Non-exempt employee who has accrued compensatory time off shall be paid for up to forty (40) hours of unused compensatory time at the employee's ending rate of pay upon the resignation of employment as long as the employee provided proper notice pursuant to Section PAP.5.5.080 of this manual. Employees that have been terminated pursuant to Subchapter PAP.5.12 of this manual shall forfeit all remaining uncompensated accrued compensatory time. At no other time may an employee cash out accrued compensatory time.

PAP.5.6.050 Temporary Increases

A Department Head or Director who obtains prior authorization of the Health Director may temporarily increase the pay rate of an employee during the time that the employee is temporarily performing the duties of a position with a higher salary range. Any increase will cease upon removal of the conditions that warranted the increase.

PAP.5.6.060 Employer Payroll Deductions

Various payroll deductions are made each payday to comply with applicable laws, including but not limited to federal and state income tax withholding and social security. At the end of each calendar year, the LCO-CHC will provide each employee with a Wage and Tax Statement (W-2) form. This statement summarizes employee income and deductions for the year.

PAP.5.6.070 Bank Deposits or Payroll Deductions

The LCO-CHC may automatically deposit Employees' paychecks at financial institutions and may provide for payroll deductions, subject to applicable, charges, procedures and limitations. In addition, the LCO-CHC may make deductions from Employees' paychecks in accordance with orders issued by a court of competent jurisdiction. Employees should contact the Accounting Department with any questions.

PAP.5.6.080 Workers' Compensation

The LCO-CHC carries insurance to cover the cost of work-incurred injury or illness. Benefits help pay for employees' medical treatment and a portion of any income lost while recovering. An employee must report any work-related injury or illness to his or her department head or director by completing the "First Report of Injury or Illness Form," which must be completed within the timelines as stated in the Chapter CMP.6 – Worker's Compensation Code. Refer to the Chapter CMP.6 – Worker's Compensation Code for additional guidelines.

Subchapter PAP.5.7 Available Benefits

PAP.5.7.010 Available Benefits

(a) The following is a brief list of benefits available to eligible employees;

(1) Group Health Insurance/COBRA

(2) Holiday

(3) Personal Time Off (PTO)

(4) Additional Paid Leave

(5) Unpaid Leave

(6) Family and Medical Leave

(7) Life Insurance, Disability Insurance and Retirement Plan

(8) Employee Assistance Program

(9) Christmas Bonus

(10) Employee Recognition – Years of Service

(b) The LCO-CHC reserves the right, at its sole and absolute discretion, to rescind or amend benefits, to change insurance carriers, or to require employees to contribute towards premium costs. The LCO-CHC may make these changes at any time, except as provided by law. The Human Resource Director or Benefits Administrator, or their designee, will notify employees of changes. While the LCO-CHC intends to continue offering sponsored benefits, there is no guarantee that such benefits will always be available.

PAP.5.7.020 Eligibility

The following employee classifications and eligibility for Fringe Benefits are as follows;

(a) Full Time Employee. Full time Employees, as defined in Section PAP.5.2.010(f) of this manual, are eligible for all Fringe Benefits after satisfactorily completing their probationary period, unless otherwise provided for in an Employment Contract with the LCO-CHC or mandated by law.

(b) Part Time Employee. Part Time Employees, as defined in Section PAP.5.2.010(o) of this manual, are not eligible for any fringe benefits offered by the LCO-CHC, unless otherwise provided for in an Employment Contract with the LCO-CHC or mandated by law. Employees who work 16 hours a week are eligible for the FEHB insurance.

PAP.5.7.030 Group Health Insurance / Cobra

(a) Group Health Insurance is through the Federal Employee Health Benefits; FEHB. An eligible employee may select an insurance provider that best meets their individual needs through FEHB. FEHB is offered for both single, single plus one, and family coverage. Employees considered to be full time status will be required to pay 21%, or as amended from time to time by official action of the Tribal Governing Board, of the premium for the plan selected, unless otherwise provided for in an Employment Contract with the LCO-CHC. Employee's portion of payment will be made through payroll deductions done weekly.

PAP.5.7.040 Holiday Leave

The LCO-CHC grants eligible employees paid holiday leave. The Health Director will approve the holiday schedule at least one (1) month prior to the beginning of a new calendar year. Eligible employees will receive the following paid holidays:

(a) New Year's Eve Day and New Year's Day (2 Days);

(b) Martin Luther King Jr. Day;

(d) President's Day;

(e) Good Friday;

(f) Easter Monday;

(g) American Indian Day;

(h) Memorial Day;

(i) Independence Day;

(j) Honor the Earth Powwow (Friday prior to or the Monday after);

(k) Labor Day;

(l) Indigenous Day;

(m) Veterans Day;

(n) Thanksgiving (2 Days);

(o) Christmas Eve Day (1 day);

(p) Christmas Day (2 Days);

(q) Other official holidays as established by the Tribal Governing Board.

PAP.5.7.050 Personal Time off

(a) Employees will accrue paid Personal Time Off (PTO) at the following rates:

(1) If employed up to three (0 to 3) years, 16 hours per month for a total of 192 hours per year.

(2) If employed three years to ten years (3 to 10), 20 hours per month for a total of 240 hours per year.

(3) If employed more than ten (10+) years, 24 hours per month for a total of 288 hours per year.

(4) Employees who work 32-39 hours per week shall receive a prorated annual leave at 75% of the above.

(d) Prior to the utilization of accrued PTO, Employees must schedule and have the use of accrued PTO time approved so it will not interfere with job responsibilities, except as otherwise provided by law. If an employee is on PTO and there is early release or closure of the employee's worksite, the employee shall be credited any such leave during the period of early release or closure. If requesting more than three (3) days of PTO time employees shall obtain prior authorization at least five (5) working days in advance of the leave date. The department head or director may or may not approve such request depending on a variety of factors, including project deadlines and schedules. In extreme emergency situations the Health Director, in consultation with the employees Supervisor, may waive the five (5) day notification provision, if requested by the employee in writing citing the reason.

(e) To utilize PTO for unscheduled absences employees must notify the LCO-CHC and their immediate supervisor prior to their designated start time. If an Employee is absent from work for three (3) consecutive working days or longer, which is related to an illness or other medical related issues, a licensed Health Professional excuse must be provided that substantiates their absence.

PAP.5.7.060 Sharing of Personal Time Off

PAP.5.7.070 Additional Paid Leave

The LCO-CHC grants employees additional paid leave in certain situations, including the following:

(a) Civil Leave. The LCO-CHC grants eligible employees paid civil leave during the required absence when any employee appears as a witness for the federal, state or Tribal Government, in obedience to a subpoena. An employee must promptly notify his or her department head or director upon receipt of any subpoena. If an employee receives any stipend for such civil leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for civil leave.

(b) Jury Duty Leave. The LCO-CHC grants eligible employees paid leave during the required absence for jury service. An employee must promptly notify his or her department head or director upon receipt of any notice to appear. If an employee receives any stipend for such jury duty leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for jury service.

(1) All full-time employees will be given a five (5) day leave without loss of pay for funeral services for immediate family. Immediate family includes the following:

(3) All other funeral leave will be limited to no more than one (1) day with pay to attend the funeral services, subject to the notification and approval of employee's immediate supervisor.

(d) Committee or Board Leave. The LCO-CHC grants eligible full-time employees paid leave to serve on committees or boards of the Tribal Governing Board and may approve leave to participate in other outside boards or committees. An employee must receive prior approval from his or her department head or director prior to accepting an appointment or volunteering to sit on any committee or board. An employee may receive any stipend for such committee or board service, he or she shall not need to use PTO during any work absence for such service. Attendance at any meetings related to such appointment must be preapproved by the employees immediate Supervisor and such appointment/meetings shall not interfere with an employee's work performance and duties.

(e) Maternity Leave. The LCO-CHC grants eligible full-time female employees up to eight (8) weeks, a maximum of three hundred and twenty (320) hours paid leave, for time to deliver and care for a newborn child. If an employee has medical problems prior to delivery, she may utilize paid maternity leave, subject to the maximum limit, with written verification from her doctor. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.5.7.090 of this manual.

(f) Paternity Leave. The LCO-CHC grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave to care for a newborn child. An employee must request and obtain the prior approval of their department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.5.7.090 of this manual.

(g) Parental Leave. The LCO-CHC grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave for adoption, customary adoption, guardianship, protective placement, or an emergency safety plan of a pre-school (0-5 years of age) child. Leave may be granted prior to the legal proceedings having been completed. An employee must request the leave as early as possible and obtain approval of his or her department head or director to utilize the leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.5.7.090 of this manual.

(h) Military Leave. The LCO-CHC grants eligible full-time employees up to ten (10) days, maximum of eighty (80) hours, paid leave upon presentment of official orders requiring attendance for training or to perform other duties as a member of the United States Armed Forces. An employee serving on military leave with pay will be paid only the difference between compensation fees received for such duties and his or her normal salary. An employee must notify his or her department head or director prior to such leave. The LCO-CHC will look to the provisions of the Uniformed Services Employment and Reemployment Rights Act (USERRA) 38 U.S.C. § 4301 et. seq. solely as a guideline in determining reemployment of employees who take extended military leave.

(i) Voting Leave. The LCO-CHC will grant eligible employees two (2) hours paid leave to exercise the right to vote subject to the voting verification requirements established by the Tribal Governing Board. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave.

(j) Birthday Leave. The LCO-CHC will grant eligible employees eight (8) hours of paid leave for the employee's birthday, provided the employee must take such leave within five (5) calendar days, either before or after, the date of the birthday.

(k) In-House Medical Appointments. The LCO-CHC may grant employees paid release time to attend medical appointments at the Lac Courte Oreilles Community Health Center.

(l) Education Leave. The LCO-CHC may grant employees paid release time to attend job-related or degree seeking courses. An employee must consult with his or her department head or director prior to registering to ensure the course is acceptable and must request and obtain the prior written approval of his or her Department head or Director with concurrence from the Health Director to utilize this benefit. An employee must also have an approved Professional Development Plan on file with the Human Resource office. An employee must promptly provide his or her Department Head or Director and the Human Resource Director, or designee, with written proof of course completion. A failure to successfully complete a course may jeopardize an employee's ability to obtain approval of subsequent paid release time hereunder. The LCO-CHC may pay the tuition, books and associated fees of an employee attending an accredited institution of higher learning. The employee must be attending for the purpose of obtaining a degree or enrolling in courses in a field of study that is related to their position of employment with the LCO-CHC. An employee desiring to have the LCO-CHC pay these expenses must have an approved Professional Development Plan on file which is approved by their immediate Supervisor and agree to the terms and conditions of an Educational Expense Reimbursement Agreement and is subject to program availability of funding pursuant to Section PAP.5.4.070 of this manual.

(m) Conferences and Meetings. The LCO-CHC may grant employees time to attend job-related conferences and professional meetings. An employee must consult with his or her Department Head or Director prior to registering to ensure the conference or professional meeting is acceptable. An employee must request and obtain the prior written approval of his or her Department Head or Director to utilize this benefit.

PAP.5.7.080 Unpaid Leave

(a) Disciplinary Leave. The LCO-CHC may take disciplinary action, up to and including termination or suspension without pay, against employees who violate the provisions of this personnel policy and procedural manual.

(b) 30-Day Leave of Absence. The LCO-CHC may grant eligible employees up to thirty (30) days unpaid leave, without loss of employment status. The LCO-CHC may grant such leave only when the resulting leave will not adversely affect the operations of the LCO-CHC. An employee must request and obtain the prior written approval of his or her department head or director with written concurrence from the Health Director to utilize this leave.

(c) Religious Leave. The LCO-CHC may grant eligible employees up to an additional fifteen (15) days of unpaid religious leave. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave.

PAP.5.7.090 Family and Medical Leave

Employees may be eligible for up to twelve (12) weeks of family and medical leave during any twelve (12) month period. The leave may be paid, unpaid, or a combination of paid and unpaid, depending on the circumstances. This policy sets forth the LCO-CHC's policies and procedures for requesting family and medical leave.

(a) Eligibility for Leave. To be eligible for family and medical leave under this policy all of the following conditions must be met:

(1) An employee must have been employed by the LCO-CHC for at least twelve (12) months or fifty-two (52) weeks.

(2) An employee must have worked at least one thousand two hundred fifty (1250) hours during the twelve (12) months immediately preceding the request for leave.

(1) To care for a child following the child's birth or placement for adoption or foster care (this may be taken only within twelve (12) months of the birth or placement).

(2) To care for an immediate family member who has a serious health condition as defined in Section PAP.5.2.010(s) of this manual.

(3) Because the employee has a serious health condition as defined in Section PAP.5.2.010(s) of this manual, which prevents the employee from performing the functions of the position.

(c) If an employee takes PTO for a condition that progresses into a serious health condition and the employee requests unpaid leave as provided under this policy, the LCO-CHC may designate all or some portion of related leave taken as leave under this policy, to the extent that the earlier leave meets the necessary qualifications.

(d) If both parents work for the LCO-CHC, and each wishes to take leave for the birth of a child, adoption or acceptance of a child in foster care, or to care for an immediate family member with a serious health condition, the employees may only take a combined total of twelve (12) weeks of unpaid leave.

(e) Employees can take up to twelve (12) weeks of leave under this policy during any twelve (12) month period. The LCO-CHC will measure the twelve (12) month period as a rolling twelve (12) month period measured backward from the date an employee uses any leave under this policy. Each time an employee takes a leave, the LCO-CHC will compute the amount of leave you have taken under this policy and subtract it from the twelve (12) weeks of available leave, and the balance remaining is the amount an employee is entitled to take at that time. An employee's family or medical leave taken may run concurrently with other types of leave including workers' compensation and other leaves, such as short-term or long-term disability, etc.

(1) In situations where leave is requested due to the birth, adoption or acceptance of a child in foster care, intermittent or reduced work schedules will be granted at the LCO-CHC's sole discretion and if granted must be taken within one (1) year of the birth or placement of the child.

(3) In situations where an intermittent or reduced work schedule is permitted, the LCO-CHC may require an employee to transfer to an alternative position with equivalent pay and benefits in order to accommodate the recurring periods of absence.

(g) Use of Paid and Unpaid Leave. Employees who have accrued PTO must use paid leave first and take the remainder of the twelve (12) weeks as unpaid leave.

(1) Employees who take a leave because of their own serious health condition or the serious health condition of a family member must use all accumulated PTO prior to being eligible for unpaid leave.

(h) Procedure for Requesting Leave. In situations where leave is foreseeable, employees must provide written notice to the department head or director at least thirty (30) days prior to the date on which the leave is scheduled to begin. If the leave is foreseeable due to a planned medical treatment, employees must make reasonable efforts to schedule the treatment(s) to minimize disruptions to the LCO-CHC operations. If circumstances occur, in which it is not practicable to provide thirty (30) days' notice, employees must provide written notice as far in advance as is practicable. If an employee fails to provide thirty (30) days advance written notice of a requested leave and have no reasonable excuse, the leave may at the Health Director's discretion be delayed for up to thirty (30) days from the date of written notice.

(i) Medical Certification Requirement. When leave is requested because of a serious health condition affecting an employee or his or her immediate family member, the LCO-CHC requires the employee to obtain certification of the health condition from the pertinent doctor or health care provider. This certification must be provided to the department head or director within fifteen (15) days after the leave is requested or, when the need for leave was unforeseeable, within fifteen (15) days after the leave has commenced unless it is not practicable to do because of the nature of the health condition.

(A) The date on which the serious health condition started and its expected duration,

(B) The diagnosis concerning the condition,

(D) A statement of whether in-patient hospitalization is required, or

(2) The LCO-CHC, if it doubts the certification, at its expense, may require an employee seeking leave due to a serious medical condition to obtain a second opinion from a doctor or other health care professional designated by the LCO-CHC. If the second opinion conflicts with the certification provided by the employee, the LCO-CHC may, at its sole discretion and at its expense, require a third opinion from a doctor or other health care professional designated jointly by the LCO-CHC and the employee. Such a third opinion will be final and binding.

(3) If an employee plans to take intermittent leave or work a reduced schedule, the certification must also include dates and the duration of treatment and a statement of medical necessity for taking intermittent leave or working a reduced schedule. During a leave taken under this section, employees may be required to provide, periodically, written notice to the Health Director concerning his or her status and intention to return to work.

(j) Return from Leave. Upon completion of leave due to an employee's own serious health condition, the employee must provide the LCO-CHC with medical certification from his or her doctor or other health care professional that the employee is now able to return to work. If an employee fails to provide this certification, he or she will not be permitted to return to work until such certification is provided. An employee who takes leave under this policy will be able to return to the same job or a job with equivalent status, pay, benefits and other employment terms. The LCO-CHC may choose to exempt certain highly compensated employees from this requirement and not return them to the same or similar position.

(k) Health Benefits during Leave.

(1) During a leave taken pursuant to this policy, an employee's health benefits under any existing Tribal sponsored health plan will be continued as if the employee had continued in employment continuously for the duration of the leave. If, however, an employee fails to return at the end of a leave taken under this policy, except if this is due to the continuation, recurrence or onset of a serious health condition or something else beyond the employee's control, then the LCO-CHC may recover from the employee all of the health care premiums paid to maintain health coverage during the leave.

(2) If under the LCO-CHC's current policy, an employee pays a portion of the health care premium, while on paid leave, the LCO-CHC will continue to make payroll deductions to collect the employee's share of the premium. While on unpaid leave, the employee must continue to make this payment, either in person or by mail. The payment must be received by the first day of each month. If the payment is more than thirty (30) days late, the employee's health care coverage may be dropped for the duration of the leave.

PAP.5.7.100 Life Insurance, Disability Insurance and Retirement Plan

If requested by the Employee, the LCO-CHC provides eligible employees Life and Disability insurances along with a Retirement Plan. An Employee wanting these types of benefits should consult with the LCO-CHC's Benefit's Administrator for further information.

PAP.5.7.110 Employee Assistance Program

(B) Employees placed on a leave of absence from self-disclosure shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.5.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from self-disclosure will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.5.2.010(p), the employee shall be subject to disciplinary action, up to and including termination pursuant to Section PAP.5.8.080(f) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.5.8.080(a) of this manual.

(D) Utilization of this self-disclosure provision does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.5.8.080(f) of this manual, or any other tribal law or policy.

(b) Employer Referral. An employee's department head or director shall refer an employee to the Human Resource Director, or designee, when an employee's conduct mandates as such.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCOCHC – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCOCHC – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Employees shall comply with the referral to the EAP and follow subsequent recommendations for referral and treatment. Failure to show-up for required scheduled EAP appointment will result in further disciplinary action up to and including termination of employment. Regardless of any EAP referral, employees must maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(B) Employees placed on a leave of absence when required by an approved LCOCHC- Behavioral Health EAP treatment plan shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.5.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from a referral of the employer will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.5.2.010(p), the employee shall be subject to disciplinary action, up to and including termination pursuant to § 5. 808 (6) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.5.8.080(a) of this manual.

(D) Participation in an approved LCOCHC – Behavioral Health EAP treatment plan does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.5.8.080(f) of this manual, or any other tribal law or policy.

PAP.5.7.120 Christmas Bonus

Christmas bonuses may be paid to employees as determined by the Health Director, which will be subject to any funding or other limitations.

PAP.5.7.130 Employee Recognition – Years of Service

The provisions of this section shall commence on the date of the endorsement of this Manual and upon an employee reaching the next available milestone as follows:

(a) Employees that have worked for the LCO-CHC for fifteen (15) years shall receive a gift equal to one week's pay.

(b) Employees that have worked for the LCO-CHC for twenty (20) years shall receive a gift equal to two week's pay.

(c) Employees that have worked for the LCO-CHC for twenty five (25) years shall receive a gift equal to two week's pay, a gift and plaque.

(d) Upon retirement (25 years or more), an employee shall receive one hundred dollars for each year of service to the LCO-CHC.

Subchapter PAP.5.8 Conduct

PAP.5.8.010 General Statement of Conduct

PAP.5.8.020 Conflict of Interest

Employees are not permitted to engage in nepotism, favoritism, and any outside business transactions, or other activities, which are detrimental to the best interests of the LCO-CHC. This includes activities that, directly or indirectly, divert business opportunities from the LCO-CHC or confer an unfair advantage upon or benefit to a family member. It also includes activities that negatively reflect upon the LCO-CHC's image or are contrary to the mission of the LCO-CHC, except for activities specifically protected by law. The LCO-CHC respects the right of employees to engage in activities outside their employment that are of a private nature and unrelated to their job or the LCO-CHC. However, employees must fully disclose to their department head or director or the Human Resource Director, or designee, all business and personal activities that represent such a conflict of interest with the LCO-CHC. If an employee is unsure whether a conflict of interest exists, the employee is encouraged to seek the advice of the Human Resource Director, or designee.

PAP.5.8.030 Outside Employment

Employees may not accept simultaneous employment with another tribal agency or another employer without the express permission of the Health Director. Permission may be denied if the other employer is a competitor or supplier of the LCO-CHC. The request may be denied with employment of another tribal agency if the total hours worked in a given week violates tribal policy or interferes with the work expectations of the LCO-CHC. The LCO-CHC considers all full time employees' work with the LCO-CHC to be their primary employment responsibility. As such, outside employment will not be considered an excuse for poor performance, absenteeism, tardiness or refusal/inability to work overtime.

PAP.5.8.040 Political Activity

PAP.5.8.050 Harassment

(a) The LCO-CHC has a "zero-tolerance" policy with respect to employee harassment. Any form of unlawful employee harassment based on race, color, religion, sex, national (including Tribal) origin, age, disability or status in any protected group is prohibited. The LCO-CHC will not tolerate interference with the ability of employees to perform their expected job duties. Harassment of employees, patients, or members of the public by employees will result in disciplinary action, up to and including termination.

(3) General. Harassment under this policy may also include words or conduct committed by customers or suppliers of the LCO-CHC. In the event that any harassing or offensive language or conduct occurs, employees must report it to the Human Resource Director, or designee, immediately so the matter can be addressed promptly.

(c) The LCO-CHC prohibits any form of retaliation against any employee for filing a bona fide complaint under this policy or for assisting in a complaint investigation. However, if, after investigating any complaint of harassment or unlawful discrimination, the LCO-CHC determines that the complaint is not bona fide and was not made in good faith or that an employee has provided false information regarding the complaint, disciplinary action may be taken against the individual who filed the complaint.

PAP.5.8.060 Alcohol and Drugs

(a) All employees of the Tribe are subject to the drug testing procedures as provided in Section PAP.5.8.080 of this manual.

(b) Employees are expected to come to work with a clear mind, unimpaired by drugs or alcohol. No employee under the influence of alcohol, illegal drugs or controlled substances as established in Section PAP.5.2.010(x) shall be permitted to come to or remain at work.

PAP.5.8.070 Drug Free Workplace Act Compliance

(b) General Provisions.

(3) Notice of Conviction or Charges.

PAP.5.8.080 Drug and Alcohol Testing Procedures

All employees and applicants for employment are subject to drug and alcohol testing, including reasonable suspicion, pre-employment, and return-to-duty. Drug tests require laboratory testing as provided by the Mandatory guidelines for Federal Workplace Drug Testing Programs pursuant to 94 FR 28101, May 15, 2015 as amended, as minimum standards for the following classes of drug and correlative cutoff concentrations: Cocaine; Opiates including opium and codeine derivatives such as Oxycodone, Oxymorphone, Hydrocodone, Hydromorphone; Amphetamines and Methamphetamines including Methylenedioxyamphetamine (MDA) and Methylenedioxyethylamphetamine (MDEA); Phencyclidine (PCP). Nothing precludes the Human Resource Director, or designee, in testing for substances which are not included on this list, should the Health Director, or designee, determine it is in the best interests of the Tribe to include substances which are not listed above to ensure a drug free workplace. Employees are encouraged to contact the Human Resource Director, or designee, with any questions regarding drug and alcohol testing. Failure or refusal to participate in an employer-directed drug test is considered insubordination and the employee will be terminated for insubordination.

(3) In the event of a positive test result, a confirmation test will be performed by a laboratory specified in Section PAP.5.8.080(a)(2) above, using the original sample (not a new sample). The confirmation test will be based on a different analytical method of higher analytical certainty.

(b) Pre-Employment Testing Procedures.

(2) Applicants who test positive for alcohol, illegal drugs, and/or prescribed medication for which they do not have a valid prescription, shall be denied employment.

(3) An applicant who initially declines a drug test will be denied employment and not eligible for employment for 90 days.

(1) Upon a finding by an employee's department head or director that there is probable cause that the employee is either under the influence of alcohol (under the influence shall mean a blood alcohol concentration of 0.02 grams of alcohol per 100 milliliters of a person's blood or while the person has 0.02 grams of alcohol per 210 liters of a person's breath) or drug abuse that is impairing the employee's ability to carry out job-related activities, the employee shall be required to be tested for the presence of drugs or alcohol pursuant to Section PAP.5.8.080(c)(3), below. A finding of probable cause and directive requiring the employee to submit to testing for drugs or alcohol must be in writing signed by the employee's department head or director. The probable cause finding must be supported by evidence of specific, personal observations concerning job performance, appearance, behavior, speech, or bodily odors of the employee. If hearsay information is received, such information must be corroborated by personal observations, or observations and evaluation by the Executive Director, or designee.

(2) Once an employee's department head or director has determined that probable cause pursuant to Section PAP.5.8.080(c)(1), above exists, the employee's department head or director shall immediately contact the Human Resource Director, or designee and convey that one of his or her employees is under the influence of alcohol or a controlled substance and that such influence is impairing that employee's ability to carry out his or her job related duties.

(3) Upon receiving contact from an employee's department head or director, the Human Resource Director, or designee shall have the employee drug tested and if alcohol related have the employee submit to a portable breath test (PBT) conducted by a Class 1 PBT Certified person as specified in Section PAP.5.8.080(a)(6), above. If the employee refuses to take a test (including but not limited to a drug test, drug urine test, or PBT test) after being required to do so, the employee is thereby insubordinate and considered to be in violation of the Drug Testing Policy and shall be terminated.

(4) Upon receipt of a positive test result, the employee shall be immediately relieved of their duty station and will be subject to disciplinary action, Section PAP.5.8.080(f) below, and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.5.8.080(a) above. In all cases, an employee may face legal consequences for his/her actions. Upon receipt of a positive confirmation test result pursuant to Section PAP.5.8.080(a) above, the employee shall be referred by the Human Resource Director, or designee to participate in the Employee Assistance Program pursuant to Section PAP.5.7.110(a) of this manual. Failure to comply and successfully complete an approved LCOCHC- Behavioral Health EAP treatment plan within the timeframe established in the treatment plan will result in termination.

(d) [Open.]

(f) Discipline for Drug Testing Violation. In all cases, an employee may face legal consequences for his/her actions.

(A) First Offense: The employee will be informed of a first offense in writing and will be suspended three (3) days without pay.

(C) Third Offense: If a third offense occurs, the employee shall be terminated. Such termination shall not be subject to appeal.

(2) Any employee who refuses to take a test as established in Section PAP.5.8.080(a) will be considered insubordinate and will be terminated for insubordination. Such termination shall not be subject to appeal.

PAP.5.8.090 Inspection and Search

(a) The LCO-CHC has the authority to inspect or search the entire work-place, including, but not limited to any office or desk when there are reasonable grounds for suspecting that the search will turn-up evidence that an employee violated any provision of this manual or otherwise engaged in work-related misconduct.

(b) The LCO-CHC has the authority to inspect or search, when the inspection or search is necessary for non-investigatory work-related purpose, including locating and retrieving any information from a location within the work place.

(c) The LCO-CHC has the authority to inspect or search any employee's personal possessions located within the work place when there are reasonable grounds for suspecting that the search will turn-up evidence that the employee violated any provision of this manual or otherwise engaged in work-related misconduct.

PAP.5.8.100 Confidentiality

(a) In the course of performing duties for the LCO-CHC, employees may obtain or become aware of confidential information, such as personnel, financial and legal information of the LCO-CHC, its programs, operations, enterprises and employees, including but not limited to information encompassed in any reports, investigations, research or development work, mailing lists, bid lists, directories, listings, plans, specifications, proposals, marketing plans, financial projections, cost sheets, bid estimates, bid spreadsheets, vendor or subcontractor quotes, financial data and any and all concepts or ideas, materials or information related to the business, products, or services of the LCO-CHC or its customers and vendors ("Confidential Information").

(c) Employees also must not use or release, directly or indirectly, any proprietary information or trade secrets of the LCO-CHC without prior authorization from their department head or director, in consultation with the Office of the Attorney General. Trade secrets include any formula, pattern or devise of compilation of information which is used in the LCO-CHC's business or operations.

(1) Confidential Patient Information is subject to the Health Information Privacy and Portability Act (HIPAA) and consists of personal or household income, health, academic records, paternity, arrest records and court proceedings, except to the extent that such information is necessary to determine the client's eligibility for tribal services.

(2) Employee Information of a personal nature should also be maintained as confidential and includes personal or household income, health, academic records, previous criminal history, disciplinary actions and performance evaluations, except to the extent such information is necessary to determine and employee's or applicant's suitability for LCO- CHC employment.

(3) LCO-CHC Mailing Lists should be kept confidential, except to the extent such information is necessary for conducting LCO-CHC business. Violation of Federal confidentiality laws and approved LCO-CHC policies concerning confidentiality may be cause for disciplinary action up to including dismissal.

(d) Violations of confidentiality, including the disclosure of confidential information (verbal, written or documents) as defined under this section shall be subject to discipline, up to and including termination. The LCO-CHC reserves the right to prosecute any violations to fullest extent allowed under tribal, state or federal law.

PAP.5.8.110 Media Inquiries

The LCO-CHC generates public interest and persons often seek newsworthy information. Therefore, it is our policy to allow only authorized representatives to make contact with or provide information or comments to reporters and news agencies regarding the LCO-CHC. Any employee who is contacted by a reporter regarding the LCO-CHC must inform his or her Department Head or Director of the request for information. Prior written authorization by the Tribal Governing Board Chairman or his/her designee is required prior to any media release of information.

PAP.5.8.120 Security Measures / Limited Access Control Areas

(a) Maintaining security and limiting access to certain areas of the LCO-CHC's facilities is important to the continued success and is required by law in some instances. Employees shall not permit unauthorized persons, which may include Tribal employees, to enter secure and limited access controlled areas or to access confidential or protected information.

(b) LCO-CHC Employees must possess a visible employee badge at all times in the facility. Visitors and vendors are also required to possess visible visitor badges at all times in the facility.

PAP.5.8.130 Dress and Appearance

The LCO-CHC is an ambulatory health care facility with multiple departments tasked with serving the health care need of the Native American population of the LCO-CHC. The LCO-CHC is committed to presenting a professional, neat and clean image for our patients, their families and other visitors. As staff members, we represent the LCO-CHC to everyone who enters. We can contribute to the center's image by taking pride in our own appearance.

(a) Purpose. The purpose of the LCO-CHC's Dress Code Policy is to ensure that all employees present a professional appearance to patients and visitors, and to promote greater professionalism and safety in the workplace. Outlined below are general guidelines and basic expectations for appearance that all employees are required to follow.

(b) Policy.

(1) Employees are expected to represent themselves, and the LCO-CHC, in a professional manner, which includes appropriate clothing, grooming and hygiene habits. Thus all staff members are expected to dress in professional or business casual attire. In general, business casual means dressing professionally, looking relaxed yet neat and pulled together and no visible hickeys and facial piercings. Scrub uniforms and closed shoes for medical staff, business casual for all other staff (example would be khakis, dress pants, nice sweater, blouses, but absolutely no obscene or graphic shirts, shorts, or flip-flops). Blue jeans without rips will be permitted only on casual Fridays or by Maintenance staff. Sports Jerseys/shirts are allowed on Fridays or designated game day.

(2) Failure to maintain a professional appearance may be cause for disciplinary action. Supervisors will have the authority and responsibility to enforce this policy, and subsequent action required. This policy is applicable on all shifts, seven days a week. Departments may establish more specific guidelines consistent with this policy. Variances to this policy may be implemented by specific departments at the discretion of the departmental supervisor and approval by the Health Director as needed to ensure the safety of their staff, and will be implemented in conjunction with PPE (Personnel Protective Equipment) related requirements, as required by relevant OSHA and infection control standards, and as specified in individual departmental manuals requiring specific PPE equipment.

(3) Administration recognizes that there may be occasions when the nature of an employee's responsibilities requires him/her to wear dress attire that is prohibited by this policy (e.g. working on the floor to teach CPR, clean office space, etc.). Department heads may exercise discretion in making exceptions to this policy for those limited occasions.

(4) Housekeeping & maintenance staff may wear jeans or work pants that are in good condition. Long or ¾ length sleeved smocks are required over shirts. Closed toe and closed heel sturdy shoes are required.

(5) Federal employees may wear uniforms while on duty, however, these costs will be accrued by the Federal employees.

PAP.5.8.140 Smoking

(a) Providing a tobacco-free environment for all employees and visitors:

(1) Employees shall smoke only in designated areas, notwithstanding subd. (3) below.

(2) Smoking is prohibited in the following areas, notwithstanding subd. (3) below:

(A) In any Tribal owned or leased vehicle;

(B) There will be no tobacco use in personal vehicles when transporting people on authorized business.

(b) Notwithstanding subd. (3) below, no use of tobacco products will be allowed within the LCO-CHC facilities; its grounds and its surrounding parking lots for staff and visitors. Furthermore, the staff are not permitted to smoke anywhere near the Tribal Office Pavilion.

(c) Nothing in this policy shall be deemed to limit or interfere with the use of tobacco at traditional ceremonies and cultural functions.

(d) Violators of this section are subject to disciplinary action, up to and including termination.

PAP.5.8.150 Internet and Telephones

(a) All electronic and telephonic communication systems and all communications and information transmitted by, received from, or stored in these systems are the property of the LCO-CHC and as such are to be used solely for job-related purposes. The use of any software and business equipment, including, but not limited to, e-mail, internet access, facsimile machines, computers, telephones (land lines and cellular phones) and copy machines for private purposes is prohibited.

(b) No employee may use a pass code or voice-mail access code that has not been issued to that employee or that is unknown to the LCO-CHC. Moreover, improper use of the e-mail system (e.g., distributing offensive jokes or remarks) will not be tolerated.

(c) Employees shall not use the LCO-CHC's internet, voice mail and e-mail resources, phones and other systems in a prohibited manner, including:

(1) To transmit, view, retrieve, or store any communications of a discriminatory or harassing nature or materials that are considered obscene or pornographic;

(2) To access pornographic internet sites, display or print any associated materials, pictures and cartoons;

(4) For non-business, personal or private use, including but not limited to game playing and personal communication not associated with business;

(5) To disclose any confidential or proprietary information except where such disclosure is authorized or permitted in this personnel policy and procedural manual;

(6) To solicit for more LCO-CHC approved activities;

(7) Do not access file sharing sites for music, videos or whatever;

(8) Do not access any social networking sites such as My Space or Facebook;

(9) Do not use streaming audio or video at your computer. The only exceptions would be for approved training such as the ICS or IHS trainings;

(10) Do not access gaming sites, E-Bay or other non-work related sites;

(11) Do not connect to the internet and leave it open. Do what you need and get off;

(12) Do not open any email that you do not recognize the sender;

(13) Turn off preview of emails. Even the preview mode transmits virus activity;

(14) To prevent viruses when receiving emails from unknown sources do not open any attachments while in email, save the attachments while in email, save the attachments and open it later, and of course never open an attachment you are not sure about.

(d) Employees shall not use the LCO-CHC's internet, voice mail and e-mail resources and other systems and equipment, including but not limited to computer hardware, software, copier, fax machine and postage machine in a manner that is contrary to the provisions of any purchase or lease contract, such as unlawful copying of computer software.

(e) Notwithstanding the LCO-CHC's right to retrieve and read any voice or electronic mail messages, such messages should be treated as confidential by other employees and accessed only by the intended recipient. Employees are not authorized to retrieve or read any voice or e-mail messages that are not sent to them. Any exception to this policy must receive prior written approval by Management.

(f) The LCO-CHC may monitor, record and listen to all internet, e-mail and voice mail usage, to assure compliance with its policies, for cost analysis and for legitimate business purposes. Thus, the LCO-CHC may listen to, access and disclose any information in the electronic communication and telephone systems, even such information or communication protected by an employee's personal password, at any time, with or without notice to the employee. Employees have no expectation of privacy in connection with the use of these systems, or the transmission, receipt or storage of information in such systems.

PAP.5.8.160 Solicitation and Distribution

(a) Employees shall not debate, agitate, or solicit for funds, dues, etc., or solicit for membership in organizations during working time. Employees may engage in such activities only if both the employee doing the soliciting and the employee being solicited are not on working time. Working time means all periods in which employees are required to be actively at work, but does not include non-working mealtimes.

(b) In the interest of good housekeeping and safety, employees shall not distribute non-work literature such as leaflets, pamphlets, etc., at all times in working areas. It is the responsibility of each employee of the LCO-CHC to keep all facilities clean and orderly.

(c) Non-employees, other than customers and vendors, are not permitted on Tribal property for the purpose of solicitations or any other reason without the express authorization of the Tribal Governing Board.

PAP.5.8.170 Workplace Violence

(a) The LCO-CHC is concerned about the increased violence in society, which has also filtered into many workplaces, and has taken steps to help prevent incidents of violence from occurring at its facilities. It is our policy to expressly prohibit any acts or threats of violence against any employee in or about our facilities or elsewhere at any time. We will not condone any acts or threats of violence against our employees, customers, or visitors on the LCO-CHC's property at any time or while they are engaged in business with or on behalf of the LCO-CHC, on or off our premises.

(b) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the LCO-CHC is committed to the following:

(1) To provide a safe and healthful work environment;

(4) To establish viable security measures to ensure that the LCO-CHC's facilities are safe and secure to the maximum extent possible and to properly handle access to the LCO-CHC's facilities by the public, off-duty employees, and former employees.

(c) Employees, former employees, customers and visitors shall not bring or possess unauthorized firearms or other weapons onto the LCO-CHC's premises. Any employee who displays a tendency to engage in violent, abusive, or threatening behavior or who otherwise engages in behavior that the LCO-CHC, in its sole discretion, deems offensive or inappropriate, or who possesses a firearm or weapon in violation of this policy will be subject to disciplinary action, up to and including termination.

(d) Employees have a "duty to warn" management of any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve other employees, former employees, customers, or visitors and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The LCO-CHC will not condone any form of retaliation against any employee for making a report under this policy.

PAP.5.8.180 Off-Duty Misconduct

Employees shall not engage in off-duty misconduct which is deemed detrimental to the LCO-CHC. While it is impossible to predict every detrimental situation, the LCO-CHC may determine that off-duty misconduct is adverse to the LCO-CHC, because it is serious in nature; is at odds with an employee's job duties; or is notorious and has the potential to discredit the LCO-CHC. Any arrest shall be reported to the employee supervisor and the Human Resource department within 72 hours. Any arrest shall be subject to review by the department director, and may include discipline including a suspension or termination depending on the determination and severity of the allegations leading to an arrest. An arrest and conviction related to misconduct shall be subject to discipline which may include termination.

PAP.5.8.190 Children in the Workplace

The presence of children in the workplace is discouraged because it can be disruptive to other employees. However, the LCO-CHC recognizes that there may be circumstances when it is necessary for an employee to have a child at the workplace for a short period. A supervisor has the authority to prohibit an employee from having a child at the workplace if the supervisor determines that the employee is abusing this policy or the workplace is being disturbed.

PAP.5.8.200 Policy Regarding Use of Social Media by Employees

(a) While the LCO-CHC encourages its employees to enjoy and make good use of their off-duty time, certain activities on the part of employees may become a concern if they have the effect of impairing the work of any employee; harassing, demeaning, or creating a hostile working environment for any employee; disrupting the smooth and orderly flow of work within the office; or harming the goodwill and reputation of the LCO-CHC. In the area of social media (print, broadcast, digital, and online services such as Facebook, LinkedIn, MySpace, Plaxo, and Twitter, among others), employees may use such media in any way they choose as long as such use does not produce the adverse consequences noted above. For this reason, the following provisions apply regarding an employee's use of social media, both on and off duty:

(1) An employee shall be subject to disciplinary action, up to and including termination of employment, depending upon the severity and repeat nature of the offense, if an employee publishes any personal information about the employee, another employee of the LCO-CHC, the Tribe and its officials, or a tribal member in any public medium (print, broadcast, digital, or online) that:

(A) has the potential or effect of involving the employee, their coworkers, tribal members or the LCO-CHC in any kind of dispute or conflict with other employees or third parties;

(B) interferes with the work of any employee;

(D) disrupts the smooth and orderly flow of work within the office, or the delivery of services to tribal members;

(E) harms the goodwill and reputation of the LCO-CHC in the community at large; or

(F) tends to place in doubt the reliability, trustworthiness, or sound judgment of the person who is the subject of the information.

(2) No employee may use the LCO-CHC's equipment or facilities for furtherance of non-work-related social media related activities or relationships without the express advance permission of their program Director.

(3) Employees who conduct themselves in such a way that their social media related actions toward and relationships with each other interfere with or damage work relationships, disrupt the flow of work or tribal member relations, or cause unfavorable publicity in the community, should be concerned that their conduct may be inconsistent with one or more of the provisions of this policy. In such a situation, the employees involved should request guidance from their program Director or the Health Director to discuss the possibility of a resolution that would avoid such problems. Depending upon the circumstances, failure to seek such guidance may be considered evidence of intent to conceal a violation of the policy and to hinder an investigation into the matter.

(4) Use of social media that involves any kind of criminal activity or harms the rights of others may result in criminal prosecution or civil liability to those harmed, or both.

(5) Social media access and use involving Tribal equipment and resources are subject to the LCO-CHC's computer and internet policy at all times.

(6) The provisions in this policy are not intended to restrict communications regarding the terms and conditions of the workplace.

Subchapter PAP.5.9 Workplace Safety

PAP.5.9.010 General Safety

The purpose of the established LCO-CHC Safety Management Plan is to provide a safe and pleasant environment for the employees, visitors, and patients that utilize this facility. Safety policies apply to all LCO-CHC programs and areas, including offsite facilities and fieldwork. This policy sets forth the responsibilities of the LCO-CHC and its employees to establish and maintain safety and loss prevention/risk management programs that seek to protect human health, to ensure regulatory compliance and to preserve LCO-CHC interests and assets.

PAP.5.9.020 Employee's Responsibilities

(a) All employees are responsible for maintaining a safe environment through their work and other actions. As such, employees are required to: identify and report to their supervisor and the Safety Officer hazardous conditions, to avoid hazardous conditions (risks) whenever possible, to refuse duties when performing these duties that will result in personal injury/illness or destruction/damage to material/equipment, and to be aware of the safety hazards associated with the performance of duties. Each employee is responsible for wearing designated (provided) protective equipment or appropriate clothing that will help reduce or avoid their exposure to hazards.

(b) The employee's responsibilities also include reporting any accident that has resulted in a job- related illness/injury or damage to material, equipment, or buildings. All information concerning safety hazards (risks) should be sent to the employee's immediate supervisor and the Safety Officer.

(1) Comply with applicable Federal, State, County, and Tribal safety laws and regulations;

(2) Observe all LCO-CHC rules and regulations related to the efficient and safe performance of their work;

(3) Attend required trainings to promote safety and minimize risks;

(4) Report to supervisor and/or correct hazards, unsafe equipment, and improper work practices, as appropriate;

(5) Report to supervisor and Safety Officer accidents/injuries that occur to themselves or others while on the job or on facility property, per LCO-CHC incident reporting process;

(6) Operate vehicles while on LCO-CHC business in accordance with Chapter PAP.3 of the LCOTCL – Travel Policies and Procedures and applicable tribal, state and local laws;

(7) No employee under any circumstances comes to work under the influence of drugs/alcohol. No person may consume or be under the influence of alcohol while attending classes, at meetings, or while fulfilling employment responsibilities. Employees must conduct themselves in a responsible and professional manner at all times.

(8) No employee shall carry firearms, or other dangerous or deadly weapons, either openly or concealed except for official purposes, on LCO-CHC grounds. Explosives (including bullets) are not permitted on the premises at any time;

(9) Comply with the smoking policy and smoke only in designated areas;

(10) Handle, store, and dispose of hazardous chemicals appropriately, in accordance with the facility chemical safety plan, and in accordance with applicable laws; and

(11) Comply with requirement for the proper use, storage, and disposal of personal protective equipment, which is provided by the employer.

PAP.5.9.030 Supervisor Responsibilities

(a) The supervisor's responsibility is to be knowledgeable of and comply with standards established by this Safety Policy. Supervisors are responsible for being aware of the hazards associated within their area of authority. They are responsible for assuring that employees under their authority are not subjected to conditions that could result in personal injury or illness or to destruction/damage to materials required for use in performing their duties. A supervisor that identifies or is made aware of a safety hazard has the responsibility to see that the hazard is corrected so that injury or illness to personnel/visitors or damage to material does not occur. These hazardous conditions shall be reported to the Safety Officer. When the supervisor is unable to determine if a situation is a safety risk or needs information on the correction of a safety hazard, he/she shall request guidance from the Safety Officer. All employees who supervise others are responsible for maintaining a safe work environment by ensuring that:

(1) Employees comply with orientation and training requirements trained in safety, fire and fire hazard prevention, and emergency evacuation procedures. Supervisors must also ensure that job-specific safety training is identified and provided to employees;

(2) An incident report and workers compensation report are filed when an accident or work- related health problem or injury occurs in their area of responsibility;

(3) Notification is provided to the Safety Officer about threats to safety or other hazards;

(4) Equipment and property within the area of responsibility are maintained in a safe condition;

(5) Employees are required to follow safe work practices at all times;

(6) If an employee violates safe work practices or procedures, the unsafe behavior is halted, the employee is informed of the infraction(s), and the correct method of work is reinforced.

PAP.5.9.040 Departmental Safety Programs

(a) Each department supervisor is responsible for the safety of his/her employees, program materials and equipment. A departmental policy shall be established addressing safety precautions that are pertinent to the function of the specific department. Departmental policies do not need to duplicate the general safety and emergency policies that are addressed in this Safety Policy. Departmental Safety policies shall be submitted to the Safety Committee once every three years for review and approval. Changes to these policies will be approved by the Safety Committee prior to final review and approval by the Health Director.

(1) Impaired Employees. Department supervisors that have employees with either physical or mental handicap are to establish (with assistance from Human Resources) a specific departmental policy that assures the impaired employee is provided a safe work environment and is informed of emergent situations occurring within that environment. The following are some of the situations to be considered:

(A) Assisting in the evacuation of physically, visually, or hearing impaired employees during a fire or bomb threat condition;

(B) Developing a safe workstation for a physically impaired employee so that they are not injured while performing routine work tasks;

(C) Providing a means by which a visually or hearing impaired employee can communicate with other employees to notify them of an emergent situation.

PAP.5.9.050 General Patient Precautions

(a) While providing health care, certain procedures require exposing personnel and/or patients to potentially hazardous conditions. To help reduce the risk of injuries or illness, the following safety guidelines should be followed:

(1) Children will not be left alone at any time.

(2) Special observation will be performed on those elderly patients that show resistance to utilizing the safety devices provided them (e.g., grab bars, walkers, etc.).

(3) Bathroom doors that have an inside locking mechanism will have an external emergency release mechanism.

(4) Procedures shall be established for patient identification within the LCO-CHC. Each patient will be identified by the established procedure.

(5) The water supply system to patient care areas and public rooms (restrooms/lavatories) will be regulated so that the water temperature does not exceed 110°F at the hand washing facilities.

(6) Crutches shall be adjusted to proper length, rubber suction tips maintained, and patients provided with proper instructions in the use of the crutches.

(7) Weak or disoriented patients shall be escorted at all times. Special observation and assistance will be provided for elderly patients when the staff anticipates that they will need such.

(8) Treatments requiring heat should be frequently observed to assure that the patient does not receive a burn or electrical shock from faulty or improperly used equipment.

(9) Patients that are attached to electrical equipment should be frequently observed. The equipment used should be routinely inspected to determine that it is operating properly.

(10) An employee not familiar with the equipment shall be trained on how to operate the equipment and what problems might occur with it.

(11) Employees will attempt to anticipate the special needs of the young and elderly patients when dealing with them. Special precautions, as deemed necessary by the staff, will be taken to assure the safety of these special patients.

Subchapter PAP.5.10 Vehicle Driver Certification

PAP.5.10.010 Purpose

The purpose of this subchapter is to certify employees who may operate a vehicle or travel on tribal business and to minimize Tribal exposure to liability claims resulting from vehicle accidents.

PAP.5.10.020 Scope

PAP.5.10.030 Policy

Drivers of Tribal, personal, or rental vehicles may be authorized to drive on Tribal business if they are 18 years of age and certification criteria contained in this subchapter are satisfied.

PAP.5.10.040 Procedures

Drivers must achieve certification to drive on tribal business by meeting the requirements listed in Section PAP.1.10.050 of this manual.

PAP.5.10.050 Minimum Certification Requirements

(a) Tribal Vehicle Certification.

(1) Current Wisconsin Driver's License;

(2) Commercial Driver's License if required by Federal law or other contractual obligations;

(3) License requirements listed in the employee's current job description;

(4) Completed Driving Record Authorization Form in employee's personnel file;

(5) None of the following driving violation convictions within the last year:

(A) Operating without valid driver's license;

(B) Obstruction in regard to driver violation;

(D) Violation of Occupational License;

(E) Causing great bodily harm with vehicle;

(F) Negligent homicide by use of motor vehicle;

(G) Operating while license suspended;

(H) Vehicle usage resulting in felony conviction;

(I) Operating a school bus without a school bus license.

(b) Personal Vehicle Certification.

(1) Employee's Current Wisconsin Driver's License;

(2) Evidence of employee's current minimum insurance coverage, verified by an insurance policy with copy supplied to the Human Resource Director at every policy renewal as follows:

(A) $100,000 per Person;

(B) $300,000 per Accident for Bodily Injury;

PAP.5.10.060 Recordkeeping

(a) The Human Resource Department will maintain a current list of all certified drivers.

(1) Lists will be supplied to the Travel Clerk.

PAP.5.10.070 Supervisors Responsibility

(a) Supervisors shall ensure that no uncertified employees drive on Tribal business.

(1) Departments, where appropriate, shall create Standard Operating Procedures which minimize drivers risk exposure.

(b) Supervisors shall take action when employees or the Human Resource Department report violations. Actions may be, but are not limited to:

(1) Reassigning the uncertified employee to a position which does not require driving.

(2) Removing the driving requirement from the employee's job description.

(3) Place the employee on unpaid leave until they become recertified.

(4) Termination of employment because of a valid driver's license and insurance is a required qualification on the job description.

Subchapter PAP.5.11 Problem Solving

PAP.5.11.010 Scope

(a) Problem Solving Process. When people work closely together it is only natural that problems, questions or conflict may sometimes arise. It is in the best interest of the LCO-CHC and all employees that these issues be resolved as quickly and fairly as possible; therefore, the LCO-CHC supports an "open-communication policy" to encourage addressing these issues. The following "Problem Solving Process" has been designed to provide guidelines for resolution of questions, problems or conflicts:

(1) If you have a work related or personal problem that you think the LCO-CHC can help you resolve, you are encouraged to discuss it with your supervisor. Your supervisor is usually in the best position to help you.

(3) In the unlikely situation that these steps have not resolved the issue, you may take your problem to the Health Director.

(b) Chain of Command. All employees are required to follow the chain of command, with no exceptions. The chain of command consists of and is limited to the following:

(1) Your Supervisor;

(2) Human Resources Director;

(3) Health Director, or designee.

(c) Open Communication Policy. The LCO-CHC supports open lines of communication between employees, which assures all employees concerns will be heard and considered. It is the belief and commitment of the LCO-CHC to maintain direct lines of communication and good working relationships with all employees. Problems arise in all work places and this process is designated to identify and correct those problems and issues in a fair, equitable and timely manner. It should be noted that not all problems or issues will have an outcome that all parties agree with but in no circumstances will insubordinate behavior or communications be tolerated.

Subchapter PAP.5.12 Disciplinary Action and Appeal

PAP.5.12.010 Consent

Each employee shall agree to, by signing, a Consent to Appeal Procedure as a condition of continued employment. The Appeals Procedure constitutes a contract between the LCO-CHC and the employee and establishes the framework under which employees may appeal disciplinary action imposed under this subchapter or employment claims, provided no employee can appeal any disciplinary action based on activity that results in an arrest and conviction. In addition, regarding employment claims, it is important to note that nothing in this personnel policy and procedural manual shall be construed as the LCO-CHC consenting to application of any law or waiving applicable defenses, including the defense that the subject law does not apply to the LCO-CHC.

PAP.5.12.020 Grounds for Disciplinary Action

(b) An employee may be suspended for any conduct which results in an arrest, pending the determination of the Health Director of the seriousness of the offense. Conduct by an employee which results in a felony arrest and/or felony conviction as defined under state and federal law will result in termination.

(c) The LCO-CHC reserves the right to impose discipline for any of the actions listed in this section; such action may include suspension and /or termination:

(1) Incompetence;

(2) Neglect of duty;

(3) Insubordination;

(4) Refusal to work;

(5) Willful misconduct;

(6) Political activity as defined in Section PAP.5.8.040 of this manual;

(7) False representation in conjunction with job performance;

(8) Intoxication or use of intoxicants during working hours;

(9) Conviction of any felony either in performance of job duties, or in private affairs;

(10) Negligence or willful damage to tribal property;

(11) Discourteous treatment of the public or fellow employees during working hours;

(12) Loss of driver's license if required for the job;

(13) Job performance which results in serious harm to the employee's program;

(14) Failure to properly report to work on time;

(15) Unauthorized disclosure of confidential information;

(16) Habitual tardiness;

(17) Conflict of interest;

(18) Theft;

(19) Falsification of timecards;

(20) Willful violation of any Tribal law, rule, regulations or any deliberate action that is detrimental to the LCO-CHC or Tribe;

(21) Willful violation of security or safety rules;

(22) Negligence or any careless action which endangers the life or safety of another person;

(23) Unauthorized possession of dangerous or illegal firearms, weapons, or explosives on the LCO-CHC's property or while on duty;

(24) Engaging in criminal conduct or acts of violence, or making threats of violence toward anyone on the LCO-CHC's premises or when representing the LCO-CHC;

(25) Inappropriate use of telephone or internet;

(26) Fighting or provoking a fight on Tribal property;

(27) Refusing to obey instructions properly issued by Management;

(28) Refusing to help out on a delegated assignment or work task;

(29) Threatening, intimidating, or coercing fellow employees on or off the premises – at any time, for any purpose;

(30) Dishonesty; willful falsification or misrepresentation on the application for employment or other work records; falsifying other data requested by the LCO-CHC;

(31) Giving confidential or proprietary Tribal information to competitors, other organizations, the general public, or to unauthorized employees; working for a competing business while still employed by the LCO-CHC, breach of confidentiality of personnel information;

(32) Malicious gossip and/or spreading rumors; engaging in behavior designed to create discord and lack of harmony; interfering with another employee on the job;

(33) Poor work performance;

(34) Leaving work before the end of a workday or not being ready to work at the start of a workday without approval of management; stopping work before time specified for such purposes, unless authorized by law.

PAP.5.12.030 Types of Disciplinary Actions

(a) Employees must perform assigned duties at or above satisfactory levels, follow standards of workplace behavior contained in this personnel policy and procedural manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford employees an opportunity to correct behavior, however some personnel infractions are severe enough to impose any of the below-mentioned disciplinary actions, up to and including termination. Disciplinary actions may be handled in any manner deemed appropriate by the LCO-CHC. This may include, but is not limited to, the following:

(1) Employee Warning.

(C) The Human Resource Director, or designee, will maintain all employee warnings in an employee's personnel file in the event that further progressive discipline is necessary.

(2) Suspension.

(A) An employee may be recommended for suspension by their supervisor when the employee's behavior warrants such disciplinary action. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources Director. The Human Resources Director will consult with the Supervisor to ensure the reason is justified and clearly stated. If the Human Resources Director is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the suspension, the same will be forwarded to the Health Director for final approval or denial. All suspensions are without pay. Suspensions are appealable pursuant to Section PAP.5.12.040 of this manual.

(3) Probationary Period in lieu of Termination.

(A) In lieu of termination an employee may be placed on a probationary period for a serious violation of this personnel policy and procedural manual, as recommended by a Supervisor and agreed to and evidenced by the signature of the employee on a "Waiver of Appeal Process" form. The Supervisor must follow the same procedures as outlined in Section PAP.5.12.030(a)(2). During this probationary period, the LCO-CHC will evaluate the employee's continued suitability for employment. If during this period an employee has not shown improvement or adequately addressed the issues surrounding the probationary period in lieu of termination the Supervisor may recommend the termination of the employee's employment, without the ability of the employee to appeal the decision, subject to the approval of the Health Director.

(B) Employees placed on a probationary period pursuant to this section are eligible for holiday leave and funeral leave. Probationary employees pursuant to this section shall accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from the Health Director and only for medical reasons or extreme circumstances.

(C) At the end of the probationary period pursuant to this section, the v will prepare a written performance evaluation and discuss with the employee the curative conduct of the employee pertaining to the problem causing the probationary period as well as the employee's overall job performance.

(4) Termination.

(A) An employee may be recommended for termination from employment by their supervisor at any time, depending upon the severity of the offense. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources Director. The Human Resources Director will consult with the Supervisor to ensure the reason is justified and clearly stated. If the Human Resources Director is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the termination, the same will be forwarded to the Health Director for final approval or denial. All terminations are appealable pursuant to Section PAP.5.12.040 of this manual.

(B) The department head or director shall document all terminations and provide a copy of all documentation to the Human Resource Director, or designee.

(b) The LCO-CHC retains the sole discretion to determine what behavior warrants disciplinary action and what type of disciplinary action will be imposed. The LCO-CHC reserves the right to terminate employees at any time for any reason that does not violate applicable law with or without notice and with or without prior resort to other means of discipline.

PAP.5.12.040 Disciplinary Action Appeal Procedure

(a) Appeal Policy.

(1) It is the policy of the LCO-CHC to ensure fair and equitable treatment for employees. Therefore, the Tribe on behalf of the LCO-CHC hereby issues a waiver of its sovereign immunity pursuant to Section TCT.1.3.020 to all non-contracted employees for the limited purpose of appealing in Tribal Court as detailed in this section, any suspension or termination received by an employee pursuant Section PAP.5.12.020 of this manual. Verbal and written warnings are corrective action tools and thus are not subject to appeal.

(2) Any additional claims asserted by an employee against the LCO-CHC or the Tribe, must be filled pursuant to Section TCT.2.9.010. The Tribe on its own behalf, as well as on behalf of the LCO-CHC, has not waived its sovereign immunity with regard to any claims filed pursuant to Section TCT.2.9.010.

(b) Appeal Procedures. A formal appeal will be filed and processed in the manner described below, except that time limits may be waived or extended by written mutual consent of the parties involved.

(2) If at any time during the process the Employee and the Employee's Supervisor are able to agree on a solution to the appeal filed, they may submit a joint statement outlining the acceptable terms to the Health Director. If the terms are approved by the Health Director, then the matter is settled with copies provided to the Employee and the Supervisor with a copy retained by the Human Resource Director. The Health Director decision will be final.

(1) Scheduling of Hearings.

(A) Upon timely receipt of all appeal documentation, the Human Resource Director, or designee, will file the employment appeal with the Tribal Court and request an initial hearing.

(C) The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals by the Tribal Court in the same manner as provided in Section PAP.5.12.040(c)(1)(B), above. The Human Resource Director, or designee, shall provide the Lac Courte Oreilles Office of the Attorney General with the entire record of the grievance and all information submitted in connection to the appeal.

(D) All employees requested to testify at an employment appeal hearing, must attend the hearing when directed by the Human Resource Director, or designee. Failure to appear may result in a monetary fine or disciplinary action or both. The LCO-CHC recognizes that some employees possess official immunity and may not be compelled to testify.

(A) The Tribal Court shall schedule an initial appearance within thirty (30) days of the filing, at which time the LCO-CHC shall enter its initial plea, the Tribal Court shall set forth a scheduling order pursuant to Section TCT.2.9.050 and shall schedule a trial date pursuant to Section TCT.2.10.010. The initial trial date shall be scheduled within sixty (60) days of the filing.

(B) the Trial shall be conducted pursuant to Subchapter TCT.2.10.

(C) The Tribal Court shall determine, by a preponderance of the evidence, whether the LCO-CHC reasonably believed that the employee committed any of the policy violation(s) upon which the discipline was based and whether the employer followed the appropriate procedural steps established in Section PAP.5.12.020 of this manual.

(i) The Tribal Court is required to defer to interpretations of this ordinance as made by the LCO-CHC [pursuant to the Chevron Doctrine], unless such interpretations are unreasonable. An action determined to be unreasonable shall be established by clear and convincing evidence.

(D) If the Tribal Court determines that the employer had a reasonable basis to believe that it met the burden of proof regarding any of the violations and the appropriate procedural steps established in Section PAP.5.12.020 of this manual were followed, it shall uphold the decision of the employer; and shall uphold all disciplinary measures taken without substituting its judgment for that of the employer.

(E) If the Tribal Court determines that the employer did not have a reasonable basis to believe that it met the burden of proof regarding any of the violations and procedural steps established in Section PAP.5.12.020 of this manual, it shall overturn the decision of the employer and order that the employee's personnel file reflect such decision conditioned on the following:

(i) Any award of back wages or other benefits that may have been withheld from the employee shall be limited to ninety (90) days;

(ii) No attorney's fees may be awarded as established in Section TCT.2.11.060.

(v) The employee is not guaranteed restoration to his or her previous position. Such reinstatement shall occur at the discretion of the LCO-CHC. If the LCO-CHC restores the employee to his or her previous position, the Human Resource Director shall meet with the employee and the department head or director and develop a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(F) The Tribal Court may issue its decision orally immediately. In all cases it shall issue a written decision within forty-five (45) days as established by Section TCT.2.11.040 and shall provide the parties with notice thereof. If the Tribal Court does not issue a written decision within forty-five (45) days, it is presumed that the Tribal Court has determined that the employer had a reasonable basis to believe that it met the burden of proof and as a result the action of the employer shall be upheld. The written decision shall include findings of fact, a conclusion regarding each violation, and any money judgments as conditioned in Section PAP.5.12.040(c)(2)(E), above. The decision shall be provided to each party by first-class mail to the person's last known address; electronic mail to the party and to the party's attorney or lay advocate who has filed a notice of appearance in the action; or by delivery to such person, the person's home, or the person's office.

(G) If either party disagrees with the decision of the Tribal Court, that party may appeal the decision to the Court of Appeals by filing a notice of appeal within ten (10) working days of the party's receipt of the decision pursuant to Section PAP.5.12.040(c)(2)(F) above. The filing of an appeal by the employer shall stay any action under Section PAP.5.12.040(c)(2)(E) above, pending resolution of the appeal by the Court of Appeals. Failure to abide by the timeline stated in this section shall be deemed a waiver of the disciplinary appeal and the Tribal Court's decision shall be deemed as final. A Clerk of Court shall submit to the Court of Appeals the record of the employment appeal hearing within five (5) working days of receiving a copy of the notice of appeal. The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals of a Tribal Court decision pursuant to the methods established in Section PAP.5.12.040(c)(2)(F) above.

(A) The Court of Appeals shall have the discretion to decide whether to schedule an oral argument pertaining to an employment appeal.

(B) The Court of Appeals may issue a decision without an oral argument after reviewing the decision of the Tribal Court and the evidence submitted during the grievance and appeal processes.

(D) If the Court of Appeals determines that the Tribal Court committed a clear error, regarding any of the violations and procedural steps established in Section PAP.5.12.020 of this manual, it shall overturn the decision of the Tribal Court and may remand the matter back the Tribal Court for further review consistent with the Court of Appeals findings.

(E) If the Court of Appeals determines that the Tribal Court did not commit a clear error(s) regarding any of the violations and the procedural steps established in Section PAP.5.12.020 of this manual, it shall uphold the decision of the Tribal Court.

Subchapter PAP.5.13 Miscellaneous Employee Procedures

PAP.5.13.010 Mandated Reporting

A mandated reporter, having reasonable cause to suspect that a child seen in the course of professional duties has been abused or neglected or having reason to believe that a child seen in the course of professional duties has been threatened with abuse or neglect and that abuse or neglect of the child will occur, shall report those reasons to law enforcement and Lac Courte Oreilles Indian Child Welfare.

(a) Mandated Reporters. The following departments are mandated reporters:

(1) Administration

(2) Business Office

(3) Behavioral Health

(4) Contract Health

(5) Dietician

(6) Medical Records

(7) Optometry Aide

(8) Patient Registration & Reception

(9) Transcriptionists

(10) Indirect or non-patient care Departments

(11) 3rd Party Billing

(12) WIC

(13) Dental

(14) Lab

(15) Medical Providers and Nursing Staff

(16) Community Health Nurses

(17) Pharmacy

(b) Reporting Law Provisions.

(1) A mandated reporter must make a report when:

(A) The reporter has reasonable cause to suspect that abuse or neglect has occurred; or

(B) The reporter has a reason to believe that abuse or neglect has been threatened and will occur.

(2) The reporter's suspicion or belief comes from information obtained from having seen the child in the course of doing professional duties.

(3) Anyone may make a report at any time.

(4) No one making a report may be fired from his or her job for making the report.

(5) A mandated reporter's intentional failure to report shall result in disciplinary action.

(6) No information that would identify the reporter may be released to the subject of the report, the child's parent, the child's foster parent, researchers, parents involved in custody proceedings, or an attorney representing the subject of the report.

(7) Good faith reporters have immunity from civil and criminal liability that results from the report.

(1) Physical Abuse. Physical injury inflicted on a child by other than accidental means reasonable punishment of a child by a parent is not physical abuse even if it includes corporal punishment. However, punishment whose reasonable foreseeable outcome is or could be the child's serious physical injury is not reasonable and should be reported.

(2) Sexual Abuse. Sexual intercourse or sexual contact with a child under 18, sexual assault or sexual exploitation of a child, allowing the prostitution of a child, or a child's forced viewing of sexual activity.

(3) Emotional Abuse. Emotional abuse is not defined, but criteria for inferring its presence are given. This is called emotional damage. Emotional damage must be harm to a child's psychological or intellectual functioning.

(4) Neglect. Failure, refusal, or inability on the part of the caretaker to provide necessary care, food, clothing, medical or dental care, or shelter. The neglect must be caused by a reason other than poverty and seriously endanger the physical health of the child.

(d) For details and additional information on mandated reporting consult the Human Resource Director, or Health Director.

PAP.5.13.020 Purchase Order Procedure

All employees of the LCO-CHC shall comply with procurement law and policy of the Tribe as established in Chapter PAP.2 of the LCOTCL – Property and Procurement Policies and Procedures. The proper procedure for purchase orders are as follows:

(a) Acquire the Requisition Order Form from the Finance Department Office or utilize the Requisition form template in Excel.

(b) See your Department Head or Director and discuss the purchase and acquire his/her signature approval.

(d) The Department Head or Director, if other than Health Director, will take the request to your Health Director for his/her final approval or disapproval.

(e) Once all the approvals are obtained, it is then brought to the Purchasing Clerk for processing.

(f) Upon receiving items ordered, the packing slips must be checked off, signed, and returned to purchasing clerk for payment.

(g) Failure to follow the proper procedure may result in not receiving the items or having to pay for them out-of-pocket.

PAP.5.13.030 Cultural Involvement and Responsibilities

All employees must be supportive of the mission, philosophy, concept, policies and procedures of the LCO-CHC. Staff is required to participate in on-going cultural awareness activities.

PAP.5.13.040 LCO-CHC Safety and Threats

In the event of natural or manmade occurrences there will be times when specific procedures should be followed. These procedures will be followed accurately and immediately. These may include: tornadoes, armed or unarmed intruders, bomb threats, fires, riots, etc.

PAP.5.13.050 Travel Policy

All employees of the LCO-CHC shall comply with Travel law and policy of the Tribe as established in Chapter PAP.3 of the LCOTCL – Travel Policies and Procedures. This Travel Policy establishes the rules governing travel by all employees of the Tribe, including all employees of the LCO-CHC in the performance of their official job duties on behalf of the LCO-CHC ("Business Travel") and the purchase or use of modes of transportation, such as Personal Automobiles, School or Tribal vehicles, rental vehicles, tolls, parking, accommodations, air fare, etc. (collectively "Travel Services").

PERSONNEL POLICIES AND PROCEDURES MANUAL

RECEIPT AND ACKNOWLEDGEMENT

I hereby acknowledge receipt of a copy of the LCO Community Health Center Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. This personnel policy and procedural manual contains the policies and rules that apply to me. I agree to read the manual and follow it during my employment with the LCO-CHC. I further understand the LCO-CHC may amend this personnel policy and procedural manual at any time and that such changes will be communicated to me in writing.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this acknowledgement for your records.

CONSENT TO APPEAL PROCESS

I hereby consent, as a condition of my employment, to the exclusive jurisdiction of the LCO-CHC's Disciplinary Action and Appeal procedures as set forth in Subchapter PAP.5.12 of this manual, and the jurisdiction of the Tribal Court for all disputes in connection with my employment with the LCO-CHC. I acknowledge that my failure to comply with time limitations for resolving a complaint or filing an appeal will preclude further consideration of any matter. I hereby waive any right I may have to litigate in another court of law, any and all claims arising out of my employment, and hereby waive any right I may have to a jury trial, and agree instead to submit any and all disciplinary action claims to the Disciplinary Action and Appeal procedures as set forth in Subchapter PAP.5.12 of this manual. I hereby consent to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the LCO-CHC.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

WAIVER OF APPEAL PROCESS

I hereby consent, as a condition of my employment, to participate in a Probationary Period in lieu of Termination pursuant to Section PAP.5.12.030(a)(3) of this manual. I hereby waive any right I may have to the Appeal procedures as set forth in Section PAP.5.12.040 of this manual through my participation in this Probationary Period in lieu of Termination. I hereby acknowledge that as a condition of my employment that I have consented to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the LCO-CHC.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

Chapter PAP.7 LCO Ojibwe School - Waadookodaading Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This personnel policy and procedural manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians in the implementation of Title XII, Chapter 3 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law (LCOTCL) – Employment Code and Title VII, Chapter 7 of the LCOTCL – Education Code. This personnel policy and procedural manual, outlines the general policies, rules and practices in effect for the LCO Ojibwe School – Waadookodaading and is intended to be a helpful reference during your employment with the School. The information contained herein is general information, and its contents do not create or constitute a contract between the LCO Ojibwe School – Waadookodaading and any employee. The Tribal Governing Board acting in its sovereign capacity may in its sole discretion amend this personnel policy and procedural manual from time to time. The Human Resource Director, or designee, will distribute approved revisions to all employees.

Subchapter PAP.7.1 General Provisions

PAP.7.1.010 Title

This personnel policies and procedures manual shall be known as the LCO Ojibwe School - Waadookodaading Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.7.1.020 Authority

PAP.7.1.030 Purpose

It is the purpose of this personnel policy and procedural manual to provide the general policies, rules and practices in effect at School. This personnel policy and procedural manual is intended to be a helpful reference during your employment with the School. The information contained herein is general information, and its contents do not create or constitute a contract between the School and any employee. The Tribal Governing Board acting in its sovereign capacity on behalf of the School may in its sole discretion amend this personnel policy and procedural manual from time to time. The Tribal Human Resource Director, or designee, will distribute approved revisions to all employees.

(a) The School shall endeavor to provide its youth a comprehensive, bilingual and bicultural community based educational environment. An environment designed to incorporate the wisdom and beauty of the Ojibwe heritage along with the knowledge and skills to succeed in our modern technological society. The Midewiwin Code for Long Life and Wisdom is the cornerstone on which our educational system is built and shall serve as the guiding light as we move toward the future.

PAP.7.1.040 Mission Statement

We the people of Odaawaa Zaaga'iganing, the Lac Courte Oreilles Band of Lake Superior Chippewa, will sustain our heritage, preserve our past, strengthen our present, and embrace our future. We will defend our inherent sovereignty and safeguard our Mother Earth and provide for the education, health, social welfare, and economic stability of the present and future generations. We will provide for the spiritual, cultural, intellectual, physical, emotional and social wellbeing of all employees and will assist employees to grow and develop as members of the School's workforce to share in the success and prosperity of the School.

(a) It is the mission of the School to provide the proper guidance to maintain the spiritual, cultural, intellectual, physical, emotional, and social wellbeing of each individual. This will ensure that all who attend this school will become productive and contributing citizens of the Lac Courte Oreilles community, state, nation, and world in their own unique way.

PAP.7.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this personnel policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.7.1.060 Interpretation

The provisions of this personnel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the employment related activities of the School;

(b) Shall be liberally construed in favor of the School;

PAP.7.1.070 Severability and Non-Liability

If any section, provision or portion of this personnel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this personnel policy and procedural manual shall not be affected thereby. The Tribe, on behalf of the School further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this personnel policy and procedural manual.

PAP.7.1.080 Repeal of Inconsistent Governmental Manual(s)

All previous personnel policy and procedural manual(s) of the School inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the employment related activities of the School.

Subchapter PAP.7.2 Definitions

PAP.7.2.010 General Definitions

(b) "Contracted Employee" means an employee who has entered into a written contract, which has been properly authorized and signed by a signatory of the School and the employee which defines the employment relationship. The contract will be for a specified period, and will outline benefits, pay and other conditions of employment. The terms and conditions of employment for Contracted employees may differ from the terms in this personnel policy and procedural manual, and this manual may be incorporated by reference in the Contracted Employee's written contract.

(c) "Employee" means an employee of the School including: Exempt Employee, Non-exempt Employee, Full-time Employee, Part-time Employee, Seasonal Employee, or Temporary Employee.

(e) "Extreme Circumstance" means an unscheduled or unplanned circumstance exceeding an ordinary, usual, or expected event.

(g) "Fringe Benefit" means an extra benefit supplementing an employee's salary, such as: health insurance, Worker's compensation, 401(k) benefits, short-term and long-term disability.

(h) "Immediate family member" means Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Grandparent, Grandchild, Niece, Nephew, Aunt and Uncle (including great-grandparents, in-laws, and step-relationship etc.). Immediate family member may also include a partner who has been in a relationship for a period of time or in relationship under Ojibwe tradition and practices.

(i) "Independent contractor" means an individual who is not an employee of the School, but rather has entered into a contract with the School, which defines the scope of services. Independent contractors are not employees, do not receive benefits, are not subject to this personnel policy and procedural manual and are governed by a written or verbal contract.

(j) "LCOCHC" means the Community Health Center of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(k) "Long-term Substitute" means an individual that is substituting for more than ten (10) consecutive work days. Long-term substitutes, having completed a background investigation, and must be approved by the department head or director and the School Director. A Long-term substitute's pay shall be according to established salary schedules.

(l) "Management" means the School Director, Department Director(s), and any employee who is assigned permanent or temporary supervisory or decision making authority.

(m) "Midewiwin" means the Grand Medicine Society, the traditional religion of the Anishinaabeg.

(n) "Non-Exempt Employee" means an employee who the Human Resource Director, or designee, categorizes as being non-exempt from accruing compensatory time.

(o) "Part-time Employee" means an employee regularly scheduled to work less than thirty-two (32) hours per week. Part-time employees are not eligible for employee benefits except as otherwise required by law or otherwise provided for in an employment contract with the School.

(p) "Positive Test Result" means a Blood Alcohol Concentration determined to be under the influence as established in Section PAP.7.2.010(bb) andSection PAP.7.8.080(c).

(q) "Probationary Employee" means an employee who has not successfully completed their required probationary period.

(r) "School" means the LCO Ojibwe School – Waadookodaading.

(s) "School Board" means the respective governing bodies of the LCO Ojibwe School – Waadookodaading (the LCO Ojibwe School Board and the Waadookodaading Ojibwe Language Institute Board of Directors) established as a subordinate entities of the Tribe pursuant to 7 LCOTCL Chapter 7 and exercising delegated educational sovereignty on behalf of Tribe.

(t) "School Director" means the individuals employed by the School Board to manage the affairs of the LCO Ojibwe School – Waadookodaading as provided for in this manual, the Employment Ordinance, the Education Ordinance, and other relevant documents.

(u) "Seasonal Employee" means an employee hired for an established period usually during peak workloads or seasonal demands. Seasonal workers may not be eligible for all employee benefits.

(v) "Serious Health Condition" means a condition which requires inpatient care at a hospital, hospice, or residential medical care facility, or a condition which requires continuing care by a licensed health care provider. This policy covers illnesses of a serious and long-term nature, resulting in recurring or lengthy absences. Generally, a chronic or long term health condition which, if left untreated, would result in a period of incapacity of more than three (3) days would be considered a serious health condition.

(w) "Short-term Substitute" means an individual that is substituting for less than ten (10) consecutive work days. Individuals employed as substitutes (Subs) are selected from approved substitute lists generated by the Human Resource Director. Substitute lists are generated from job applications submitted prior to beginning any work and with a minimum background check completed. Substitutes must meet minimum qualifications. Each department head or director is free to choose from the approved list who they wish to have sub under their Department. Sub pay will be determined by the various Departments in accordance with budgetary considerations and approved by the School Director.

(x) "Temporary Employee" means an employee hired for a period of ninety (90) days or less. Temporary employees may work a full-time or part-time schedule and are not eligible for employee benefits and paid leave.

(y) "Tribe" means the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(z) "Tribal Court" means the Court of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(aa) "Tribal Governing Board" means the Tribal Governing Board of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(bb) "Under the Influence of Alcohol, Illegal Drugs or Controlled Substances" means the following: a Blood Alcohol Concentration that indicates a positive test result as established in Section PAP.7.8.080(c); or are results that confirm the presence of illegal substance; or are results that confirm the presence of a controlled substances that an employee does not have a valid prescription for or the levels exceed the prescribed dosage.

(cc) "Valid Prescription" means a prescription that is current and issued for a medical purpose in the usual course of professional practice by a practitioner or a covering practitioner who has conducted at least 1 in-person medical evaluation of the patient.

Subchapter PAP.7.3 Governance

PAP.7.3.010 General

The Tribal Governing Board is the governing body of the Tribe. Pursuant to the Amended Constitution and Bylaws of the Tribe, ultimate legal and fiscal responsibility of the School is with the Tribal Governing Board, as the elected representatives of the members of the Tribe. The Tribal Governing Board possesses the inherent sovereign authority to delegate oversight and management responsibilities to program directors for the planning and daily operations of Tribal programs and entities. The Tribal Court interprets and enforces, in accordance with and subject to applicable law, as well as these policies and procedures established by the Tribal Governing Board.

PAP.7.3.020 Sovereignty

The School is a public body established as a subordinate entity of the Tribe pursuant to 7 LCOTCL Chapter 7. The Tribe is a sovereign nation, with inherent reserved rights recognized through federal treaties, as such the tribe exists within the geographical boundaries of the United States. Immunity from suit means that no private lawsuit can be maintained against the Tribe or any of its subordinate entities such as the School, unless the Tribe consents to the action. Nothing in this manual, including without limitation the provisions of Subchapter PAP.7.12, constitutes a waiver of the Tribe's inherent sovereign immunity.

PAP.7.3.030 Employment Laws

It is the general policy of the School to extend to its employees, where possible, the rights and benefits provided by employers regulated by the laws of the United States. However, the Tribe looks to federal employment laws as guidelines only, and nothing in this personnel policy and procedural manual shall be construed as the Tribe's consent to application of such laws. Another aspect of the Tribe's inherent sovereignty is that Wisconsin Statutes are not applicable on School operations without the express written permission of the Tribal Governing Board. The Tribe reserves the right to create and modify its employment laws and policies without regard to such laws or interpretations thereof.

Subchapter PAP.7.4 Hiring Process

PAP.7.4.010 Equal Employment Opportunity

The School reaffirms its commitment to equal employment opportunity and advancement toward all applicants and employees regardless of race, color, creed, national origin, gender, sexual orientation, marital status, veteran status, religion, status with regard to public assistance, membership or activity in a local commission, disability, age or any other status protected by law.

PAP.7.4.020 Indian Preference

Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000 et. seq. prohibits various forms of discrimination, including racial, color, gender-based, religion or national origin within the employment context. However, similar to the United States government, Indian tribes are expressly exempted from the definition of a covered "employer." Consistent with this exemption, the School grants Indian preference in employment, and will apply preference in the following order when there are two or more candidates that meet the job qualifications:

(a) Members of the Lac Courte Oreilles Tribe,

(b) Members of other Federally Recognized Tribes with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(d) Non-members with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(e) All Others.

PAP.7.4.030 Hiring Preferences

The School will utilize the following preference ranking when considering an applicant for employment. It is the responsibility of the applicant to provide the necessary documents listed below for the purpose of obtaining preferences:

(a) Indian preference as described in Section PAP.7.4.020 of this manual (Applicant must provide a signed official document from a federally recognized Tribe acknowledging enrollment);

(b) Veteran preference (Applicant must provide a Veterans Administration form DD214);

(c) Former employees of the School whom left in "good standing" and whose separation was not as a result of disciplinary action or an agreement in lieu of disciplinary action which would have otherwise resulted in termination.

PAP.7.4.040 Employment of Relatives

The School encourages relatives of Lac Courte Oreilles Tribal members to seek employment with the School. However, the School also seeks to avoid potential problems arising from family members directly supervising one another. A waiver of this provision may be granted by the School Director when the services of the employee cannot be obtained from any other available person with the same or equivalent qualifications.

PAP.7.4.050 Employment of Minors

The School will utilize, solely as a guideline, federal laws pertaining to the employment of minors.

PAP.7.4.060 Disclosure and Background Check

(a) All applicants who are being considered for employment with the School must provide the information as described in Section Section PAP.7.4.090 of this manual. Incomplete applications and application which fail to provide consent for background checks will not be considered. For all applicants considering employment with the School, the School reserves the right to:

(1) conduct annual background checks on all employees.

(b) While employed with the School, every employee must notify his or her department head or director in writing of any pending criminal charge or conviction, which may result in disciplinary action pursuant to Subchapter PAP.7.12 of this manual. The School reserves the right to:

(1) issue disciplinary action depending upon the severity of the charge or conviction.

(2) conduct a criminal background check or personnel background check of current School employees with reasonable suspicion of policy violations as detailed in this manual.

(c) Any person(s) donating time on school grounds, including but not limited to elders, volunteers, chaperones or persons who will be in the school or attending school events more than 10 hours per week, shall complete a Lac Courte Oreilles Ojibwe School Job Application Form and Background Check Release and Authorization form. No persons may participate in school business prior to the completion and determination of a background check. This is done to ensure the safety of our children pursuant to the Child Protection and Family Violence Prevention Act, P.L. 101-630. Job Application and Background Check Release and Authorization Forms are available in the Administration office. Forms can be mailed, faxed, or e-mailed upon request.

(d) Procedure.

(1) All Job Application and Background Check forms will be returned to the Human Resource Director for processing with picture identification and a second form of identification.

(2) The Human Resource Director is responsible for maintaining a continuing contract for background investigation services with a reputable external source.

(3) The Human Resource Director shall perform a background investigation that may include, but not limited to: a National Criminal Investigation, a State Criminal and Misdemeanor Investigation and a County Criminal and Misdemeanor Investigation. All background check results will be made available to the School Director to determine suitability under the Child Protection and Family Violence Prevention Act, P.L. 101-630.

(4) The Human Resource Director shall assist the School Director in identifying risk factor criteria under the Child Protection and Family Violence Prevention Act, P.L. 101-630 related to positions for which additional levels of investigations may be prudent, (Credit, Credentials, licenses, certifications, character references, etc.).

(5) The School Director has the responsibility for insuring that a background investigation is completed before participation in any school program activities and contractual arrangements.

(e) Failure to pass a background check to the satisfaction of the School or to disclose a criminal charge or conviction may result in revocation of a conditional offer of hire or disciplinary action, up to and including termination.

PAP.7.4.070 Funding and Approval

Prior to posting or filing a position, the School Director must ensure there are sufficient funds to pay for salary, fringe benefits and all other costs of the position. If the job is for a shorter period and only limited funds are available or if the position is contingent upon receiving funding, this constraint shall be explicitly specified at the time of advertisement. The Human Resource Director or designee shall ensure that all positions submitted for posting have all required approvals.

PAP.7.4.080 Posting

Only the Human Resources Director, or designee, is authorized to post a position, provided an existing position shall only be posted with the prior approval of the School Director and a new position shall only be posted with the prior approval of the School Board. All positions shall be posted for at least ten (10) working days, provided temporary positions may be exempt from this section that are of a 14 (fourteen) day duration or less. The Human Resource Director, or designee, will advertise all job postings locally at various locations and other places as appropriate including electronic posting.

PAP.7.4.090 Job Application

(a) Application Form. Applicants for employment are required to submit an application form, which will include without limitation if applicable:

(1) Signature for permission to perform a background and reference check.

(2) Driving record and insurance information (if applicable).

(3) Pre-employment drug testing consent and authorization form.

(4) Letter of interest

(5) Resume

(6) Proof of any stated qualifications

(7) Three (3) letters of recommendation

(8) Documentation of hiring preferences pursuant to Section PAP.7.4.030 of this manual.

PAP.7.4.100 Screening and Selection Process

As an employer, the School seeks to employ individuals who possess the qualifications, skills, abilities and background to meet the employment needs of the School. It is also the intent of the School to treat all applicants with respect and fairness along with ensuring the provisions of Section PAP.7.4.010 of this manual, are adhered to. Pursuant to the Privacy Act of 1974, 5 U.S.C. § 552a, all applications shall be treated as privileged information and shall be made available only to those directly involved in the hiring process.

(a) Applicant Screening.

(2) Applicants that are deemed to meet these minimum qualifications will be notified in writing, emailed (if applicable) and/or telephonically of an offer to be interviewed. Any applications deemed to not be complete, not meet the minimum qualifications or have a background check that contains information that is detrimental to the School will be notified in writing that they were not selected to be interviewed.

(3) The decision to not offer an interview will not be subject to any grievance, complaint or appeal provisions of the School.

(4) In the event the School Director or Human Resources Director determines that there is no qualified or insufficient applicants the position may be reposted.

(b) Applicant Interview.

(A) Human Resource Director,

(B) School Director,

(D) Immediate Supervisor for the position being interviewed,

(E) Other as the department head or director deems appropriate.

(1) The committee will interview each eligible applicant and shall make the selection based upon all relevant factors, including but not limited to:

(A) Preferences defined in Section PAP.7.4.030 of this manual,

(B) Education/Training,

(D) Experience relevant to position,

(E) Interview.

(2) The committee may utilize a ranking system that factors all of the areas established in Section PAP.7.4.100(c)(1) above, that will ensure a fair and equitable process for determining the best qualified candidate, and if applicable an alternate, to fill the position being interviewed. Such system may utilize points or other forms of ranking that is deemed relevant for the position in consideration. The Human Resources Director shall forward the committee's recommendation to the School Director for review and approval.

(6) The decision to not hire an interviewee will not be subject to any grievance, complaint or appeal provisions of the School.

PAP.7.4.110 School Board Notification

The School Director will notify the School Board who was hired for what position(s) and/or if a position(s) was reposted.

PAP.7.4.120 Orientation

(b) A cultural orientation will be provided for new staff members for the purpose of understanding and supporting the School's mission statement.

(c) Orientation for department head or directors will include additional training with the Contracts Office, the Accounting Department and other required areas to familiarize the employee with grants management responsibilities, accounting codes and procedures, and other applicable functions.

PAP.7.4.130 Position Description

The Human Resource Director, or designee, will provide every employee with a copy of his or her current and or amended position description. The position description is intended to provide a general overview of the duties of the position. From time to time, however, employees will perform duties and handle duties and responsibilities that are not a part of the original position description. Position descriptions contain a general description of a position and do not create any employment rights or entitlements.

PAP.7.4.140 Probationary Period

(a) All employee's initial contract at the School shall involve a probationary period of ninety (90) calendar days, during which employees will get to know fellow employees, management and the duties involved for the position. The Human Resource Director will work closely with employees during the probationary period to assist in understanding the needs and processes of the job. The probationary period may be waived by the School Director for hourly or substitute employment.

(b) The probationary period is a trial time for both the employee and the School. During this probationary period, the School will evaluate the employee's suitability for employment. At any time during the probationary period, an employee may resign without any detriment to the employee's record. In addition, if during this period an employee's work habits, attitude, attendance, or performance do not measure up to the School's expectations, the School may extend the probationary period for up to ninety (90) calendar days or terminate the employee's employment without the ability of the employee to appeal the decision.

(c) Probationary employees are eligible for holiday leave and funeral leave. Probationary employees accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from the School Director and only for medical reasons or extreme circumstances. If an employee does not complete the probationary period for any reason, the employee forfeits all accrued but unused benefits.

(d) At the end of the probationary period, the School will prepare a written performance evaluation and discuss overall job performance with the employee. During the course of the discussion, the employee is encouraged to present his or her comments and ideas as well.

(e) The probationary period ends only when a written evaluation of the employee is filed by the supervisor indicating the employee has passed probation, with no exceptions.

PAP.7.4.150 Classifications

Upon hire, the School will inform every employee of his or her employment classification, whether exempt or non-exempt, full-time, part-time, short-term substitute, long-term substitute or temporary. This is important because employment classification has an effect on employee rights and benefits under this personnel policy and procedural manual (See Subchapter PAP.7.2 – Definitions for the various classifications).

Subchapter PAP.7.5 Employment

PAP.7.5.010 Work Site Accommodations

The School is exempted from the federal and state offered definition of an employer as provided by the American's with Disabilities Act, 42 USC § 12111 (5) (B). However, as a matter of its own internal policies the Tribe discourages discrimination against persons with disabilities and when possible seeks to accommodate persons with disabilities on the job. When possible, the School will make reasonable efforts to provide reasonable accommodations to all employees and applicants, including work site accessibility. Employees must notify their department head or director or the Human Resource Director, or designee, in writing of any requested reasonable accommodation within a reasonable period of time after the employee learns of the need for such accommodation.

PAP.7.5.020 Personnel Files

(a) The School will create and maintain a personnel file for each employee beginning at the time of employment. These files are the sole property of the School and are deemed confidential. All employee files, past and present, will be secured in a locked location at all times. Access will be limited to the Human Resource Director, or designee, a department head or director, the School Director, an employee or his or her representative if designated in writing which states the purpose of the disclosure. An employee may inspect his or her personnel file in the Human Resources department by contacting the Human Resource Director, or designee, to make an appointment. Files will be reviewed in a secure location under the supervision of the Human Resource Director, or designee. A personnel file may contain the following types of information:

(1) Original employment application,

(2) Letters of reference,

(3) Notice of hire,

(4) New hire forms,

(5) Entrance interview checklist,

(6) Current position description,

(7) Professional development plan,

(8) Records of all disciplinary actions,

(9) Performance evaluations,

(10) Starting pay scale and subsequent increases,

(11) Change of employment status,

(12) Applicable skills test results,

(13) Transcripts, training and career development records,

(14) Copy of certification or licenses as required,

(15) Copy of separation notice or letter of resignation,

(16) Exit interview and inventory checklist,

(17) Other documents relied upon by the School to make decisions concerning the employee's employment.

(b) The Accounting Department will maintain time, attendance, and payroll and leave records for each employee in a separate file.

PAP.7.5.030 Medical Documentation

Medical files are the property of the School. The School will maintain employee documentation as it relates to Doctor's excuse for longer than the allowable three day absence, return to work statements or any limitations on type of work to be performed by the employee. This information shall be maintained alongside an employee's personnel file, but shall be maintained in a separate file. Access will be limited to the Human Resource Director, or designee. All personal medical related information is subject to the provisions of the Health Insurance Portability and Accountability Act of 1996, 110 Stat. 1936.

PAP.7.5.040 Hours of Work

(a) The standard work hours are from 8:00 a.m. to 4:00 p.m. Employee hours may be changed at the discretion of the department head or director based upon specific job duties, subject to the approval of the School Director. A written approval shall be maintained in an employee's personnel file.

(b) Each Employee must accurately record, sign and in addition have their respective Supervisor attest to the hours being paid by signing an approved timesheet or timecard. Each timesheet or timecard shall accurately reflect the actual hours being paid during the pay period and distributed by the correct payroll and account/department coding for each employee. The timesheet or timecard is a legal record of hours worked and may not be altered without consent of both the employee and his or her department head or director. Each employee and their Supervisor are responsible for the accuracy of their timesheet or timecard. The department head or director must initial all timecards recorded by the use of a time clock. Timecards are the property of the School and must remain in the timecard rack. No employee shall knowingly punch the timecard of another employee or allow another employee to punch his or her timecard.

PAP.7.5.050 Pay Period

The School's pay period is from Sunday through Saturday and all hours worked during this period are to be recorded as defined in Section PAP.7.5.040 of this manual.

PAP.7.5.060 Reclassification

The School may reclassify an employee (exempt, non-exempt, full-time, part-time, short-term substitute, long-term substitute or temporary, etc.) if the duties or need for the employee has changed. The reclassification of an employee may result in a change in the terms and conditions of employment including without limitation eligibility for benefits, and leave. Any supervisor who seeks to reclassify an employee shall obtain proper authorization in collaboration with the School Director.

PAP.7.5.070 Evaluations

(a) Each employee will receive an annual written performance evaluation from their supervisor. The evaluation will highlight the employee's strengths and weaknesses, and ways to improve or enhance job performance. The employee and the department head or director must sign the evaluation. The employee's signature does not necessarily indicate concurrence, but does record acknowledgement and delivery of the document. Employees should not expect that evaluations will automatically result in a change in pay. However, the School will rely on evaluations, in addition to all other relevant information, to make decisions about an employee's terms and conditions of employment.

(b) Failure of the department head or director to complete an evaluation for their employees may result in disciplinary action.

PAP.7.5.080 Resignations

(a) Employees under contract are expected to fulfill the terms of their contract. Only under extreme circumstances will a contracted employee be released from their contractual obligation. The School will honor the contractual agreement for its duration as well, and only end the contract for cause.

(b) Each employee must provide his/her supervisor with at least four (4) weeks prior written notice of resignation. Failures to provide notice will result in a negative recommendation for future employment and shall result in forfeiture of accrued unused leave.

PAP.7.5.090 Transfers

PAP.7.5.100 Promotions

A department head or director may recommend an employee for a promotion based upon job performance and the needs of the School, subject to the prior approval of the School Director. The promoted employee must accept all provisions of the new position (i.e. benefits, rate of pay, duties, hours of work, etc.). The provisions of Subchapter PAP.7.4 of this manual shall not apply to transfers with the exception of Section PAP.7.4.040, Section PAP.7.4.070, Section PAP.7.4.130, Section PAP.7.4.150, and § 7.416. In addition, the provisions of Section PAP.7.4.140, may not apply upon approval of the new department head or director, with concurrence from the School Director. The School Director shall provide the Tribal Governing Board with written notice of all promotions.

PAP.7.5.110 Attendance

Punctuality and regular attendance are essential to the effective operation of the School. Employees must report to work on time. Any employee who will be absent from work must notify the office manager in the administration office (for LCO School mainstream track employees) or the administrative assistant (for Waadookodaading immersion track employees), no later than sixty (60) minutes prior to their respective scheduled start time for instructional staff, and no later than thirty (30) minutes prior to their respective scheduled start time for non-instructional staff. If an employee cannot speak with the office manager in the administration office (for LCO School mainstream track employees) or the administrative assistant (for Waadookodaading immersion track employees), it is the employee's responsibility to speak with their department head or director. All employees must sign-in upon arrival if they arrive after their respective scheduled start time. Any employee who leaves campus for any reason must have prior approval from his or her department head or director, sign out and sign in upon return. Repeated instances of failure to report, regardless of the duration will be subject to disciplinary action up to and including termination. Failure to report to work, without notice, for three consecutive working days will be considered job abandonment and the employee will be considered to have resigned from the School. Job abandonment will not be subject to any appeal provisions and shall be subject to the provisions of Section PAP.7.5.080 of this manual.

PAP.7.5.120 Lunch

Employees are allowed one (1) hour leave for lunch. Employees must take their lunch at the usual time, between 12:00 – 1:00, unless mutually changed by the employee and supervisor.

(a) Ten month employees are allowed lunch during the time the students take lunch unless assigned a lunch duty. Those assigned a duty may leave campus for the day after student dismissal provided there are no mandatory meetings, trainings, or conferences scheduled. Such time shall be reflected on their timecard and employee's shall sign-out pursuant to Section PAP.7.5.110 of this manual.

(b) Twelve month employees wishing to take an off campus lunch up to one hour, must work an additional 30 minutes that day and sign out and back in pursuant to Section PAP.7.5.110 of this manual. Such time shall be reflected on their timecard.

PAP.7.5.130 Break Periods

(a) Non-instructional staff are allowed one fifteen (15) minute break between the hours of 8:00 a.m. and noon and another fifteen (15) minute break between 1:00 p.m. and 4:00 p.m.

(b) Teachers and Paraprofessionals are allowed one fifteen (15) minute break between the hours of 8:00 a.m. and noon and another fifteen (15) minute break between 1:00 p.m. and 4:00 p.m. when time allows.

(d) Employees should be mindful and courteous of workload requirements and the need to make certain that break periods should not be abused.

PAP.7.5.140 Inclement Weather

(b) Administrative Staff will contact Tribal Governing Board members to determine if Tribal Government offices will open as usual, will be closed, or will have a later opening time.

PAP.7.5.150 Contractual Acceptance

(a) All employment contracts must be signed and returned within the period specified on the contract. Failure to turn in a contract within the specified time allotted can indicate non-acceptance by the employee. All positions of non-returned or unsigned contracts will be posted. A fine may be imposed if the employee fails to fulfill the contract obligation. Contractual agreements can be deemed invalid unless returned signed within ten (10) workdays from the date of issuance unless otherwise specified. The school reserves the right to pursue legal action against any violation of the employment agreement.

(b) Release from Contract Agreement. The Employee shall not be released from the employment agreement except for unusual circumstances that will be reviewed by the School Board. Violation of the employment agreement shall result in the following penalties incurred by the Employee:

(1) After June 30^th……………………………………..$1,000.

(2) After July 31^st……………………………………...$2,000.

(3) After August 31^st or during the school year………..$3,000.

(c) Contract Renewal/Intent to Renew. All employees currently under contract will be notified by May 1 of the school's intent to renew or of non-renewal of their contract for the coming school year. Contract renewal is contingent upon available funding of specific programs, evaluations and job performance as otherwise provided in this manual.

Subchapter PAP.7.6 Wages

PAP.7.6.010 Wage Classifications

(a) The School Board shall establish wage and salary classifications for each position based on many factors, including, but not limited to position category, education, certification and relevant experience, knowledge, ability and level of responsibility.

(b) Wage Rate Authorization and Procedure. It is the responsibility of the School Director to produce an annual budget for the subsequent school year by April 1^st. The budget must include all expenses, wages, fringe benefit costs and other anticipated costs. The budget must be submitted to the School Board for approval no later than May 1^st of the current school year.

(1) Pay rates are determined annually by approving wage classifications submitted to the School Board by the School Director. Wage classifications will be maintained in the Human Resource Department.

(2) Pay rate addition, change and adjustment procedures are as follows:

(A) The Human Resource Director will initiate all payroll additions, changes and adjustments.

(B) Once complete, the original Payroll Addition/Payroll Change form will be submitted to the Payroll Clerk. A copy will be retained with the Human Resource Director for the employees personnel file.

PAP.7.6.020 Wage Increases

The School Board shall consider cost of living, merit and wage increases on an annual basis return pursuant to Section PAP.7.6.010 of this manual.. All such increases are contingent upon many factors, including funding availability and performance evaluation. Any increase is at the discretion of the School Board.

PAP.7.6.030 Additional Work Duties

Employees that are designated to be available to work additional duties will be provided an additional contract pursuant to Section PAP.7.6.050 of this manual, to compensate them for their services. In no way shall an additional contract impede the performance of an employee's primary duties.

PAP.7.6.040 Compensatory Time

(a) Employees are compensated on a salary basis and will not accrue compensatory time for hours worked in excess of forty (40) hours in a workweek.

PAP.7.6.050 Additional Contract

A department head or director who obtains prior authorization of the School Director may provide an employee with an additional contract. In no way shall an additional contract impede the performance of an employee's primary duties. The pay rate for the additional contract shall cease upon the completion of the additional duties.

PAP.7.6.060 Employer Payroll Deductions

Various payroll deductions are made each payday to comply with applicable laws, including but not limited to health, dental, retirement, payroll processing fees, federal and state income tax withholding, and social security. At the end of each calendar year, the School will provide each employee with a Wage and Tax Statement (W-2) form. This statement summarizes employee income and deductions for the year.

PAP.7.6.070 Bank Deposits or Payroll Deductions

The School may automatically deposit Employees' paychecks at financial institutions and may provide for payroll deductions, subject to applicable, charges, procedures and limitations. In addition, the School may make deductions from Employees' paychecks in accordance with orders issued by a court of competent jurisdiction. Employees should contact the Accounting Department with any questions.

PAP.7.6.080 Workers' Compensation

The School carries insurance to cover the cost of work-incurred injury or illness. Benefits help pay for employees' medical treatment and a portion of any income lost while recovering. An employee must report any work-related injury or illness to his or her department head or director by completing the "First Report of Injury or Illness Form," which must be completed within the timelines as stated in the Chapter CMP.6 – Worker's Compensation Code. Refer to the Chapter CMP.6 – Worker's Compensation Code for additional guidelines.

PAP.7.6.090 Salary Disbursement

(a) Ten-month employees shall have the option to be compensated over a forty-two (42) or fifty-two (52) week basis. For employees that choose to be paid over a forty-two (42) week basis, the costs of an employee's contribution of fringe benefits shall be deducted on a prorated basis to cover the fifty-two (52) week period.

Subchapter PAP.7.7 Available Benefits

PAP.7.7.010 Available Benefits

(a) The following is a brief list of benefits available to eligible employees;

(1) Group Health Insurance/COBRA

(2) Holiday

(3) Personal Time Off (PTO)

(4) Sharing of PTO

(5) Additional Paid Leave

(6) Unpaid Leave

(7) Family and Medical Leave

(8) Life Insurance, Disability Insurance and Retirement Plan

(9) Employee Assistance Program

(10) Employee Recognition – Years of Service

(b) The School reserves the right, at its sole and absolute discretion, to rescind or amend benefits, to change insurance carriers, or to require employees to contribute towards premium costs. The School may make these changes at any time, except as provided by law. The Human Resource Director or Benefits Administrator, or their designee, will notify employees of changes. While the School intends to continue offering sponsored benefits, there is no guarantee that such benefits will always be available.

PAP.7.7.020 Eligibility

The following employee classifications and eligibility for Fringe Benefits are as follows;

(a) Full Time Employee. Full time Employees, as defined in Section PAP.7.2.010(f) of this manual, are eligible for all Fringe Benefits after satisfactorily completing their probationary period, unless otherwise provided for in an Employment Contract with the School or mandated by law.

(b) Part Time Employee. Part Time Employees, as defined in Section PAP.7.2.010(p) of this manual, are not eligible for any fringe benefits offered by the School, unless provided for in an Employment Contract with the School or mandated by law.

PAP.7.7.030 Group Health Insurance / Cobra

(a) Group Health Insurance is through the Federal Employee Health Benefits; FEHB. An eligible employee may select an insurance provider that best meets their individual needs through FEHB. FEHB is offered for both single, single plus one, and family coverage. Employees considered to be full time status will be required to pay 21% or as amended from time to time by official action of the Tribal Governing Board, of the premium for the plan selected, unless otherwise provided for in an employment contract. Employee's portion of payment will be made through payroll deductions done weekly.

PAP.7.7.040 Holiday Leave

The School grants employees paid holiday leave / breaks in each calendar year. The School Board will approve the holiday schedule at least one (1) month prior to the beginning of a new calendar year. Eligible employees will receive the following paid holidays:

(a) Ten-Month Employees.

(1) Labor Day

(2) Veterans Day (observed)

(3) Thanksgiving Break

(4) Christmas / New Year's Break

(5) Winter Break

(6) Easter Break

(7) American Indian Day

(8) Memorial Day

(b) Twelve-Month Employees.

(1) Independence Day

(2) Honor the Earth Powwow (Friday prior to or the Monday after)

(3) Labor Day

(4) Veterans Day (observed)

(5) Thanksgiving Break

(6) Christmas / New Year's Break

(7) Winter Break

(8) Easter Break

(9) American Indian Day

(10) Memorial Day

PAP.7.7.050 Personal Time off

(a) Employees shall be provided on July 1 or at the beginning of their contract year thereafter, paid Personal Time Off (PTO) at the following rates:

(1) Ten-month employees, ten (10) days for a total of 80 hours per year.

(2) Twelve-month employees, twenty-four (24) days for a total of 288 hours per year.

(3) Part-time employees, prorated leave commensurate with appointment. For example, a ten-month employee scheduled to work twenty hours a week shall receive 50% of the PTO rate or five (5) days for a total of 40 hours per year.

(b) In no circumstance will employees accrue any amounts over the maximum designated accumulations stated above. If an employee is on any leave without pay the employee will not accrue any PTO until the employee returns to a full time status. An employee who quits his or her employment without providing at least a four (4) week notice will forfeit any accrued PTO unless otherwise approved by his or her department head or director in collaboration with the School Director.

(d) Prior to the utilization of accrued PTO, Employees must schedule and have the use of accrued PTO time approved so it will not interfere with job responsibilities, except as otherwise provided by law. If an employee is on PTO and there is early release or closure of the employee's worksite, the employee shall be credited any such leave during the period of early release or closure. If requesting PTO time, employees shall obtain prior authorization at least two weeks or ten (10) working days in advance of the leave date. The department head or director may or may not approve such request depending on a variety of factors, including availability of substitutes, special events, and schedules. In extreme emergency situations the School Director, in consultation with the employee's department head or director, may waive the ten (10) day notification provision, if requested by the employee in writing citing the reason.

(e) To utilize PTO for unscheduled absences, employees must notify the School pursuant to Section PAP.7.5.110 of this manual. If an Employee is absent from work for 3 days or longer, which is related to an illness or other medical related issues, a Physicians excuse must be provided that substantiates their absence.

(g) Use of Paid and Unpaid Leave. Employees who have accrued PTO must use paid leave first and then take additional approved leave as unpaid leave.

PAP.7.7.060 Sharing of Personal Time Off

Employees are permitted to share PTO within the same Employer ID. Under no circumstances are probationary employees entitled to participate in the sharing of Personal Time Off. Employees may cash-out PTO with School Director's approval.

PAP.7.7.070 Additional Paid Leave

The School grants employees additional paid leave in certain situations, including the following:

(a) Civil Leave. The School grants eligible employees paid civil leave during the required absence when any employee appears as a witness for the federal, state or Tribal Government, in obedience to a subpoena. An employee must promptly notify his or her department head or director upon receipt of any subpoena. If an employee receives any stipend for such civil leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for civil leave.

(b) Jury Duty Leave. The School grants eligible employees paid leave during the required absence for jury service. An employee must promptly notify his or her department head or director upon receipt of any notice to appear. If an employee receives any stipend (other than food or fuel expenses) for such jury duty leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for jury service.

(1) All full-time employees will be given up to five (5) days leave without loss of pay for funeral services for immediate family. Immediate family includes the following:

(3) All other funeral leave will be limited to no more than one (1) day with pay to attend the funeral services, subject to the notification and approval of employee's immediate supervisor.

(d) Committee or Board Leave. The School grants eligible full-time employees paid leave to serve on committees or boards of the Tribal Governing Board and may approve leave to participate in other outside boards or committees. An employee must receive prior approval from his or her department head or director prior to accepting an appointment or volunteering to sit on any committee or board. An employee may receive a stipend for such committee or board service, he or she shall not need to use PTO during any work absence for such service. Attendance at any meetings related to such appointment must be preapproved by the employee's immediate Supervisor and such appointment/meetings shall not interfere with an employee's work performance and duties.

(e) Maternity Leave. The School grants eligible full-time female employees up to eight (8) weeks, a maximum of three hundred and twenty (320) hours paid leave, for time to deliver and care for a newborn child. If an employee has medical problems prior to delivery, she may utilize paid maternity leave, subject to the maximum limit, with written verification from her doctor. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.7.8.060 of this manual.

(f) Paternity Leave. The School grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave to care for a newborn child. An employee must request and obtain the prior approval of their department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.7.8.060 of this manual.

(g) Parental Leave. The School grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave for adoption, customary adoption, guardianship, protective placement, or an emergency safety plan of a pre-school (0-5 years of age) child. Leave may be granted prior to the legal proceedings. An employee must request the leave as early as possible and obtain approval of his or her department head or director to utilize leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.7.8.060 of this manual.

(h) Military Leave. The School grants eligible full-time employees up to ten (10) days, maximum of eighty (80) hours, paid leave upon presentment of official orders requiring attendance for training or to perform other duties as a member of the United States Armed Forces. An employee serving on military leave with pay will be paid only the difference between compensation fees received for such duties and his or her normal salary. An employee must notify his or her department head or director prior to such leave. The School will look to the provisions of the Uniformed Services Employment and Reemployment Rights Act (USERRA) 38 U.S.C. § 4301 et. seq. solely as a guideline in determining reemployment of employees who take extended military leave.

(i) Voting Leave. The School will grant eligible employees the ability to leave campus once students depart, to exercise the right to vote.

(j) Birthday Leave. The School will grant eligible employees eight (8) hours of paid leave for the employee's birthday, provided the employee must take such leave during the calendar year.

(k) In-House Medical Appointments. The School may grant employees paid release time to attend medical appointments at the Lac Courte Oreilles Community Health Center.

(l) Ceremonial Leave. The School shall grant full-time employees up to five (5) days paid leave during the calendar year to attend Midewiwin or other traditional ceremonies. An employee must request and obtain the prior approval of his/her department head or director to utilize this leave.

(m) Education Leave. The School may grant employees paid release time to attend job-related or degree seeking courses. An employee must consult with his or her department head or director prior to registering to ensure the course is acceptable and must request and obtain the prior written approval of his or her department head or director with concurrence from the School Director to utilize this benefit. An employee must also have an approved Professional Development Plan on file with the Human Resource office. An employee must promptly provide his or her Department head or Director and the Human Resource Director, or designee, with written proof of course completion. A failure to successfully complete a course may jeopardize an employee's ability to obtain approval of subsequent paid release time hereunder. The School may pay the tuition, books and associated fees of an employee attending an accredited institution of higher learning. The employee must be attending for the purpose of obtaining a degree or enrolling in courses in a field of study that is related to their position of employment with the School. An employee desiring to have the School pay these expenses must have an approved Professional Development Plan on file which is approved by their immediate Supervisor and agree to the terms and conditions of an Educational Expense Reimbursement Agreement and is subject to program availability of funding pursuant to Section PAP.7.4.070 of this manual.

(1) Advanced Degree Seeking Stipulation: In the best interest of the school and at the School Directors discretion, employees seeking advanced degrees beyond a bachelor's degree, agree to remain with the LCO Ojibwe School-Waadookodaading for a minimum of three (3) consecutive school years once the sought after degree has been acquired. Failure to remain at the LCO Ojibwe School-Waadookodaading for a minimum of three (3) consecutive school years will result in a fine equal to 50% of the amount spent by the school on that individual continuing education costs.

(n) Conferences and Meetings. The School may grant employees time to attend job-related conferences and professional meetings. An employee must consult with his or her department head or director prior to registering to ensure the conference or professional meeting is acceptable. An employee must request and obtain the prior written approval of his or her department head or director to utilize this benefit.

PAP.7.7.080 Unpaid Leave

(a) Disciplinary Leave. The School may take disciplinary action, up to and including termination or suspension without pay, against employees who violate the provisions of this personnel policy and procedural manual.

(b) 30-Day Leave of Absence. The School may grant eligible employees up to thirty (30) days unpaid leave, without loss of employment status. The School may grant such leave only when the resulting leave will not adversely affect the operations of the School. An employee must request and obtain the prior written approval of his or her department head or director with written concurrence from the School Director to utilize this leave.

(c) Religious Leave. The School may grant eligible employees up to an additional fifteen (15) days of unpaid religious leave. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave.

PAP.7.7.090 Family and Medical Leave

Employees may be eligible for up to twelve (12) weeks of family and medical leave during any twelve (12) month period. The leave may be paid, unpaid, or a combination of paid and unpaid, depending on the circumstances. This policy sets forth the School's policies and procedures for requesting family and medical leave.

(a) Eligibility for Leave. To be eligible for family and medical leave under this policy all of the following conditions must be met:

(1) An employee must have been employed by the School for at least twelve (12) months or fifty-two (52) weeks.

(2) An employee must have worked at least one thousand two hundred fifty (1250) hours during the twelve (12) months immediately preceding the request for leave.

(1) To care for a child following the child's birth or placement for adoption or foster care (this may be taken only within twelve (12) months of the birth or placement).

(2) To care for an immediate family member who has a serious health condition as defined in Section PAP.1.2.010(r) of this manual.

(3) Because the employee has a serious health condition as defined in Section PAP.1.2.010(r) of this manual, which prevents the employee from performing the functions of the position.

(c) If an employee takes PTO for a condition that progresses into a serious health condition and the employee requests unpaid leave as provided under this policy, the School may designate all or some portion of related leave taken as leave under this policy, to the extent that the earlier leave meets the necessary qualifications.

(d) If both parents work for the School, and each wishes to take leave for the birth of a child, adoption or acceptance of a child in foster care, or to care for an immediate family member with a serious health condition, the employees may only take a combined total of twelve (12) weeks of unpaid leave.

(e) Employees can take up to twelve (12) weeks of leave under this policy during any twelve (12) month period. The School will measure the twelve (12) month period as a rolling twelve (12) month period measured backward from the date an employee uses any leave under this policy. Each time an employee takes a leave, the School will compute the amount of leave you have taken under this policy and subtract it from the twelve (12) weeks of available leave, and the balance remaining is the amount an employee is entitled to take at that time. An employee's family or medical leave taken may run concurrently with other types of leave including workers' compensation and other leaves, such as short-term or long-term disability, etc.

(1) In situations where leave is requested due to the birth, adoption or acceptance of a child in foster care, intermittent or reduced work schedules will be granted at the School's sole discretion and if granted must be taken within one (1) year of the birth or placement of the child.

(3) In situations where an intermittent or reduced work schedule is permitted, the School may require an employee to transfer to an alternative position with equivalent pay and benefits in order to accommodate the recurring periods of absence.

(g) Use of Paid and Unpaid Leave. Employees who have accrued PTO must use paid leave first and take the remainder of the twelve (12) weeks as unpaid leave.

(1) Employees who take a leave because of their own serious health condition or the serious health condition of a family member must use all accumulated PTO prior to being eligible for unpaid leave.

(2) Employees who take leave for the birth of a child must use paid PTO for physical recovery following childbirth, except where such leave is compensated as paid maternity leave under this personnel policy and procedural manual or as paid short-term or long-term disability leave. These employees must then use all paid vacation, and then will be eligible for unpaid leave for the remainder of the twelve (12) weeks. Employees who take leave for the adoption or acceptance of a child in foster care must use all paid PTO prior to being eligible for unpaid leave.

(h) Procedure for Requesting Leave. In situations where leave is foreseeable, employees must provide written notice to the department head or director at least thirty (30) days prior to the date on which the leave is scheduled to begin. If the leave is foreseeable due to a planned medical treatment, employees must make reasonable efforts to schedule the treatment(s) to minimize disruptions to the School's operations. If circumstances occur, in which it is not practicable to provide thirty (30) days' notice, employees must provide written notice as far in advance as is practicable. If an employee fails to provide thirty (30) days advance written notice of a requested leave and have no reasonable excuse, the leave may at the School Superintendent's discretion be delayed for up to thirty (30) days from the date of written notice.

(i) Medical Certification Requirement. When leave is requested because of a serious health condition affecting an employee or his or her immediate family member, the School requires the employee to obtain certification of the health condition from the pertinent doctor or health care provider. This certification must be provided to the department head or director within fifteen (15) days after the leave is requested or, when the need for leave was unforeseeable, within fifteen (15) days after the leave has commenced unless it is not practicable to do because of the nature of the health condition.

(A) The date on which the serious health condition started and its expected duration,

(B) The diagnosis concerning the condition,

(D) A statement of whether in-patient hospitalization is required, or

(2) The School, if it doubts the certification, at its expense, may require an employee seeking leave due to a serious medical condition to obtain a second opinion from a doctor or other health care professional designated by the School. If the second opinion conflicts with the certification provided by the employee, the School may, at its sole discretion and at its expense, require a third opinion from a doctor or other health care professional designated jointly by the School and the employee. Such a third opinion will be final and binding.

(3) If an employee plans to take intermittent leave or work a reduced schedule, the certification must also include dates and the duration of treatment and a statement of medical necessity for taking intermittent leave or working a reduced schedule. During a leave taken under this section, employees may be required to provide, periodically, written notice to the School Director concerning his or her status and intention to return to work.

(j) Return from Leave. Upon completion of leave due to an employee's own serious health condition, the employee must provide the School with medical certification from his or her doctor or other health care professional that the employee is now able to return to work. If an employee fails to provide this certification, he or she will not be permitted to return to work until such certification is provided. An employee who takes leave under this policy will be able to return to the same job or a job with equivalent status, pay, benefits and other employment terms. The School may choose to exempt certain highly compensated employees from this requirement and not return them to the same or similar position.

(k) Health Benefits during Leave.

(1) During a leave taken pursuant to this policy, an employee's health benefits under any existing Tribal sponsored health plan will be continued as if the employee had continued in employment continuously for the duration of the leave. If, however, an employee fails to return at the end of a leave taken under this policy, except if this is due to the continuation, recurrence or onset of a serious health condition or something else beyond the employee's control, then the School may recover from the employee all of the health care premiums paid to maintain health coverage during the leave.

(2) If under the School's current policy, an employee pays a portion of the health care premium, while on paid leave, the School will continue to make payroll deductions to collect the employee's share of the premium. While on unpaid leave, the employee must continue to make this payment, either in person or by mail. The payment must be received by the first day of each month. If the payment is more than thirty (30) days late, the employee's health care coverage may be dropped for the duration of the leave.

PAP.7.7.100 Life Insurance, Disability Insurance and Retirement Plan

If requested by the Employee, the School provides eligible employees Life and Disability insurances along with a Retirement Plan. An Employee wanting these types of benefits should consult with the School's Benefit's Administrator for further information.

PAP.7.7.110 Employee Assistance Program

(B) Employees placed on a leave of absence from self-disclosure shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.7.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from self-disclosure will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.7.2.010(p), the employee shall be subject to disciplinary action, up to and including termination pursuant to § 7. 808 (6) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.7.8.080(a) of this manual.

(D) Utilization of this self-disclosure provision does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.7.8.080(f) of this manual, or any other tribal law or policy.

(b) Employer Referral. An employee's department head or director shall refer an employee to the Human Resource Director, or designee, when an employee's conduct mandates as such.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCOCHC – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCOCHC – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Employees shall comply with the referral to the EAP and follow subsequent recommendations for referral and treatment. Failure to show-up for required scheduled EAP appointment will result in further disciplinary action up to and including termination of employment. Regardless of any EAP referral, employees must maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(B) Employees placed on a leave of absence when required by an approved LCOCHC- Behavioral Health EAP treatment plan shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.7.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from a referral of the employer will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.7.2.010(p), the employee shall be subject to disciplinary action, up to and including termination pursuant to Section PAP.7.8.080(f) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.7.8.080(a) of this manual.

(D) Participation in an approved LCOCHC- Behavioral Health EAP treatment plan does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.7.8.080(f) of this manual, or any other tribal law or policy.

PAP.7.7.120 Christmas Bonus

Christmas bonuses may be paid to employees as determined by the School Board, which will be subject to any funding or other limitations.

Subchapter PAP.7.8 Conduct

PAP.7.8.010 General Statement of Conduct

PAP.7.8.020 Conflict of Interest

Employees are not permitted to engage in nepotism, favoritism, and any outside business transactions, or other activities, which are detrimental to the best interests of the School. This includes activities that, directly or indirectly, divert business opportunities from the School or confer an unfair advantage upon or benefit to a family member. It also includes activities that negatively reflect upon the School's image or are contrary to the mission of the School, except for activities specifically protected by law. The School respects the right of employees to engage in activities outside their employment that are of a private nature and unrelated to their job or the School. However, employees must fully disclose to their department head or director or the Human Resource Director, or designee, all business and personal activities that represent such a conflict of interest with the School. If an employee is unsure whether a conflict of interest exists, the employee is encouraged to seek the advice of the Human Resource Director, or designee.

PAP.7.8.030 Outside Employment

Employees may not accept simultaneous employment with another tribal agency or another employer without the express permission of the School Director. Permission may be denied if the other employer is a competitor or supplier of the School. The request may be denied with employment of another tribal agency if the total hours worked in a given week violates tribal policy or interferes with the work expectations of the School. The School considers all full time employees' work with the School to be their primary employment responsibility. As such, outside employment will not be considered an excuse for poor performance, absenteeism, tardiness or refusal/inability to work overtime.

PAP.7.8.040 Political Activity

PAP.7.8.050 Harassment

(a) The School has a "zero-tolerance" policy with respect to employee harassment. Any form of unlawful employee harassment based on race, color, religion, sex, national (including Tribal) origin, age, disability or status in any protected group is prohibited. The School will not tolerate interference with the ability of employees to perform their expected job duties. Harassment of employees, tenants or members of the public by employees will result in disciplinary action, up to and including termination.

(3) General. Harassment under this policy may also include words, actions, or conduct committed by students, coworkers, parents, community members, customers or suppliers of the School. In the event that any harassing or offensive language or conduct occurs, employees must report it to the Human Resource Director, or designee, immediately so the matter can be addressed promptly.

(c) The School prohibits any form of retaliation against any employee for filing a bona fide complaint under this policy or for assisting in a complaint investigation. However, if, after investigating any complaint of harassment or unlawful discrimination, the School determines that the complaint is not bona fide and was not made in good faith or that an employee has provided false information regarding the complaint, disciplinary action may be taken against the individual who filed the complaint.

PAP.7.8.060 Alcohol and Drugs

(a) All employees of the Tribe are subject to the drug testing procedures as provided in Section PAP.7.8.080 of this manual.

(b) Employees are expected to come to work with a clear mind, unimpaired by drugs or alcohol. No employee under the influence of alcohol, illegal drugs or controlled substances as established in Section PAP.7.2.010(w) shall be permitted to come to or remain at work.

PAP.7.8.070 Drug Free Workplace Act Compliance

(b) General Provisions.

(3) Notice of Conviction or Charges.

PAP.7.8.080 Drug and Alcohol Testing Procedures

All employees and applicants for employment are subject to drug and alcohol testing, including reasonable suspicion, pre-employment, return-to-duty. Drug tests require laboratory testing as provided by the Mandatory guidelines for Federal Workplace Drug Testing Programs pursuant to 94 FR 28101, May 15, 2015 as amended, as minimum standards for the following classes of drug and correlative cutoff concentrations: Cocaine; Opiates including opium and codeine derivatives such as Oxycodone, Oxymorphone, Hydrocodone, Hydromorphone; Amphetamines and Methamphetamines including Methylenedioxyamphetamine (MDA) and Methylenedioxyethylamphetamine (MDEA); Phencyclidine (PCP). Nothing precludes the Human Resource Director, or designee, in testing for substances which are not included on this list, should the School Director, or designee, determine it is in the best interests of the Tribe to include substances which are not listed above to ensure a drug free workplace. Employees are encouraged to contact the Human Resource Director, or designee, with any questions regarding drug and alcohol testing. Failure or refusal to participate in an employer-directed drug test is considered insubordination and the employee will be terminated for insubordination.

(3) In the event of a positive test result, a confirmation test will be performed by a laboratory specified in Section PAP.7.8.080(a)(2) above, using the original sample (not a new sample). The confirmation test will be based on a different analytical method of higher analytical certainty.

(b) Pre-Employment Testing Procedures.

(2) Applicants who test positive for alcohol, illegal drugs, and/or prescribed medication for which they do not have a valid prescription, shall be denied employment.

(3) An applicant who initially declines a drug test will be denied employment and not eligible for employment for 90 days.

(1) Upon a finding by an employee's department head or director that there is probable cause that the employee is either under the influence of alcohol (under the influence shall mean a blood alcohol concentration of 0.02 grams of alcohol per 100 milliliters of a person's blood or while the person has 0.02 grams of alcohol per 210 liters of a person's breath) or drug abuse that is impairing the employee's ability to carry out job-related activities, the employee shall be required to be tested for the presence of drugs or alcohol pursuant to Section PAP.7.8.080(c)(3), below. A finding of probable cause and directive requiring the employee to submit to testing for drugs or alcohol must be in writing signed by the employee's department head or director. The probable cause finding must be supported by evidence of specific, personal observations concerning job performance, appearance, behavior, speech, or bodily odors of the employee. If hearsay information is received, such information must be corroborated by personal observations, or observations and evaluation by the Executive Director, or designee.

(2) Once an employee's department head or director has determined that probable cause pursuant to Section PAP.7.8.080(c)(1), above exists, the employee's department head or director shall immediately contact the Human Resource Director, or designee and convey that one of his or her employees is under the influence of alcohol or a controlled substance and that such influence is impairing that employee's ability to carry out his or her job related duties.

(3) Upon receiving contact from an employee's department head or director, the Human Resource Director, or designee shall have the employee drug tested and if alcohol related have the employee submit to a portable breath test (PBT) conducted by a Class 1 PBT Certified person as specified in Section PAP.7.8.080(a)(6), above. If the employee refuses to take a test (including but not limited to a drug test, drug urine test, or PBT test) after being required to do so, the employee is thereby insubordinate and considered to be in violation of the Drug Testing Policy and shall be terminated.

(4) Upon receipt of a positive test result, the employee shall be immediately relieved of their duty station and will be subject to disciplinary action, Section PAP.7.8.080(f) below, and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.7.8.080(a) above. In all cases, an employee may face legal consequences for his/her actions. Upon receipt of a positive confirmation test result pursuant to Section PAP.7.8.080(a) above, the employee shall be referred by the Human Resource Director, or designee to participate in the Employee Assistance Program pursuant to Section PAP.7.7.110(a) of this manual. Failure to comply and successfully complete an approved LCOCHC- Behavioral Health EAP treatment plan within the timeframe established in the treatment plan will result in termination.

(d) [Open.]

(f) Discipline for Drug Testing Violation. In all cases, an employee may face legal consequences for his/her actions.

(A) First Offense: The employee will be informed of a first offense in writing and will be suspended three (3) days without pay.

(C) Third Offense: If a third offense occurs, the employee shall be terminated. Such termination shall not be subject to appeal.

(2) Any employee who refuses to take a test as established in Section PAP.7.8.080(a) will be considered insubordinate and will be terminated for insubordination. Such termination shall not be subject to appeal.

PAP.7.8.090 Inspection and Search

PAP.7.8.100 Confidentiality

(a) In the course of performing duties for the School, employees may obtain or become aware of confidential information, such as personnel, financial and legal information of the School, its programs, operations, enterprises and employees, including but not limited to information encompassed in any reports, investigations, research or development work, mailing lists, bid lists, directories, listings, plans, specifications, proposals, marketing plans, financial projections, cost sheets, bid estimates, bid spreadsheets, vendor or subcontractor quotes, financial data and any and all concepts or ideas, materials or information related to the business, products, or services of the School or its customers and vendors ("Confidential Information").

(c) Employees also must not use or release, directly or indirectly, any proprietary information or trade secrets of the School without prior authorization from their department head or director, in consultation with the legal department. Trade secrets include any formula, pattern or devise of compilation of information which is used in the School's business or operations.

(d) Violations of confidentiality, including the disclosure of confidential information (verbal, written or documents) as defined under this section shall be subject to discipline, up to and including termination. The School reserves the right to prosecute any violations to fullest extent allowed under tribal, state or federal law.

PAP.7.8.110 Media Inquiries

The School generates public interest and persons often seek newsworthy information. Therefore, it is our policy to allow only authorized representatives to make contact with or provide information or comments to reporters and news agencies regarding the School. Any employee who is contacted by a reporter regarding the School must inform his or her department head or director of the request for information. Prior written authorization by the School Board Chairman or his/her designee is required prior to any media release of information.

PAP.7.8.120 Security Measures / Limited Access Control Areas

Maintaining security and limiting access to certain areas of the School's facilities is important to the continued success and is required by law in some instances. Employees shall not permit unauthorized persons, which may include Tribal employees, to enter secure and limited access controlled areas or to access confidential or protected information.

PAP.7.8.130 Dress and Appearance

(a) Employees must dress and groom themselves in accordance with appropriate social and business standards. An employee's department head or director or the School Director retain the right to request any employee to change his or her mode of dress or grooming if deemed provocative or otherwise inappropriate. In addition, employees must maintain good personal hygiene.

(b) The School strives to ensure the comfort and safety of our employees and visitors by encouraging an environment to be free from smoke, fragrances, or unpleasant smells, notwithstanding subd. (6) below. These odors are distracting and may trigger allergic reactions or create health problems for sensitive individuals. This policy is meant to cover noticeable odors from any source, including foods, personal items, perfumes, and grooming. All employees must observe good habits of grooming and personal hygiene. Body odor, from any cause, should not create distractions. To accommodate sensitive individuals, employees are discouraged from:

(1) Wearing or applying excessive amounts of perfume, cologne, scented lotions, or body washes in the workplace;

(2) Using hairsprays, air freshener, or other scented products in the workplace; and eating or keeping fragrant foods or items at your desk.

(c) Given that sensitive individuals have widely varying degrees of reaction, it's difficult to guarantee a consistently comfortable and accommodating workplace. Still, the School desires to minimize the barriers and difficulties experienced in the workplace by employees and clients with chemical or fragrance sensitivities, notwithstanding subd. (6) below.

(d) Notwithstanding subd. (6) below, school scheduled meetings will be conducted in "fragrance-free" meeting rooms. Employees should be given advance notice of meetings so they can take appropriate steps to minimize fragrances.

(e) Department heads or directors shall provide feedback to employees to ensure compliance with this policy. If an employee is responsible for an unpleasant or distracting odor, a supervisor may ask the employee to leave the workplace until the problem is alleviated. If a problem arises due to a disability, the School will not discriminate against the individual because of their disability and will accommodate the individual unless it causes an undue hardship.

(f) Nothing in this policy shall be deemed to limit or interfere with the burning or other use of traditional medicines at traditional ceremonies and cultural functions.

PAP.7.8.140 Smoking

(a) The school campus is a smoke-free zone. When going on a smoke break, employees must sign out, leave the school campus and sign back in upon return pursuant to Section PAP.7.5.110 of this manual.

(b) Smoking is prohibited in the following areas, notwithstanding subd. (3) below:

(1) In any Tribal owned or leased vehicle;

(2) In any Governmental building designated as a workplace.

Violators of this section are subject to disciplinary action, up to and including termination.

(c) Nothing in this policy shall be deemed to limit or interfere with the use of tobacco at traditional ceremonies and cultural functions.

PAP.7.8.150 Internet and Telephones

(a) All electronic and telephonic communication systems and all communications and information transmitted by, received from, or stored in these systems are the property of the School and as such are to be used solely for job-related purposes. The use of any software and business equipment, including, but not limited to, e-mail, internet access, facsimile machines, computers, telephones (land lines and cellular phones) and copy machines for private purposes is prohibited.

(b) No employee may not use a pass code or voice-mail access code that has not been issued to that employee or that is unknown to the School. Moreover, improper use of the e-mail system (e.g., distributing offensive jokes or remarks) will not be tolerated.

(c) Employees shall not use the School's internet, voice mail and e-mail resources, phones and other systems in a prohibited manner, including:

(1) To transmit, view, retrieve, or store any communications of a discriminatory or harassing nature or materials that are considered obscene or pornographic;

(2) To access pornographic internet sites, display or print any associated materials, pictures and cartoons;

(4) For non-business, personal or private use, including but not limited to game playing and personal communication not associated with business;

(5) To disclose any confidential or proprietary information except where such disclosure is authorized or permitted in this personnel policy and procedural manual.

(d) Employees shall not use the School's internet, voice mail and e-mail resources and other systems and equipment, including but not limited to computer hardware, software, copier, fax machine and postage machine in a manner that is contrary to the provisions of any purchase or lease contract, such as unlawful copying of computer software.

(e) Notwithstanding the School's right to retrieve and read any voice or electronic mail messages, such messages should be treated as confidential by other employees and accessed only by the intended recipient. Employees are not authorized to retrieve or read any voice or e-mail messages that are not sent to them. Any exception to this policy must receive prior written approval by Management.

(f) The School may monitor, record and listen to all internet, e-mail and voice mail usage, to assure compliance with its policies, for cost analysis and for legitimate business purposes. Thus, the School may listen to, access and disclose any information in the electronic communication and telephone systems, even such information or communication protected by an employee's personal password, at any time, with or without notice to the employee. Employees have no expectation of privacy in connection with the use of these systems, or the transmission, receipt or storage of information in such systems.

PAP.7.8.160 Solicitation and Distribution

PAP.7.8.170 Workplace Violence

(a) The School is concerned about the increased violence in society, which has also filtered into many workplaces, and has taken steps to help prevent incidents of violence from occurring at its facilities. It is our policy to expressly prohibit any acts or threats of violence against any employee, student, or visitor in or about our facilities or elsewhere at any time. We will not condone any acts or threats of violence against our employees, student, former employees or students, or visitors on the School's property at any time or while they are engaged in business with or on behalf of the School, on or off our premises.

(b) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the School is committed to the following:

(1) To provide a safe and healthful work and educational environment;

(4) To establish viable security measures to ensure that the School's facilities are safe and secure for all inhabitants of this facility to the maximum extent possible and to properly handle access to the School's facilities by the public, students; either former or current, off-duty employees, and former employees.

(c) Employees, former employees, customers and visitors shall not bring or possess unauthorized firearms or other weapons onto the School's premises. Any employee who displays a tendency to engage in violent, abusive, or threatening behavior or who otherwise engages in behavior that the School, in its sole discretion, deems offensive or inappropriate, or who possesses a firearm or weapon in violation of this policy will be subject to disciplinary action, up to and including termination or in the case of students, disciplinary action up to and including expulsion.

(d) Employees have a "duty to warn" their department head or director of any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve other employees, former employees, customers, or visitors and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The School will not condone any form of retaliation against any employee for making a report under this policy.

PAP.7.8.180 Off-Duty Misconduct

Employees shall not engage in off-duty misconduct which is deemed detrimental to the Tribe, School or children. While it is impossible to predict every detrimental situation, the School may determine that off-duty misconduct is adverse to the Tribe, School, or children because it is serious in nature; is at odds with an employee's job duties; how the conduct is perceived to children and families; or is notorious and has the potential to discredit the Tribe and/or School.

PAP.7.8.190 Children in the Workplace

The presence of children in the workplace is discouraged because it can be disruptive to other employees. However, the School recognizes that there may be circumstances when it is necessary for an employee to have a child at the workplace for a short period. A supervisor has the authority to prohibit an employee from having a child at the workplace if the supervisor determines that the employee is abusing this policy or the workplace is being disturbed.

PAP.7.8.200 Policy Regarding Use of Social Media by Employees

(a) While the School encourages its employees to enjoy and make good use of their off-duty time, certain activities on the part of employees may become a concern if they have the effect of impairing the work of any employee; harassing, demeaning, or creating a hostile working environment for any employee; disrupting the smooth and orderly flow of work within the office; or harming the goodwill and reputation of the School. In the area of social media (print, broadcast, digital, and online services such as Facebook, LinkedIn, MySpace, Plaxo, and Twitter, among others), employees may use such media in any way they choose as long as such use does not produce the adverse consequences noted above. For this reason, the following provisions apply regarding an employee's use of social media, both on and off duty:

(1) An employee shall be subject to disciplinary action, up to and including termination of employment, depending upon the severity and repeat nature of the offense, if an employee publishes any personal information about the employee, another employee of the School, the School and its officials, the Tribe and its officials, or a tribal member in any public medium (print, broadcast, digital, or online) that:

(A) has the potential or effect of involving the employee, their coworkers, tribal members or the School in any kind of dispute or conflict with other employees or third parties;

(B) interferes with the work of any employee;

(D) disrupts the smooth and orderly flow of work within the office, or the delivery of services to tribal members;

(E) harms the goodwill and reputation of the School in the community at large; or

(F) tends to place in doubt the reliability, trustworthiness, or sound judgment of the person who is the subject of the information.

(2) No employee may use the School's equipment or facilities for furtherance of non-work-related social media related activities or relationships without the express advance permission of their program Director.

(4) Use of social media that involves any kind of criminal activity or harms the rights of others may result in criminal prosecution or civil liability to those harmed, or both.

(5) Social media access and use involving School equipment and resources are subject to the School's computer and internet policy at all times.

(6) The provisions in this policy are not intended to restrict communications regarding the terms and conditions of the workplace.

(b) How an employee uses social media is not a matter of concern as long as it is consistent with the aforementioned provisions on this policy.

Subchapter PAP.7.9 Safety

PAP.7.9.010 General Rules

(a) The safety of employees is important to the School. Fire extinguishers, exits and first-aid kits are available in marked locations around the School. Employees must strictly adhere to all applicable safety regulations and comply with the following general rules:

(1) Employees must report immediately all accidents or injuries to a supervisor without exception;

(2) Employees may smoke only in designated areas;

(3) Employees must be careful and take necessary precautions when operating, cleaning or repairing any machinery;

(4) Employees must be present prior to starting any operation or task which calls for more than one employee;

(5) Employee must not attempt to operate equipment without authorization or proper training or certification;

(6) The School will not tolerate horseplay or practical jokes. Accidents or injuries resulting from such horseplay or conduct shall not be considered work related.

PAP.7.9.020 Accidents or Injuries

(a) If an accident or injury occurs, until medical help arrives employees should try to provide aid and comfort to the injured person. Employees should try to keep the circumstances of any accident or injury fresh in their minds so that the incident can be reported accurately and to provide information that may prevent a repeated incident.

(b) Within 24 hours, the injured employee is required to see the school nurse when possible and fill out a "Report of first Injury" form. The "Report of First Injury" form is available from the school nurse or the Human Resource Director. This form is an important first step in case a Workers Compensation benefit is to be filed.

(c) Reporting of Conflicts with Staff and Students. In the event of any type of conflict, confrontation, verbal or physical altercation, the employee and/or student are to contact the building Principal and fill-out a "Report of First Injury" form. The "Report of First Injury" form is available from the school nurse or the Human Resource Director. This form is an important first step in case a Workers Compensation benefit is to be filed. After an altercation of any kind, all parties involved are to submit a written explanation of what occurred to their immediate supervisor and the Human Resource Director.

PAP.7.9.030 Protective Equipment

The School will furnish required safety equipment to employees, if the work requires such equipment. Safety equipment includes safety glasses, gloves, safety shoes, noise protection devices, special protective devices for handling hazardous chemicals and waste, etc. Employees must follow all rules concerning the wearing of safety equipment at all times and must not remove safety equipment from any machinery, such as machine guards.

PAP.7.9.040 Hazardous Materials

The School complies with all applicable "Right to Know" laws, which means employees will be made aware of any chemical hazards at the workplace. Employees will also receive special training concerning the labeling, handling and disposal of hazardous substances, and what steps should be taken in the event of a spill or release.

PAP.7.9.050 Personal Responsibility

Subchapter PAP.7.10 Vehicle Driver Certification

PAP.7.10.010 Purpose

The purpose of this subchapter is to certify employees who may operate a vehicle or travel on tribal business and to minimize School exposure to liability claims resulting from vehicle accidents.

PAP.7.10.020 Scope

Any person driving on School business including all employees and volunteers shall comply with this subchapter. School business does not include an employee's regular commute to and from the work place.

PAP.7.10.030 Policy

Drivers of School, Tribal, personal, or rental vehicles may be authorized to drive on School business if they are 18 years of age and certification criteria contained in this subchapter are satisfied.

PAP.7.10.040 Procedures

Drivers must achieve certification to drive on tribal business by meeting the requirements listed in Section PAP.7.10.050 of this manual.

PAP.7.10.050 Minimum Certification Requirements

(a) Tribal Vehicle Certification.

(1) Current Wisconsin Driver's License

(2) Commercial Driver's License if required by Federal law or other contractual obligations

(3) License requirements listed in the employee's current job description.

(4) Completed Driving Record Authorization Form in employee's personnel file.

(5) None of the following driving violation convictions within the last year:

(A) Operating without valid driver's license

(B) Obstruction in regard to driver violation

(D) Violation of Occupational License

(E) Causing great bodily harm with vehicle

(F) Negligent homicide by use of motor vehicle

(G) Operating while license suspended

(H) Vehicle usage resulting in felony conviction

(I) Operating a school bus without a school bus license

(b) Personal Vehicle Certification.

(1) Current Wisconsin Driver's License

(2) Evidence of current minimum insurance coverage as follows, verified by an insurance policy with copy supplied to the Human Resource Director at every policy renewal:

(A) $100,000 per Person

(B) $300,000 per Accident for Bodily Injury

PAP.7.10.060 Recordkeeping

(a) The Human Resource Department will maintain a current list of all certified drivers.

(1) Lists will be supplied to the Travel Clerk.

PAP.7.10.070 Supervisors Responsibility

(a) Supervisors shall ensure that no uncertified employees drive on Tribal business.

(1) Departments, where appropriate, shall create Standard Operating Procedures which minimize drivers risk exposure.

(b) Supervisors shall take action when employees or the Human Resource Department report violations. Actions may be, but are not limited to:

(1) Reassigning the uncertified employee to a position which does not require driving.

(2) Removing the driving requirement from the employee's job description.

(3) Place the employee on unpaid leave until they become recertified.

(4) Termination of employment because of a valid driver's license is a required qualification on the job description.

PAP.7.10.080 School Owned and Supplied Devices or Vehicles

(a) An employee or anyone else, who uses a school-supplied device or a school-supplied vehicle, is prohibited from using a cell phone, radio or similar device while driving, whether the business conducted is personal or school-related. This prohibition includes receiving or placing calls, text messaging, surfing the Internet, receiving or responding to email, checking for phone messages, or any other purpose related to your employment; the school; our students; or any other school or personally related activities not named here while driving.

(b) If and when a situation a raises where a call is received or must be placed because of an emergency or from the school office, an employee or anyone using a school vehicle must pull-over and stop the vehicle in a safe location and then make the necessary exchange on the radio, cellular phone or other device.

(c) Anyone charged with traffic infractions as a result of the use of a personal or school cell phone, or other mobile device, while in the school vehicle, will be responsible for paying any fines or other associated costs and subject to disciplinary action up to and including termination.

Subchapter PAP.7.11 Problem Solving

PAP.7.11.010 Scope

(a) Problem Solving Process. When people work closely together it is only natural that problems, questions or conflict may sometimes arise. It is in the best interest of the School and all employees that these issues be resolved as quickly and fairly as possible; therefore, the School supports an "open-communication policy" to encourage addressing these issues. The following "Problem Solving Process" has been designed to provide guidelines for resolution of questions, problems or conflicts:

(1) If you have a work related or personal problem that you think the School can help you resolve, you are encouraged to discuss it with your supervisor. Your supervisor is usually in the best position to help you.

(3) In the unlikely situation that these steps have not resolved the issue, you may take your problem to the School Director.

(b) Chain of Command. All employees are required to follow the chain of command, with no exceptions. The chain of command consists of and is limited to the following:

(1) Your Supervisor

(2) K-12 Principal

(3) School Superintendent

(4) School Board

(c) Open Communication Policy. The School supports open lines of communication between employees, which assures all employees concerns will be heard and considered. It is the belief and commitment of the School to maintain direct lines of communication and good working relationships with all employees. Problems arise in all work places and this process is designated to identify and correct those problems and issues in a fair, equitable and timely manner. It should be noted that not all problems or issues will have an outcome that all parties agree with but in no circumstances will insubordinate behavior or communications be tolerated.

Subchapter PAP.7.12 Disciplinary Action and Appeal

PAP.7.12.010 Consent

Each employee shall agree to, by signing, a Consent to Appeal Procedure as a condition of continued employment. The Appeals Procedure constitutes a contract between the School and the employee and establishes the framework under which employees may appeal disciplinary action imposed under this subchapter or employment claims, provided no employee can appeal any disciplinary action based on activity that results in an arrest and conviction. In addition, regarding employment claims, it is important to note that nothing in this personnel policy and procedural manual shall be construed as the School consenting to application of any law or waiving applicable defenses, including the defense that the subject law does not apply to the School.

PAP.7.12.020 Grounds for Disciplinary Action

(b) An employee may be suspended for any conduct which results in an arrest, pending the determination of the School Director of the seriousness of the offense. Conduct by an employee which results in a felony arrest and/or felony conviction as defined under state and federal law will result in termination.

(c) The School reserves the right to impose discipline for any of the actions listed in this section; such action may include suspension and /or termination:

(1) Incompetence;

(2) Neglect of duty;

(3) Insubordination;

(4) Refusal to work;

(5) Willful misconduct;

(6) Political activity as defined in Section PAP.7.8.040 of this manual;

(7) False representation in conjunction with job performance;

(8) Intoxication or use of intoxicants during working hours;

(9) Conviction of any felony either in performance of job duties, or in private affairs;

(10) Negligence or willful damage to tribal property;

(11) Discourteous treatment of the public or fellow employees during working hours;

(12) Loss of driver's license if required for the job;

(13) Job performance which results in serious harm to the employee's program;

(14) Failure to properly report to work on time;

(15) Unauthorized disclosure of confidential information;

(16) Conflict of interest;

(17) Theft;

(18) Falsification of timecards;

(19) Willful violation of any Tribal law, rule, regulations or any deliberate action that is detrimental to the School or Tribe;

(20) Willful violation of security or safety rules;

(21) Negligence or any careless action which endangers the life or safety of another person;

(22) Unauthorized possession of dangerous or illegal firearms, weapons, or explosives on the School's property or while on duty;

(23) Engaging in criminal conduct or acts of violence, or making threats of violence toward anyone on the School's premises or when representing the School;

(24) Provoking a fight on School or Tribal property;

(25) Refusing to obey instructions properly issued by Management;

(26) Refusing to help out on a special assignment;

(27) Threatening, intimidating, or coercing fellow employees on or off the premises – at any time, for any purpose;

(28) Dishonesty; willful falsification or misrepresentation on the application for employment or other work records; falsifying other data requested by the School;

(29) Giving confidential or proprietary Tribal information to competitors, other organizations, the general public, or to unauthorized employees; working for a competing business while still employed by the School, breach of confidentiality of personnel information;

(30) Malicious gossip and/or spreading rumors; engaging in behavior designed to create discord and lack of harmony; interfering with another employee on the job;

(31) Poor work performance;

PAP.7.12.030 Types of Disciplinary Actions

(a) Employees must perform assigned duties at or above satisfactory levels, follow standards of workplace behavior contained in this personnel policy and procedural manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford employees an opportunity to correct behavior, however some personnel infractions are severe enough to impose any of the below-mentioned disciplinary actions, up to and including termination. Disciplinary actions may be handled in any manner deemed appropriate by the School. This may include, but is not limited to, the following:

(1) Employee Warning.

(C) The Human Resource Director, or designee, will maintain all employee warnings in an employee's personnel file in the event that further progressive discipline is necessary.

(2) Suspension.

(A) An employee may be recommended for suspension by their supervisor when the employee's behavior warrants such disciplinary action. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources Director. The Human Resources Director will consult with the Supervisor to ensure the reason is justified and clearly stated. If the Human Resources Director is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the suspension, the same will be forwarded to the School Director for final approval or denial. All suspensions are without pay. Suspensions are appealable pursuant to Section PAP.7.12.040 of this manual.

(3) Probationary Period in lieu of Termination.

(A) In lieu of termination an employee may be placed on a probationary period for a serious violation of this personnel policy and procedural manual, as recommended by a Supervisor and agreed to and evidenced by the signature of the employee on a "Waiver of Appeal Process" form. The Supervisor must follow the same procedures as outlined in Section PAP.7.12.030(a)(2). During this probationary period, the School will evaluate the employee's continued suitability for employment. If during this period an employee has not shown improvement or adequately addressed the issues surrounding the probationary period in lieu of termination the Supervisor may recommend the termination of the employee's employment, without the ability of the employee to appeal the decision, subject to the approval of the School Director.

(B) Employees placed on a probationary period pursuant to this section are eligible for holiday leave and funeral leave. Probationary employees pursuant to this section shall accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from the School Director and only for medical reasons or extreme circumstances.

(C) At the end of the probationary period pursuant to this section, the School will prepare a written performance evaluation and discuss with the employee the curative conduct of the employee pertaining to the problem causing the probationary period as well as the employee's overall job performance.

(4) Termination.

(A) An employee may be recommended for termination from employment by their supervisor at any time, depending upon the severity of the offense. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources Director. The Human Resources Director will consult with the Supervisor to ensure the reason is justified and clearly stated. If the Human Resources Director is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the termination, the same will be forwarded to the School Director for final approval or denial. All terminations are appealable pursuant to Section PAP.7.12.040 of this manual.

(B) The department head or director shall document all terminations and provide a copy of all documentation to the Human Resource Director, or designee.

(b) The School retains the sole discretion to determine what behavior warrants disciplinary action and what type of disciplinary action will be imposed. The School reserves the right to terminate employees at any time for any reason that does not violate applicable law with or without notice and with or without prior resort to other means of discipline.

PAP.7.12.040 Disciplinary Action Appeal Procedure

(a) Appeal Policy.

(1) It is the policy of the School to ensure fair and equitable treatment for all employees. Therefore, the Tribe on behalf of the School hereby issues a waiver of its sovereign immunity pursuant to Section TCT.1.3.020 to all non-contracted employees for the limited purpose of appealing in Tribal Court as detailed in this section, any suspension or termination received by an employee pursuant Section PAP.7.12.020 of this manual. Verbal and written warnings are corrective action tools and thus are not subject to appeal.

(2) Any additional claims asserted by an employee against the School or the Tribe, must be filled pursuant to Section TCT.2.9.010. The Tribe on its own behalf, as well as on behalf of the School, has not waived its sovereign immunity with regard to any claims filed pursuant to Section TCT.2.9.010.

(b) Appeal Procedures. A formal appeal will be filed and processed in the manner described below, except that time limits may be waived or extended by written mutual consent of the parties involved.

(2) If at any time during the process the Employee and the Employee's Supervisor are able to agree on a solution to the appeal filed, they may submit a joint statement outlining the acceptable terms to the School Director. If the terms are approved by the School Director, then the matter is settled with copies provided to the Employee and the Supervisor with a copy retained by the Human Resource Director. The School Director decision will be final.

(1) Scheduling of Hearings.

(A) Upon timely receipt of all appeal documentation, the Human Resource Director, or designee, will file the employment appeal with the Tribal Court and request an initial hearing.

(C) The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals by the Tribal Court in the same manner as provided in Section PAP.7.12.040(c)(1)(B), above. The Human Resource Director, or designee, shall provide the Lac Courte Oreilles Office of the Attorney General with the entire record of the grievance and all information submitted in connection to the appeal.

(D) All employees requested to testify at an employment appeal hearing, must attend the hearing when directed by the Human Resource Director, or designee. Failure to appear may result in a monetary fine or disciplinary action or both. The School recognizes that some employees possess official immunity and may not be compelled to testify.

(A) The Tribal Court shall schedule an initial appearance within thirty (30) days of the filing, at which time the School shall enter its initial plea, the Tribal Court shall set forth a scheduling order pursuant to Section TCT.2.9.050 and shall schedule a trial date pursuant to Section TCT.2.10.010. The initial trial date shall be scheduled within sixty (60) days of the filing.

(B) the Trial shall be conducted pursuant to Subchapter TCT.2.10.

(C) The Tribal Court shall determine, by a preponderance of the evidence, whether the School reasonably believed that the employee committed any of the policy violation(s) upon which the discipline was based and whether the employer followed the appropriate procedural steps established in Section PAP.7.12.020 of this manual.

(i) The Tribal Court is required to defer to interpretations of this ordinance as made by the School [pursuant to the Chevron Doctrine], unless such interpretations are unreasonable. An action determined to be unreasonable shall be established by clear and convincing evidence.

(D) If the Tribal Court determines that the employer had a reasonable basis to believe that it met the burden of proof regarding any of the violations and the appropriate procedural steps established in Section PAP.7.12.020 of this manual were followed, it shall uphold the decision of the employer; and shall uphold all disciplinary measures taken without substituting its judgment for that of the employer.

(E) If the Tribal Court determines that the employer did not have a reasonable basis to believe that it met the burden of proof regarding any of the ~~all~~ violations and procedural steps established in Section PAP.7.12.020 of this manual, it shall overturn the decision of the employer and order that the employee's personnel file reflect such decision conditioned on the following:

(i) Any award of back wages or other benefits that may have been withheld from the employee shall be limited to ninety (90) days;

(ii) No attorney's fees may be awarded as established in Section TCT.2.11.060.

(v) The employee is not guaranteed restoration to his or her previous position. Such reinstatement shall occur at the discretion of the School. If the School restores the employee to his or her previous position, the Human Resource Director shall meet with the employee and the department head or director and develop a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(F) The Tribal Court may issue its decision orally immediately. In all cases it shall issue a written decision within forty-five (45) days as established by Section TCT.2.11.040 and shall provide the parties with notice thereof. If the Tribal Court does not issue a written decision within forty-five (45) days, it is presumed that the Tribal Court has determined that the employer had a reasonable basis to believe that it met the burden of proof and as a result the action of the employer shall be upheld. The written decision shall include findings of fact, a conclusion regarding each violation, and any money judgments as conditioned in Section PAP.7.12.040(c)(2)(E), above. The decision shall be provided to each party by first-class mail to the person's last known address; electronic mail to the party and to the party's attorney or lay advocate who has filed a notice of appearance in the action; or by delivery to such person, the person's home, or the person's office.

(G) If either party disagrees with the decision of the Tribal Court, that party may appeal the decision to the Court of Appeals by filing a notice of appeal within ten (10) working days of the party's receipt of the decision pursuant to Section PAP.7.12.040(c)(2)(F) above. The filing of an appeal by the employer shall stay any action under Section PAP.7.12.040(c)(2)(E) above, pending resolution of the appeal by the Court of Appeals. Failure to abide by the timeline stated in this section shall be deemed a waiver of the disciplinary appeal and the Tribal Court's decision shall be deemed as final. A Clerk of Court shall submit to the Court of Appeals the record of the employment appeal hearing within five (5) working days of receiving a copy of the notice of appeal. The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals of a Tribal Court decision pursuant to the methods established in Section PAP.7.12.040(c)(2)(F) above.

(A) The Court of Appeals shall have the discretion to decide whether to schedule an oral argument pertaining to an employment appeal.

(B) The Court of Appeals may issue a decision without an oral argument after reviewing the decision of the Tribal Court and the evidence submitted during the grievance and appeal processes.

(D) If the Court of Appeals determines that the Tribal Court committed a clear error, regarding any of the violations and procedural steps established in Section PAP.7.12.020 of this manual, it shall overturn the decision of the Tribal Court and may remand the matter back the Tribal Court for further review consistent with the Court of Appeals findings

(E) If the Court of Appeals determines that the Tribal Court did not commit a clear error(s) regarding any of the violations and the procedural steps established in Section PAP.7.12.020 of this manual, it shall uphold the decision of the Tribal Court.

Subchapter PAP.7.13 Miscellaneous Employee Procedures

PAP.7.13.010 Mandated Reporting

(a) Mandated Reporters. All School Employees

(b) Reporting Law Provisions.

(1) A mandated reporter must make a report when:

(A) The reporter has reasonable cause to suspect that abuse or neglect has occurred; or

(B) The reporter has a reason to believe that abuse or neglect has been threatened and will occur.

(2) The reporter's suspicion or belief comes from information obtained from having seen the child in the course of doing professional duties.

(3) Anyone may make a report at any time.

(4) No one making a report may be fired from his or her job for making the report.

(5) A mandated reporter's intentional failure to report shall result in disciplinary action.

(7) Good faith reporters have immunity from civil and criminal liability that results from the report.

(d) For details and additional information on mandated reporting consult the Human Resource Director, or School Director.

PAP.7.13.020 Purchase Order Procedure

All employees of the School shall comply with procurement law and policy of the Tribe as established in Chapter PAP.2 of the LCOTCL – Property and Procurement Policies and Procedures. The proper procedure for purchase orders are as follows:

(a) Acquire the Purchase Order Form from the Accounts Payable/Payroll Clerk in the Accounting Department Office.

(b) See your department head or director and discuss the purchase and acquire his/her approval.

(c) The department head or director, if other than School Director, will take the request to your School Director for his/her final approval or disapproval.

(d) Failure to follow the proper procedure may result in not receiving the items or having to pay for them out-of-pocket.

PAP.7.13.030 Cultural Involvement and Responsibilities

All employees must be supportive of the mission, philosophy, concept, policies and procedures of the School.

(a) Assemblies. On the first morning of the week there is a school-wide assembly. All teachers, paraprofessionals and support staff will be in attendance and on time to participate and supervise when their schedules permit.

(b) Powwows. During the course of the year there are many powwows that staff, unless pre-excused, is required to attend.

(1) Student powwows. All teaching, paraprofessional and support staff is required to attend and supervise all student pow wows during the school year.

(2) Veteran's Powwow. Staff is required to sign up and work predetermined hours on Veteran's Day for the Veteran's Powwow.

(c) Graduation Celebration. Staff is required to sign up and work predetermined hours during the end-of-the-year graduation celebration.

(d) Staff, unless pre-excused, are required to attend Ojibwe Language classes when offered at the School.

(e) Staff is required to participate in on-going cultural awareness activities.

PAP.7.13.040 School Safety and Supervision

Staff is responsible for maintaining a safe orderly school through an on-going supervisory role. We are responsible for all students regardless of grade level and location. Please be professional when redirecting student or visitor activities. Specific assignments may be as follows:

(a) Assigned supervision (i.e. noon duty, recess, breakfast duty, etc.) as noted on the morning report and yearly schedule as issued. These are subject to change throughout the year. You are responsible for finding a substitute supervisor if you are not able to fulfill this particular assigned duty.

(b) Staff is responsible to verify that students outside of the classroom have passes.

(d) Staff is required to report any suspicious activities to the principal, or designee, immediately.

(e) The school is a secure building. All entrances that are secured throughout the day must remain so and not be propped open or disabled.

(f) Building codes and passwords must NOT be shared with students or STAFF. Your codes/passwords are specific to you. You are liable for anything that happens when your codes/passwords are used.

(g) In the event that school is closed or late start, you will be notified by phone (if the office has current information). Closures will also be announced on local radio stations (88.9 WOJB, 92.3 WRLS, 101.1 WHSM).

(h) Please use only the school designated parking areas. Do not block fire lanes, bus loading areas or other business parking areas. Cars will be towed at the owner's expense.

PAP.7.13.050 School Safety and Threats

(a) You are responsible to attend specific training during the pre-service at the start of each school year. If, for any reason, you cannot attend this training, you are responsible to acquire the necessary information.

(b) You are responsible to maintain confidentiality regarding codes, protocols and procedures obtained at this training. Drills are scheduled throughout the year to practice appropriate responses.

(c) During drills and crisis situations you are to remain off all communication devices as communication must be left open during these situations.

PAP.7.13.060 General Staff Responsibilities

Procedures must be followed and proper documents must be submitted to assure compliance with all governing bodies.

(a) Computers/Computer Awareness Training. Every year the staff is required to take the BIE computer usage training to access the system.

(b) Laptops. If you are assigned a lap top, you are responsible for the control, security, and use of this tool.

(c) Staff Meetings and In-service. Attendance at these activities is required by all staff unless prior arrangements are made.

(d) Transportation of Students. All staff who transport students are required to have a copy of their driver's license on file in the business office. Procedures to use school vehicles must be followed and requests submitted to the transportation department.

(e) Trip Requests. Any time a staff member must go on a trip (be it field trip or conference), that staff member must fill out the proper documentation and submit it in advance for approval.

(f) School Property. All school property under your control (i.e. computers, cameras, printers, palm pilots, etc.) is your responsibility. If stolen, broken or lost, report immediately to the proper authorities or immediate supervisor. You may be liable for the replacement of such items.

(g) Parent Conferences and Open Houses. Staff is expected to participate fully in parent conferences and open houses.

PAP.7.13.070 Travel Policy

All employees of the School shall comply with Travel law and policy of the Tribe as established in Chapter PAP.3 of the LCOTCL – Travel Policies and Procedures. This Travel Policy establishes the rules governing travel by all employees of the Tribe, including all employees of the School in the performance of their official job duties on behalf of the School ("Business Travel") and the purchase or use of modes of transportation, such as Personal Automobiles, School or Tribal vehicles, rental vehicles, tolls, parking, accommodations, air fare, etc. (collectively "Travel Services").

PAP.7.13.080 Conference Approval

(a) Employees shall obtain prior written approval to attend a conference, training, seminar, etc. ("Conference").

(b) Employees who seek such approval shall complete the Workshop/Seminar Request Form with documentation, at least thirty (30) calendar days before the Conference and submit the same for approval.

PAP.7.13.090 Conference Attendance

(a) Employees shall attend the entire Conference and obtain all materials. Employees who fail to attend the entire Conference may not be reimbursed or receive full credit during reconciliation for amounts received through travel advance.

(b) All hours spent attending Conferences shall be counted as work time for purposes of compensation, or accrual of compensatory time, as applicable, unless ALL of the following four criteria are met: (1) attendance is outside of the employee's regular working hours; (2) attendance is in fact voluntary; (3) the Conference is not directly related to the employee's job; and (4) the employee does not perform any productive work during such attendance. For example, if a payroll clerk attends a one-day Conference to learn accounting software, and the Conference lasts ten (9) hours, and has a one (1) hour lunch, the employee has nine (9) hours work time.

(1) Attendance is not voluntary, of course, if the employer requires it. It is not voluntary in fact if the employee is given to understand or led to believe that his present working conditions or the continuance of his employment would be adversely affected by nonattendance.

(2) The training is directly related to the employee's job if it is designed to make the employee handle his job more effectively as distinguished from training him for another job, or to a new or additional skill. For example, a stenographer who is given a course in stenography is engaged in an activity to make her a better stenographer. Time spent in such a course given by the employer or under his auspices is hours worked. However, if the stenographer takes a course in bookkeeping, it may not be directly related to her job. Thus, the time she spends voluntarily in taking such a bookkeeping course, outside of regular working hours, need not be counted as working time. Where a training course is instituted for the bona fide purpose of preparing for advancement through upgrading the employee to a higher skill, and is not intended to make the employee more efficient in his present job, the training is not considered directly related to the employee's job even though the course incidentally improves his skill in doing his regular work.

(3) If an employee on his own initiative attends an independent school, college or independent trade school after hours, the time is not hours worked for his employer even if the courses are related to his job.

(4) There are some special situations where the time spent in attending lectures, training sessions and courses of instruction is not regarded as hours worked. For example, an employer may establish for the benefit of his employees a program of instruction that corresponds to courses offered by independent bona fide institutions of learning. Voluntary attendance by an employee at such courses outside of working hours would not be hours worked even if they are directly related to his job, or paid for by the employer.

PAP.7.13.100 Petty Cash Policy

All employees of the School shall comply with petty cash policy of the Tribe as established in Section PAP.10.9.010 – Section PAP.10.9.050. This petty cash policy establishes the rules governing petty cash by all employees of the LCO Ojibwe School - Waadookodaading.

PERSONNEL POLICIES AND PROCEDURES MANUAL

RECEIPT AND ACKNOWLEDGEMENT

I hereby acknowledge receipt of a copy of the Governmental Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. This personnel policy and procedural manual contains the policies and rules that apply to me. I agree to read the manual and follow it during my employment with the School. I further understand the School may amend this personnel policy and procedural manual at any time and that such changes will be communicated to me in writing.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this acknowledgement for your records.

CONSENT TO APPEAL PROCESS

I hereby consent, as a condition of my employment, to the exclusive jurisdiction of the School's Disciplinary Action and Appeal procedures as set forth in Subchapter PAP.7.12 of this manual, and the jurisdiction of the Tribal Court for all disputes in connection with my employment with the School. I acknowledge that my failure to comply with time limitations for resolving a complaint or filing an appeal will preclude further consideration of any matter. I hereby waive any right I may have to litigate in another court of law, any and all claims arising out of my employment, and hereby waive any right I may have to a jury trial, and agree instead to submit any and all disciplinary action claims to the Disciplinary Action and Appeal procedures as set forth in Subchapter PAP.7.12 of this manual. I hereby consent to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the School.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

WAIVER OF APPEAL PROCESS

I hereby consent, as a condition of my employment, to participate in a Probationary Period in lieu of Termination pursuant to Section PAP.7.12.030(a)(3) of this manual. I hereby waive any right I may have to the Appeal procedures as set forth in Section PAP.7.12.040 of this manual through my participation in this Probationary Period in lieu of Termination. I hereby acknowledge that as a condition of my employment that I have consented to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the School.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

Chapter PAP.9 Gaming Enterprises Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This personnel policy and procedural manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians in the implementation of Title XII, Chapter 3 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law (LCOTCL) – Employment Code and Chapter CMP.1 of the LCOTCL – Gaming Code. This personnel policy and procedural manual, outlines the general policies, rules and practices in effect for the Lac Courte Oreilles Gaming Enterprises and is intended to be a helpful reference during your employment with the Gaming Enterprises. The information contained herein is general information, and its contents do not create or constitute a contract between the Gaming Enterprises and any employee. The Tribal Governing Board acting in its sovereign capacity may in its sole discretion amend this personnel policy and procedural manual from time to time. The Human Resource Director, or designee, will distribute approved revisions to all employees.

Subchapter PAP.9.1 General Provisions

PAP.9.1.010 Title

This personnel policies and procedures manual shall be known as the Gaming Enterprises Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.9.1.020 Authority

PAP.9.1.030 Purpose

It is the purpose of this personnel policy and procedural manual to provide the general policies, rules and practices in effect at the Gaming Enterprises. This personnel policy and procedural manual is intended to be a helpful reference during your employment with the Gaming Enterprises. The information contained herein is general information, and its contents do not create or constitute a contract between the Gaming Enterprises and any employee. The Tribal Governing Board acting in its sovereign capacity on behalf of the Gaming Enterprises may in its sole discretion amend this personnel policy and procedural manual from time to time. The Human Resource Director, or designee, will distribute approved revisions to all employees.

(a) This this personnel policy and procedural manual shall be used as a guideline for making management decisions and changes.

(b) This personnel policy and procedural manual contains general statements of policy and should not be read as including the fine details of each policy, or as forming an express or implied contract or promise that the policies discussed in it will be applied in all cases. The Tribal Governing Board may amend, modify or delete policies in the manual from time to time. Amendments, modifications, and/or deletion of policies will be followed by notice to all team members. The Gaming Enterprises will attempt to keep print copies of the manual updated, but there may be times when policy might change before this manual can be revised, reprinted and disseminated.

PAP.9.1.040 Mission Statement

(a) Mission Statement. It is the mission of the Gaming Enterprises to be the premier guest experience destination in the Midwest.

(b) Core Values of the Gaming Enterprises:

(1) Build confidence through teamwork;

(2) Always be friendly to ensure a positive impression;

(3) Deliver exceptional service;

(4) Aspire to reach your highest potential;

(5) Strive to be a team play for extraordinary performance; and

(6) Strive for integrity in everything we do.

(1) Golden Rule. We always treat Guests and each other as we would want to be treated;

(2) Be Our Best. We are "On Stage" at our workstations on time, in proper attire and ready to receive Guests;

(3) Give the "Three Steps. As a team, we consistently deliver the Three Steps of Service to each and every Guest, each and every time;

(4) It's Show Time. We go above and beyond to make sure our home presents a clean, hospitable, and safe environment for our Guests;

(5) Words and Actions. We use proper words, actions and telephone/email/radio etiquette when addressing our Guests;

(6) Certainly, My Pleasure! We listen, respond and work to resolve any guest challenges that may occur before, during or after their visit;

(7) A Community Serving a Community. We proudly and positively represent the Gaming Enterprises at work, at home and in the community; and

(8) Promotes Products & Services. We are knowledgeable of the Gaming Enterprises' services, amenities and events in order to consistently and accurately promote our products and services and to answer guest inquiries.

(d) Three Steps of Service of the Gaming Enterprises:

(1) Warm Welcome. Smile, eye contact, greet the guest;

(2) Thrill The Guest. Build relationships, exceed their expectations, make guests feel special; and

(3) Fond Farewell. Check for satisfaction, provide a warm farewell, invite them to return.

PAP.9.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this personnel policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.9.1.060 Interpretation

Department heads and supervisors shall refer to this manual whenever questions of policy interpretation or implementation arise. Issues needing clarification shall be referred to the Human Resources Director for interpretation. Interpretation by the Human Resources Director may be appealed to the Executive Management Team for final decision, as needed. The provisions of this personnel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the employment related activities of the Gaming Enterprises;

(b) Shall be liberally construed in favor of the Gaming Enterprises;

PAP.9.1.070 Severability and Non-Liability

If any section, provision or portion of this personnel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this personnel policy and procedural manual shall not be affected thereby. The Gaming Enterprises further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this personnel policy and procedural manual.

PAP.9.1.080 Repeal of Inconsistent Governmental Manual(s)

All previous personnel policy and procedural manual(s) of the Gaming Enterprises inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the employment related activities of the Gaming Enterprises.

PAP.9.1.090 Distribution of Manual

(a) The Human Resources Director is responsible for distribution of this manual to department heads and supervisors, who are responsible for safeguarding the materials. When approved changes are made to the manual, the Human Resources Director will distribute the amended section(s) to department heads and supervisors, who will then be responsible for inserting approved changes into the manual. All copies of the manual are Gaming Enterprises property and are assigned to the job position and not to the individual.

(b) The Executive Management Team shall review and present proposed changes to the Tribal Governing Board, who may then authorize changes in this manual. Department Directors/Managers shall recommend changes to the manual. The Human Resource Director shall disseminate all policy changes to management, supervisory staff and team members.

PAP.9.1.100 Open Door Policy

(a) The Executive Management Team benefits from ideas, questions, suggestions, and even complaints from team members. Team member shall always start by talking with his/her direct Supervisor and then proceed to their Director/Manger if needed. If the Supervisor, Director/Manager is unable to resolve the issue in question, then the team member should notify the Human Resources Director. This open door policy provides for direct communication between all who may be in the best position to provide information and resolve problems. Any team member who wishes to discuss an issue with his/her supervisor or manager should request an opportunity to meet by scheduling an appointment during any available time.

(1) If scheduling requires the meeting be held during a time when the team member is not already scheduled, the team member shall be paid his or her wage for the duration of the meeting.

(2) All team members should feel comfortable and confident that they may address issues of concerns with management by following this procedure and should feel free of intimidation, retaliation or harassment. The Gaming Enterprises will not permit such actions to occur.

(3) When using this policy it is the responsibility of the team member to make sure the chain of command is followed. The chain of command is as follows:

(A) Immediate supervisor;

(B) Manager;

(D) Human Resources Director;

(E) Executive Management Team.

If a team member's issue of concern is with his or her immediate supervisor, he or she may proceed to the next person in the chain of command to address the concern.

Subchapter PAP.9.2 Definitions

PAP.9.2.010 General Definitions

(a) "Absence" means not reporting to any one (1) scheduled shift for any reason.

(b) "Casual Labor" means the individual hired for specific task of brief period (usually less than a week) of time. Such persons are hired at an hourly rate. Payment is made by check with appropriate deductions. This is a non-exempt position.

(c) "Chief Executive Officer" means the individual employed by the Tribal Governing Board to manage the affairs of the Gaming Enterprises as provided for in this manual, the Gaming Code, and other relevant documents.

(d) "Contracted Employee" means an employee who has entered into a written contract, which has been properly authorized and signed by a signatory of the Gaming Enterprises and the employee and which defines the employment relationship. The contract will be for a specified period, and will outline benefits, pay and other conditions of employment. The terms and conditions of employment for contracted employees may differ from the terms in this personnel policy and procedural manual, and this manual may be incorporated by reference in the Contracted Employee's written contract.

(e) "Designated Special Event" means a special event as designated by the Executive Management Team.

(f) "Executive Management Team" means the top four (4) positions of authority in the casino management chain-of-command to which all Directors, Managers, and Supervisors report. They are the Chief Executive Officer (CEO), Chief Operating Officer (COO), Chief Financial Officer (CFO), and the Executive Manager.

(g) "Exempt Employee" means an employee who the Human Resources Director, or designee, categorizes as generally being management or technical skill positions, and are allowed more flexibility in their work schedule.

(h) "Extended Family Member" means a Team member's: aunt, uncle, niece, nephew, great grandparent, great grandchild, father-in-law, mother-in-law, brother-in-law, sister-in-law, first cousin, step-father, step-mother, step-brother, step-sister, step-child, step-grandchild or step-grandparent.

(i) "Extreme Circumstance" means an unscheduled or unplanned circumstance exceeding an ordinary, usual, or expected event.

(j) "Full-time Non-Salaried" means a team member scheduled to work 32 or more hours of work a week and is eligible for overtime pay. This is a non-exempt position.

(k) "Full-time Non-Salaried" means a team member scheduled to work 40 hours or more a week. This is an exempt position.

(l) "Fringe Benefit" means an extra benefit supplementing an employee's salary, such as: health insurance, Worker's compensation, 401(k) benefits, short-term and long-term disability.

(m) "Gaming Enterprises" means the LCO Casino, Lodge and Convention Center and Grindstone Creek Casino.

(n) "Immediate Family Member" means a Team member's: father, mother, legal spouse, brother, sister, child, grandparent or grandchild.

(o) "Independent Contractor" means an individual who is not an employee of the Gaming Enterprises, but rather has entered into a contract with the Gaming Enterprises, which defines the scope of services. Independent contractors are not employees, do not receive benefits, are not subject to this personnel policy and procedural manual and are governed by a written or verbal contract.

(p) "Key Employee" means a person who performs one or more of the following functions:

(1) Bingo Caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier

(9) Approver of credit;

(10) Custodian of gambling devices including persons with access to cash and accounting records within such devices;

(11) If not otherwise included, any other person whose total cash compensation is in excess of fifty thousand dollars ($50,000.00) per year; or

(12) If not otherwise included, the four most highly compensated persons in the gaming operation.

(q) "Non-Key Employee" means a person who performs one or more of the following positions by department and thereby does not require a gaming license:

(1) Administration – Elder Host / Hostess and Receptionist;

(2) Facilities – Warehouse Supervisor, Maintenance Supervisor, Maintenance Technician;

(3) Food & Beverage – Lead Kitchen Supervisor, Buffet Supervisor, Line Supervisor, Buffet Cook, Line Cook, Kitchen Helper, Assistant Steward, and Sous Chef positions;

(4) Lodge – Housekeeper, Laundry Assistant, Public Space Cleaner, and Room Attendant positions.

(r) "Non-Exempt Employee" means an employee who the Human Resource Director, or designee, categorizes as generally being hourly team members who receive at least minimum wage and receive overtime pay for any hours worked in excess of forty (40) hours per week.

(s) "Probationary Employee" means an employee who has not successfully completed their required probationary period. Probationary employees are eligible for holiday leave and funeral leave. Probationary full-time employees accrue PTO leave, however probationary full-time employees will not be able to use PTO during their probationary period unless it is for extreme circumstances with approval of their Director/Manager and concurrence of the Chief Executive Officer. If an employee does not complete the probationary period for any reason, the employee forfeits all accrued but unused benefits.

(t) "Part-time Non-Salaried" means a team member who is scheduled for under 32 hours of work each week and is eligible for overtime pay. This is a non-exempt position.

(u) "Seasonal Employee" means a Summer Seasonal hire which occurs between the dates of April 1^st and October 31^st and are not to exceed 1040 hours. This is a non-exempt position.

(v) "Separation of Employment" means resignation, lay-off, and termination of employment with the Gaming Enterprises.

(w) "Secured Area" means all area of the gaming enterprises that contain sensitive documents, cash/monetary instruments access, computer serves, surveillance equipment, and personnel files including the following:

(1) I.T.;

(2) Cage/vault/card rooms/bingo inventory;

(3) Tech shop;

(4) Administration business office;

(5) Lodge front desk, computer/work rooms;

(6) Human Resources;

(7) Convention center office;

(8) Surveillance;

(9) Security;

(10) Electronics (generator controls);

(11) Customer service.

(x) "Serious Health Condition" means a condition which requires inpatient care at a hospital, hospice, or residential medical care facility, or a condition which requires continuing care by a licensed health care provider. This policy covers illnesses of a serious and long-term nature, resulting in recurring or lengthy absences. Generally, a chronic or long term health condition which, if left untreated, would result in a period of incapacity of more than three (3) days would be considered a serious health condition.

(y) "Team Member" or "Employee" means an employee of the Gaming Enterprises including: Exempt Employee, Non-exempt Employee, Full-time Employee, Part-time Employee, Seasonal Employee, or Temporary Employee.

(z) "Temporary Team Member" means an employee hired for a specific job with a known or anticipated completion date of ninety (90) days or less. Pay is made by check. FICA and Income Tax deductions are withheld as prescribed by law. This is a non-exempt position.

(aa) "Transfer and Promotion Probationary Period" means a specific period implemented when a team member is transferred or promoted into a new position with the Gaming Enterprises,

(bb) "Tribe" means the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(cc) "Tribal Court" means the Court of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(dd) "Tribal Governing Board" means the Tribal Governing Board of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

Subchapter PAP.9.3 Governance

PAP.9.3.010 General

PAP.9.3.020 Sovereignty

The Gaming Enterprises are a wholly-owned subsidiary of the Tribe established pursuant to Chapter CMP.1 of the LCOTCL – Gaming Code. The Tribe is a sovereign nation, with inherent reserved rights recognized through federal treaties; as such the tribe exists within the geographical boundaries of the United States. Immunity from private lawsuits is one aspect of inherent tribal sovereignty. Pursuant to Chapter TCT.1 of the LCOTCL – Sovereign Immunity Code, immunity from suit means that no private lawsuit can be maintained against the Tribe or any of its subordinate entities such as the Gaming Enterprises, unless the Tribe consents to the action. Nothing in this manual, including without limitation the provisions of Subchapter PAP.9.12, constitutes a waiver of the Tribe's inherent sovereign immunity.

PAP.9.3.030 Employment Laws

It is the general policy of the Gaming Enterprises to extend to its employees, where possible, the rights and benefits provided by employers regulated by the laws of the United States. However, the Gaming Enterprises looks to federal employment laws as guidelines only, and nothing in this personnel policy and procedural manual shall be construed as the Gaming Enterprises' consent to application of such laws. Another aspect of the Tribe's inherent sovereignty is that Wisconsin Statutes are not applicable on Tribal operations without the express written permission of the Tribal Governing Board. The Tribe reserves the right to create and modify its employment laws and policies without regard to such laws or interpretations thereof.

PAP.9.3.040 Gaming Regulations

(a) Title 31. Certain team members must complete Title 31 certification within ninety (90) days of their date of hire.

(b) Team Member Identification Badge.

(1) The Human Resource Department will issue an identification badge to team members upon their employment.

(A) In addition to identifying the team member, the identification badge is designed to gain access to restricted areas.

(B) If a team member transfers or is promoted to a different position, they must report to the Lac Court Oreilles Gaming Commission for a change of license prior to performing the responsibilities of the new position.

(C) The team member is responsible for this card and must immediately report any lost or stolen cards to their supervisor.

(2) All team members are required to display their team member badge at all times while on the property of the Gaming Enterprises, while conducting business of the employer, or whether they are on or off duty.

(A) All team members who are required to receive a gaming license must display their team member badges with their permit number visible and have their tribal gaming license in their possession.

(B) Pins, decorations and any other material, which could potentially obscure the badge, are prohibited.

(C) Team members who forget their badge may obtain a temporary badge from the Human Resource Department. The temporary badge must be returned to the Human Resource Department, Security Desk or Manager on Duty at the end of the team member's shift.

(D) Key team members must also have their gaming license with them that was issued by the Lac Court Oreilles Gaming Commission.

(3) Replacement ID badges will be made by the Human Resource Department. A cost may be assessed to the team member for replacement badge.

(4) Replacement licenses will be made by the Lac Court Oreilles Gaming Commission.

(5) Employer-issued I.D. badges and licenses are the property of the Gaming Enterprises and Tribe respectively and therefore, they must be collected when a team member terminates their employment.

(1) The Gaming Enterprises are committed to a proactive approach to the role of a responsible business within the general community. Compulsive gambling behavior can negatively impact the lives of guests and/or other team members. This problem can also interfere with regular business operations.

(2) The employer utilizes the posting of helpful information so persons who seek assistance are directed to professional resources that specialize in assisting the compulsive gambler.

(d) Team Member Gaming on Premises.

(1) The following team members are excluded from any and all gaming activities at the Casino:

(A) Chief Executive Officer;

(B) Chief Operations Officer;

(D) Executive Manager;

(E) Manager on Duty (MOD);

(F) Directors/Managers of all Departments;

(G) Information Technology Department;

(H) Revenue Audit Department;

(I) Accounting Department;

(J) Marketing Department;

(K) Compliance Officer;

(L) Slot Analyst;

(M) Grindstone Creek Casino – Floor Key and On-Call positions.

(2) Except as established in Section PAP.9.3.040(d)(1) above, all slot personnel are prohibited from playing the slots but can play table games and bingo;

(3) All Table Games Personnel are prohibited from playing the table games, including poker;

(4) All Bingo Personnel are prohibited from playing Bingo;

(5) Except as established in Section PAP.9.3.040(d)(1) and (c) above, all team members are allowed to play poker.

(6) All team members are prohibited from playing any wide area progressive machines.

(7) Requirements for team members to gamble at the premises:

(A) Be 18 years of age at the Casino;

(B) Be out of uniform;

(D) Have ID badge removed;

(E) Abide by all the employer's policies and procedures while gambling at the employer's premises;

(F) Be consistent with gaming rules and regulations of the enterprise, and all other applicable laws and regulations;

(G) Team members are not allowed to utilize a Players Club Card or participate in any promotional activity.

(e) Underage Gaming.

(1) The Gaming Enterprises shall ensure that no one under the age of 18 is permitted to participate in gaming activities at Gaming Enterprises.

(2) The Gaming Enterprises provide ongoing, mandatory training to customer contact team members to ensure that persons less than 21 years of age at the Gaming Enterprises are not permitted to consume alcoholic beverages.

(f) Key and Non-key Employees.

(1) Key Employees (Full-time / Part-time):

(A) Bingo Caller;

(B) Counting room supervisor;

(D) Custodian of gaming supplies or cash;

(E) Floor manager;

(F) Pit boss;

(G) Dealer;

(H) Croupier

(I) Approver of credit;

(J) Custodian of gambling devices including persons with access to cash and accounting records within such devices;

(K) If not otherwise included, any other person whose total cash compensation is in excess of fifty thousand dollars ($50,000.00) per year; or

(L) If not otherwise included, the four most highly compensated persons in the gaming operation.

(2) Non-key Employees:

(A) Administration – Elder Host / Hostess and Receptionist;

(B) Facilities – Warehouse Supervisor, Maintenance Supervisor, Maintenance Technician;

(C) Food & Beverage – Lead Kitchen Supervisor, Buffet Supervisor, Line Supervisor, Buffet Cook, Line Cook, Kitchen Helper, Assistant Steward, and Sous Chef positions;

(D) Lodge – Housekeeper, Laundry Assistant, Public Space Cleaner, and Room Attendant positions.

PAP.9.3.050 Team Member Supervision

It is the policy of the Gaming Enterprises that the assigned work tasks of all team member shall be dispensed, directed and reviewed by supervisory personnel, including Supervisors, Managers and Directors.

PAP.9.3.060 Primary Responsibility of Each Supervisor

A primary responsibility of each supervisor is to provide an effective link between management and non-management team members. As such, supervisors are expected to communicate the goals and policies of management to the team members. At the same time, they are expected to communicate to management the attitudes, suggestions, and complaints of their team members.

PAP.9.3.070 Technical and Human Skills

Supervisory personnel must possess the technical skills needed for their Department, and be able to lead and motivate their team members to do their job effectively and efficiently. Supervisory personnel should be prepared to perform the following:

(a) Treat team members as individuals;

(b) Give recognition for good performance, and provide guidance when improvement is needed;

(d) Recommend team members with growth potential for promotion even if it means losing them to other Departments;

(e) Show integrity by admitting mistakes instead of shifting the blame on others;

(f) Be impartial and let team members know the reasons for any decisions that might be interpreted as unfair;

(g) Demonstrate a desire for good performance by setting work goals and standards for team members;

(h) Create an atmosphere of teamwork and belonging among team members; and

(i) Set good examples by holding themselves to the standards of conduct and performance that they expect from their team members.

PAP.9.3.080 Ensuring Goals

Management is responsible for ensuring that the goals regarding team member conduct and performance are achieved and that the personnel policies established in this manual are implemented. Management are expected to be involved, at a minimum, in the following:

(a) Recommending the hiring of personnel and overseeing special job training;

(b) Keeping team members informed on factors relating to their work assignments, work progress, and opportunities for advancement;

(c) Evaluating, the performance of probationary team members, regular team members, and team members who are assigned under their supervision;

(d) Recommending salary adjustments, promotions, transfers, and termination of team members;

(e) Scheduling vacations, lunch and rest breaks;

(f) Controlling absenteeism and tardiness, and approving requests for time off;

(g) Verifying team member time cards and scheduling overtime when necessary;

(h) Recommending job elimination when appropriate;

(i) Complying with applicable federal and state laws and regulations concerning team member work environment and safety issues;

(j) Maintaining neat and orderly work areas;

(k) Implementing suggestions, disciplinary, and problem review procedures; and

(l) Ensuring that all team members observe all applicable employment and safety rules and regulations.

PAP.9.3.090 Employer – Team Member Relations

It is the policy of the Employer to implement fair and effective personnel policies and to require all team members support the organization's best interests.

(a) The Employer's goals include the following:

(1) To provide equal employment opportunity and treatment regardless of race, religion, sex, age, national origin, disability, or military status, except in case of Indian Preference;

(2) To provide compensation and benefits commensurate with the work performed;

(3) To establish reasonable work hours, based on the employer's work-production and service needs;

(4) To monitor and comply with applicable federal and Tribal laws and regulations concerning team member safety;

(5) To offer training opportunities for those team members whose needs and capabilities warrant such training;

(6) To be receptive to constructive suggestions which relate to the job, working conditions, or personnel policies, without any fear of reprisals;

(7) To establish appropriate means for team members to discuss matters of interest or concern with their immediate supervisor or department head.

(b) The Employer expects all team members:

(1) To deal with guests and suppliers in a professional and constructive manner;

(2) To perform assigned tasks with the utmost efficiency;

(3) To be punctual;

(4) To demonstrate a respectful, friendly, and constructive attitude toward fellow team members and any guest who may visit or correspond with the Employer; and

(5) To adhere to the policies adopted by the Employer.

(1) When warranted, to dismiss, assign, reassign, supervise, and discipline team members;

(2) To determine and change starting times, quitting times, and shifts;

(3) To transfer team members within departments, or other departments and other classifications;

(4) To determine and change the size and qualifications of the work force;

(5) To determine and change methods by which its operations are to be carried out;

(6) To determine and change the nature, location, services rendered, quantity, and continued operation of tribal business; and

(7) To assign duties to team members in accordance with the employer's needs and requirements and to carry out all ordinary administrative and managerial functions.

Subchapter PAP.9.4 Hiring Process

PAP.9.4.010 Employment At-Will

(a) Employees, with the exception of certain contracted employees, are hired for an indefinite and unspecified duration and are not guaranteed employment for any specified length of time. As such, either the Gaming Enterprises or an employee can terminate the employment relationship at-will, at any time. In addition, the Gaming Enterprises can modify, amend, supplement or delete terms and conditions of employment relationship at-will, at any time, with or without cause or advance notice. No individual or governmental body, other than the Tribal Governing Board, or its authorized designee, has the power or legal authority to alter the at-will nature of the employment relationship. Supervisory and management personnel are not to make any representations to team members or applicants concerning the terms or conditions of employment, which are not consistent with this manual.

(b) This policy may not be modified by any statements contained in this manual or any other team member handbooks, employment applications, Gaming Enterprise recruiting materials, Gaming Enterprise memoranda, or other materials provided to applicants and team members in connection with their employment. Gaming Enterprises policies and practices with respect to any matter are not to be considered as creating any contractual obligation on the Gaming Enterprises' part or as stating in any way that termination will occur only for "just cause." Statements of specific grounds for termination set forth in this manual or in any other documents are not all-inclusive lists, and are not intended to restrict the Gaming Enterprises' right to terminate at-will.

(c) Completion of a probationary period or attainment of regular status does not change a team member's status as an at-will team member or in any way restrict the Gaming Enterprises right to terminate such a team member or change the terms or conditions of employment.

PAP.9.4.020 Equal Employment Opportunity

The Gaming Enterprises reaffirm its commitment to equal employment opportunity and advancement toward all applicants and employees regardless of race, color, creed, national origin, gender, sexual orientation, marital status, veteran status, religion, status with regard to public assistance, membership or activity in a local commission, disability, age or any other status protected by law.

PAP.9.4.030 Indian Preference

Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000 et. seq. prohibits various forms of discrimination, including racial, color, gender-based, religion or national origin within the employment context. However, similar to the United States government, Indian tribes are expressly exempted from the definition of a covered "employer." Consistent with this exemption, the Gaming Enterprises grant Indian preference in employment, and will apply preference in the following order when there are two or more candidates that meet the job qualifications:

(a) Members of the Lac Courte Oreilles Tribe,

(b) Members of other Federally Recognized Tribes with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(d) Non-members with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(e) All Others.

PAP.9.4.040 Hiring Preferences

The Gaming Enterprises will utilize the following preference ranking when considering an applicant for employment. It is the responsibility of the applicant to provide the necessary documents listed below for the purpose of obtaining preferences:

(a) Indian preference as described in Section PAP.9.4.020 of this manual (Applicant must provide a signed official document from a federally recognized Tribe acknowledging enrollment);

(b) Veteran preference (Applicant must provide a Veterans Administration form DD214);

(c) Former employees of the Gaming Enterprises whom left in "good standing" and whose separation was not as a result of disciplinary action or an agreement in lieu of disciplinary action which would have otherwise resulted in termination.

PAP.9.4.050 Position Description

The Human Resource Director, or designee, will provide every employee with a copy of his or her current and or amended position description. The position description is intended to provide a general overview of the duties and responsibilities of the job, qualification requirements, employment conditions, and other information which will be useful to recruitment efforts; performance evaluations; and to the incumbent team member. From time to time, however, employees will perform duties and handle duties and responsibilities that are not a part of the original position description. Position descriptions contain a general description of a position and do not create any employment rights or entitlements. All positions within the Gaming Enterprises must have a complete and current job description.

(a) For new positions, a position description must be completed by the department Director/Manager with the input of the Human Resource Director.

(b) It is the responsibility of the department Director/Manager to periodically review position descriptions to ensure completeness and appropriateness.

(c) Approvals of all new position descriptions must be in writing by the Chief Executive Officer and the Human Resource Director.

PAP.9.4.060 Funding and Approval

Prior to posting or filing a position, supervisors and department heads must ensure there are sufficient funds to pay for salary, fringe benefits and all other costs of the position. If the job is for a shorter period and only limited funds are available, this constraint will be explicitly specified at the time of advertisement. The Human Resource Director or designee shall ensure that all positions submitted for posting have all required approvals.

PAP.9.4.070 Posting

Only the Human Resources Director, or designee, is authorized to post a position, provided an existing position shall only be posted with the prior approval of the Chief Executive Officer. All positions shall be posted for at least ten (10) working days, provided temporary positions may be exempt from this section that are of a 14 (fourteen) day duration or less. The Human Resource Director, or designee, will advertise all job postings locally at various locations and other places as appropriate including electronic posting.

PAP.9.4.080 Hiring Policy

It is the policy of the Gaming Enterprises to be an equal opportunity employer and to hire individuals solely upon the basis of their qualifications and the ability to perform assigned tasks. Unless otherwise provided in writing, employment is considered to be at-will pursuant to Section PAP.9.4.010 of this manual, so that either party may terminate the relationship at any time and for any lawful reason. Further, it is the hiring policy of the Gaming Enterprises to select team members with the qualifications that best meet the criteria for a specific job as described in the position descriptions. An applicant for any position with the Gaming Enterprises shall be required to verify qualifications, education and work experience. To promote advancement of team members within the organization, non-entry level open positions shall be first posted internally. At the discretion of the hiring manager, it can be posted externally simultaneously. Team members are encouraged to submit a transfer request and resume' if they are interested in a different position, even if no such position is currently posted.

(a) Supervisors and department heads who need to fill a vacant position or want to add a new position should submit an approved employment requisition to the Human Resource Director.

(b) The employer will fill job openings above entry level by promoting from within, if qualified internal applicants are available. In addition, the employer will give consideration to qualified individuals on layoff status before recruiting applicants from outside the organization.

(c) If candidates from within the Gaming Enterprises are to be considered for job openings, the Human Resources Department will post the openings in accordance with internal recruitment procedures.

(d) When candidates are considered for job openings, the following procedures must be followed:

(1) Any candidate for employment must fill out and sign an employment application.

(2) The Human Resources Department will consider requests for reasonable accommodation of disabilities and religious beliefs and will determine what, if any, accommodation will be made.

(3) The hiring Director/Manager will select applicants that they would like to interview by reviewing the applications on file. If the Human Resources Department determines that the applicant is eligible for hire, an interview will be arranged by the hiring department Director/Manager.

(4) The hiring Director/Manager has the responsibility to determine whether an applicant is qualified for the position. The final decision to hire an applicant shall be made by the hiring Director/Manager.

(5) Following a decision to hire the applicant, the hiring Director/Manager will make an offer of employment. The Human Resources Department will then make a determination as to whether the applicant has the legal right to work in the United States, Employment Eligibility Verification (Form I-9) and, where required, undertake personal reference checks.

(6) If the background, medical, or any other subsequent investigation discloses any misrepresentation on the application form or information indicating that the individual is not suited for employment with the Employer, the applicant will be refused employment or, if already employed, may be terminated.

(7) The Human Resources Department is responsible for orientation of new team members and the processing of their employment forms. The supervisor is responsible for any necessary job training, orientation and introductions to other staff.

(e) A member of a team member's immediate family will be considered for employment by the employer if the applicant possesses the qualifications for employment. Except as provided in Section PAP.9.4.090 of this manual, an immediate family member may not be hired if the employment would: create a direct supervisor/subordinate relationship with the family members or create an actual conflict of interest.

(f) Team members who marry or become members of the same household may continue employment provided that there is not: a direct, supervisor/subordinate relationship between the team members; or an actual conflict of interest. Should one of the above situations occur; except as provided in Section PAP.9.4.090 of this manual, the Gaming Enterprises will attempt to find a suitable and comparable position within the organization to where one of the affected team members may transfer.

(g) Former team members who leave the Gaming Enterprises in good standing may be considered for reemployment. Former team members who resigned without written notice or who were dismissed for disciplinary reasons may not be considered for reemployment for six (6) months. A former team member who is reemployed will be considered a new team member from the date of reemployment. Team members who retire may be eligible, in certain circumstances, to be considered for rehire.

PAP.9.4.090 Employment of Relatives

The Gaming Enterprises encourage relatives of Lac Courte Oreilles Tribal members to seek employment with the Gaming Enterprises. However, the Gaming Enterprises also seeks to avoid potential problems arising from family members directly supervising one another. A waiver of this provision may be granted by the Chief Executive Officer when the services of the employee cannot be obtained from any other available person with the same or equivalent qualifications.

PAP.9.4.100 Employment of Minors

The Gaming Enterprises will utilize, solely as a guideline, federal laws pertaining to the employment of minors.

PAP.9.4.110 Interviewing

Department Director/Manager(s) who hire team members need to know what constitutes a legal pre-employment interview. Interview questions should: directly measure job requirements and skills, be as objective as possible, and be consistently applied to all applicants for the same position. The Human Resources Department shall conduct an initial screening on all applicants and will work with departments to develop a set of standard interview questions. In addition, a Requisition Request form will accompany all active applications.

PAP.9.4.120 Personnel Action Form

(a) The Personnel Action Form is to be used to initiate any change in a team member's status involving:

(1) New Hires

(2) Full Time to/from Part Time

(3) Wage/Salary adjustments

(4) Promotions

(5) Transfers

(6) Evaluations accompanied by paperwork

(7) Resignations or Terminations

(8) PTO

(9) Vacation

(10) All Leaves of Absence (Medical and Personal) start /return

(b) All Personnel Action Forms dealing with any personnel or employment issue must be reviewed and approved by a member of the Executive Management Team.

(1) This form is to be initiated by the department Director/Manager. For all changes, the Personnel Action Form must be approve and signed by the department Director/Manager and a member of the Executive Management Team, except for PTO. Copies of the completed Personnel Action Form are to be given to the Payroll Department and to the hiring department after all processing has taken place. The original is placed in the team member's personnel file located in the Human Resources Department.

(2) It is critical that in issues affecting any status of a team member, the Personnel Action Form must be filled out correctly and immediately sent to the Human Resource Department. The Personnel Action Form must include proper documentation and explanation of change and/or issue being covered by the Personnel Action Form.

(3) Paperwork cannot be initiated at a level lower than Director/Manager unless the individual has been given signature authority for this action. A team member may have access to his/her personnel file within twenty-four (24) business hours of the team member request.

PAP.9.4.130 Reference Checks

When an applicant, after the appropriate interview, is deemed qualified for a position, references on the individual may be contacted by the hiring department Director/Manager or the Human Resource Department. The applicant should clearly know of the organization's intent to check all references prior to making a final hiring decision. After reference checks are fully implemented, any questionable results must be explored in greater depth during a subsequent interview. Results of checking references should be kept confidential.

PAP.9.4.140 Probationary Period

(a) All newly-hired team members will be placed on a ninety (90) calendar day probationary period, with the exception of positions identified by the Director/Manager as needing an extended period in order to adequately assess the employees capabilities to perform the job duties. During a team member's probationary period they will get to know fellow team members, Management, and the duties involved for the position. The Gaming Enterprises will work closely with team members during the probationary period to assist in understanding the needs and processes of the job. The probationary period may be waived by the Director/Manager for short term or seasonal employment.

(b) The probationary period is a trial time for both the team member and the Gaming Enterprises. During this probationary period, the Gaming Enterprises will evaluate the team member's suitability for employment. At any time during the probationary period, a team member may resign without any detriment to the employee's record. In addition, if during this period an employee's work habits, attitude, attendance, or performance do not measure up to the Gaming Enterprises' standards, the Gaming Enterprises may extend the probationary period for up to ninety (90) calendar days or terminate the team member's employment without the ability of the team member to appeal the decision.

(c) Probationary employees are eligible for holiday leave pursuant to Section PAP.9.7.060 and additional paid leave pursuant to Section PAP.9.7.080. Probationary full-time employees accrue Personal Time Off. Such team members cannot use Personal Time Off until the completion of their probationary period, unless it is for extreme circumstances with approval of their Director/Manager and concurrence of the Chief Executive Officer. If an employee does not complete the probationary period for any reason, the team member forfeits all accrued but unused benefits.

(d) At the end of the probationary period, the Gaming Enterprises will prepare a written performance evaluation and discuss overall job performance with the employee. During the course of the discussion, the team member is encouraged to present his or her comments and ideas as well.

(e) The probationary period ends only when a written evaluation of the team member is filed by the supervisor indicating the employee has passed probation at the satisfactory level, with no exceptions.

PAP.9.4.150 Hours of Work

Many Gaming Enterprise departments operate on a 24-hour daily basis. There may be a variety of different scheduled times within each department, depending on departmental or other exigent needs. Periodically, a Director/Manager may need to change a schedule and at those occurrences, notice to the team member should be given as far in advance as possible.

PAP.9.4.160 Orientation

It is the policy of the Gaming Enterprises to provide orientation programs for new team members and to conduct or support training programs as deemed appropriate.

(a) The Human Resources Department is responsible for the overall development and coordination of the orientation program and for implementing the portions that cover policies, benefits, and new team member files and documentation. Each Director/Manager is responsible for introducing the new team member to the specific job functions and departmental uniqueness, and may select a co-worker to serve as a mentor/sponsor to facilitate the new team member's transition.

(b) Directors/Managers are responsible for recommending team members for special training programs according to performance training plans.

(c) Directors/Managers may approve team member participation in continuing education and/or training programs when such instruction is deemed beneficial or considered necessary for satisfactory job performance. In most cases, team members will be required to satisfactorily complete such programs based on full attendance.

(d) The Gaming Enterprises may consider the feasibility of sponsoring or conducting special programs when continuing education and in-service programs are required for licensing, or re-certification of a license, for groups of team members. Under such circumstances, it will apply to the licensing authority and will seek to comply with all requirements established by such authority.

(e) The Gaming Enterprises will provide special training programs for safety and health matters deemed necessary, or as required by governmental regulation.

(f) Gaming Enterprises sponsored or conducted orientation and training programs may be evaluated from time to time as to the quality of the instruction, the content, and the results. Team members may receive certificates of completion and college credit (when applicable) for successfully completing approved training programs. The Human Resources Department will maintain records of all training programs completed by each team member. Directors/ Managers will forward all certificates to the Human Resource Department.

(g) Successful training accomplishments/certificates can be utilized for salary and promotional considerations.

PAP.9.4.170 Unscheduled Work Shift and Reporting Work-Time

There may be times when a team member may be called upon to fulfill unscheduled work shifts of short duration. However, when a non-exempt team member is called in for unscheduled work, the team member shall be paid a minimum of three hours, whether the team member is at work the entire three hours or not. Further, when a non-exempt team member is called in or scheduled for a mandatory meeting, that team member must be paid for actual time spent at such a meeting.

(a) The normal workweek is Monday through Sunday beginning and ending at midnight on Sunday, and consisting of forty hours. The normal workday will consist of eight working hours with a one-half hour meal break period and two fifteen minute rest breaks which are paid and considered as time worked when taken on Casino premise.

(b) The schedule of hours for team member(s) will be determined by the department Director/Manager, and they will inform team members of their schedule of hours to be worked, including lunch periods, breaks, and of any changes deemed necessary or desirable.

(c) The Director/Manager may schedule overtime or extra shifts when it is deemed necessary. Supervisors, with managerial approval, will assign overtime to team member(s) in the particular job for which overtime is required. Team member(s) are not permitted to work overtime without the prior approval of their Director, Manager or Supervisor. For overtime compensation, only actual hours worked in excess of forty hours during a workweek will be credited.

(d) Team member(s) attendance at meetings and training programs will be considered hours of work if such attendance is requested and approved by management.

PAP.9.4.180 Personnel Records and Files

It is the policy of the Gaming Enterprises to maintain personnel records for team members, as well as past team members, in order to document employment-related decisions, evaluate and assess policies, and comply with record keeping and reporting requirements.

(a) The Gaming Enterprises strive to balance its need to obtain, use, and retain employment information with each individual's right to privacy. To this end, it attempts to restrict the personnel information maintained to that which is necessary for the conduct of its business or which is required by federal, tribal or local law.

(b) The Human Resource Department is responsible for overseeing the record keeping for all personnel information and will specify what information should be collected and how it should be stored and secured.

(c) Team members have a responsibility to make sure their personnel records are up to date and should notify the Human Resource Department in writing of any changes in at least the following:

(1) Name;

(2) Address;

(3) Telephone Number;

(4) Marital status (for benefits and tax withholding purposes only);

(5) Number of dependents;

(6) Beneficiary designations for any employer sponsored or group plans; and

(7) Persons to be notified in case of emergency.

(d) Team members may inspect their own personnel records and may receive a copy of the documents pertinent to their inquiry, but not remove documents from the file. Such an inspection must be requested in writing to the Human Resource Department and will be scheduled at a mutually convenient time. Records deemed to contain sensitive or confidential employer plans or proprietary information, may be excluded from the inspection, and all inspections must be conducted in the presence of a designated member of the Human Resource Department. A reasonable charge may be imposed for any copies of records made by the team member. In absence of a court order or release of information, the Human Resource Department may only verify external requests for reference checks, provide verification of employment, and verify only the following quoted information:

(1) Hired date;

(2) Separation date and reason for separation; and

(3) Final position/title of the team member.

(e) Only the current Director/Manager, Executive Management Team member or a member of the Human Resource Department who have any employment-related need-to-know for information about another team member, may inspect the files of that team member. All team members must refer all requests from outside entities for personnel information concerning applicants, team members, and past team members, to the Human Resource Department. The Human Resource Department normally will release personnel information only in writing and only after obtaining the written consent of the individual involved. Exceptions may be made to cooperate with legal, safety, and medical officials who have a need to know specific team member information. In addition, exceptions may be made to release limited general information, such as the following:

(1) Employment dates;

(2) Position held;

(3) Location of job site.

(f) Further, the Human Resource (or Payroll) Department may release salary or other information to an outside party with the written permission of the team member. If the team member has released salary information to a lending institution, a Human Resource Department representative may confirm whether or not the salary is correct when the outside party quotes the salary.

(g) The Human Resource Department will maintain an official file whose contents should include but not be limited to:

(1) Initial application form(s) (resume, etc.);

(2) Original copy of performance appraisals;

(3) Original copies of written warnings or commendations; and

(4) All drug screen and other medically related documents will be kept in a separate medical file.

PAP.9.4.190 Maintenance of Personnel Records

Information in a team member's file must be kept for the duration of the team member's employment. The files of terminated or resigned team members shall be kept for a period of seven years.

PAP.9.4.200 Classifications

Upon hire, the Gaming Enterprises will inform every team member of his or her employment classification, whether exempt or non-exempt, casual labor, temporary team member, part-time non-salaried, full-time non-salaried, full-time salaried, seasonal. This is important because employment classification has an effect on employee rights and benefits under this personnel policy and procedural manual (See Subchapter PAP.9.2 – Definitions for the various classifications).

Subchapter PAP.9.5 Employment

PAP.9.5.010 Work Site Accommodations

The Gaming Enterprises are exempted from the federal and state offered definition of an employer as provided by the American's with Disabilities Act, 42 USC § 12111 (5) (B). However, as a matter of its own internal policies the Gaming Enterprises discourages discrimination against persons with disabilities and when possible seeks to accommodate persons with disabilities on the job. When possible, the Gaming Enterprises will make reasonable efforts to provide reasonable accommodations to all team members and applicants, including work site accessibility. Team members must notify their Director/Manager or the Human Resource Director, in writing of any requested reasonable accommodation within a reasonable period of time after the employee learns of the need for such accommodation.

PAP.9.5.020 Employment Agreements

It is the general policy of the Gaming Enterprises to generally hire team members as "at-will" team members pursuant to Section PAP.9.4.010 of this manual. However, the Chief Executive Officer of the Gaming Enterprises' shall be the only executive that may execute, at its sole discretion, written employment contracts with certain team members. Hence, team members who do not have a written employment contract containing a specified term of employment are considered "at-will" team members.

(a) Such written employment contracts shall be drafted by the Tribe's Legal Department and its Staff Attorneys. The Chief Executive Officer shall draw on the expertise of the Legal Department in settling and drafting terms.

PAP.9.5.030 Date of Hire / Review Date

(a) A team member's date of hire is considered to be the date employment began and continues on an uninterrupted basis unless the team member has been reinstated to their position. Rehired team members are not given credit for their previous employment.

(b) A team member's review date may not always be the same as their date of hire/anniversary date (i.e. promotions, transfers, etc.)

(c) A personal or medical leave of absence may or may not be considered an interruption in service depending upon the length of the leave.

(d) A voluntary lay-off is considered an interruption in service.

(e) A company lay-off is not considered an interruption in service.

PAP.9.5.040 Transfer / Promotion Probationary Position

(a) When a team member elects a voluntary transfer or accepts a promotion, that team member will be subject to a Transfer and Promotion Probationary Period of ninety (90) days.

(b) The Transfer and Promotion Probationary Period will be implemented in order to provide Management an opportunity to evaluate the team member's performance in his or her new position. Directors, Managers and Supervisors during this period should provide to the transferred or promoted team member adequate feedback on performance, and must also document such constructive feedback, both positive and in need of improvement.

PAP.9.5.050 Transfers

It is the policy of the Gaming Enterprises, in its discretion, to initiate or approve team member job transfers from one position to another or from one location to another.

(a) From time to time, the Employer, in consultation with the team member, may require a team member to make either a temporary or long-term job transfer in order to accommodate the organization's needs.

(b) Team members may request a voluntary transfer. However, to be eligible for a voluntary transfer:

(1) Team members must not be in a probationary period;

(2) Team members must meet the requirements of the new position;

(3) Team members must have a satisfactory performance record; and

(4) Team members must not have been at a written warning level for at least ninety (90) days.

(c) Team members who elect a voluntary transfer are not guaranteed the opportunity to return to their previous position if unsuccessful in the new (transferred) position following a Transfer and Promotion Probationary Period.

(1) Team members who are unsuccessful in the new (transferred) position may apply for other open positions that meet their skills and qualifications.

(d) Job openings for which Management seeks candidates from within the Casino organization will normally be posted for seven working days on a team member bulletin board. From time to time, however, Management will, as it considers appropriate, fill job openings or make transfers without posting notices.

(e) Requests for transfer to posted job openings should follow the steps outlined below:

(1) The team member shall submit a written request to the Human Resource Department for the posted job opening. The request will include team member's reason(s) for the transfer.

(2) The Human Resource Department shall forward the request for transfer to the appropriate Director /Manager where the job opening exists.

(3) The hiring Director/Manager shall arrange an interview between the candidate and themselves.

(4) The Director/Manager with the job opening will determine final qualification of the team member, and shall submit final approval to the Human Resource Department.

(5) The Director/Manager where the subsequent vacancy will occur, and gaining Director/Manager where the transferred team member will be working, will negotiate a mutual transfer date.

(f) Transferred team members will be subject in their new positions to the provisions of the Transfer and Promotion Probationary Period policy as it pertains to the team member meeting the job requirements.

(g) Pay for transferred team members will be within the pay grade range for the position that they transferred to.

PAP.9.5.060 Reclassification

The Gaming Enterprises may reclassify an employee (full-time, part-time, exempt, nonexempt, etc.) if the duties or need for the team member has changed. The reclassification of an employee may result in a change in the terms and conditions of employment including without limitation eligibility for benefits, and leave. Any supervisor who seeks to reclassify an employee shall obtain proper authorization from the Director/Manager in collaboration with the written approval of the Chief Executive Officer.

PAP.9.5.070 Promotions

It is the policy of the Gaming Enterprises to hire team members for positions at entry level, and then to provide training and development opportunities for all team members and offer promotions to higher-level positions, based upon skills and qualifications. Management prefers to promote from within and may first consider current team members possessing the necessary qualifications and skills to fill vacancies above entry level, unless outside recruitment is considered to be in the Gaming Enterprises best interest.

(a) All team members are encouraged to seek advancement opportunities and to obtain promotion and career guidance from their Director/Manager, and/or the Human Resource Department.

(b) A team member's eligibility for promotion will be determined by the requirements of the new job. In addition, the team member must have held his or her current position for at least ninety (90) days and have a satisfactory performance record, including no adverse disciplinary action during the same period.

(1) Executive Management may, in its discretion, waive the ninety (90) day requirement.

(c) Job openings and promotions for which management seeks candidates from within the Casino's current staff can/may be posted on the team member bulletin board. However, management may, as it considers appropriate, fill job openings by internal promotions without posting notices. However, when job openings or promotion opportunities are posted, the following should be done:

(1) Interested team member(s) must submit a written transfer request/resume' to the Human Resource Department within the posted timeframe;

(2) Directors/Managers may initiate a procedure within the same time period and recommend team member(s) for the position; and

(3) The Human Resource Department may, at its discretion, solicit outside candidates during the posting period.

(d) Current team members who are candidates for promotion will be screened and selected on the basis of attendance records, performance appraisals, and job-related qualifications. Seniority will be considered if two or more candidates are judged to be equally qualified based on merit, work record, and other qualifications.

(e) Promoted team members will be subject to the provisions a Transfer and Promotion Probationary Period as it pertains to the team member meeting the job requirements.

(1) Team members who accept a promotion are not guaranteed the opportunity to return to their previous position if unsuccessful in the new (promoted) position following a Transfer and Promotion Probationary Period.

(f) All non-exempt team members are required to report their daily hours worked on the Casino time keeping system. Time calculations cover one workweek period.

(1) Team members are to record the starting time and quitting time;

(2) Team members are not permitted to sign in and commence work before their normal starting time or to sign out and stop work after the normal quitting time without the prior approval of their supervisor;

(3) A team member's time will be verified and approved by their Director/Manager.

(4) Un-worked time for which a team member is entitled to pay (paid absences, paid holidays, or paid PTO leave) shall not be categorized as regular work for purpose of overtime pay. Authorized overtime must be identified and approved by the Director/Manager.

(5) Unapproved absences are not to be considered as hours worked for pay. Directors/Managers should inform team member(s) if they will not be paid for certain hours of absence; and

(6) The completing of another team member's time or the falsifying of any time record is prohibited and may be grounds for disciplinary action, including termination.

(g) Exempt team members must account for their daily attendance and time. Exempt team members will not receive overtime compensation, as they are salaried employees.

PAP.9.5.080 Demotions

(a) Team members that do not prove successful in their positions may be re-assigned or demoted to a more appropriate position to make efficient use of their qualifications and abilities.

(b) Attempts will be made to place team members that are demoted for substandard performance reasons in positions that are comparable in pay and responsibility to their most previously held positions. (Refer to team members previous Personnel Action Form). Team members that are demoted for disciplinary reasons may not enjoy that potential benefit.

PAP.9.5.090 Layoff and Recall

It is the policy of the Gaming Enterprises that, if it must reduce employment because of adverse economic conditions or other reasons, layoffs and recall will be conducted consistent with policy requirements and in accordance with the procedures set forth below:

(a) The Gaming Enterprises will attempt to avoid layoffs and, whenever possible, will consider alternatives to layoff before any final decisions are made. However, management reserves the right to implement a layoff procedure. Layoffs that are expected to be temporary will be handled according to the provisions outlined herein. Selections for layoffs that are known to be permanent will be made according to policies outlined in Section PAP.9.5.100 of this manual.

(b) Hourly team members within each affected department are to be selected for layoff in the following sequence:

(1) Team members who have not completed their introductory period are to be laid off first;

(2) Temporary and part-time team members are to be laid off next;

(3) Full-time team members are to be laid off based on their length of service, in all cases provided that the team members who are retained have the demonstrated ability and desire to perform the available work. If after a reasonable time, a team member cannot perform the duties of a new job, that team member is to be laid off if the team member is ineligible to transfer;

(4) Regardless of category, Tribal Members will be considered last for layoff.

(1) Demonstrated current and past performance;

(2) Promotion potential and transferability of skills to other positions within the unit; and

(3) Length of service with the Employer.

(d) A team member's tenure with the Gaming Enterprises will be measured from the seniority date with the Gaming Enterprises.

(e) Team members selected for layoff will be given as much notice as is reasonable under the circumstances. Team members will be informed of the reason for the layoff, of the estimated length of the layoff (if available), and of any rights they have to appeal their selection for layoff.

(f) Team members who are laid off will be maintained on a recall list for one year. Removal from the recall list terminates all job rights the team member may have. While on the recall list, team members should notify the Gaming Enterprises if they become unavailable for recall or have an address change. Team members will be recalled according to need, classification, or ability to fulfill a position. Notice of recall will be sent by registered mail. Unless a team member responds to the recall notice within seven calendar days, the team member's name will be removed from the recall list, forfeiting all previous rights with the employer.

(g) Credit for seniority will continue to accumulate during any layoff of 30 days or less. No PTO leave shall be accrued during layoff.

(h) The Human Resource Department shall answer any questions regarding the continuation of certain other benefits during layoff and will strive to coordinate with local Resources to provide assistance to team members who have been laid off.

PAP.9.5.100 Re-Hire of Team Members

(a) The Gaming Enterprises may, at its discretion, rehire former team members. The Gaming Enterprises will do so only after a thorough review of the team member's personnel records. Such a review would include the reasons why employment was terminated with a team member. A team member may be deemed as "ineligible" for re-hire due to past misconduct; however, there may be circumstances when the organization deems re-hiring an individual who had not left in "good-standing" to be acceptable. In these instances, a "probationary period" must be utilized to ensure continued employment. Any team member, who left employment in good standing, will be eligible for re-hire at any time following separation.

(b) Upon the acceptance of re-hire, a team member agrees that as a condition of employment that any pending employment appeal action, pursuant to this ordinance or an employment action pursuant to Chapter TCT.2 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law – Court and Rules of Civil Procedure Code, shall be dismissed.

PAP.9.5.110 Termination of Employment

The relationship between employer and team member is "at-will" pursuant to Section PAP.9.4.010 of this manual, and team members should keep in mind that their employment relationship is based on the condition of mutual consent. Therefore, the team member or the employer are both free to terminate the employment relationship at will, with or without cause, and at any time.

(a) On those occasions when an investigation needs to be conducted to confirm whether a team member has committed serious misconduct, Investigative Leave can be imposed pursuant to Section PAP.9.12.030(a)(5) of this ordinance.

(b) Once termination is deemed an appropriate action pursuant to Section PAP.9.12.030(a)(6) of this ordinance, the Director/Manager should advise the team member of the decision and collect any employer material, (i.e., building entry passes, keys, uniforms, Employer-issued credit cards, gaming badges, etc.). All property of the Gaming Enterprises not related to the team member's direct Department shall be returned to the Human Resource Department.

PAP.9.5.120 Resignations

Each employee must provide his or her supervisor with at least two (2) weeks prior written notice of resignation. Failure to provide notice will result in a negative recommendation for future employment and may result in forfeiture of accrued but unused PTO leave. Directors/Managers should ensure any notification of resignation is made in writing. In certain situations, where managers believe it would be in the Employer's best interest to ask a team member who has given a notice of resignation to separate immediately, the Employer may or may not authorize payment of the remainder of the team member's scheduled time.

PAP.9.5.130 Non-Exempt / Exempt Employment Status

(a) Employment at the Gaming Enterprises is classified as either exempt or nonexempt. Nonexempt team members are generally hourly team members who receive at least minimum wage and receive overtime pay for any hours worked in excess of forty (40) hours per week. Exempt team members are generally management or technical skill positions, and are allowed more flexibility in their work schedule. The Gaming Enterprises shall pay a salary (not an hourly wage) to exempt team members. The Gaming Enterprises may also set workload and scheduling expectations derived from business needs that apply to their exempt team members.

(b) Specific position descriptions designated as exempt are subject to the following criteria:

(1) Expected to devote the number of hours necessary to complete their respective tasks, regardless of whether that requires 35 hours per week or 65 hours per week. Their compensation does not change based on the number of hours expended.

(2) Not paid overtime.

(3) Paid their annual base salary at a flat rate in 52 weekly increments.

(4) The Executive Management Team has established a 5-day, 8 hour/day work week expectation where exempt team members must be present and available for work. Management may consider extenuating circumstances due to the needs of the Gaming Enterprises and/or personal need. Team members can choose their hours and which five days to work with concurrence from their direct supervisor. Deviations need to be communicated to their supervisor with a reasonable (preferably immediate) advance notice.

(5) Schedules will be monitored on a weekly basis for adherence to the established 5-day, 8 hour/day work week. Less than that is subject to disciplinary action and will be addressed as a performance issue.

(6) When an exempt team member does not work a full 5-day work week they will have two (2) options to account for the missing day(s):

(A) Use 8 hours of PTO time to cover each missing day(s).

(B) For partial days worked PTO shall always be submitted to complete an 8-hour day. Being charged for the PTO will be at the direct supervisor's discretion.

(7) PTO shall be used for any absences during scheduled work hours for personal needs and will be used in no less than full hour increments.

(8) Procedure for incorporating off property time during their established work schedule:

(A) For accuracy in tracking use of PTO and for liability insurance purposes all exempt team members they are required to swipe out and back in on the Time Star system when leaving the property during scheduled work hours.

(B) Must obtain prior concurrence and designate via email (not IM) to their direct supervisor whether the off property time is a "business" or "personal" need. If it is a business need it is a requirement to state the nature of the work in their email.

(C) Failure to obtain prior concurrence and designate is a performance issue, will be regarded as personal time and PTO will be charged.

(9) An exempt team member who is normally scheduled to work on a holiday will be given the day off and receive the amount of time normally scheduled, up to ten (10) hours of "Holiday Non-Work" pay. Those exempt team members that are required to work on a holiday will receive up to ten (10) hours of PTO time in addition to their regular accrued PTO, assuming their work schedule has not been altered to accommodate for the holiday. The amount of PTO time will be given according to the amount of time the team member worked on the holiday in quarter hour increments, which may not exceed ten (10) hours. All PTO time requires direct Supervisor pre-approval for use.

PAP.9.5.140 Exit Interviews

Before a team member separates their employment, the Human Resource Department shall solicit an exit interview. This provides an opportunity for the Gaming Enterprises to obtain the team member's honest opinion of the Gaming Enterprises policies and procedures so that the Gaming Enterprises may make any necessary improvements.

PAP.9.5.150 Evaluations

(a) At the end of the probationary period, the Directors/Managers shall prepare a written performance evaluation in accordance with Section PAP.9.4.140 of this manual.

(b) Each team member shall receive an annual written performance evaluation from their Directors/Managers at least once every 12 months. The success of the Gaming Enterprises depends on quality performance by team members. The Gaming Enterprises shall manage and develop team members in ways that will enable them to reach their full potential. The evaluation will highlight the team member's strengths and weaknesses, and ways to improve or enhance job performance. The team member and the Directors/Managers must sign the evaluation. The team member's signature does not necessarily indicate concurrence, but does record acknowledgement and delivery of the document. Team members should not expect that evaluations will automatically result in a change in pay. However, the Gaming Enterprises will rely on evaluations, in addition to all other relevant information, to make decisions about an employee's terms and conditions of employment.

(c) The performance appraisal review is a formal and effective tool in measuring the performance of each team member. When properly conducted, this performance management system focuses on communicating expectations to the team member, objectively observing and evaluating performance, and providing the team member with feedback that can improve overall performance.

(d) No supervisory or management person can be evaluated until all persons they are responsible for have current team member reviews turned into the Human Resource department.

(e) Failure of the Directors/Managers to complete an evaluation for their employees may result in disciplinary action.

(f) Steps to Successful Performance Management. By following these steps, the supervisor will remove any anxiety about the contents of a team member's file.

(1) Set expectations and goals at the beginning of the annual review period.

(A) Goals are methods by which job expectations can be established. Those responsible for performance appraisals need a good understanding of goals and how to use them during the appraisal process.

(B) The appraisal process starts when the team member and supervisor reach a mutual understanding of what needs to be accomplished. If expectations are not clearly stated, mutually understood, and presented in measurable terms, performance will be difficult to evaluate.

(i) Conditions that will exist when the desired outcome has been accomplished;

(ii) A time frame during which the outcome is to be completed; and

(iii) Resources the employer is willing to commit to achieve the desired result.

(D) Goals should be challenging but reasonable, feasible and achievable, and established with the participation of those responsible for meeting them.

(2) Have team member submit a self-appraisal as part of the annual performance appraisal. The self-appraisal is a wonderful tool that will provide supervisors with feedback regarding how well they have communicated with their team members throughout the year. If the team member's self-appraisal score is dramatically different than the supervisor's score, it could indicate that not enough communication occurred between the supervisor and the team member regarding performance.

(g) Procedures.

(1) All team members will receive an Introductory Period review upon completion of their Introductory Period (ninety days). This review shall not include a merit increase.

(2) The reviewing supervisor will complete the appraisal and obtain the signature of the Department Head prior to conducting an appraisal interview with the team member. The performance appraisal must be completed on time.

(3) An appraisal interview must be conducted. The appraisal interview presents both an opportunity and a difficult situation. It is an emotional experience for the supervisor and for the team member. The supervisor must communicate both praise and constructive criticism. A major concern is how to emphasize the positive and still discuss improvements that are needed.

(4) The team member should be encouraged to respond, give their own feedback, and to write comments on the appraisal form.

(5) If a salary increase is warranted, a Personnel Action Form (PAF) is to be completed by the reviewing supervisor. At no time should any salary change be discussed with a team member until final approval is received. The effective date of the salary increase will be the beginning of the team member's next 12 month review cycle.

(6) Management may review a team member more frequently than annually.

PAP.9.5.160 Elder Host Program

(a) Purpose of the Program. This Program is for the benefit of supplementing the elderly's income through employment at the LCO Casino. The elders will be hosts and hostesses. The Program is set up for (4) positions.

(1) Must be a senior citizen, 62 years of age and older.

(2) This Program is open to elders with LCO Tribal citizenship.

(3) The elder workers must have the ability to communicate effectively at all times using courtesy and tact with the public and other Team Members.

(4) The elder workers must adhere to the policies and procedures of the LCO Casino.

(5) The elder workers must be physically fit and have the ability to walk the casino floor and work crowded situations during their shift. Customers are allowed to smoke on the casino floor, therefore elder workers must be able to tolerate a smoking atmosphere.

(6) The elder workers must be able to work effectively with the casino managers to whom they are assigned.

(b) Duties and Responsibilities of Elders.

(1) The Managers on Duty will be the immediate supervisors for all host and hostesses.

(2) Host and Hostesses will work in the general casino area and in the Bingo Hall to greet guests and welcome them to our casino.

(3) Host and Hostesses may be asked to assist in specific areas such as Coat Check, Slots, Convention Center events or Bingo and perform whatever light duty tasks they are assigned.

(4) The elder workers will be able to take breaks whenever necessary.

(c) The elder workers working hours are limited to 30 hours per week. Working hours are between 8:00 a.m. and 10:00 p.m. Days of the week and hours assigned may vary.

(d) The Elderly Program will provide the host and hostesses an employment status of full time and provide all benefits including the accrual of PTO.

(e) Breaks may only be taken in designated break rooms.

(f) Elder workers will be limited to three year terms so new elders may have an opportunity to supplement their income. Current elder hosts and hostesses may re-apply. The hiring decision will be made by the Manager on Duty with concurrence from the Executive Manager.

(g) Elder workers who work in the Bingo area will be required to obtain a gaming license and will be eligible to share in tips.

(h) The casino will provide one (1) complimentary meal in the buffet, per shift for each of the elder workers.

PAP.9.5.170 Separation of Duties Period

Team members who leave employment with the Gaming Enterprises may not be on any property of the Gaming Enterprises for a period of thirty (30) to ninety (90) days following separation of employment, as determined by the Executive Management Team. Separation of employment pursuant to this section shall mean resignation, lay-off, and termination of employment with the Gaming Enterprises.

Subchapter PAP.9.6 Wages

PAP.9.6.010 Wage Classifications

The Gaming Enterprises establishes wage and salary classifications for each position based on many factors, including, but not limited to position category, education, experience, knowledge, ability and level of responsibility.

PAP.9.6.020 Competitive Pay

(a) The Gaming Enterprises strives to pay salaries competitive with those in similar communities and industry and in recognition of individual effort and contribution to the success of the Gaming Enterprises.

(b) The Employer provides competitive pay and benefits. The Human Resource Department reviews regional and national wage comparison audits to ensure that the Employer's pay structure reflects the true market value for all jobs and develops policies that ensure team members are paid competitively.

(c) Every job is assigned a salary range within each pay grade. New hires are paid, depending upon experience, training, and skills between the minimum and the midpoint of the range. When necessary, the ranges are adjusted. Managers can request a salary range audit for any job that reports to them by contacting the Human Resource Director.

PAP.9.6.030 Compensation

(a) The employer will maintain a system for ensuring all team members are paid fairly, competitively, and equitably.

(b) Salary guidelines were designed to accomplish the following:

(1) To establish and maintain a wage structure and levels of compensation that are competitive in the labor market;

(2) To retain and motivate the best qualified personnel;

(3) To provide a basis for maintaining equitable relationships between comparable positions; and

(4) To provide compensation opportunities that are related to a team member's responsibilities and the skills required to fulfill those responsibilities.

(c) A team member's performance will be evaluated at least annually per position. If their position changes, the effective date of the position change will be the beginning of their next twelve month evaluation cycle, including a Transfer and Promotion Probationary Period review within that timeframe.

PAP.9.6.040 Salary Ranges

(a) Range Minimum. The minimum of the appropriate salary range will be paid to all qualified team members. New team members will be hired, at or potentially above the range minimum provided they meet all of the qualifications, duties, and responsibilities of the job description.

(b) Range Maximum. The maximum of a salary range normally provides an upper limit that team members in that grade may be paid.

(c) Red Circle Salary. If a team member is paid over the maximum at the time the range for the classification is established, the salary will not be reduced. A "red-circled" team member will not be eligible for an increase in pay until an adjustment in the salary structure or a promotion to a higher grade brings the rate within the established range for the position.

(d) Salary Review Frequency. Reviews for salary increases are conducted once a year. Salary reviews are conducted annually based on the team member's anniversary date of their current position. Salary increases are not granted automatically, but as a result of demonstrated work performance, documented by the job-related performance appraisal.

(e) Relationship between Pay Rate and Level of Performance. The pay range for each position establishes the rate that a fully qualified team member is ordinarily able to achieve. A fully qualified team member is one who demonstrates satisfactory performance and meets the key requirements of the position, as well as all other appropriate criteria.

(f) Promotion Increases. A promotion is a change in status for a team member to a higher paid position with increased responsibility. For salaried team members, there are two types of promotions: those within the job family and those outside the job family.

(g) Job Family. A step of positions involving work of the same nature but requiring different levels of skill and responsibility. For example; Cage Cashier, Vault Cashier etc. Job families do not extend to the supervisory or management level of the hierarchy.

(h) Outside the Job Family. Salary increases generally are granted immediately upon promotion.

(i) The date of promotion establishes Transfer and Promotion Probationary Period, the date change (if applicable) of a change from non-exempt status to exempt status or vice versa, and in the case of a demotion, the beginning of a new anniversary date for merit review.

PAP.9.6.050 Wage Increases

The Gaming Enterprises will consider cost of living, merit and wage increases on an annual basis. All such increases are contingent upon many factors, including funding availability and performance evaluation. Any increase is at the discretion of the Executive Management Team, with written approval of the Chief Executive Officer.

PAP.9.6.060 Reporting Tips

(a) It is the responsibility of the Gaming Enterprises to inform all tipped team members of their obligation to report all tips. All tipped team members shall be provided with the current edition of the relevant IRS publications and forms related to tip reporting.

(b) Team members are required by the IRS to report all tips received both cash and charge daily.

(c) Definition of Tipped Team Members. A tipped team member is one who receives compensation (tips) during any work day either directly or indirectly, from customers.

(1) Directly Tipped. Team members who receive tips directly from customers.

(2) Indirectly Tipped. Team members who receive tips from other team members through tip-pooling.

(3) All tipped team members should refer to their department's tip policy for specific procedures regarding tips.

PAP.9.6.070 Overtime Pay

(a) When operating requirements or other needs cannot be met during regular working hours, team members may be requested to work overtime. When possible, Director/Managers will provide team members the opportunity to volunteer for overtime work assignments.

(b) All overtime must receive the Director/Managers prior authorization. Overtime assignments will be distributed as equitably as practical to all team members qualified to perform the required work. However, overtime assignments are at the discretion of the responsible Director/Manager and no team member has a vested right to particular overtime assignments.

(d) Non-exempt team members will be paid time and a half (1 ½) for authorized hours actually worked in excess of forty (40) hours in a week.

(e) Overtime pay is based on actual hours worked. Only hours actually worked may be used to calculate overtime pay. Paid time off for holidays, jury duty, vacation, sick leave, educational leave, or any leave of absence will not be considered "hours worked," except to the extent required by applicable law.

(f) Overtime earned, the length of time actually worked, reasons for such overtime, and authorization of actual work overtime will be documented by the responsible Director/Manager and maintained (for justification of overtime) in the appropriate files.

(g) Granting time off in place of overtime payments will not be allowed.

(h) Failure to work scheduled overtime or overtime worked without prior authorization from the Director/Manager may result in disciplinary action.

(i) False claims regarding overtime worked by team members will be subject to suspension or termination of employment.

PAP.9.6.080 Holiday Pay

(a) All team members are eligible for, but not guaranteed, holiday pay for days that are designated as observed Holidays. If the Holiday falls on a day that the team member is not scheduled to work, there will be no pay adjustment.

(b) Eligibility.

(1) In order to be eligible for holiday pay, the team member must work their scheduled day before and the scheduled day after the observed holiday, unless they have a prearranged paid time off.

(A) The holiday will be the 24-hour period that is considered for that work day unless otherwise specified by the Executive Management Team.

(B) The following days are considered observed holidays: New Year's Day, Martin Luther King Jr. Day, Treaty Day, President's Day, Easter Sunday, American Indian Day, Memorial Day, Juneteenth, We'enh Day, Independence Day, Honor the Earth Powwow Saturday, Labor Day, Indigenous Peoples Day, Veteran's Day, Thanksgiving Day, Christmas Eve Day, Christmas Day, and New Year's Eve Day.

(2) Holiday Hours Worked (Non-Exempt). A non-exempt team member who is scheduled to work on an observed holiday will receive one and one-half times (1 ½) his/her regular hourly rate of pay for holiday hours worked. However, a non-exempt team member may elected to accrue one-half (0.5) hours of PTO time in addition to their regular hourly rate in lieu of receiving one and one-half times (1.5) his/her regular hourly rate of pay for holiday pay conditioned on the non-exempt team member notifying the Human Resource Department a minimum of five (5) days in advance of the scheduled holiday that the non-exempt team member desires to accrue PTO leave.

(3) Holiday Hours Worked (Exempt). An exempt team member who is required to work on a holiday will receive equal amount of PTO time for the amount of time normally scheduled, up to a maximum of ten (10) for time worked on the holiday, in addition to their regular salary; assuming their work schedule has not been altered to accommodate for the holiday.

PAP.9.6.090 Recording Time / Time Clock

(a) Each paycheck compensates team members for work that was performed during the work period prior to the week that paychecks are delivered. The paychecks reflect payment for the hours worked and/or any used accrued time or holiday pay.

(b) Non-exempt team members are required to record their hours worked daily through the use of employer time clocks. In order to accurately calculate a team member's pay, it is the team member's responsibility to accurately punch in and out for each shift worked. All team members; both exempt and non-exempt, are required to report time taken off for any reason during a pay period.

(c) When a team member is required to use a time clock to record the time they report for/or leave work, only that team member may time-in or -out on the time clock. Infractions of this policy are subject to disciplinary action, up to and including immediate termination.

PAP.9.6.100 Payment of Wages

(a) Paychecks will be distributed every week on the Wednesday following the completion of the pay period.

(b) To pick up your paycheck, please check with your department manager to find out location and times for paycheck distribution.

(c) Paychecks will not be distributed prior to the designated time and day. Exceptions may be considered only after a written request has been approved by an Executive Management Team member and submitted to the Payroll Department Manager.

(d) Direct Deposit.

(1) The Employer may extend the courtesy of "electronically depositing" a team member's wages into their chosen bank accounts.

(2) Applications for direct deposit can be obtained from the receptionist desk or Payroll Department. A team member should then submit the completed direct deposit application to Payroll.

(3) It may take a few weeks for verification processes to be completed before the banking procedure will actually start.

(4) Team members are responsible for reimbursing the employer in cases where a direct deposit error is made in which the team member receives money for which he/she is not entitled. The team member must contact the Payroll Department immediately when the error is identified.

PAP.9.6.110 Temporary Increases

A Director/Manager who obtains prior authorization of the Chief Executive Officer may temporarily increase the pay rate of an employee during the time that the employee is temporarily performing the duties of a position with a higher salary range. Any increase will cease upon removal of the conditions that warranted the increase.

PAP.9.6.120 Lost / Stolen Check

(a) If your check is lost or stolen, you should immediately contact your department Director/Manager so the Payroll department can be notified.

(b) If the actual payday falls on a holiday, then paychecks will be issued on the day preceding the holiday.

(c) If a team member is unable to personally pick-up their pay check on the distribution day they may designate, in writing to the payroll manager, someone to pick-up their check on their behalf.

PAP.9.6.130 Overpayment / Underpayment of Wages and Salary

Team members who are overpaid or underpaid in error will have their checks corrected and have the corrected amount paid or collected in a timely manner. Team members are required to report any payroll error immediately to their Director/Manager.

PAP.9.6.140 Payroll Enclosures

All requests for information to accompany paychecks must be directed to and authorized by the Human Resource Director.

(a) All requests should be directed to the Human Resource Director.

(b) The information is to be given to the Payroll Manager. In turn, he/she will ensure the attachment is distributed.

(c) Deviation from this policy may result in disciplinary action for all parties involved up to and including termination.

PAP.9.6.150 Payroll Deductions

(a) Various payroll deductions are made each payday to comply with applicable laws, including but not limited to Federal and State Income Tax withholding, Social Security and Medicare taxes, as applicable. At the end of each calendar year, the Gaming Enterprises will provide each employee with a Wage and Tax Statement (W-2) form. This statement summarizes employee income and deductions for the year.

(b) If a team member enrolls in a benefits plan, which requires a contribution, an additional deduction from the team member's paycheck will be made for this payment.

(1) The Gaming Enterprises may request that payroll deductions be withheld for reimbursement of various actions which include, but not limited to:

(A) Recovery of lost or destroyed property;

(B) Uniforms not returned upon termination of employment, etc.

(2) The team member may request, in writing, that payroll deductions be withheld for matters such as child support, credit union payments, housing authority payments, utilities, and/or to meet other financial obligations.

PAP.9.6.160 Wage Garnishment

(a) The Gaming Enterprises may choose to honor garnishments levied by a court that has jurisdiction over the affected team member.

(b) If a team member is experiencing a financial problem that leads to wage garnishment, they are encouraged to seek advice from the Human Resource Manager, or designee regarding appropriate sources of assistance.

PAP.9.6.170 Release of Payroll Information

Except in response to garnishments, unemployment inquiries, and when required by law, the Human Resource Department will not release payroll information unless the team member has authorized its release in writing that specifies the exact information to be released.

PAP.9.6.180 Bank Deposits or Payroll Deductions

The Gaming Enterprises may automatically deposit team member's paychecks at financial institutions, subject to applicable procedures and limitations.

PAP.9.6.190 Final Paycheck for Separated Team Members

(a) Final paychecks for separated team members will be held in the Human Resources Department until all unreturned property of the Gaming Enterprise.

(b) If the outstanding property of the Gaming Enterprises remains unreturned one (1) pay period, then the value of the unreturned property shall be deducted from the final paycheck unless alternative arrangements have been made (i.e. uniforms, badges, etc.).

(c) Final paychecks for separated team members may be delayed so that Gaming Enterprise accounting can make a determination regarding outstanding balances collateralized against the team member's wages.

PAP.9.6.200 Designated Special Events Pay

(a) All team members are eligible for, but not guaranteed, Designate Special Event pay for a period that is designated as a Designate Special Event.

(b) Eligibility. In order to be eligible for Designate Special Event pay, the team member must work the Designate Special Event and shall accrue Designate Special Event pay as follows:

(1) Designate Special Event Hours Worked (Non-Exempt). A non-exempt team member who is scheduled to work a Designate Special Event will receive one and one-half times (1.5) his/her regular hourly rate of pay for a Designate Special Event worked. However, a non-exempt team member may elect to accrue one (1.0) hour of PTO time in addition to their regular hourly rate in lieu of receiving one and one-half times (1.5) his/her regular hourly rate of pay for Designate Special Event pay conditioned on the non-exempt team member notifying the Human Resource Department a minimum of five (5) days in advance of the scheduled Designate Special Event that the non-exempt team member desires to accrue PTO leave.

(2) Designate Special Event Hours Worked (Exempt). An exempt team member who is required to work a Designate Special Event will receive equal amount of PTO time for the amount of time normally scheduled, up to a maximum of ten (10) for time worked on the Designate Special Event, in addition to their regular salary.

Subchapter PAP.9.7 Available Benefits

PAP.9.7.010 Available Benefits

(a) The following is a brief list of benefits available to eligible team members;

(1) Group Health Insurance/COBRA

(2) Holiday

(3) Personal Time Off (PTO)

(4) Additional Paid Leave

(5) Unpaid Leave

(6) Family and Medical Leave

(7) Life Insurance, Disability Insurance and Retirement Plan

(8) Employee Assistance Program

(9) Christmas Bonus

(10) Employee Recognition – Years of Service

(b) The Gaming Enterprises reserve the right, at its sole and absolute discretion, to rescind or amend benefits, to change insurance carriers, or to require team members to contribute towards premium costs. The Gaming Enterprises may make these changes at any time, except as provided by law. The Human Resource Director, or designee, will notify team members of changes. While the Gaming Enterprises intends to continue offering sponsored benefits, there is no guarantee that such benefits will always be available.

PAP.9.7.020 Eligibility

The following team member classifications and eligibility for Fringe Benefits are as follows: exempt or non-exempt, casual labor, temporary team member, part-time non-salaried, full-time non-salaried, full-time salaried, seasonal.

(a) Eligible for Fringe Benefits. The following team members, as defined in Section PAP.9.2.010 of this manual, are eligible for all Fringe Benefits after satisfactorily completing their probationary period, unless otherwise provided for in an Employment Contract with the Gaming Enterprises or mandated by law: part-time non-salaried, full-time non-salaried, full-time salaried. Employees who work 16 hours a week are eligible for the FEHB insurance.

(b) Not Eligible for Fringe Benefits. The following team members, as defined in Section PAP.9.2.010 of this manual, are not eligible for any fringe benefits offered by the Gaming Enterprises, unless otherwise provided for in an Employment Contract with the Gaming Enterprises or mandated by law: casual labor, temporary team member, seasonal.

PAP.9.7.030 Group Health Insurance / Cobra

(a) Group Health Insurance is through the Federal Employee Health Benefits; FEHB. An eligible employee may select an insurance provider that best meets their individual needs through FEHB. FEHB is offered for both single, single plus one, and family coverage. Upon completion of their introductory period, team members considered to be regular full-time and regular part-time status will be required to pay 21%, or as amended from time to time by official action of the Tribal Governing Board, of the premium for the plan selected, unless otherwise provided for in an Employment Contract with the Gaming Enterprises. Employee's portion of payment will be made through payroll deductions done weekly. Team members can request more information including Summary Plan Descriptions from the Human Resource Department.

(b) Team members who are covered by the group health plan may have the right to choose continuation of health coverage if coverage is lost due to a reduction in hours of employment or termination of employment. Continuation coverage is provided pursuant to the Consolidated Omnibus Budget Reconciliation Act of 1985, and later amendments, otherwise known as "COBRA". Team members should contact the Human Resource Director for additional information regarding qualifying events or other requirements of COBRA.

PAP.9.7.040 Requests for Any Leave of Absence

(a) This section applies to all forms of leave, as contained in this subchapter.

(b) A team member desiring to utilize leave must submit a written request to their immediate supervisor, unless this is impossible due to an emergency.

(1) A Personnel Action Form must be completed by the Director/Manager and approved by an Executive Management Team member, in advance of the start date of the leave.

(c) Team members generally are expected to give at least thirty (30) days advance notice of intent to take a foreseeable leave, such as in the case of a planned medical treatment.

(1) Where thirty (30) days advance notice is not possible, the team member must give as much notice as is practicable.

(2) A team member who fails to give thirty (30) days advance notice for requesting foreseeable leave may be denied leave until thirty (30) days after the date the team member provides the required notice.

PAP.9.7.050 Returning from Leave of Absence

(a) Within seventy-two (72) hours prior to the end of a team member's leave (except in the case of Military leave), the team member should speak with their Director/Manager to plan their return work.

(b) Directors/Managers must contact the Human Resource Department in order to start the process for returning the team member to work.

PAP.9.7.060 Holiday Leave

The Gaming Enterprises grants eligible team members paid holiday leave. The Chief Executive Officer will approve the holiday schedule at least one (1) month prior to the beginning of a new calendar year. Eligible team members will receive the following paid holidays:

(a) New Year's Eve (starting at 4pm) and New Year's Day

(b) Treaty Day

(d) American Indian Day

(e) Memorial Day

(f) Independence Day

(g) Honor the Earth Powwow (Saturday of the 3^rd full weekend in July)

(h) Labor Day

(i) Indigenous Day

(j) Veterans Day

(k) Thanksgiving Days

(l) Christmas Eve (starting at 4pm) and Christmas Day.

PAP.9.7.070 Personal Time off

(a) The Gaming Enterprises believe team members are better able to deliver high quality guest service when they take off to rest, to be with family and attend to personal business. Because the property is a seven (7) day a week operation, the "Personal Time Off" policy allows each non-probationary team member to earn and use time off with pay.

(b) Personal Time Off (PTO) is provided for personal affairs. Directors/Managers and team members have the responsibility to plan schedules that meet operating requirements of the department and time off needs of the staff. In order to balance and meet service and staffing requirements, team members and supervisors should plan time off schedules well in advance whenever possible.

(d) Accrual.

(1) Regular full-time team members accrue PTO based on years of service and the date when they began continuous employment. PTO is accrued with each pay period and is available for use following the completion of a team member's probationary period. Probationary team members will not be able to use PTO during their probationary period unless it is for extreme circumstances with approval of their Director/Manager and with concurrence of the Chief Executive Officer. Years of service are accrued from the most recent date of employment of the team member.

(2) A team member will only accrue PTO for a given pay period if they were able to maintain active status during the pay period.

(3) PTO will accrue consistent with the following accrual rate for regular full-time team members:

Number of PTO Hours Earned per Year

Years of Continuous Employment	Hours Accrued Per Pay Period	Total Hours Accrued Per Year
0-1 Years	1.69 hours	88 Hours / 11days
1-2 Years	2.46 hours	128 Hours / 16 days
2-4 Years	3.23 hours	168 Hours / 21 days
4-10 Years	4.00 hours	208 Hours / 26 days
10 + Years	hours	248 Hours / 31 days

(4) Regular part-time team members will accrue prorated PTO leave at 50% of the listed rate for regular part-time Team Members based upon the years of service as detailed above. For example, a three year part-time employee regularly scheduled to work 24 hours per week shall accrue 50% of the 3.23 hours accrual rate (1.62 hours).

(5) In no circumstance will team members accrue any amounts over the maximum designated accumulations stated above. If a team member is on any leave without pay the team member will not accrue any PTO until the team member returns to active status.

(e) Requesting Personal Time Off Leave. An essential function in the success of PTO is to ensure team members are given time off to use for vacation and other personal matters. PTO schedules will be determined on a first come first served basis. Prior to the utilization of accrued PTO, team members must schedule and have the use of accrued PTO time approved so it will not interfere with job responsibilities, except as otherwise provided by law. If a team member is on PTO and there is early release or closure of the team member's worksite, the team member shall be credited any such leave during the period of early release or closure. If requesting more than three (3) days of PTO time team members shall obtain prior authorization at least forty-eight (48) hours in advance of the leave date. The Director/Manager may or may not approve such request depending on a variety of factors, including schedules. In extreme emergency situations the Director/Manager, in consultation with an Executive Team Member, may waive the forty-eight (48) hours notification provision, if requested by the team member in writing citing the reason.

(f) Payment of Unused Personal Time Off Leave. Upon successful separation of employment with a minimum of two (2) weeks' notice, all team members who have successfully completed one (1) year of employment shall be paid for their unused Personal Time Off based on the date of separation. A team member who quits his or her employment without providing at least a written two (2) week notice will forfeit any accrued PTO unless otherwise approved by his or her Director/Manager in collaboration with the Chief Executive Officer. No payment of PTO will be made if separation is done while the team member is not in good standing.

(g) Minimum Increments of PTO. Team members are required to use and be paid for available PTO to cover the absence or tardy of one (1) hour or greater. If the absence is due to a medical leave of absence that is a minimum of seven (7) calendar days or is a Family Medical Leave absence pursuant to Section PAP.9.7.100 of this ordinance, the team member has the option to not use PTO time or only use a portion of PTO time to cover a portion of the time absent.

(h) Maximum Accrual of PTO. PTO may be accrued to the maximum amounts established in Section PAP.9.7.070(d)(3) above. If a team member reaches this maximum, and fails to take leave, he/she will cease to accrue any PTO until they reduce the existing accrual by taking time off and their balance is below maximum amounts established in Section PAP.9.7.070(d)(3) above.

(i) Sharing of Personal Time Off. Team members are permitted to share PTO with other Casino staff with approval of the Director/Manager and the Human Resource Director. Employees may cash-out PTO with the Manager and Human Resource Director's approval.

PAP.9.7.080 Additional Paid Leave

The Gaming Enterprises grant team members that are deemed eligible pursuant to Section PAP.9.7.020 of this manual additional paid leave in certain situations, including the following:

(a) Civil Leave. The Gaming Enterprises grant eligible team members paid civil leave during the required absence when a team member appears as a witness for the federal, state or Tribal Government, in obedience to a subpoena. A team member must promptly notify his or her Director/Manager upon receipt of any subpoena. If a team member receives any stipend for such civil leave, he or she must use PTO during any work absence for such service. No team member shall take both compensated time and stipend pay during the required absence for civil leave.

(b) Jury Duty Leave. The Gaming Enterprises grant eligible team members paid leave during the required absence for jury service. A team member must promptly notify his or her Director/Manager upon receipt of any notice to appear. If a team member receives any stipend for such jury duty leave, he or she must use PTO during any work absence for such service. No team member shall take both compensated time and stipend pay during the required absence for jury service.

(1) It is the policy of the Gaming Enterprises to provide time for bereavement when death of an immediate family or an extended family member has occurred.

(2) Team members who need to take time off due to the death of a family member should notify their supervisor immediately. Up to thirty-two (32) hours of paid funeral leave will be provided to an immediate family member over a four (4) day period based on a team member's schedule. For an extended family member up to sixteen (16) hours of paid funeral leave will be provided over a two (2) day period based on a team member's schedule. There will be no combination of paid funeral time.

(A) The employer defines "immediate family" as: Team member's father, mother, legal spouse, brother, sister, child, grandparent or grandchild.

(B) The employer defines "extended" family members as: Aunt, uncle, niece, nephew, great grandparent, great grandchild, father-in-law, mother-in-law, brother-in-law, sister-in-law, son-in-law, daughter-in-law, first cousin, step-father, step-mother, step-brother, step-sister, step-child, step-grandchild or step-grandparent.

(3) In the case of a spring burial, a team member eligible for the criteria stated in Section PAP.9.7.080(c)(2) above may utilize one day of their original paid funeral leave to attend the burial, or may use any available PTO if original award of funeral leave was used at the time of the death.

(4) Communication and approval from the team member's supervisor must take place prior to the use of funeral leave.

(5) Funeral leave pay is calculated based on the base pay rate at the time of absence and will not include any special forms of compensation, such as incentives, commissions, bonuses or shift differentials.

(6) Funeral leave will normally be granted, unless there are unusual business needs or staffing requirements. A team member may, with their supervisor's approval, use any available paid leave for additional time off as necessary.

(7) A pallbearer will receive two (2) days of funeral leave and the time must be taken on the day of the wake and the day of the funeral.

(8) Funeral leave may be granted if the following are provided:

(A) The name of deceased;

(B) Relationship to team member; and

(9) Unpaid time off may be granted at the discretion of the team member's Director/Manager, in accordance with the above procedure, for the death of any other relative or close friend. Any available PTO leave may also be used.

(d) Committee or Board Leave. The Gaming Enterprises grant eligible team members paid leave to serve on committees or boards of the Tribal Governing Board and may approve leave to participate in other outside boards or committees. A team member must receive prior approval from his or her Director/Manager prior to accepting an appointment or volunteering to sit on any committee or board. A team member may receive a stipend for such committee or board service, he or she shall not need to use PTO during any work absence for such service.. Attendance at any meetings related to such appointment must be preapproved by the team member Director/Manager and such appointment/meetings shall not interfere with a team members work performance and duties.

(e) Maternity Leave. The Gaming Enterprises grant eligible female team members up to two (2) weeks, not to exceed eighty (80) hours for full-time team members or sixty-two (62) hours for part-time team, for time to deliver and care for a newborn child. Part-time team members will have their two (2) weeks of total hours based on their average hours worked over the most recent thirteen (13) weeks. If a team member has medical problems prior to delivery, she may utilize paid maternity leave, subject to the maximum limit, with written verification from her doctor. A team member must request and obtain the prior approval of her Director/Manager to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.9.7.100 of this manual.

(f) Paternity Leave. The Gaming Enterprises grant eligible team members up to two (2) weeks, maximum of eighty (80) hours, paid leave to care for a newborn child. A team member must request and obtain the prior approval of their Director/Manager to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.9.7.100 of this manual.

(g) Parental Leave. The Gaming Enterprises grant eligible team members up to two (2) weeks, maximum of eighty (80) hours, paid leave for adoption, customary adoption, guardianship, protective placement, or an emergency safety plan of a pre-school (0-5 years of age) child. Leave may be granted prior to the legal proceedings having been completed. An employee must request the leave as early as possible and obtain approval of his or her Director/Manager to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.9.7.100 of this manual.

(h) Military Leave. The Gaming Enterprises grant eligible team members up to two (2) weeks days, maximum of eighty (80) hours, paid leave upon presentment of official orders requiring attendance for training or to perform other duties as a member of the United States Armed Forces. A team member serving on military leave with pay will be paid only the difference between compensation fees received for such duties and his or her normal salary. A team member must notify his or her Director/Manager prior to such leave. The Gaming Enterprises will look to the provisions of the Uniformed Services Employment and Reemployment Rights Act (USERRA) 38 U.S.C. § 4301 et. seq. solely as a guideline in determining reemployment of team members who take extended military leave.

(i) Voting Leave. The Gaming Enterprises will grant eligible team members one (1) hour paid leave to exercise the right to vote when the Team Member schedule would otherwise infringe on the right to vote during open polling hours. A team member must request and obtain the prior approval of his or her Director/Manager to utilize this leave.

(j) Birthday Leave. The Gaming Enterprises grant eligible team members a scheduled work-day off of paid leave for the team member's birthday, provided the employee must take such leave within the month of their birthday.

(k) Education Leave. The Gaming Enterprises may grant eligible team members paid release time to attend job-related or degree seeking courses. A team member must consult with his or her Director/Manager prior to registering to ensure the course is acceptable and must request and obtain the prior written approval of his or her Director/Manager with concurrence from the Chief Executive Officer to utilize this benefit. A team member must also have an approved Professional Development Plan on file with the Human Resource office. A team member must promptly provide his or her Director/Manager and the Human Resource Director, with written proof of course completion. A failure to successfully complete a course may jeopardize a team member's ability to obtain approval of subsequent paid release time hereunder. The Gaming Enterprises may pay the tuition, books and associated fees of a team member attending an accredited institution of higher learning. The employee must be attending for the purpose of obtaining a degree or enrolling in courses in a field of study that is related to their position of employment with the Gaming Enterprises. A team member desiring to have the Gaming Enterprises pay these expenses must have an approved Professional Development Plan on file which is approved by Director/Manager and agree to the terms and conditions of an Educational Expense Reimbursement Agreement and is subject to program availability of funding pursuant to Section PAP.9.4.060 of this manual.

(l) Conferences and Meetings. The Gaming Enterprises grant eligible team members time to attend job-related conferences and professional meetings. A team member must consult with his or her Director/Manager prior to registering to ensure the conference or professional meeting is acceptable. A team member must request and obtain the prior written approval of his or her Director/Manager to utilize this benefit.

PAP.9.7.090 Unpaid Leave

(a) Disciplinary Leave. The Gaming Enterprises may take disciplinary action, up to and including termination or suspension without pay, against team members who violate the provisions of this personnel policy and procedural manual.

(b) Leave of Absence. The Gaming Enterprises may grant eligible team members a minimum of seven (7) days and up to a maximum of thirty (30) days unpaid leave, within a twelve (12) month period, without loss of employment status. The Gaming Enterprises may grant such leave only when the resulting leave will not adversely affect the operations of the Gaming Enterprises. A team member must request and obtain the prior written approval of his or her Director/Manager with written concurrence from the Chief Executive Officer to utilize this leave.

(c) Religious Leave. The Gaming Enterprises may grant eligible team members up to an additional fifteen (15) days of unpaid religious leave. A team member must request and obtain the prior approval of his or her Director/Manager to utilize this leave.

PAP.9.7.100 Family and Medical Leave

Team members may be eligible for up to twelve (12) weeks of family and medical leave during any twelve (12) month period. The leave may be paid, unpaid, or a combination of paid and unpaid, depending on the circumstances. This policy sets forth the Gaming Enterprise's policies and procedures for requesting family and medical leave.

(a) Eligibility for Leave. To be eligible for family and medical leave under this policy all of the following conditions must be met:

(1) A team member must have been employed by the Gaming Enterprises for at least twelve (12) months or fifty-two (52) weeks.

(2) A team member must have worked at least one thousand two hundred fifty (1250) hours during the twelve (12) months immediately preceding the request for leave.

(b) Reasons for Requesting and Types of Leave. Team members who are eligible for leave under this policy may request up to twelve (12) workweeks of unpaid leave during any twelve (12) month period for the following reasons:

(1) To care for a child following the child's birth or placement for adoption or foster care (this may be taken only within twelve (12) months of the birth or placement).

(2) To care for an immediate family member who has a serious health condition as defined in Section PAP.9.2.010(o) of this manual.

(3) Because the team member has a serious health condition as defined in Section PAP.9.2.010(o) of this manual, which prevents the employee from performing the functions of the position.

(c) If a team member takes PTO for a condition that progresses into a serious health condition and the employee requests unpaid leave as provided under this policy, the Gaming Enterprises may designate all or some portion of related leave taken as leave under this policy, to the extent that the earlier leave meets the necessary qualifications.

(d) If both parents work for the Gaming Enterprises, and each wishes to take leave for the birth of a child, adoption or acceptance of a child in foster care, or to care for an immediate family member with a serious health condition, the team members may only take a combined total of twelve (12) weeks of unpaid leave.

(e) Team members can take up to twelve (12) weeks of leave under this policy during any twelve (12) month period. The Gaming Enterprises will measure the twelve (12) month period as a rolling twelve (12) month period measured backward from the date a team member uses any leave under this policy. Each time a team member takes a leave, the Gaming Enterprises will compute the amount of leave you have taken under this policy and subtract it from the twelve (12) weeks of available leave, and the balance remaining is the amount a team member is entitled to take at that time. An employee's family or medical leave taken may run concurrently with other types of leave including workers' compensation and other leaves, such as short-term or long-term disability, etc. If a team member is not released to return to work within the allowable twelve (12) weeks in a rolling twelve (12) month period, the team member will be released from their employment with the Gaming Enterprises. The team member's release from employment shall be classified as being in good standing and they would be eligible for rehire with the gaming enterprises without the six (6) month wait for rehire. The team member would be required to supply a medical release at the time of application in this situation.

(1) In situations where leave is requested due to the birth, adoption or acceptance of a child in foster care, intermittent or reduced work schedules will be granted at the Gaming Enterprise's sole discretion and if granted must be taken within one (1) year of the birth or placement of the child.

(3) In situations where an intermittent or reduced work schedule is permitted, the Gaming Enterprises may require an employee to transfer to an alternative position with equivalent pay and benefits in order to accommodate the recurring periods of absence.

(g) Use of Paid and Unpaid Leave. Team members who have accrued PTO must use paid leave first and take the remainder of the twelve (12) weeks as unpaid leave.

(1) Team members who take a leave because of their own serious health condition or the serious health condition of a family member must use all accumulated PTO prior to being eligible for unpaid leave.

(2) Team members who take leave for the birth of a child must use paid PTO for physical recovery following childbirth, except where such leave is compensated as paid maternity leave under this personnel policy and procedural manual or as paid short-term or long-term disability leave. These team members must then use all paid PTO leave, and then will be eligible for unpaid leave for the remainder of the twelve (12) weeks. Employees who take leave for the adoption or acceptance of a child in foster care must use all paid PTO prior to being eligible for unpaid leave.

(h) Procedure for Requesting Leave. In situations where leave is foreseeable, team members must provide written notice to the Director/Manager at least thirty (30) days prior to the date on which the leave is scheduled to begin. If the leave is foreseeable due to a planned medical treatment, employees must make reasonable efforts to schedule the treatment(s) to minimize disruptions to the Gaming Enterprise's operations. If circumstances occur, in which it is not practicable to provide thirty (30) days' notice, team members must provide written notice as far in advance as is practicable. If a team member fails to provide thirty (30) days advance written notice of a requested leave and have no reasonable excuse, the leave may at the Chief Executive Officer's discretion be delayed for up to thirty (30) days from the date of written notice.

(i) Medical Certification Requirement. When leave is requested because of a serious health condition affecting a team member or his or her immediate family member, the Gaming Enterprises requires the employee to obtain certification of the health condition from the pertinent doctor or health care provider. This certification must be provided to the Director/Manager within fifteen (15) days after the leave is requested or, when the need for leave was unforeseeable, within fifteen (15) days after the leave has commenced unless it is not practicable to do because of the nature of the health condition.

(1) If a team member seeking leave due to a serious health condition fails to provide the required medical certification, the leave will be denied until the certification is provided. If the leave request was not foreseeable, such as in a medical emergency, the failure to provide the required medical certification within a reasonable time may result in the denial of continuation of leave. Medical certification provided in justification of a request for leave must include the following information:

(A) The date on which the serious health condition started and its expected duration;

(B) The diagnosis concerning the condition;

(D) A statement of whether in-patient hospitalization is required; or

(E) A statement that the team member is needed to care for his or her immediate family member afflicted with a serious health condition or, if the team member has the serious health condition, a statement that he or she is unable due to the health condition to perform the essential functions of the position or work of any kind.

(2) The Gaming Enterprises, if it doubts the certification, at its expense, may require an employee seeking leave due to a serious medical condition to obtain a second opinion from a doctor or other health care professional designated by the Gaming Enterprises. If the second opinion conflicts with the certification provided by the team member, the Gaming Enterprises may, at its sole discretion and at its expense, require a third opinion from a doctor or other health care professional designated jointly by the Gaming Enterprises and the team member. Such a third opinion will be final and binding.

(3) If a team member plans to take intermittent leave or work a reduced schedule, the certification must also include dates and the duration of treatment and a statement of medical necessity for taking intermittent leave or working a reduced schedule. During a leave taken under this section, team members may be required to provide, periodically, written notice to the Director/Manager concerning his or her status and intention to return to work.

(j) Return from Leave. Upon completion of leave due to a team member's own serious health condition, the team member must provide the Gaming Enterprises with medical certification from his or her doctor or other health care professional that the team member is now able to return to work. If a team member fails to provide this certification, he or she will not be permitted to return to work until such certification is provided. A team member who takes leave under this policy will be able to return to the same job or a job with equivalent status, pay, benefits and other employment terms. The Gaming Enterprises may choose to exempt certain highly compensated employees from this requirement and not return them to the same or similar position.

(k) Health Benefits during Leave.

(1) During a leave taken pursuant to this policy, an employee's health benefits under any existing Tribal sponsored health plan will be continued as if the employee had continued in employment continuously for the duration of the leave. If, however, an employee fails to return at the end of a leave taken under this policy, except if this is due to the continuation, recurrence or onset of a serious health condition or something else beyond the team member's control, then the Gaming Enterprises may recover from the employee all of the health care premiums paid to maintain health coverage during the leave.

(2) If under the Gaming Enterprise's current policy, a team member pays a portion of the health care premium, while on paid leave, the Gaming Enterprises will continue to make payroll deductions to collect the team member's share of the premium. While on unpaid leave, the team member must continue to make this payment, either in person or by mail. The payment must be received by the first day of each month. If the payment is more than thirty (30) days late, the team member's health care coverage may be dropped for the duration of the leave.

PAP.9.7.110 Workers' Compensation

(a) The Gaming Enterprises carries insurance to cover the cost of work-incurred injury or illness. Benefits help pay for team member's medical treatment and a portion of any income lost while recovering. A team member must report any work-related injury or illness to his or her Director/Manager by completing the "First Report of Injury or Illness Form," which must be completed within the timelines as stated in the Chapter CMP.6 – Worker's Compensation Code.

(1) The Director/Manager will then ensure that the Security and Human Resource departments are notified for completion of an accident report and for the investigation of the injury.

(2) If medical treatment is required, the team member will be directed to seek medical treatment at a facility of their choosing.

(3) Team members are protected against loss of income during prolonged periods of disability pursuant to the company's current Workers Compensation, for on-the-job injuries beginning after the first three (3) days of missed work due to disability, providing approximately two-thirds of a team member's salary.

(4) It is the team member's responsibility to submit completed forms and necessary documentation for disability insurance processing. The Human Resource Department will assist team members with the submission of disability claims to the insurance carriers.

(b) Any team member who violates safety rules, which results in accidents/injuries to themselves or others, will be subject to disciplinary action.

(c) Team members who have been injured on the job will be required to submit to an alcohol/drug test consistent with Section PAP.9.11.110 of this manual.

(d) Refer to the Chapter CMP.6 – Worker's Compensation Code for additional guidelines.

PAP.9.7.120 Light / Limited Duty

(a) If the injured team member has the opportunity to return to work in a vacant position for which he/she meets the qualifications and is physically capable of performing the work, the team member may return to for the Gaming Enterprises. Director/Managers and the Human Resource Department will assist team members in finding placement when applicable.

(b) Occasionally, the Gaming Enterprises may have "modified duty positions" enabling the team member to return to work within limitations set by the medical provider. When such a position is identified, the Human Resource Department will contact the team member and inform him/her where and when to return to work. If the team member fails to appear for limited duty work, worker's compensation benefits may be reduced or cease completely.

(c) While on leave under worker's compensation benefits, the team member will continue to be responsible for all elective benefit payments, such as their portion of health care coverage, dependent health care coverage, etc. Since the team member will not be receiving income through the casino payroll department during this time, payroll deductions will not occur. Team members are responsible for submitting premiums due pursuant to Section PAP.9.7.100(k)(2) of this manual.

PAP.9.7.130 Reporting Requirements

(a) Team members on worker's compensation leave are required to keep their Director/Manager and the Human Resource Department informed of their progress while on worker's compensation benefits.

(b) Copies of all Reports of Workability from doctors or treating personnel must be turned into the Human Resource Department as soon as reasonably possible after the report has been completed.

(c) Team members who violate safety rules which result in accidents, injuries or illnesses to others or themselves, or who fail to report accidents in a timely manner will be subject to disciplinary action in accordance with Subchapter PAP.9.12 of this policy. Submitting a false illness or injury report will result in disciplinary action, up to and including termination, regardless of the date of discovery. Failure to report work related injuries in a timely manner, may also negatively impact the team member's ability to receive workers' compensation benefits.

(d) If a team member is not working due to a job related injury or illness for which he/she is receiving workers' compensation benefits, the time away from the job will be counted, up to twelve (12) weeks, as time allowable under Section PAP.9.7.100 of this manual, if it qualifies as a "serious health condition." Director/Managers shall work with the Human Resource Department to establish a plan to return the team member back to work, even if it is light duty.

PAP.9.7.140 Unemployment Compensation

(a) Unemployment compensation taxes can represent a substantial expense to the employer. Managers are expected to help control these costs through effective performance management.

(b) Team members may be eligible for unemployment compensation if they left due to lack of work or layoff initiated by the employer.

(1) Immediately sending any claim notice received from the state unemployment agency to the Human Resources Department. Only the Human Resources Department will respond to any such notice.

(2) Responding immediately and accurately to any request for information from the Human Resources Department regarding a terminated team member seeking unemployment compensation.

(3) Providing detailed and accurate paper work regarding the progressive disciplinary procedures followed for each team member by:

(A) Not using the word "unknown" in an explanation.

(B) Not using the phrases "poor work performance" or "unsatisfactory work performance" without giving specific examples of why the work performed was unsatisfactory.

PAP.9.7.150 Life Insurance, Disability Insurance and Retirement Plan

The Gaming Enterprises shall provide non-probationary full-time team members Life and Disability insurances along with a Retirement Plan. A team member wanting more information on these types of benefits should consult with the Human Resources Department.

PAP.9.7.160 Employee Assistance Program

The Gaming Enterprises recognizes that Team Members may develop personal, psychological, and medical problems which could have negative effects on job performance. The Gaming Enterprises offers an Employee Assistance Program (EAP) for all team members and may schedule an appointment with the Human Resource Manager, or designee during work hours. If the EAP appointment is at another facility, the team member may use unpaid leave for EAP absences. EAP provides referrals to local community treatment sources and all visits are held in confidence. EAP appointments will be coordinated with the team member's supervisor, using the chain-in-command policy, so customer service does not get interrupted. Participation in EAP does not excuse team members from complying with the provisions of this ordinance or from meeting normal job requirements during or after receiving assistance. Nor will participation in our EAP prevent the Gaming Enterprises from taking disciplinary action against any team member for performance problems that occur before or after the team member's seeking assistance through the program. Team Members interested in learning more about EAP are encouraged to contact the Human Resources Director or designee.

(a) The Gaming Enterprises offer referral to an Employee Assistance Program or other appropriate services and rehabilitation programs pursuant to Section PAP.9.11.080 of this manual, which emphasize education, prevention, counseling and treatment to team members when personal concerns arise which may impact the team members' work performance or the employer's operations. These concerns include alcohol, illegal drug, or prescribed medication abuse; individual psychological problems; marital, family or child difficulties; work stress; and financial or legal matters.

PAP.9.7.170 Christmas Bonus

Christmas bonuses may be paid to employees as determined by the Chief Executive Officer, which will be subject to any funding or other limitations.

Subchapter PAP.9.8 Conduct

PAP.9.8.010 General Statement of Conduct

All team members must conduct themselves in a manner, which is kind, courteous, ethical and respectful to all members of the public, including fellow team members. In all instances, team members must exercise good judgment and conduct themselves with the highest degree of professionalism. A failure to follow any conduct policies or other provisions of this personnel policy and procedure manual may result in disciplinary action, up to and including termination.

PAP.9.8.020 Conflict of Interest

Team members are not permitted to engage in nepotism, favoritism, and any outside business transactions, or other activities, which are detrimental to the best interests of the Gaming Enterprises. This includes activities that, directly or indirectly, divert business opportunities from the Gaming Enterprises or confer an unfair advantage upon or benefit to a family member. It also includes activities that negatively reflect upon the Gaming Enterprises' image or are contrary to the mission of the Gaming Enterprises, except for activities specifically protected by law. The Gaming Enterprises respects the right of team members to engage in activities outside their employment that are of a private nature and unrelated to their job or the Gaming Enterprises. However, team members must fully disclose to their Director/Manager or the Human Resource Director, or designee, all business and personal activities that represent such a conflict of interest with the Gaming Enterprises. If an employee is unsure whether a conflict of interest exists, the employee is encouraged to seek the advice of the Human Resource Director, or designee.

PAP.9.8.030 Outside Employment

Team members may not accept simultaneous employment with another tribal agency or another employer without the express permission of their Director/Manager with written concurrence from the Chief Executive Officer. Permission may be denied if the other employer is a competitor or supplier of the Gaming Enterprises. The request may be denied with employment of another tribal agency if the total hours worked in a given week violates tribal policy or interferes with the work expectations of the Gaming Enterprises. The Gaming Enterprises considers all full time team members' work with the Gaming Enterprises to be their primary employment responsibility. As such, outside employment will not be considered an excuse for poor performance, absenteeism, tardiness or refusal/inability to work overtime.

PAP.9.8.040 Political Activity

Team members shall not directly or indirectly use their authority, influence or political aspirations to compel individuals to participate or not participate in Tribal political activity and/or election processes. Campaign buttons, posters, or apparel related to tribal political activity is prohibited at the workplace, and distributing literature, emailing, and circulating petitions related thereto during work time or in work areas is strictly prohibited. In addition, employees shall not use Tribal property and services to influence individuals to participate or not participate in the Tribal election process.

PAP.9.8.050 Behavior of Team Members

(a) A description of the employer's Professional Conduct Standards is provided in Section PAP.9.8.050(b) below. It will enable each team member to understand some of his/her responsibilities as a team member and to make it clear what activities are not permitted. All team members are expected to become familiar with and abide by this policy. This is not intended, however, to be an all-inclusive list of the entire professional conduct standards. All team members are expected to use common sense and good judgment at all times.

(b) In addition to the following list, individual departments may have their own policies and procedures that pertain to job responsibilities specifically. The team member's supervisor will provide any information on specific departmental policies and procedures. If there are questions concerning the departmental policies and procedures, Professional Conduct Standards, or Human Resource Policies and Procedures relating to specific job duties, it is each team member's responsibility to contact their supervisor or the Human Resource Department for clarification. The following list of infractions may warrant disciplinary action up to and including termination of employment:

(1) Sexual Harassment;

(2) Insubordination or refusal to follow a supervisor's direct, legitimate order, performance standard, or instruction;

(3) Theft or unlawful possession of stolen, lost or misplaced property of employer's property or property of another team member, or guest;

(4) Failure to conduct oneself in a professional manner at all times such as engaging in horseplay, yelling, loitering during work hours, disorderly conduct, including vulgar or abusive language or behavior, fighting, or threatening, insulting or abusive behavior toward another person while on or off duty;

(5) Any falsification or omission of information on any employment or gaming application or other related documents, including employment applications, worker's compensation, insurance forms or other documents whether of public record or not. These actions will result in termination in all cases, regardless of the date of discovery;

(6) Discussion and/or release of confidential information to unauthorized individuals without prior approval. Such action will also constitute a breach of confidentiality and conditions of employment;

(7) Possession of a gun or other dangerous instrument or weapon on the premises;

(8) Improper or unauthorized use of a guests' and/or team members' identification;

(9) Willful destruction or misuse of employer's property or property of another team member, and/or guest;

(10) Failure to cooperate with or identify yourself to any management official or security officer or a guest. Cooperation includes the compliance with the request for signed statements as to incidents and situations witnessed;

(11) Political manipulation (such as, seeking advantage by working through Tribal Council), bypassing other employer's recourses or the Chief Executive Officer;

(12) Intoxication and/or consumption of alcoholic beverages or illegal drugs while on duty;

(13) Failure to follow the proper complaint procedures or bypassing the normal chain of command as given in the approved organizational structure chart;

(14) Engaging in a dishonest act. There will be no appeal for termination for a dishonest action;

(15) License revocation;

(16) Failure to promptly submit to testing for drug and/or alcohol usage as required by the employer's policy, when there is probable cause or reasonable suspicion;

(17) Failure to report illegal activity on the premises in a timely manner, whether knowledge of the activity is obtained directly or indirectly;

(18) Deterring a guest from patronizing the property, or making disparaging remarks concerning the employer, or its operation to a guest or team member;

(19) Soliciting or pressuring a guest for tips, loans, or other favors;

(20) Conduct unbecoming to the values of the employer;

(21) Failure to bring an authorized medical excuse or release form when required;

(22) Taking more than the allotted time for meals or break periods;

(23) Leaving work area without proper authorization during an assigned shift including breaks.

PAP.9.8.060 Harassment

(a) The Gaming Enterprises have a "zero-tolerance" policy with respect to team member harassment. Any form of unlawful team member harassment based on race, color, religion, sex, national (including Tribal) origin, age, disability or status in any protected group is prohibited. The Gaming Enterprises will not tolerate interference with the ability of team members to perform their expected job duties. Harassment of team members or members of the public by team members will result in disciplinary action, up to and including termination.

(1) Sexual Harassment. Sexual harassment includes unwelcome sexual advances, requests for sexual favors, and other verbal, visual or physical conduct of a sexual nature. No supervisor, manager or any other team member shall threaten or insinuate, either explicitly or implicitly that another employee's refusal to submit to sexual advances will adversely affect that person's employment, wages, advancement, assigned duties, or any other condition of employment or career development. Similarly, no supervisor, manager or employee shall promise, imply or grant any preferential treatment in connection with another team member engaging in sexual conduct.

(B) Team members are encouraged to report harassment before it becomes severe or pervasive. The policy prohibiting harassment includes adverse treatment of team members because they report harassment or provide information related to such complaints.

(C) A team member who thinks that he or she has been a victim of harassment and who desires to file a complaint to that effect should generally initially complain first to the team member's immediate supervisor unless that supervisor is the subject of the complaint. Under this circumstance or under any other circumstance where the team member prefers not to complain first to their immediate supervisor, the team member may file a complaint with the Human Resource Department or anyone else in a managerial role.

(D) All supervisors and members of management to whom a complaint of harassment is brought or who independently become aware of behavior prohibited by the harassment policy are to report the complaint of harassment to the Department Head. The Department head, unless that individual is the alleged harasser, will in turn report that complaint to the Human Resource Director within twenty-four (24) hours.

(E) Team members filing complaints of harassment are assured that information about the allegation of harassment will be shared only with those who need to know. Records relating to harassment complaints will be kept confidential on the same basis. Complete confidentiality cannot be guaranteed; conducting an effective investigation may require certain information to be revealed to the alleged harasser and potential witnesses.

(F) Under no circumstances will the individual who conducts the investigation or who has any direct or indirect control over the investigation be subject to the supervisory authority of the alleged harasser. After all of the evidence is in, interviews are finalized, and any credibility issues are resolved, a determination as to whether harassment occurred will be made and the parties informed of the determination.

(G) If no determination can be made because the evidence is inconclusive, the parties will be informed of this result.

(H) The employer will undertake immediate and appropriate corrective action including discipline up to and including termination, whenever it determines that harassment has occurred in violation of this policy.

(I) Any team member found to have deliberately filed a false claim of sexual harassment will be subject to disciplinary action up to and including termination.

(3) General. Harassment under this policy may also include words or conduct committed by customers or suppliers of the Gaming Enterprises. In the event that any harassing or offensive language or conduct occurs, employees must report it to the Human Resource Director, or designee, immediately so the matter can be addressed promptly.

(4) Enforcement. Each member of Management is responsible for creating an atmosphere free of harassment, sexual, racial or otherwise. Further, team members are responsible for respecting the rights of their coworkers.

(b) If a team member experiences any job-related harassment based on sex, race, national (including tribal) origin, disability, or another factor, or believes that he or she has been treated in an unlawful, discriminatory manner, the employee must promptly report the incident to his or her Director/Manager or Human Resource Director, or designee, who will investigate the matter and take appropriate action. All employee complaints will be kept confidential to the maximum extent possible.

(c) The Gaming Enterprises prohibits any form of retaliation against any team member for filing a bona fide complaint under this policy or for assisting in a complaint investigation. However, if, after investigating any complaint of harassment or unlawful discrimination, the Gaming Enterprises determines that the complaint is not bona fide and was not made in good faith or that an employee has provided false information regarding the complaint, disciplinary action may be taken against the individual who filed the complaint.

PAP.9.8.070 Confidentiality

(a) In the course of performing duties for the Gaming Enterprises, team members may obtain or become aware of confidential information, such as personnel, financial and legal information of the Gaming Enterprises, its programs, operations, enterprises and employees, including but not limited to information encompassed in any reports, investigations, research or development work, mailing lists, bid lists, directories, listings, plans, specifications, proposals, marketing plans, financial projections, cost sheets, bid estimates, bid spreadsheets, vendor or subcontractor quotes, financial data and any and all concepts or ideas, materials or information related to the business, products, or services of the Gaming Enterprises or its customers and vendors ("Confidential Information").

(b) Team members must hold all Confidential Information in strict confidence and shall not directly or indirectly disclose Confidential Information or permit the release thereof to any outside person or entity except as necessary to perform employment duties or as otherwise required by law. If any question arises about whether information must be treated as confidential, employees must treat such information as confidential until confirmed otherwise by their Director/Manager, in consultation with the legal department.

(c) Team members also must not use or release, directly or indirectly, any proprietary information or trade secrets of the Gaming Enterprises without prior authorization from their Director/Manager, in consultation with the legal department. Trade secrets include any formula, pattern or devise of compilation of information which is used in the Gaming Enterprises' business or operations.

(1) Team Member Information. Team Member Information of a personal nature shall be maintained as confidential and includes personal or household income, health, academic records, previous criminal history, disciplinary actions and performance evaluations, except to the extent such information is necessary to determine team member's or applicant's suitability for Gaming Enterprises employment.

(2) Gaming Enterprises Mailing Lists. Gaming Enterprises mailing lists should be kept confidential, except to the extent such information is necessary for conducting business of the Gaming Enterprises. Violation of tribal, state or federal confidentiality laws and approved Gaming Enterprises policies concerning confidentiality may be cause for disciplinary action up to including dismissal.

(d) Violations of confidentiality, including the disclosure of confidential information (verbal, written or documents) as defined under this section shall be subject to discipline, up to and including termination. The Gaming Enterprises reserves the right to prosecute any violations to fullest extent allowed under tribal, state or federal law.

PAP.9.8.080 Disruptive Behavior

Team members are expected to conduct themselves in a professional manner at all times while at work, or representing the enterprise in any capacity. Disruptive behavior that becomes a distraction to the morale or work performance of other team members is prohibited and subject to disciplinary action up to and including termination.

(a) Team members are encouraged not to create or share rumors, to gossip or to visit with co-workers while on duty.

(b) Failure to comply with these policies is subject to disciplinary action on a case-by-case basis.

PAP.9.8.090 Workplace Violence by Team Members

The employer has a strong commitment to its team members to provide a safe, healthy and secure work environment. It is also expected that team members maintain a high level of productivity and efficiency. The presence of weapons and the occurrence of violence in the workplace by team members during working hours or otherwise are inconsistent with these objectives.

(a) While the employer has no intention of intruding into the private lives of its present and potential team members, it expects all team members to report to work without possessing weapons and to perform their job without violence toward any other individual. The employer expects all its team members to work in a manner so that they can perform their duties in a safe and productive manner. Therefore, the employer has adopted and maintains policies against any workplace violence.

(1) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the Gaming Enterprises is committed to taking prompt remedial action, up to and including immediate termination, against any employee who engages in any threatening behavior or acts of violence or who uses any obscene, abusive, or threatening language or gestures.

(b) Team members shall not bring or possess unauthorized firearms or other weapons onto the Gaming Enterprise premises. Any team members who displays a tendency to engage in violent, abusive, or threatening behavior or who otherwise engages in behavior that the Gaming Enterprises, in its sole discretion, deems offensive or inappropriate, or who possesses a firearm or weapon in violation of this policy will be subject to disciplinary action, up to and including termination.

(c) The employer has the right to search any areas on the employer's premises for weapons including, but not limited to, lockers, furniture, containers, drawers, equipment or other facilities, lunch boxes, briefcases, personal bags, personal toolboxes or tool kits, parking lots, employer's vehicles and personal vehicles parked on the work premises.

(d) Team members have a "duty to warn" management of any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve other team members and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The Gaming Enterprises will not condone any form of retaliation against any employee for making a report under this policy.

(e) If a team member is injured while participating in a fight or after instigating a fight, on or off the clock, worker's compensation benefits may be denied.

(f) Definitions:

(1) Crime or Violence. Includes any degree of murder, voluntary manslaughter, aggravated rape, rape, mayhem, aggravated robbery, burglary, stalking, aggravated assault, assault, battery, and threats of any of the above.

(2) Weapon. Includes an explosive; a device principally designed, made or adapted for delivering or shooting an explosive weapon; a machine gun; a short-barrel rifle or shotgun; a handgun; a firearm silencer; a switchblade knife or any other type of knife; knuckles; one's body if trained through martial arts, the military, etc.; or any other implement for infliction of bodily injury, serious bodily injury, or death.

(3) Possession. Shall include, but is not limited to, the presence on the team member, in the team member's motor vehicle, lunch box, locker, tool kit, bag, purse, cabinet, Department, etc.

PAP.9.8.100 Prohibited Activities of Team Members

(a) The employer specifically prohibits the following and will routinely discipline a team member up to and including termination for any of the following:

(1) Use, possession, or sale of any weapon described above, on the property.

(2) Storing any weapon in a locker, desk, vehicles, lunch box, tool kit, bag, purse, or other repository at work or other related workplace premises.

(3) Illegal possession, use or sale of weapons on or off-premises that adversely affects the team member's own or other's safety at work, or indicates a propensity for it.

(4) Refusing to promptly submit to an inspection for the presence of a weapon that is requested by the employer.

(5) Conviction under any criminal statute for the illegal possession of a weapon or for committing a violent act against the person or property of another.

(6) Refusing to sign a statement to comply with the employer's policy on workplace violence.

(7) Refusing to promptly participate in an investigation pertaining to allegations or suspicion that violence has or is likely to occur, or an investigation pertaining to the carrying of a weapon by the team member or a co-team member.

(b) A team member who violates this policy by bringing a weapon to work and whose employment has not been terminated by the employer, will be subject to periodic searches, not to exceed one year term from the date of the violation. A team member's consent to submit to such a search and prompt cooperation are required as a condition of employment and the team member's refusal to consent and/or promptly cooperate may result in disciplinary action, including discharge.

PAP.9.8.110 Arrested While Employed

(a) Team members are expected to conduct themselves as an asset to the employer and to encourage others to do so.

(b) All team members are responsible for notifying their manager no later than the next business day if they have been charged, arrested, or indicted for any criminal (felony or misdemeanor) offense while on or off duty. If the situation is not resolved by the end of the workday, the department manager has the option of either placing the team member on a personal leave of absence or terminating the team member, depending on business needs.

(c) A team member can be suspended pending investigation, however, if the team member was on a leave due to an investigation and proved there was no wrongdoing, the team member will be returned to work in a vacant position for which they qualify. If the team member was voluntarily terminated due to an investigation lasting more than thirty (30) days, every attempt will be made to reinstate the team member.

(d) The employer does not allow any team member time off for time spent in jail. If a team member is scheduled to work and calls in requesting time off while incarcerated, the team member should be considered unavailable for work and appropriately disciplined, up to and including termination.

PAP.9.8.120 Gifts, Payments of Other Compensation from Outsiders

(a) Directors, Managers, and team members are expected to observe the highest level of honesty and integrity. At no time should there be solicitation, or any arrangements involving the payment of money, extension of services, discounts, or item(s) of value from a vendor (including but not limited to a consultant, contractor, or supplier) or guest to a Director, Manager, or team member, or any related party or business which could be construed to affect their decision making on behalf of the Gaming Enterprises.

(b) In light of the above, Directors, Managers, and team members may give or receive gifts which are appropriate to the circumstances, but, must present said items to Human Resources or the Manager on Duty to determine the release of such items to the accepting team member(s).

(c) Tips received by Team Members, in the performance of their regularly assigned duties, are not considered gifts. Tips are subject to Section PAP.9.6.060 of this manual.

PAP.9.8.130 Team Members in Guest Areas

(a) Uniformed team members are authorized to use designated, by the Executive Management Team, public restrooms. They are prohibited from walking in public areas unless for job requirements, and or facility constraints, specifically authorized by the Executive Management Team their presence in that area.

(b) Team members are prohibited in areas other than their work area, team member designated break rooms, appropriate locker rooms, uniform issue and time clock area when reporting to or departing from work.

PAP.9.8.140 Visiting While Not on Duty

There are times when a team member is off duty but still may need to be on the premises; for example, to pick up a payroll check, accompanying friends or relatives to our property, or reporting to and leaving a scheduled shift. Team members should remember that when they are on the casino's property, they are still perceived by guests and co-workers to be a team member of the casino and, as such, are encouraged to conduct themselves in a business-like manner at all times. Team member appearance and demeanor are important to the perception of the employer by guests and throughout the general community.

PAP.9.8.150 Personal Property at Work

(a) Team members are expected to exercise reasonable care to safeguard personal items of value brought to work. Such items should never be left unattended or in plain view. The Employer does not assume responsibility for the loss or theft of personal belongings, and team members are advised not to carry unnecessary amounts of cash or other valuables when they come to work.

(b) Team members are to use caution regarding the types of personal property brought and kept on the employer's property. For example, items of a sexual nature are prohibited, as are weapons or items that can create a disruption or distraction among team members or customers.

(c) Team members are not permitted to bring items to offer for sale to other team members, without the approval of an executive team member.

(d) Cash transactions by team members are permitted only for casino transactions (i.e. meals, gift shop purchases, hotel, management approved activities, etc.)

(e) Failure to abide by this policy is subject to disciplinary action on a case by case basis.

PAP.9.8.160 Lost and Found Personal Property

(a) Team members who are missing personal property should fill out an incident report with the Security Department.

(b) Articles of personal property found on the premises should be returned to the owner, if known, or turned in to the Security Department.

PAP.9.8.170 Team Member Parking

(a) Team members are authorized to park their vehicles in the designated team member parking lot and not in those areas that are normally designated for our guests, the handicapped, and emergencies and/or reserved parking. The employer will not be responsible for any loss, theft, or damage that may occur to a team member's personal vehicle.

(b) Team members must park their vehicles in the designated parking lot prior to the beginning of their shift.

PAP.9.8.180 Personal Pager/Cell Phones

Team members may not wear, use, or have personal pagers and/or cellular telephones in authorized work areas, unless the employer issues such pagers or cell phones.

PAP.9.8.190 Media Inquiries

The Gaming Enterprises generate public interest and persons often seek newsworthy information. Therefore, it is our policy to allow only authorized representatives to make contact with or provide information or comments to reporters and news agencies regarding the Gaming Enterprises. Any employee who is contacted by a reporter regarding the Gaming Enterprises must inform his or her Director/Manager of the request for information. Under no circumstances shall any team member make any statement to any member of the media (newspapers, magazines, radio, television, etc.) regarding the enterprise's operations, plans, incidents, etc. without the approval from an Executive Management Team member.

PAP.9.8.200 Smoking

(a) Employees shall smoke only in designated team member smoking areas, notwithstanding Section PAP.9.8.200(f) below.

(b) Smoking is prohibited in the following areas, notwithstanding Section PAP.9.8.200(f) below:

(1) On the gaming floor while on duty;

(2) In customer areas; or

(3) In non-designated smoking areas.

(d) The use of chewing tobacco is not allowed on premise unless on a designated break in team member break areas or designated team member smoking areas.

(e) Violators of this section are subject to disciplinary action, up to and including termination.

(f) Nothing in this policy shall be deemed to limit or interfere with the use of tobacco at traditional ceremonies and cultural functions.

PAP.9.8.210 Use of Gaming Enterprises' Communications System

It is the policy of the Gaming Enterprises to provide, or contract, for the communications services and equipment necessary to promote the efficient conduct of its business.

(a) Supervisors are responsible for instructing team members on the proper use of the communications services and equipment used by the organization for both internal and external business communications.

(b) Team members should not use such communications services and equipment for personal purposes except in emergencies or when extenuating circumstances warrant it. Team members who do not have direct access to a Casino telephone should make provision to have emergency or other necessary incoming calls routed to their supervisor or to the Human Resources Department, if the supervisor is not accessible. Although the Employer will attempt to deliver personal messages to team members, it cannot and does not accept responsibility for the prompt or accurate relay of such messages.

(c) Team members should exercise care so that no personal correspondence appears to be an official communication prompted by the Employer. The Employer may only authorize the printing and issuance of Employer's stationery and business cards. Team members may not use the Employer's address for receiving personal mail or use Employer's stationery or postage for personal correspondence.

(d) Improper use of communications services and equipment will result in disciplinary procedures, up to and including termination.

PAP.9.8.220 Internet, E-Mail, and Computer Usage Policy

(a) The use of the Gaming Enterprises' automation systems, which includes computers, fax machines, and all forms of Internet/Intranet access, is for the organization's business and for authorized purposes only. Brief and occasional personal use of the electronic mail system or the Internet is acceptable as long as it is not excessive or inappropriate; it occurs during personal time (lunch or other breaks); and does not result in expense or harm to the organization or otherwise violate this policy. Personal use is defined as "excessive" if it interferes with normal job functions, responsiveness, or the ability to perform daily job activities or it occurs at a time other than personal time as defined in the preceding paragraph. Electronic communication should not be used to solicit or sell products or services that are unrelated to the organization's business, distract, intimidate, or harass coworkers or third parties; or disrupt the workplace.

(b) Use of the Casino's computers, networks, and Internet access is a privilege granted by management and may be revoked at any time for inappropriate conduct carried out on such systems, including, but not limited to:

(1) Sending chain letters or participating in any way in the creation or transmission of unsolicited commercial e-mail ("spam") that is unrelated to legitimate organizational purposes;

(2) Sending, receiving, or accessing pornographic materials;

(3) Engaging in private or personal business activities, including excessive use of instant messaging, chat rooms and social media websites (see below);

(4) Making unauthorized copies of organization's files or other data;

(5) Destroying, deleting, erasing, or concealing organization's files or other data, or otherwise making such files or data unavailable or inaccessible to the organization;

(6) Using abusive, profane, threatening, racist, sexist, or otherwise objectionable language in either public or private messages;

(7) Becoming involved in partisan politics;

(8) Maintaining, organizing, or participating in non-work-related Web logs ("blogs"), Web journals, "chat rooms", or private/personal/instant messaging;

(9) Failing to log off any secure, controlled-access computer or other form of electronic data system to which you are assigned, if you leave such computer or system unattended;

(10) Using recreational games;

(11) Streaming of movies, and other non-work related items; or

(12) Any other unauthorized use of the Casino's computers, networks, and/or Internet access.

(c) Using the Casino's automation systems to access, create, view, transmit, or receive racist, sexist, threatening, or otherwise objectionable or illegal material, defined as any visual, textual, or auditory entity, file, or data, is strictly prohibited. Such material violates the Casino's anti-harassment policies and is subject to disciplinary action. The Casino's electronic mail system, Internet access, and computer systems must not be used to harm others or to violate applicable laws. Use of the Casino's Resources for illegal activity can lead to disciplinary action, up to and including dismissal.

PAP.9.8.230 Ownership and Access of Electronic Mail, Internet Access, and Computer Files; No Expectation of Privacy

(a) The Employer owns the rights to all data and files in any computer, network, or other information system used by the Casino. The Employer also reserves the right to monitor electronic mail messages (including personal/private/instant messaging systems) and their content, as well as any and all use by team members of the Internet and of computer equipment used to relate, view, or access e-mail and Internet content. The Casino's administration has the right to inspect any and all files stored in private areas of the network or on individual computers or storage media in order to assure compliance with organizational policies. No team member may access another team member's computer, computer files, or electronic mail messages without prior authorization from either the team member or an appropriate Executive Management Team member.

(b) The Gaming Enterprises have licensed the use of certain commercial software application programs for business purposes. Third parties retain the ownership and distribution rights to such software. No team member may create, use, or distribute copies of such software that are not in compliance with the license agreements for the software. Violation of this policy can lead to disciplinary action, up to and including dismissal.

PAP.9.8.240 Solicitation and Distribution

(a) Team members shall not debate, agitate, or solicit for funds, dues, etc., or solicit for membership in organizations during working time. Employees may engage in such activities only if both the employee doing the soliciting and the employee being solicited are not on working time. Working time means all periods in which employees are required to be actively at work, but does not include non-working mealtimes.

PAP.9.8.250 Workplace Violence by Guests

(a) The Gaming Enterprises are concerned about the increased violence in society, which has also filtered into many workplaces, and has taken steps to help prevent incidents of violence from occurring at its facilities. It is our policy to expressly prohibit any acts or threats of violence against any employee in or about our facilities or elsewhere at any time. We will not condone any acts or threats of violence against our team members, customers, or visitors on the property of the Gaming Enterprises at any time or while they are engaged in business with or on behalf of the Gaming Enterprises, on or off our premises.

(b) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the Gaming Enterprises is committed to the following:

(1) To provide a safe and healthful work environment;

(2) To take appropriate action when dealing with customers, former employees, or visitors to our property who engage in such behavior. Such action may include notifying the police or other law enforcement personnel and prosecuting violators of this policy to the maximum extent of the law;

(3) To establish viable security measures to ensure that the facilities of the Gaming Enterprises are safe and secure to the maximum extent possible and to properly handle access to the facilities of the Gaming Enterprises by the public, off-duty employees, and former employees.

(c) Guests, customers, visitors, and former team members shall not bring or possess unauthorized firearms or other weapons onto the Gaming Enterprise premises. Any Guests, customers, visitors, and former team members who displays a tendency to engage in violent, abusive, or threatening behavior or who otherwise engages in behavior that the Gaming Enterprises, in its sole discretion, deems offensive or inappropriate, or who possesses a firearm or weapon in violation of this policy will be subject to removal from the premises of the Gaming Enterprises.

(d) Team members have a "duty to warn" management of any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve guests, customers, visitors, and former team members and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The Gaming Enterprises will not condone any form of retaliation against any employee for making a report under this policy.

PAP.9.8.260 Off-Duty Misconduct

Team members shall not engage in off-duty misconduct which is deemed detrimental to the Gaming Enterprises. While it is impossible to predict every detrimental situation, the Gaming Enterprises may determine that off-duty misconduct is adverse to the Gaming Enterprises, because it is serious in nature; is at odds with a team member's job duties; or is notorious and has the potential to discredit the Gaming Enterprises. Any arrest shall be reported to the employee supervisor and the Human Resource department within twenty-four (24) hours. Any arrest shall be subject to review by the Director/Manager, and may include discipline including a suspension or termination depending on the determination and severity of the allegations leading to an arrest. An arrest and conviction related to misconduct shall be subject to discipline which may include termination.

PAP.9.8.270 Policy Regarding Use of Social Media by Employees

(a) While the Gaming Enterprises encourages its team members to enjoy and make good use of their off-duty time, certain activities on the part of employees may become a concern if they have the effect of impairing the work of any team member; harassing, demeaning, or creating a hostile working environment for any team member; disrupting the smooth and orderly flow of work within the office; or harming the goodwill and reputation of the Gaming Enterprises. In the area of social media (print, broadcast, digital, and online services such as Facebook, LinkedIn, MySpace, Plaxo, and Twitter, among others), team members may use such media in any way they choose as long as such use does not produce the adverse consequences noted above. For this reason, the following provisions apply regarding a team member's use of social media, both on and off duty:

(1) A team member shall be subject to disciplinary action, up to and including termination of employment, depending upon the severity and repeat nature of the offense, if a team member publishes any personal information about the team member, another team member of the Gaming Enterprises, the Tribe and its officials, or a tribal member in any public medium (print, broadcast, digital, or online) that:

(A) has the potential or effect of involving the employee, their coworkers, tribal members or the Gaming Enterprises in any kind of dispute or conflict with other employees or third parties;

(B) interferes with the work of any employee;

(D) disrupts the smooth and orderly flow of work within the office, or the delivery of services to tribal members;

(E) harm's the goodwill and reputation of the Gaming Enterprises in the community at large; or

(F) tends to place in doubt the reliability, trustworthiness, or sound judgment of the person who is the subject of the information.

(2) No team member may use the Gaming Enterprises' equipment or facilities for furtherance of non-work-related social media related activities or relationships without the express advance permission of their Director/Manager.

(3) Team Members who conduct themselves in such a way that their social media related actions toward and relationships with each other interfere with or damage work relationships, disrupt the flow of work or tribal member relations, or cause unfavorable publicity in the community, should be concerned that their conduct may be inconsistent with one or more of the provisions of this policy. In such a situation, the team members involved should request guidance from their Director/Manager to discuss the possibility of a resolution that would avoid such problems. Depending upon the circumstances, failure to seek such guidance may be considered evidence of intent to conceal a violation of the policy and to hinder an investigation into the matter.

(4) Use of social media that involves any kind of criminal activity or harms the rights of others may result in criminal prosecution or civil liability to those harmed, or both.

(5) Social media access and use involving Tribal equipment and resources are subject to the Gaming Enterprises' computer and internet policy at all times.

(6) The provisions in this policy are not intended to restrict communications regarding the terms and conditions of the workplace.

(b) How a team member uses social media is not a matter of concern as long as it is consistent with the aforementioned provisions on this policy. Team members may address any questions on this policy to the Lac Courte Oreilles Legal Department.

PAP.9.8.280 Miscellaneous Issues

(a) Team members shall only use employer property or assets in accordance with established departmental procedures.

(b) Team members are required to report any violations, or suspected violations, of this manual to their immediate supervisor or the Human Resource Department.

(c) Any questions that may arise regarding team member conduct should be discussed with a team member's immediate supervisor, Director/Manager, the Human Resource Department, or the Executive Officer in charge of their division. The Gaming Enterprises shall not engage in any action against any person who, in good faith, reports known or suspected violations of this Manual, tribal law or federal law.

Subchapter PAP.9.9 Attendance and Punctuality Policy

PAP.9.9.010 Reporting for Work

Team members are expected to report to their work station according to the days and times of their pre-assigned work schedule. Team members should arrive at their place of work with enough time to clock-in and report to their assigned work station at the appointed start time. When reporting to and leaving work all team members must enter and exit through the Security Entrance. All team members are also required to sign in an out on the forms located in the receptionist area. Failure to comply with these policies will result in disciplinary action.

PAP.9.9.020 Rest and Meal Breaks

Scheduled hours for hourly team members will be at the discretion of their respective department. Team members will be afforded at least one (1) break during the course of their shift. Team members are allowed to take a paid thirty (30) minute meal break during shifts scheduled for five (5) hours or longer. No team member shall leave their place of work during a shift for purposes of taking a meal or other break without the approval of their supervisor. Some departments may have different procedures for rest and meal breaks; team members are to check with their supervisors regarding their department's procedures

PAP.9.9.030 Leave Early

(a) Due to the business needs of the employer, there may be a situation where the number of team members required to implement the operational needs of the organization is less than the number of team members scheduled to work. In this instance, a supervisor may allow team members to leave prior to their scheduled shift end. A team member who is authorized to take "leave early" will not receive disciplinary action.

(b) However, if a team member takes unauthorized leave early, he/she will be in violation of this subchapter and shall be subject to disciplinary action up to and including termination.

PAP.9.9.040 Attendance

(a) The employer recognizes that from time to time a team member may be absent from work due to illness or other conditions beyond his or her control. In an effort to be consistent with all team members, this policy has been developed to deter excessive absenteeism.

(b) All team members are encouraged to recognize the critical importance of reliable and punctual attendance.

(c) The employer expects every team member to be at work, on time and to work his or her whole shift every day the team member is scheduled to work.

(d) Excessive attendance problems will have a negative effect on the workplace environment, your fellow team members, and overall customer satisfaction.

(e) An incident of absence or tardiness, excluding those covered by the Family or Medical Leave Policy is counted in any evaluation of a team member's attendance record.

(f) It is understood that some absences and late arrivals cannot be easily avoided. Supervisors may take into consideration the unique and specific circumstances contributing to a team member's absence when determining the accrual of an occurrence and an Executive Team member must approve any exception to this procedure.

(g) Team members are expected to report to work when the Gaming Enterprises are open for business, which may include periods of inclement weather or other emergency conditions.

(h) If due to inclement weather or an emergency situation a team member cannot report to work, the team member may use a PTO leave pursuant to Section PAP.9.7.070 of this manual.

(i) If the team member does not have any PTO leave remaining, the team member is not paid for any full days missed.

(j) Attendance at Official Meetings, Conferences, and Trainings. Team members are expected to treat meetings, conferences, and trainings as work assignments, and are expected to report to all assigned meetings, conferences, and trainings, etc., at the appointed dates and times; and to remain for the duration of the allotted time frames. Failure to do so without prior notification and approval from their supervisor will constitute an unexcused absence.

(k) Notification of Absence and Tardiness. It is the responsibility of each team member to personally notify the receptionist and his/her immediate supervisor when prevented from reporting to work as scheduled. This should be done as soon as possible. Failure to give notification to the receptionist and his/her immediate supervisor in accordance with this procedure may cause the absence to be considered a "no call-no show".

PAP.9.9.050 Accrual of Occurrences

(a) Late Arrival/Leave Early (Tardy). A tardy is defined as not reporting to an assigned workstation at the scheduled time or leaving it early, whether at the beginning of a scheduled shift, the end of a scheduled shift or when returning from breaks. Team members must work a minimum of 50% of their scheduled shift for the late arrival/leave early to be classified as a tardy. Each tardy is counted as one half (0.5) point. If less than 50% of the scheduled shift is worked the late arrival/leave early will result in one (1) point, unless on a holiday which would result in three (3) points.

(b) Absence. An absence is defined as not reporting to any one (1) scheduled shift for any reason.

(c) Points for Full-Day Absences. Each full-day absence, that is not pre-authorized PTO related leave, counts as one (1) point, unless the absence is a holiday or designated special event call-in which will count as three (3) points or a no-call/no-show which will count as four (4) points. Absences of two (2) or more consecutive days will be counted as separate absences and points will be counted accordingly for each day of absence, unless medical certification documentation pursuant to Section PAP.9.7.100(i) of this manual is provided. If medical certification documentation is provided for absences of three (3) days or more, the absence does not accrue any points. This will then be listed as a medical leave of absence for attendance keeping purposes.

(d) Patterned Absence and/or Tardy. A patterned absence/tardy is a minimum of three (3) similar incidents within a six (6) month period. The Human Resource Department will work with the team member's Director to determine if a patterned absence exists. If no resolution to a determination of a patterned absence is agreed upon, then the member of the Executive Management Team that oversees the issuing department shall make the final determination. At least one documented notice must be issued to the team member with the identified pattern of absence and/or tardy prior to implementing this section. Documented patterned absences and/or tardy shall expire at six (6) months from the date the documented notice was given to the Team Member.

(e) Absence Following a Denial of a Request for the Use of PTO Leave. An absence that occurs during a time-period related to a denial of a request for the use of PTO leave shall be counted as double points. Absence pursuant to this section shall be defined as not reporting to any one (1) scheduled shift for any reason.

(f) Absence Following a Denial of a Request for the Scheduled Shift Change. An absence that occurs during a time-period related to a denial of a request for a scheduled shift change shall be counted as double points. Absence pursuant to this section shall be defined as not reporting to any one (1) scheduled shift for any reason.

(g) Holidays. An absence that occurs on a Holiday will be counted as three (3) points.

(h) Designated Special Event. An absence that occurs during a Designated Special Event will be counted as three (3) points.

(i) No Call/No Show.

(1) Team members will have thirty (30) minutes after the start of their shift in which to either report to work or contact their immediate supervisor and the receptionist to report their tardy/absence before they are considered a no call/no show.

(2) It is also considered a "no call-no show" when a team member contacts his/her supervisor and the receptionist and states that he/she will be late and then fails to report for the scheduled shift at the time agreed upon by their supervisor/manager. If no time is agreed upon, they are to report to work within 30 minutes of their original start time.

(3) A first offense for a No Call/No Show will be four (4) points against the team member's attendance record.

(4) A second offense during a twelve (12) month period will result in immediate termination.

(5) Team members on probationary status will be immediately terminated.

PAP.9.9.060 Progressive Discipline

(a) When a team member reaches four (4) occurrences during a twelve (12) month period, he/she will receive a verbal counseling documented on a counseling notice.

(b) When a team member reaches eight (8) occurrences during a twelve (12) month period, he/she will receive a written warning notice.

(c) When a team member reaches ten (10) occurrences during a twelve (12) month period; he/she will receive a final written warning notice.

(d) If a team member reaches twelve (12) occurrences during a twelve (12) month period, he/she will be terminated for cause. Whether an incident is considered an occurrence is not determined by whether the team member has PTO available to cover the incident.

(e) Absences and tardiness will be combined into a number of total occurrences, which will be used when taking disciplinary action to correct attendance problems. When a team member reaches any level of progressive discipline for attendance related reasons they will be required to meet with the Human Resource Manager, or designee. A Director/Manager may refer a team member to the Human Resource Manager, or designee at any occurrence level.

(f) A twelve (12) month period is defined as the twelve (12) months immediately preceding the last attendance infraction.

(g) Probationary team members fall under special rules of conduct:

(1) Six (6) occurrence points = termination

(2) No Call / No Show = termination

(3) Directors/Managers of probationary team members must submit at least one written record as documentation in reference to the unacceptable conduct of the probationary team member prior to termination occurring. However, in the event of a no call/ no show, serious/major/criminal offense, or a serious violation of the Gaming Enterprises policy, termination can occur without any prior written record.

PAP.9.9.070 Business Interruptions / Inclement Weather

Normally, the enterprise will remain open during inclement weather. If severe weather does occur, the employer will consider the safety of its team members in determining changes in work hours and will establish fair pay practices for time lost from work.

PAP.9.9.080 Time Clock

(a) To ensure that team members receive accurate hours for time worked, all non-exempt (hourly) team members are required to record the beginning and ending of their shifts. Time clocks provide Payroll with records of hours worked and the basis on which team members are to be paid.

(b) Team members are expected to be at their workstations at the beginning of their shift. It is important to clock in no earlier than seven minutes before the start of a shift and clock out no later than seven minutes after the end of shift, unless specifically authorized to work additional time.

(c) When a team member is required to use a time clock to record the time they report for/or leave work, only that team member may time-in or out on the time clock. No other individual, including supervisors, may use the time clock to enter another team member's begin or end of shift time. Infractions of this section are subject to disciplinary action pursuant to Subchapter PAP.9.13 of this manual.

(d) A team member will use the time card issued by the Human Resource Department to swipe in or out on the time clock.

(e) Team members must contact their supervisors immediately if unable to clock in or out for shift worked or experience a discrepancy in the time recorded. Sign in sheets shall be used in any such situations.

(f) Disciplinary action may be taken if a team member does not properly clock in or out for shift worked.

Subchapter PAP.9.10 Personal Appearance and Grooming

PAP.9.10.010 Introduction

(a) A guest's first impression of the Casino is of its team members. For this reason, strict observance and compliance with the following appearance guidelines and grooming standards is of the utmost importance. These guidelines are designed to maintain a consistent and professional image in order to better serve our guests.

(b) Team members who do not meet the appearance guidelines will be counseled and may not be permitted to work until their appearance meets department and employer's general standards.

PAP.9.10.020 Uniformed Professional Dress

(a) It is mandatory that all uniformed team members wear all components of their uniform, without deviation, whether the uniform was purchased by the team member or not. Team members are not allowed to exchange designated uniform items for items of their own selection.

(b) Team members are encouraged to change from regular attire to their uniform before beginning their shift and to return to regular attire again at the end of their shifts before leaving their place of work. However, if team members arrive at or leave their place of work in their uniform, they are to conduct themselves in public in a professional manner.

(d) Uniform Maintenance. Uniforms must be clean, neat and pressed at all times. Only complete and authorized uniforms are permitted and must be worn. Team members are responsible for the care and upkeep of their uniforms and if the uniform was issued (not team member purchased), must return the uniforms upon employment separation. If issued uniforms are not returned the cost will be assessed to the Team Member at the time of separation. Team member purchased uniforms may be purchased by the Employer for a reduced value, depending on its condition, at the discretion of the employer.

(e) Shoes/Socks/Hose. Team members must wear black colored shoes. Thong-style shoes are not permitted. Conservative style western boots may be worn. All shoes must be clean, polished and kept in good repair. Sock color should be similar in tone and shade as pant color (i.e. black socks with black pants)

PAP.9.10.030 Name Tags

Name tags are one of the best customer service tools providing the guest with informal personnel contact during their visit. Picture identification badges contribute to customer services and security. While on company grounds when on duty, ID badges are to be worn by all team members.

(a) New hire team members will be issued an ID badge.

(b) Team members are not allowed to work without their badges on. Badges must be worn above the waist, with the picture facing out.

(c) Team members who lose, break or in some way damage their badges are required to have a new badge at a cost paid by the team member. Replacement badges will be issued at no charge if the badge becomes worn through normal aging. Outdated badges or team members transferring to other departments will not be charged for a new badge.

(d) If a team member's badge is lost or forgotten, the team member must notify their Director/Manager immediately. The Director/Manager is responsible for informing Human Resources immediately upon learning of a lost badge. For forgotten badges, Security must be notified immediately with appropriate steps forthcoming. In the event a badge cannot be immediately replaced (i.e., Saturday & Sunday) the team member must obtain clearance from the Manager on Duty (MOD).

(e) Upon termination of a team member, the immediate supervisor should notify the Director of Security in writing of the effective time of termination.

(f) Upon termination of a team member, all badges, keys and other materials of a security nature must be turned into Human Resources Department as a part of the exit interview conducted by the Human Resources Department or the team member's supervisor.

PAP.9.10.040 Non-Uniformed Professional Dress

(a) Administrative, clerical and supervisory team members are to maintain a professional appearance at all times. Good taste, cleanliness and grooming always apply. Business suits and business casual attire such as slacks worn with a pressed shirt, blouse or sweater are acceptable.

(b) Business casual is defined as follows:

(1) Pressed shirt, blouse, or sweater;

(2) Sneakers, athletic shoes, graphic t-shirts, and shorts are not permitted. Questions regarding the professional appearance of any specific outfit should be referred to the Department Head or the Human Resource Department.

(3) Dress, skirt and short lengths are to be no shorter than 3" from the top of the knee and skirt slits are to be no higher than 4" above the knee.

(4) Pants/slacks must be worn at an appropriate waist line.

PAP.9.10.050 Professional Appearance and Grooming Standards

These are the general expectations of Professional Appearance and Grooming Standards. Team Members are also expected to comply with the standards of their assigned department. It is vital that all team members report to work with a daily regimen of good grooming and hygiene. The environment in which we all work is often crowded and may become hot and stuffy. It is essential that a team member's personal hygiene products are adequate to protect our team members and our guests from offensive odors.

(a) Attire. All team members must dress in a professional manner. Clothing worn must meet general standards of good taste and cleanliness. If a team member questions as to what attire is suitable, the team member should speak with his/her supervisor or review their department policies for additional requirements.

(b) Makeup. Makeup should be used in moderation to enhance natural features and create a natural appearance. Cosmetics, such as foundation, blush; eye-makeup and lipstick should correspond with and complement a team member's personal attire. Eyeliner and eye shadow should not stand out on the eye but should create a natural, blended look and not extend beyond the corners of the eye. Frosted and extreme makeup colors (i.e. bright florescent, glitter, etc.) are not acceptable.

(c) Fingernails and Hands. Fingernails and hands should be kept clean and neat at all times. Fingernails should be kept to a moderate length of not more than ½" beyond the fingertips and are to be consistent in length. Fingernail jewelry is not allowed. Some departments may have stricter policies depending upon security concerns. See your department policy for additional requirements.

(d) Piercings and Other Accessories. Jewelry of extreme design connotation are not permitted including but not limited to the following: extended gauge earrings, ear cuffs, nose, eyebrow, tongue, or other visible body parts.

(e) Ornamental Tooth Crowns. Ornamental Tooth Crowns are not permitted.

(f) Sunglasses. Sunglasses may be worn only in positions where the glare from the sun would prevent a team member from performing his/her job safely and effectively. Reflective or dark lenses that prevent the eyes from being seen are prohibited. Unless medically necessary (a doctor's note must be on file with the Human Resources Department), sunglasses or dark colored lenses are for outside and daytime use only. Frames should be conservative in style.

(g) Fragrances. Any fragrance (cologne or perfume) worn must be subtle and applied moderately. This includes body sprays, scented lotions, etc. A light fragrance or no perfume at all is preferred.

(h) Body Designs (Tattoos). All body designs or tattoos on a team member's body may not be derogatory, sexually explicit or offensive to customers or co-workers. Body designs and tattoos that are in these categories are to be covered at all times while on duty.

(i) Hair. Hair must be kept clean, neatly combed and arranged in a well-groomed style. Extreme colors, styles and accessories are not permitted. Wigs and hairpieces are permitted as long as they follow the aforementioned standards.

PAP.9.10.060 Off-Duty Appearance

A team member is always responsible for adhering to professional conduct standards while wearing an article (uniform, team member badge, etc.), which identifies the person as the enterprise's team member.

Subchapter PAP.9.11 Drug-Free Workplace

PAP.9.11.010 Drug Free Workplace Act Compliance

The Gaming Enterprises hereby establishes a policy providing for a drug-free workplace as required by the Drug Free Workplace Act of 1988, 41 U.S.C. 701 et. seq. As such, as required by the Act, the Gaming Enterprises hereby publishes a statement notifying team members that the Gaming Enterprises prohibits the unlawful manufacture, illegal distribution, dispensation, possession or use of a controlled substance in the workplace. All team members who violate this policy shall be subject to disciplinary action, up to and including termination. As a condition of continued employment with the Gaming Enterprises, all team members must notify the Gaming Enterprises of any alcohol or drug-related offense conviction or charges for a violation occurring in the workplace or while on duty no later than twenty-four (24) hours after receiving such conviction or charges.

PAP.9.11.020 Employer's Goal of a Drug Free Workplace

The Gaming Enterprises' goal is to establish and maintain a work environment that is free from the effects of alcohol, illegal drugs and abused prescription drugs. The Gaming Enterprises recognize that a successful approach to the problems associated with alcohol or illegal drug use requires an interaction of education, assistance, deterrents, and discipline. The Gaming Enterprises will respect Team Members' personal dignity and privacy in reaching its drug-free workplace goal, consistent with legal, safety, and security considerations.

PAP.9.11.030 Drug Free Workplace Environment

The Gaming Enterprises' "work environment" is considered to be all facilities, including any and all customer facilities and job sites, and any location where a team member represents the Gaming Enterprises, including travel on behalf of the employer and in circumstances where the team member is being reimbursed for expenses. While the employer has no intention of intruding into the private lives of its team members, it does expect team members to report for work in a condition to fully perform their duties and to refrain from the use of illegal drugs, the abuse of alcohol, and/or the abuse of prescribed medication while on duty.

PAP.9.11.040 Drug Free Workplace Rules of Conduct

The following rules of conduct apply to all Team Members. Violation of these rules subjects team members to disciplinary action, up to and including termination:

(a) The unlawful manufacture, distribution, dispensation, attempted sale, possession, or use of alcohol, illegal drugs, or prescribed medication is prohibited in the team member's work environment.

(b) Being subject to the effects of alcohol, illegal drugs, or abused prescribed medication in the team member's work environment is normally just-cause for the team member to be referred for alcohol and drug testing. However, being subject to the effects of alcohol, illegal drugs, or abused prescribed medication does not excuse a team member's misconduct that violates any of the employer's rules, policies, procedures, or regulations. For example, an assault committed while subject to the effects of alcohol, illegal drugs, or abused prescribed medication will subject the team member to disciplinary action, up to and including termination, because of the misconduct.

(c) All prospective team members will be tested prior to beginning employment. In addition to the initial drug screen, all team members are subject to future for cause and/or post-accident drug screens.

(1) The Casino Executive Team may amend, as reasonably determined, which substances will be tested for to provide a healthy and safe drug free workplace. The following is a list of the substances which may be tested for and their corresponding cut-off levels. Nothing precludes the Casino in testing for substances which are not included on this list, should the Executive Team determine it is in the best interests of the Casino to include substances which are not listed below to ensure a drug free workplace.

Test Name	Abbreviation	Cut-Off
Amphetamine (AMP)	AMP	300
Barbiturates (BAR)	BAR	200
Benzodiazepines (BZO)	BZO	200
Buprenorphine (BUP)	BUP	10
Cocaine (COC)	COC	100
Marijuana (THC)	THC	40
Methadone (MTD)	MTD	200
Methamphetamine (mAMP)	mAMP	1000
Opiate (OPI)	OPI	100
Oxycodone (OXY)	OXY	100
Phencyclidine (PCP)	PCP	25

Test Name

Abbreviation

Cut-Off

Amphetamine (AMP)

AMP

300

Barbiturates (BAR)

BAR

200

Benzodiazepines (BZO)

BZO

200

Buprenorphine (BUP)

BUP

Cocaine (COC)

COC

100

Marijuana (THC)

THC

Methadone (MTD)

MTD

200

Methamphetamine (mAMP)

mAMP

1000

Opiate (OPI)

OPI

100

Oxycodone (OXY)

OXY

100

Phencyclidine (PCP)

PCP

(d) Any team member who appears to be under the influence of alcohol, illegal drugs, and/or abused prescribed medication while in the work environment will be the subject of an immediate investigation. Similarly, any team member who is found to have any illegal drugs on his or her person, or in his or her possession (e.g., his or her desk, locker or the employer's company/rental vehicle) will be the subject of an investigation. If team member use or possession is substantiated, disciplinary action will be imposed.

(e) The team member found to be under the influence of a legal or illegal substance and unable to perform their job function will be offered transportation to their home or a treatment site when this situation occurs.

(f) Any team member appearing unfit for duty due to the effects of a prescribed medication will be subject to an investigation.

(g) Off-the-job abuse of alcohol, illegal drugs, or prescribed medication that adversely affects a team member's job performance will be cause for disciplinary action consistent with this policy.

(h) Team members who are charged and/or convicted of any alcohol or drug-related offense will be considered to be in violation of this policy. Team members must notify the Human Resource Director of any alcohol or drug-related offense conviction or charges within twenty-four (24) hours. The Human Resource Director must immediately notify the Lac Courte Oreilles Gaming Commission. Failure to report the conviction to the Human Resource Director or the Human Resource Director's failure to notify the Lac Courte Oreilles Gaming Commission will result in disciplinary actions up to and including termination.

(i) Team members undergoing treatment with a prescribed medication that will require work restrictions are required to have their physician document the restrictions and to then supply this document to the Human Resource Department. It may be necessary to change the team member's job assignment while he or she is undergoing treatment. Immediate notification must be made by the team member to his or her immediate supervisor and to the Human Resource Director before going to work after having been placed on restriction. Failure to report work restrictions due to a prescribed medication may result in disciplinary action up to and including termination.

PAP.9.11.050 Employer to Encourage a Drug Free Workplace

(a) The Gaming Enterprises goal is to provide a Drug-Free Workplace Policy to team members.

(b) The Gaming Enterprises will offer necessary educational materials to managers, supervisors, and team members concerning alcohol, illegal drugs, and prescribed medication and their impact on performance.

(d) All information obtained pursuant to this subchapter will be considered privileged and private information. The employer is responsible for ensuring that confidentiality is maintained following the confidentiality guidelines consistent with current policies and procedures.

PAP.9.11.060 Managers / Supervisors Responsibility to Maintain a Drug Free Workplace

(a) Managers and supervisors have a responsibility to ensure that team members under their supervision are free from the effects of alcohol, illegal drugs, and/or abuse of prescribed medication.

(b) Supervisors will refer any team member who has asked for help concerning an alcohol, illegal drug, or abuse of prescribed medication problem to the employer's Human Resource Manager, or designee who will make the Employee Assistance Program available to the team member.

(c) Each supervisor is responsible for taking appropriate action whenever a team member's judgment or performance appears to be impaired under Section PAP.9.11.090 of this manual.

(d) When a team member observes the use, sale or possession of alcohol, illegal drugs, or prescribed medication by fellow team members in the work environment, the team member must notify and document on an Incident Report to their immediate supervisor, and Manager on Duty, Human Resources Director, or designee.

(e) Following an incident that falls under this policy, it is essential that all managers and supervisors involved record all actions, observations, statements, or other pertinent facts, including dates, time, location and witnesses to the incident. These reports will then be provided to the ~~EAP~~ Human Resource Manager, or designee. Only necessary Human Resource Department Personnel, the executive with direct oversight of Human Resources, and involved managers and supervisors will be informed of an incident. All correspondence is confidential to protect the privacy and reputation of all concerned.

PAP.9.11.070 Team Members' Responsibility in Participating in a Drug Free Workplace

(a) All team members are expected to familiarize themselves with the employer's Policy for a Drug-Free Workplace. Team members are required to acknowledge their agreement to the policy by signing the acknowledgment form and returning the form to the Human Resource Department.

(b) Team members who have an alcohol, illegal drug, and/or prescribed medication problem may ask their immediate supervisor/manager for help. The supervisor/manager must immediately consult with the Human Resource Manager, or designee. The team member also has the option to go directly to the Human Resource Manager, or designee for help. This request for assistance may not be used as a means of avoiding disciplinary action if the team member has violated the employer Drug-Free Workplace Policy or any other such policy. Extreme care will be taken to maintain the requesting team member's privacy. A team member's decision to enter an Employee Assistance Program is considered voluntary when the team member enters the EAP before a referral by an appropriate medical official or a drug test that subsequently tests positive. The confidentiality of individuals using the EAP is to be protected within the limits of the law, consistent with safety and security concerns.

(c) It is the responsibility of each team member to voluntarily seek assistance from the Employee Assistance Program, or provider of choice, before the team member's alcohol, illegal drug, or prescribed medication abuse problem leads to disciplinary action. Disciplinary action for a violation of departmental policies and procedures or the provisions of this ordinance will not be lessened because a team member joins the Employee Assistance Program.

PAP.9.11.080 Availability of Counseling and Assistance (Self-Disclosure)

(a) The Gaming Enterprises offer referral to an Employee Assistance Program or other appropriate services and rehabilitation programs which emphasize education, prevention, counseling and treatment to team members when personal concerns arise which may impact the team members' work performance or the employer's operations. These concerns include alcohol, illegal drug, or prescribed medication abuse; individual psychological problems; marital, family or child difficulties; work stress; and financial or legal matters.

(b) Self-Disclosure Guidelines:

(1) A team member may request to participate in the Employee Assistance Program. This request for assistance may not be used as a means for avoiding disciplinary action if the team member has violated the employer's Drug-Free Workplace Policy, departmental Procedures or Team Member Policy Manual, prior to their self-disclosure. Extreme care will be taken to maintain the requesting team member's privacy.

(2) A leave of absence to attend inpatient treatment will be granted to team members requesting assistance through self-disclosure. The leave of absence may not exceed 12 weeks.

(3) Team members placed on a leave of absence from self-disclosure will:

(A) Be allowed to return to the position, shift, and level of seniority that was held by the team member prior to the leave being granted.

(B) Be allowed to maintain Gaming Enterprise sponsored health, life, and short-term disability Insurance Benefits during the leave. The team member will be responsible for their portion of insurance premiums.

(D) Be allowed to accrue Paid Time Off hours in accordance with the Gaming Enterprises policies on family and medical leave.

(c) Utilization of Self-Disclosure does not negate any disciplinary action for which a team member is subject to under any policy.

(d) Any cost(s) related to treatment(s) is the responsibility of the team member.

PAP.9.11.090 For Cause Testing

(a) The Gaming Enterprises' "for cause testing" policy for alcohol, illegal drugs, and prescribed medication is based on circumstances where the employer has information about a team member's workplace behavior and/or conduct that would cause a reasonable person to believe the team member is demonstrating signs of impairment. This impairment could be due to the use of alcohol, illegal drugs, or prescribed medication on the employer's property. A team member could be tested under this section for suspicious activity where the activity in question involves the possession, distribution or use of drugs or alcohol on property.

(b) Supervisors are to use the "For Cause Testing Report Form" to document when a team member shows signs of impairment including but not limited to; difficulty in maintaining balance, slurred speech, erratic or atypical behavior, or appears unable to perform his/her job in a safe manner.

(d) The supervisor will ask the team member to explain his/her inability to perform their job.

(e) Should the team member fail to explain his or her impaired condition to the satisfaction of the supervisors and it is apparent that alcohol, illegal drugs, or abuse of prescribed medication are involved, the team member's performance and actions will be discussed with the Manager on Duty; Human Resources Director, or designee. (Note that without a urine collection, or breath test, it is not always possible to determine whether a team member is under the influence of alcohol, illegal drugs, or prescribed medication. No absolute conclusions should be made until the results of the urine collection or breath test are available.)

(f) If the consensus of the Manager on Duty, Human Resources Director, or designee, and the supervisory staff involved is to conduct an alcohol and/or drug test, the team member is to be tested at that time.

(g) Team members who refuse to take a test will be considered in violation of the Drug-Free Workplace policy and will be subject to termination.

(h) A team member whose alcohol test has a positive Blood Alcohol Concentration (BAC) reading of .01 to .029 will be sent home for the day and receive a referral to EAP. If a team member is 0.03 or higher, and/or the drug test is positive for a substance they admit not having permission to take, they are considered in violation of the employer's Drug-Free Workplace policy and will be placed on a 30-day unpaid suspension pending the confirmation (if needed) of any samples sent to a lab. A team member who is placed on suspension for a violation of this policy will be referred to have an evaluation/assessment by the Human Resource Manager, or designee. A second violation of the Drug-Free Workplace policy will result in termination. A team member will be offered a ride home if they are sent home for a positive Preliminary Breathalyzer Test (PBT).

(1) Team members will be given a Portable Breathalyzer Test (PBT). A team member who receives a negative test result will immediately report back to their department. A team member who receives a positive test result must submit to a second test.

(2) Five (5) minutes following the Preliminary Test, the team member will receive a second Breathalyzer test. A team member who receives a negative test result will immediately report back to their department. A team member who tests positive on the Second Breathalyzer Test will be in violation of the company Drug-Free Workplace policy.

(3) Team members who refuse to take a Breathalyzer test will be considered in violation of the Drug-Free Workplace policy. The first violation will result in an immediate termination.

(4) Upon receiving a presumptive positive result of the first drug test, the Human Resource Manager, or designee will seal the sample to be sent to the lab for confirmation. Every effort will be made to keep this information confidential.

(5) The team member will be allowed to return to work pending the confirmed result of the sealed sample sent for lab confirmation.

(i) Lab Confirmed Results:

(1) Upon receiving notification from the lab of confirmation of the confirmed positive results, the Human Resource Manager, or designee shall notify the team member's immediate manager of the policy violation. Every effort will be made to keep this information confidential.

(2) The team member will be called to HR to meet with the Human Resource Manager, or designee and shall be subsequently notified of their positive test results.

PAP.9.11.100 [Open]

PAP.9.11.110 Post-Accident Testing

It is the Gaming Enterprises' policy that an alcohol and drug test will be given to any team member involved in a work-related accident or injury event requiring professional medical treatment (EMT, paramedics, and other professional medical providers) for her/himself, another team member or guest.

(a) A work related injury is defined as follows:

(1) An accident while on the clock and performing a work-related duty whether on property or off property so long as the act of which was being done at the time of the incident was for the purpose of work.

(b) The team member must report to the Human Resource Manager, or designee within 8 hours (regardless of time of day or day of week) of the reported accident or injury unless they are still under the care of a professional medical provider.

(c) Team members who refuse to take a test will be considered in violation of the Drug-Free Workplace policy and will be subject to termination.

(d) A team member whose alcohol test has a positive Blood Alcohol Concentration (BAC) reading of .01 to .029 will be sent home for the day and receive a referral to EAP. If a team member is 0.03 or higher, and/or the drug test is positive for a substance they admit not having permission to take, is considered in violation of the employer's Drug-Free Workplace policy and will be placed on a 30-day unpaid suspension pending the confirmation (if needed) of any samples sent to a lab. A team member who is placed on suspension for a violation of this policy will be referred to have an evaluation/assessment by the Human Resource Manager, or designee. A second violation of the Drug-Free Workplace policy will result in termination. A team member will be offered a ride home if they are sent home for a positive Preliminary Breathalyzer Test (PBT).

(3) Team members who refuse to take a Breathalyzer test will be considered in violation of the Drug-Free Workplace policy. The first violation will result in an immediate termination.

(e) Upon receiving a presumptive positive result of the first drug test, the Human Resource Manager, or designee will seal the sample to be sent to the lab for confirmation. Every effort will be made to keep this information confidential.

(1) The team member will be allowed to return to work pending the confirmed result of the sealed sample sent for lab confirmation.

(f) Lab Confirmed Results:

(1) Upon receiving the lab confirmed positive results of a presumptive positive drug screening, the EAP Manager will be notified by the lab. The EAP Manager will notify the team member's immediate manager of the policy violation. Every effort will be made to keep this information confidential.

(2) The team member will be called to the Human Resource Department to meet with the EAP Manager and are notified of their positive test results.

PAP.9.11.120 Violations Are Cumulative

(a) Any two violations under this policy shall result in the team member's termination for cause. For example, a first violation of a Breathalyzer test and a second violation of a for cause drug test shall be considered two offenses, and the team member will be terminated for cause.

(b) Any previous violations of the company drug policy issued to a team member will expire after five years.

(c) If a team member is terminated for violation of the company drug-free policy they may be considered for rehire, under the provisions of Section PAP.9.11.160 of this manual.

PAP.9.11.130 Record Keeping

It is essential that all necessary documentation from each form of testing is maintained in the Human Resources Department in applicable team member files for no less than 3 years. Team member violations will expire after 5 years.

PAP.9.11.140 Consent

No alcohol test may be administered, urine sample obtained, or any drug test conducted without the consent of the person being tested. A team member gives consent by signing the policy acknowledgement form to participate in any and all forms of testing.

PAP.9.11.150 Disciplinary Action for Noncompliance with the Drug-Free Workplace Policy

(a) First Test.

(1) Presumptive Positive Results:

(A) Upon receiving a presumptive positive result of the first drug test, the sample to be sent to the lab for confirmation will be sealed in a tamper resistant evidence bag. Every effort will be made to keep this information confidential.

(B) The team member will be allowed to return to work pending the confirmed result of the sealed sample sent for lab confirmation.

(2) Lab Confirmed Results:

(A) Upon receiving notification from the lab of confirmation of the confirmed positive results, the Human Resource Manager, or designee shall notify the team member's immediate manager of the policy violation. Every effort will be made to keep this information confidential.

(3) The team member will be called to HR to meet with the Human Resource Manager, or designee and are notified of their positive test results.

(4) The team member will be placed on a 30-day unpaid suspension:

(A) At this time the Team Member has the opportunity to voluntarily enroll into a EAP progress plan for a minimum of ninety (90) days. Compliance with the EAP progress plan will allow for twenty-three (23) days of the 30-day suspension to be placed on hold. If the Team Member violates any of the conditions of the EAP progress plan, the remaining twenty-three (23) days will be issued.

(5) If the team member has objections to the lab confirmed result, the team member has the option to retest the same sample at a lab of their choice. The team member is responsible for all additional charges associated with the retesting of the original sample.

(A) If the self-paid second test comes back negative, the team member may return to work, with back pay.

(B) If the self-paid second test comes back positive, the team member will remain on suspension as described in Section PAP.9.11.150(a)(4) above.

(C) If the team member chooses not to have the self-paid second test completed, they will remain on suspension as described in Section PAP.9.11.150(a)(4) above.

(D) It is the team member's responsibility to contact Human Resources at the end of their 30-day suspension. Failure to do so will result in termination for job abandonment, and subject to rehire status as established in Section PAP.9.11.160 of this manual.

(b) Follow-up Testing.

(1) Team member will be tested again at the end of 30 days, and provide EAP documentation of successfully complying with their counseling requirements.

(2) If the team member tests negative, they will be placed back into the workforce, subject to the property's for cause testing policy.

(3) A team member who is successfully complying with EAP requirements and still tests positive on their return to work test will be allowed to continue on suspension for up to 15 additional days while continuing to comply with EAP requirements.

(4) A team member may request a follow-up return to work test prior to the 15 days but this test will be at the team member's expense.

(5) The team member has the option to retest the same sample at a lab of their choice. The team member is responsible for all additional charges associated with the retesting of the original sample.

(6) If the self-paid second test comes back negative, the team member may return to work, with back pay.

(7) If the self-paid second test comes back positive, the team member's termination will be upheld.

PAP.9.11.160 Rehire Requirements

The team member who has been previously terminated under this subchapter for violation of the company drug-free workplace policy may reapply after six (6) months from the date of their termination. At that point they will need to appeal to the Chief Executive Officer or designee and must provide documentation supporting their lifestyle change. Such documentation may include reference letters from NA or AA group, college or tech school admission. They will be screened by Human Resource Manager, or designee. If allowed to work for the property, and if a suitable position is available, the rehire will be drug tested, and subject to the property's for cause testing policy during their time as a team member.

PAP.9.11.170 Compliance

Compliance with our Drug-Free Workplace Policy is a condition of employment. Failure or refusal of a team member to cooperate fully in signing any required document, submitting to any inspection or test, or following any prescribed course of substance abuse treatment will be grounds for termination.

PAP.9.11.180 Search

(a) To ensure that alcohol, illegal drugs, or prescribed medications do not enter or affect the workplace, the employer reserves the right, to search all company vehicles, containers, lockers, or other items on employer premises. Individuals may be requested to display personal property for visual inspection upon appropriate request. Failure to consent to a search, promptly cooperate, or display for visual inspection may result in termination of employment.

(1) Searches of team member's personal property will take place in the team member's presence whenever possible.

(2) All searches under this policy will occur with the utmost discretion and consideration for the team member involved.

(3) All searches shall be conducted by two (2) members of management.

PAP.9.11.190 Medication

Team members shall not distribute any prescription medications, including controlled substances, to fellow team members. Team members engaging in this activity will be found in violation of the Drug-Free Workplace Policy and will be terminated for cause.

PAP.9.11.200 Applicants for Employment

(a) An applicant will be required to undergo testing for illegal drugs and prescribed medication as a condition of employment. If the applicant is suspected to be under the influence of alcohol at the time of their pre-employment drug screen, a PBT may be requested.

(b) Applicants who test positive for alcohol, illegal drugs, and/or prescribed medication for which they do not have a prescription, shall be denied employment.

(c) Applicants who test presumptively positive for prescription drugs will be allowed to continue with employment pending the lab confirmed results. If the lab confirms the sample to be positive without proof of prescription, the team member will be terminated for violation of this policy and are subject to rehire status pursuant to Section PAP.9.11.160 of this manual.

(d) An applicant who initially declines a drug test will be denied employment and not eligible for employment for six (6) months.

Subchapter PAP.9.12 Conduct / Performance Infractions, Progressive Discipline and Appeal

PAP.9.12.010 Consent

Each employee shall agree to, by signing, a Consent to Appeal Procedure as a condition of continued employment. The Appeals Procedure constitutes a contract between the Gaming Enterprises and the team member and establishes the framework under which team members may appeal disciplinary action imposed under this subchapter or employment claims, provided no team member can appeal any disciplinary action based on activity that results in an arrest and conviction. In addition, regarding employment claims, it is important to note that nothing in this personnel policy and procedural manual shall be construed as the Gaming Enterprises consenting to application of any law or waiving applicable defenses, including the defense that the subject law does not apply to the Gaming Enterprises.

PAP.9.12.020 Grounds for Disciplinary Action

(a) Team members must perform assigned duties at or above satisfactory levels; they must follow standards of workplace behavior contained in this manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford team members an opportunity to correct behavior. Therefore, verbal and written warnings are utilized as a corrective action tool and will not be subject to the appeal procedures identified in Section PAP.9.12.040.

(b) A team member may be suspended for any conduct which results in an arrest, pending the determination of the Executive Management Team of the seriousness of the offense. Conduct by a team member which results in a felony arrest and/or felony conviction as defined under state and federal law will result in termination.

(c) Conduct / Performance Infractions. It is the policy of the employer that all team members are expected to comply with these Human Resource Policies and Procedures and that any noncompliance with these standards must be reviewed and remedied.

(d) Progressive Discipline. Under normal circumstances the employer endorses a policy of progressive discipline in which it attempts to provide team members with notice of deficiencies and an opportunity to improve.

(1) The employer retains the right to administer discipline in any manner it sees necessary. This policy does not in any way restrict the employer's right to bypass the disciplinary procedures suggested.

(2) The severity of any infraction will be weighed on a case-by-case basis.

(3) All write-ups will be reviewed by the Human Resources Department.

(e) Categories of Infractions. Conduct/Performance Standards infractions are defined in three (3) separate categories.

(1) Class I Infractions:

(A) These infractions usually do not affect the employer's assets or a guest's positive experience, but are nonetheless disruptive to the procedural structure of the enterprise.

(B) Class I infractions will permanently remain in the team member's personnel record for one (1) year. The infraction will only be active for one (1) year following the date of occurrence.

(i) Minor Lack of work performance of assigned duties;

(ii) Dress code infractions;

(iii) Failure to report an on-the-job injury or accident to their immediate supervisor.

(D) Examples of Disciplinary Action for Class I Infractions:

(i) 1st Occurrence – Verbal Counseling (documented in writing);

(ii) 2nd Occurrence – Written Warning;

(iii) 3rd Occurrence – Suspension;

(iv) 4th Occurrence – Termination of employment.

(2) Class II Infractions:

(A) These are infractions that affect the employer's assets (i.e. property, funds, team members, etc.), and are also those actions which are offensive to guests or team members, or are inhibitive to providing the level of service required to prevent a negative experience.

(B) Class II Infractions will permanently remain in the team member's personnel record for eighteen (18) months. The infraction will only be active for eighteen (18) months following the date of occurrence.

(i) Destruction or damage to the employer's property;

(ii) Carelessness or negligence in the handling of employer or guests' money, to include excessive over/short counts;

(iii) Suggesting or "hustling" a tip or token from a guest for any service performed;

(iv) Failure to report an act of dishonesty, if the team member had direct knowledge of such an act;

(v) Verbal and/or visual mistreatment of any guest at any time;

(vi) The use of profane or abusive language;

(vii) Failure to report a violation of policy, if the team member has direct knowledge of the violation;

(viii) Failure to follow the specified job instruction as per the supervisor;

(ix) Gossiping and/or participating in rumor spreading;

(x) Intimidating, coercing, or threatening fellow team members.

(D) Examples of Disciplinary Action for Class 2 Infractions:

(i) 1st Occurrence – Written Warning and/or Suspension;*

*All suspensions will be without pay for a period of three to five (3-5) scheduled working days.

(ii) 2nd Occurrence (of same infraction) – Termination of employment;

(iii) The Human Resource Director must first be notified of all terminations prior to their implementation.

(3) Class III Infractions:

(A) These are flagrant and/or serious violations that endanger or compromise the safety, security or integrity of the enterprise, its guests, or its team members, and/or the property of the enterprise.

(B) The following is a list of a few examples of Class III Infractions, but is not intended to be exclusive:

(i) Theft or unauthorized removal from the premises of any property belonging to the employer, a guest, management or other team members;

(ii) Sale or abuse of alcohol, or prescribed medication or use of illegal drugs on the employer's property at any time;

(iii) Refusal and/or failure to complete an assigned shift or duty;

(iv) Assault or use of physical force against another person on enterprise's property;

(v) The possession of a weapon at any time while on the enterprise's property;

(vi) Lewd or obscene behavior in any situation while on the property in an on-duty or off-duty status;

(vii) Found to have violated the employer's Sexual Harassment policy;

(viii) Clocking in or clocking out for another team member, or having another team member clock in or out for that team member;

(ix) Sleeping on duty, or otherwise compromising the safety, security, or service to guests, team members, or the employer's assets;

(x) Release of employer's information, policies and/or procedures to persons outside the organization, or to those who do not possess a definite need to know;

(xi) Falsifying, defacing or otherwise altering any employer's document, record or form, including employment applications.

(i) 1st Occurrence – Termination of Employment.

PAP.9.12.030 Types of Disciplinary Actions

(a) Team Members must perform assigned duties at or above satisfactory levels, follow standards of workplace behavior contained in this personnel policy and procedural manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford team members an opportunity to correct behavior, however some personnel infractions are severe enough to impose any of the below-mentioned disciplinary actions, up to and including termination. Disciplinary actions may be handled in any manner deemed appropriate by the Gaming Enterprises. This may include, but is not limited to, the following:

(1) Verbal Counseling. If a team member is not meeting the employer's standards of conduct or performance, the team member's supervisor should take the following action:

(A) A team member may receive a verbal warning from their Director/Manager to rectify behavior which requires disciplinary action. A verbal warning is not appealable pursuant to Section PAP.9.12.040 of this manual.

(B) The Director/Manager will discuss with the team member the seriousness of the problem and the possible consequences of a failure to correct the problem. The Director/Manager will review applicable policies and will document the meeting through signature of both the Director/Manager and the team member.

(C) The Human Resource Director, or designee, will maintain all employee warnings in an employee's personnel file in the event that further progressive discipline is necessary.

(2) Written Warning. If there is a second occurrence, the supervisor should hold another meeting with the team member and take the following action:

(A) A team member may receive a written reprimand from their Director/Manager to rectify behavior which requires disciplinary action. A written reprimand is not appealable pursuant to Section PAP.9.12.040 of this manual.

(D) After taking action, the supervisor should prepare and forward to the Human Resources Department a written report describing the first and second incidents and summarize the action taken during the meeting with the team member. This information will be included in the team member's personnel file.

(3) Suspension. If there are additional occurrences the supervisor should take the following action, depending on the severity of the conduct:

(A) A team member may be recommended for suspension by their Director/Manager when the team member's behavior warrants such disciplinary action. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources Director. The Human Resources Director will consult with the Director/Manager to ensure the reason is justified and clearly stated. If the Human Resources Director is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the suspension, the same will be forwarded to the Executive Management Team for final approval or denial. All suspensions are without pay. Suspensions are appealable pursuant to Section PAP.9.12.040 of this manual.

(B) Issue a notice of suspension;

(C) Upon return from suspension, the Director/Manager will meet with a team member regarding the nature of the problem. A corrective action plan will be developed with the team member including specific timelines for completion.

(D) Warn the team member that any further violations of policy will result in further disciplinary action up to and including termination;

(E) After taking action the supervisor should prepare and forward to the Human Resources Department a written report describing the occurrences, indicating the timing between the occurrences, and summarizing the action taken or recommended and its justification;

(F) The progressive disciplinary procedures described in Section PAP.9.12.020(d), may also be applied to a team member who is experiencing a series of unrelated problems involving job performance and/or behavior.

(4) Probationary Period in lieu of Termination.

(A) In lieu of termination a team member may be placed on a probationary period for a serious violation of this personnel policy and procedural manual, as recommended by a Director/Manager and agreed to and evidenced by the signature of the team member on a "Waiver of Appeal Process" form. The Director/Manager must follow the same procedures as outlined in Section PAP.9.12.030(a)(3), above. During this probationary period, the Gaming Enterprises will evaluate the team member's continued suitability for employment. If during this period a team member has not shown improvement or adequately addressed the issues surrounding the probationary period in lieu of termination the Director/Manager may recommend the termination of the employee's employment, without the ability of the team member to appeal the decision, subject to the approval of the Executive Management Team.

(B) Team members placed on a probationary period pursuant to this section are eligible for holiday leave and funeral leave. Probationary team members pursuant to this section shall accrue Personal Time Off. Such team members cannot use Personal Time Off until the completion of their probationary period, unless authorized by their Director/Manager with concurrence from the Executive Management Team and only for medical reasons or extreme circumstances.

(C) At the end of the probationary period pursuant to this section, the Director/Manager will prepare a written performance evaluation and discuss with the team member the curative conduct of the team member pertaining to the problem causing the probationary period as well as the team member's overall job performance.

(D) The Human Resources Manager, or designee, shall document all probationary periods pursuant to this section and maintain all written performance evaluations pertaining to this section in the team member's personnel file in the event that further progressive discipline is necessary.

(5) Serious Misconduct. In cases involving serious misconduct, or any time the supervisor determines it is necessary, such as a major breach of policy or violation of law, the supervisor should:

(A) Place the team member on Investigative Leave immediately and, if the investigation validates misconduct, recommend appropriate discipline pursuant to this subsection;

(B) An investigation of the incidents leading up to the Investigative Leave should be conducted by the Department Director/Manager and/or any member of the Executive Management Team to determine what further action, if any, should be taken;

(C) Team members placed on an Investigative Leave from work will receive and accrue team member benefits during the Investigative Leave, unless management grants an exception;

(D) The Department Director/Manager will notify the team member, in writing, within three (3) working days of the completion of the investigation as to the status of the team member's employment;

(E) No Investigative Leave should exceed fourteen (14) working days without approval of the Executive Management Team;

(F) Investigative Leave without pay shall be determined based on the severity of the infraction. Only in the event that an investigation results in a determination of complete innocence will a team member be reinstated with partial or full back pay. The investigation must be monitored and reviewed by the Human Resource Director, who will recommend to the Executive Management Team if back pay is warranted. The Executive Management Team will make final determinations on payment of back pay.

(G) The Human Resource Director or designee should hold the suspended team member's badge(s) during the course of an investigation.

(H) The Human Resources Manager, or designee, should review and approve all findings of the investigation before any final action is taken;

(I) At any investigative interview conducted for the purposes of determining the facts involved in any suspected violation of policy, the following procedures should apply:

(i) Prior to the interview, the team member subject to disciplinary action for violating policy should be told in general terms the purpose of the interview;

(ii) Team members who believe that they have been disciplined too severely or who question the reason for discipline are encouraged to utilize the grievance procedure process;

(iii) If a disciplined team member works the time lines indicated without further action being instituted under this policy, the next failure to meet behavior or performance standards will be treated as a first occurrence under this policy.

(6) Termination.

(A) A team member may be recommended for termination from employment by their Director/Manager at any time, depending upon the severity of the offense. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources Manager, or designee. The Human Resources Manager, or designee, will consult with the Director/Manager to ensure the reason is justified and clearly stated. If Human Resources Manager, or designee is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the termination, the same will be forwarded to the Executive Management Team for final approval or denial. All terminations are appealable pursuant to Section PAP.9.12.040 of this manual.

(B) The Director/Manager shall document all terminations and provide a copy of all documentation to the Human Resource Manager, or designee.

(b) The Gaming Enterprises retain the sole discretion to determine what behavior warrants disciplinary action and what type of disciplinary action will be imposed. The Gaming Enterprises reserves the right to terminate team members at any time for any reason that does not violate applicable law with or without notice and with or without prior resort to other means of discipline.

PAP.9.12.040 Disciplinary Action Appeal Procedure

(a) Appeal Policy.

(1) It is the policy of the Gaming Enterprises to ensure fair and equitable treatment for all team members. Therefore, the Tribe on behalf of the Gaming Enterprises hereby issues a waiver of its sovereign immunity pursuant to Section TCT.1.3.020 to all non-contracted employees for the limited purpose of appealing in Tribal Court as detailed in this section, any suspension or termination received by a team member pursuant to Section PAP.9.12.020 of this manual, however the right to appeal does not extend to probationary actions pursuant to Section PAP.9.4.140; and the right to appeal does not extend to discipline received for engaging in dishonest acts pursuant to Section PAP.9.8.050(b)(14). Verbal and written warnings are corrective action tools and thus are not subject to appeal pursuant to Section PAP.9.12.030(a)(1)(A) and Section PAP.9.12.030(a)(2)(A).

(2) Any additional claims asserted by an employee against the Gaming Enterprises or the Tribe, must be filled pursuant to Section TCT.2.9.010. The Tribe on its own behalf, as well as on behalf of the Gaming Enterprises, has not waived its sovereign immunity with regard to any claims filed pursuant to Section TCT.2.9.010.

(b) Appeal Procedures. A formal appeal will be filed and processed in the manner described below, except that time limits may be waived or extended by written mutual consent of the parties involved.

(1) Appeal. The team member will submit a written statement detailing the issue being appealed within three (3) working days of receiving a suspension or termination pursuant to Section PAP.9.5.110 and Section PAP.9.12.020 of this manual to the Human Resource Office. A team member's failure to file an appeal within the specified time period will be considered a waiver of the formal appeal procedure and the disciplinary action will be final.

(2) If at any time during the process the team member and the team member's Director/Manager are able to agree on a solution to the appeal filed, they may submit a joint statement outlining the acceptable terms to the Executive Management Team. If the terms are approved by the Executive Management Team, then the matter is settled with copies provided to the team member and the Director/Manager with a copy retained by the Human Resource Director. The Executive Management Team decision will be final.

(1) Schedule of Hearings.

(A) Upon timely receipt of all appeal documentation, the Human Resource Director, or designee, will file the employment appeal with the Tribal Court and request an initial hearing. The original copy of the appeal shall remain with the Human Resources Office.

(B) The Tribal Court shall serve upon the employee, the notice of the employment appeal hearing date along with a copy of the employment appeal filings by personal delivery or certified mail at least five (5) days prior to the scheduled hearing date.

(C) The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals by the Tribal Court in the same manner as provided in Section PAP.9.12.040(c)(1)(B), above. The Human Resource Director, or designee, shall provide the Lac Courte Oreilles Office of the Attorney General with the entire record of the grievance and all information submitted in connection to the appeal.

(D) All employees requested to testify at an employment appeal hearing, must attend the hearing when directed by the Human Resource Director, or designee. Failure to appear may result in a monetary fine or disciplinary action or both. The Gaming Enterprises recognizes that some employees possess official immunity and may not be compelled to testify.

(A) The Tribal Court shall schedule an initial appearance within thirty (30) days of the filing, at which time the Gaming Enterprises shall enter its initial plea, the Tribal Court shall set forth a scheduling order pursuant to Section TCT.2.9.050 and shall schedule a trial date pursuant to Section TCT.2.10.010. The initial trial date shall be scheduled within sixty (60) days of the filing.

(B) the Trial shall be conducted pursuant to Subchapter TCT.2.10.

(C) The Tribal Court shall determine, by a preponderance of the evidence, whether the Gaming Enterprises reasonably believed that the team member committed the policy violation(s) upon which the discipline is based and whether the Gaming Enterprises followed the appropriate procedural steps established in Section PAP.9.12.020 of this manual.

(i) The Tribal Court is required to defer to interpretations of this ordinance as made by the Gaming Enterprises [pursuant to the Chevron Doctrine], unless such interpretations are unreasonable. An action determined to be unreasonable shall be established by clear and convincing evidence.

(D) If the Tribal Court determines that the Gaming Enterprises had a reasonable basis to believe that it met the burden of proof regarding any of the violations and the appropriate procedural steps established in Section PAP.9.12.020 of this manual were followed, it shall uphold the decision of the Gaming Enterprises; and shall uphold all disciplinary measures taken without substituting its judgment for that of the Gaming Enterprises.

(E) If the Tribal Court determines that the Gaming Enterprises did not have a reasonable basis to believe that it met the burden of proof regarding any of the violations and procedural steps established in Section PAP.9.12.020 of this manual, it shall overturn the decision of the employer and order that the employee's personnel file reflect such decision conditioned on the following:

(i) Any award of back wages or other benefits that may have been withheld from the employee shall be limited to ninety (90) days;

(ii) No attorney's fees may be awarded as established in Section TCT.2.11.060.

(v) The employee is not guaranteed restoration to his or her previous position. Such reinstatement shall occur at the discretion of the Gaming Enterprises. If the Gaming Enterprises restores the employee to his or her previous position, the Human Resource Director shall meet with the employee and the department head or director and develop a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(F) The Tribal Court may issue its decision orally immediately. In all cases it shall issue a written decision within forty-five (45) days as established by Section TCT.2.11.040 and shall provide the parties with notice thereof. If the Tribal Court does not issue a written decision within forty-five (45) days, it is presumed that the Tribal Court has determined that the employer had a reasonable basis to believe that it met the burden of proof and as a result the action of the employer shall be upheld. The written decision shall include findings of fact, a conclusion regarding each violation, and any money judgments as conditioned in Section PAP.9.12.040(c)(2)(E), above. The decision shall be provided to each party by first-class mail to the person's last known address; electronic mail to the party and to the party's attorney or lay advocate who has filed a notice of appearance in the action; or by delivery to such person, the person's home, or the person's office.

(G) If either party disagrees with the decision of the Tribal Court, that party may appeal the decision to the Court of Appeals by filing a notice of appeal within ten (10) working days of the party's receipt of the decision pursuant to Section PAP.9.12.040(c)(2)(F) above. The filing of an appeal by the employer shall stay any action under Section PAP.9.12.040(c)(2)(E) above, pending resolution of the appeal by the Court of Appeals. Failure to abide by the timeline stated in this section shall be deemed a waiver of the disciplinary appeal and the Tribal Court's decision shall be deemed as final. A Clerk of Court shall submit to the Court of Appeals the record of the employment appeal hearing within five (5) working days of receiving a copy of the notice of appeal. The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals of a Tribal Court decision pursuant to the methods established in Section PAP.9.12.040(c)(2)(F) above.

(A) The Court of Appeals shall have the discretion to decide whether to schedule an oral argument in any employment appeal.

(B) The Court of Appeals may issue a decision without an oral argument after reviewing the decision of the Tribal Court and the evidence submitted during the grievance and appeal processes.

(C) In all cases, the Court of Appeals shall review the findings of fact and conclusions of law solely to determine whether the appeals committee committed clear error. "Clear error" occurs when a decision is not reasonably supported by the facts or law, standard of review, or evidentiary standards.

(D) If the Court of Appeals determines that the Tribal Court committed a clear error regarding any of the violations and procedural steps established in Section PAP.9.12.020 of this manual, it shall overturn the decision of the Tribal Court and may remand the matter back the Tribal Court for further review consistent with the Court of Appeals findings

(E) If the Court of Appeals determines that the Tribal Court did not commit a clear error(s) regarding any of the violations and the procedural steps established in Section PAP.9.12.020 of this manual, it shall uphold the decision of the Tribal Court.

Subchapter PAP.9.13 Safety and Security Program

PAP.9.13.010 General Safety Guidelines

The Gaming Enterprises are committed to providing and maintaining a safe environment for its team members and guests. It is the policy of the Gaming Enterprises to comply with all applicable health and safety regulations and to provide a work environment as free as feasible from recognized hazards.

(a) Team members are expected to comply with all safety and health requirements as established by management.

(b) Any team member behaving in a careless/unsafe manner and causing an accident, or failing to report an unsafe condition, may be subject to disciplinary action up to and including termination.

(c) In an effort to promote safety at every level, and within all departments, the employer depends on all team members to observe basic safety rules which include, but are not limited to:

(1) Observe all posted safety procedures;

(2) Avoid overloading electrical outlets with too many appliances or machines;

(3) Use flammable items, such as cleaning fluids, with caution;

(4) Walk, do not run;

(5) Report to your manager if you or a co-worker becomes ill or is injured;

(6) Ask for assistance when lifting heavy objects or moving heavy furniture;

(7) Smoke only in designated smoking areas;

(8) Keep cabinet doors and file and desk drawers closed when not in use;

(9) Emptying of ash trays into approved receptacles;

(10) Sit firmly and squarely in chairs that roll or tilt;

(11) Wear or use appropriate safety equipment as required in your work;

(12) Avoid "horseplay" or practical jokes;

(13) Start work on any machine only after safety procedures and requirements have been explained (and understood);

(14) Keep work area clean and orderly, and the aisles clear;

(15) Stack materials only to safe heights;

(16) Watch out for the safety of fellow team members and guests;

(17) Immediately report tears in carpet or flooring to the MOD and the Facilities department;

(18) If observe wet floors or spills immediately clean it up;

(19) Observe speed limits and watch for pedestrians;

(20) Report all unsafe behavior of guests, vendors, contractors to the Manager on Duty;

(21) Acquaint self with and use only approved solvents, cleaning agents, etc.

PAP.9.13.020 Risk Reduction

(a) The Gaming Enterprises employ a Safety/Risk Manager to assist with risk reduction.

(b) Supervisors and Manages are expected to perform the following safety responsibilities:

(1) Familiarizing themselves with all safety and health procedures relevant to the operations under their supervision;

(2) Inspecting their work areas periodically;

(3) Training their team members in safety matters or arranging for such training where appropriate;

(4) Identifying conditions that are recognized in the work areas as being unsafe;

(5) Acquainting all team members under their supervision in the appropriate use of solvents, cleaning agents, etc. including reading, understanding, and following Material Safety Data Sheets ("MSDS") that pertain to their area of responsibility (such MSDS should be available through the Facilities Department); and

(6) Reporting accidents and injuries to the department supervisor / manager or the MOD immediately.

(c) Team members shall ensure that no unauthorized individual's access secured areas without the prior authorization of a member of the executive management team.

(d) Team members should report to their supervisor, their Departmental Safety Committee representative, or the MOD, all observed safety and health violations, potentially unsafe conditions, and any accidents resulting in injuries to team members or customers. Team members are encouraged to submit suggestions to their Departmental Safety Committee representative, concerning safety and health matters.

(e) The employer must provide special clothing or equipment or reimburse for it, when such clothing or equipment is required by regulation or by internal policies. Team members are responsible for the proper use and maintenance of such clothing and equipment and will be subject to discipline for failure to comply with this obligation.

(f) Supervisors should not discharge or discriminate in any manner against a team member because the team member has instituted a safety-related proceeding, has testified in such a proceeding, or has otherwise exercised any right afforded by law.

(g) Team members accompanying safety compliance officer during so-called "walk-around" inspections will not be compensated for such time unless the team member is assigned the task by management.

(h) Team members who are exposed to known toxic substances and recognized harmful physical agents should be given relevant information at the time they are first hired and at least annually after that.

PAP.9.13.030 Banishment Policy

It is the responsibility of the Casino to make our best effort to keep our patrons and team members safe from harm or harassment. While Banishment is generally applied to Guests, at times Team Members may be banished for a fixed time, suspended, and/or leading up to termination.

(a) Banishment authority is provided to the Manager on Duty at the time of the incident of violation in accordance with this policy. If there is a challenge to this decision by the patron or Team Member, all available evidence of the incident is to be reviewed by a member of Executive Management team and their decision will be a final disposition of the matter.

(b) Criteria for Banishment.

(1) Panhandling. Unwarranted or unwelcome requests for borrowing or begging for money, items or services from another person for any reason is considered a form of harassment and will not be permitted on casino property at any time. The perpetrator will be given verbal & written notification (documented and retained on file by patron name by the Manager on Duty) of the offense and informed that further incidents carry ban consequences up to and including a permanent ban from all Casino properties:

(A) 1st offense, Verbal Warning 90-day ban

(B) 2nd offense, Written Warning 1-year ban

*Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(2) Underage Drinking. Any person under 21 years of age observed consuming alcohol on the premises shall be banned until they are the legal minimum age of 21. Such a person shall be informed that if a 2nd offense occurs, management will contact law enforcement immediately, which may result in them being detained for the local authorities to do a sobriety test. Such a person shall also be notified that a 3rd offense shall result in a permanent ban from all Casino properties:

(A) 1st offense, banned from the bar and casino until minimum drinking age of 21.

(B) 2nd offense, 3-year ban*

* Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(3) Intoxication. All patrons that are visibly intoxicated will not be allowed to consume alcohol or gamble. If the intoxicated patron is disruptive, behaving offensively or is projecting a negative image, that patron will be asked to leave immediately. When an intoxicated patron has been asked to leave the premises, Security and the Manager on Duty will assist the patron in acquiring alternative transportation to their destination, whether it is finding a friend or relative the patron came with, calling someone for this person, or calling a cab if the patron has cab fare. When all other attempts fail, local law enforcement may need to be called. The perpetrator of the offense will be given a verbal & written notification and be informed that further incidents carry ban consequences up to and including a permanent ban from all Casino properties. Any further incidents shall result in:

(A) 1st offense, Verbal Warning 90-day ban

(B) 2nd offense, Written Warning 1-year ban

* Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(4) Verbal Confrontation or Threats. Verbal confrontations or threats to other patrons or team members are taken very seriously. These are seen as offensive to other patrons, damaging to the Lac Courte Oreilles Band's public image and detrimental to the friendly and hospitable environment management desires to create for our guests. The perpetrator will be sent a written letter (documented and retained on file by patron name by the Manager on Duty) with date of incident, time of banishment period and a warning that future incidents carry consequences up to and including a permanent ban from all Casino properties:

(A) 1st offense, Verbal Warning 90-day ban

(B) 2nd offense, Written Warning 1-year ban

* Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(5) Physical Confrontations. In any incidents involving a physical confrontation with patrons or team members, local law enforcement departments will be contacted, and the patrons involved will immediately be removed from the premises by Security, or local law enforcement Department, when necessary, and placed on the appropriate ban. If the Executive Team determines the severity is great enough, the individual(s) involved could face a permanent ban. When required, an investigation will be done by the Manager on Duty to determine the aggressor of the altercation. In all cases, the initial aggressor will be immediately banned. Through the investigation, if it is determined that the victim has engaged beyond defending themselves or third parties engage as aggressors, multiple patrons are subject to banishment. The perpetrator(s) will be sent a written letter & verbal notification (documented and retained on file by patron name by the Manager on Duty) of the offense and informed that further incidents carry ban consequences up to and including a permanent ban from all Casino properties:

(A) 1st offense, Verbal Warning 1-year ban

(B) 2nd offense, Written Warning 2-year ban

*Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(6) Controlled Substances. Law enforcement will be called when Casino management personnel suspect a patron to be in possession of, using, or trafficking controlled substances. The perpetrator shall be banned up to, and including, a permanent ban from all Casino properties:

(A) 1st offense, Verbal Warning 1-year ban

(B) 2nd offense, Written Warning 3-year ban

* Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(7) Suspicious Activity. Any person determined by Casino Management to be displaying suspicious activity related to the following situations will be subject to a ban up to and including a permanent ban from all Casino properties: Situations and circumstances include, but are not limited to, drug related activity, harassment, or any other reason to believe the safety and security of operations could be jeopardized:

(A) 1st offense, Verbal Warning 90-day ban

(B) 2nd offense, Written Warning 1-year ban

*Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(8) Damage to Property. If damage to property assets occurs, the perpetrator(s) will be sent a letter specifying the damages, the amount of damages and time of banishment along with a warning of future consequences. The perpetrator shall be banned until the damages are paid in full. This includes any charges necessary for extra cleaning or repair to the facility. Patrons are subject to a ban from all Casino properties.

(A) 1st offense, Verbal Warning 90-day ban

(B) 2nd offense, Written Warning 1-year ban

* Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(9) Fraud, Theft or Cheating. Any person determined by Casino management to have committed theft, fraud or collusion in any game of chance or promotional activity will be permanently banned from all Casino properties. A letter will be sent informing them of the date of the permanent ban. All documentation and evidence will be forwarded to the LCO Gaming Commission and to State of Wisconsin Department of Regulatory Compliance.

(A) 1st offense, Final Written Permanent ban and reimbursement made

(10) Unclaimed Funds/Property. Any person determined by the Executive Management Team to have claimed another person's property, (monetary or nonmonetary), including property and goods of the Gaming Enterprises, will be subject to consequences up to and including a permanent ban from all Casino properties once an investigation has been completed. Any person found to have claimed another person's property, including property and goods of the Gaming Enterprises, will also be required to re-pay the amount and/or return property taken. No person will be allowed off the ban list until full reimbursement has been satisfied and the ban has been served.

(A) 1st offense, 1-year ban and reimbursement made

(B) 2nd offense, 2-year ban and reimbursement made

* Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

(11) Quicket Tickets/ Unattended Credits. When a patron reports a quicket ticket cashed out or credits of their machine missing, any person determined by Casino Management to have claimed that ticket will be subject to consequences up to and including a permanent ban from all Casino properties once an investigation has been completed. Any person found to have claimed the missing ticket will also be required to re-pay the amount of the ticket. No person will be allowed off the ban list until full reimbursement has been satisfied and the ban has been served.

(A) 1st offense, 1-year ban and reimbursement made

(B) 2nd offense, 2-year ban and reimbursement made

*Upon completion of the 3-year ban, the offender must request a meeting with the Executive Staff to discuss possible reinstatement.

PAP.9.13.040 Banishment Procedures

(a) The patron should be asked if the ID bears their current residential address. If not, it shall be requested from them. If the patron refuses to cooperate with the request for current physical address the ban memo will be issued internally without it. If they should return to the property, Security will be notified immediately to provide them a copy of the ban memo and escort them off the property.

(b) A ban memo will be distributed to Security, Surveillance, Manager on Duty. Lodge, Marketing and Grindstone Creek Casino informing each business area of the patron's name, Manager on Duty serving the notice and the start and end dates of the ban.

(c) A ban list shall be maintained (and distributed periodically as it is updated) for reference by all aforementioned departments to determine who is permitted on property at all times.

(d) The ban notification shall include instructions requiring the patron to call the Casino and speak to the Manager on Duty who shall inform them of the consequence of another incident of the infraction they were banned for. Patrons who invoke the self-exclusion process are not required to notify the Manager on Duty of their expected return to the property.

(e) The perpetrator will be sent a written letter with a date of incident, time of banishment period and a warning that future incidents carry consequences up to and including a permanent ban.

(f) All violations of this ban will be combined and run concurrently.

(g) All Tribal Governing Board members will receive notification of any individual(s) placed on the ban list. Notification to the Tribal Governing Board members will include:

(1) a brief description of the reason for the ban;

(2) a ban memo;

(3) the update ban list; and

(4) a photo of the individual(s) recently placed on the ban list, when available.

PAP.9.13.050 Accident / Injuries Reporting

This policy applies to all team members. Safety is every team member's responsibility. Job-related injuries or illness, regardless of severity, must be reported immediately to the supervisor, and the Security Department in order to provide prompt and trained evaluation and to obtain medical attention if necessary.

(a) Team members should report any unsafe conditions or circumstances to their supervisor or the MOD or Security Supervisor to prevent accident.

(b) Job related injuries or illnesses must be reported to the HR Department and the MOD or Security Supervisor, within twenty-four (24) hours of the injury or illness.

(d) If medical attention is needed the team member should contact the MOD or Security Supervisor. The MOD or Security Supervisor will provide assistance and take emergency measures prior to transport to outside medical facilities if necessary.

(e) Whether or not medical attention is necessary, the team member must report to the supervisor or Security Department for evaluation and appropriate documentation.

(f) All team members shall report all customer injury accidents to their immediate supervisor or MOD or Security Supervisor immediately, and the necessary report must be completed and submitted to the Safety/Risk Manager within twenty-four (24) hours after the injury/accident occurs.

(g) Work-related injuries must be reported in accordance with applicable Workers' Compensation requirements.

PAP.9.13.060 Use of Recording Devices

The unauthorized use of recording devices, i.e., tapes recorders, video cameras, cellular telephone cameras, etc. is strictly prohibited. Authorization must be obtained from the Chief Executive Officer before the actual use of such devices. Violations of the above policy may result in disciplinary action up to and including termination.

PAP.9.13.070 Lockers

The Employer will provide locking equipment. Valuables should not be left in lockers at any time. The Employer assumes no responsibility for any lost items. Management has the right to inspect lockers, without notice, at any time. Team members are not allowed to share or change lockers without permission from Security.

PAP.9.13.080 Use of Employer Vehicles

(a) The use of any Employer's vehicle is restricted to authorized personnel engaged in official business. Use of an Employer's vehicle by unauthorized team members or unauthorized purposes may result in disciplinary action up to and including termination.

(b) Team members that are authorized to drive employer's vehicles must have a valid driver's license and maintain a safe driving record.

(c) Such team members must notify the Human Resource Department within 24 hours (excluding holidays and weekends) of all serious driving violations and/or suspension of their driver's license, regardless of whether the driving activity occurred while on duty or while off duty. Violations or incidents include but are not limited to:

(1) DUI or DWI;

(2) Accidents for which the team member received a safety citation;

(3) Excess points on driving record or violations resulting in suspension of the driver's license.

(d) Loss of Driving Privileges. If having a valid U.S. driver's license and maintaining a safe driving record in order to drive an employer's vehicle is a condition of employment and the team member has his/her driver's license suspended, revoked, or terminated, the employer may take disciplinary action up to and including termination.

(e) All team members who are authorized to drive employer's vehicles will have their driving record reviewed annually, or more frequently, as necessary by the HR Department.

PAP.9.13.090 Travel and Expense Reimbursement

All team members of the Gaming Enterprises shall comply with Travel law and policy of the Tribe as established in Chapter PAP.3 of the LCOTCL – Travel Policies and Procedures. This Travel Policy establishes the rules governing travel by all employees of the Tribe, including all employees of the Gaming Enterprises in the performance of their official job duties on behalf of the Gaming Enterprises ("Business Travel") and the purchase or use of modes of transportation, such as personal automobiles, tribal vehicles, rental vehicles, tolls, parking, accommodations, air fare, etc. (collectively "Travel Services").

(a) Team members will be reimbursed for all business expenses which are for a clear and necessary business purpose, reasonable in amount and in conformance with company policy and expense budgeting procedures.

(b) Expense reimbursement is on an entitlement or per diem basis. Team members will be reimbursed only to the extent of actual documented expenses incurred.

(c) Falsification of expense vouchers is a matter of major misconduct. Disciplinary action will be taken in those cases where there is evidence that this had happened, up to and including the possibility of termination.

(d) Purpose of Attendance. Attendance at these functions is to provide technical training for team members; to obtain current data on government and business policies and trends; to maintain regulatory relationships; and to maintain and develop current and potential business contracts. Because of this, it is required that team member's time be spent in the direct participation of programs and discussions at the function.

(e) Business Trips. It is the policy of the Gaming Enterprises to reimburse team members for actual expenses incurred while traveling away from home on required business for the Gaming Enterprises. Mileage reimbursement will also be made for business travel purposes.

(f) Combined Business/Pleasure Trips. The Gaming Enterprises will reimburse team members for the business expense portion on a combined business/pleasure trip provided that the primary purpose of the trip was for business and has been given prior proper approval.

PAP.9.13.100 Reimbursement of Travel Expenses

The Gaming Enterprises will reimburse its team members for those ordinary and necessary expenses incurred for travel related purposes as established in Chapter PAP.3 of the LCOTCL – Travel Policies and Procedures.

(a) Air Travel. Reimbursement for team members will be made for coach or tourist class only and it is recommended that reservations be made far enough in advance to take advantage of reduced rates for early reservation. Reservations will be made by designated team members. All airline ticket stubs are to be attached to the expense voucher.

(b) Travel to and from Airports. Airport provided transportation should be used when feasible. If conditions warrant, taxi or personal automobile expenses will be reimbursed. If a personal automobile is used mileage plus parking should be vouched.

(d) Automobile Transportation.

(1) Mileage Allowance. Travel by personal automobile will be reimbursed at the current Tribal Government rate and should be computed as follows:

(A) Miles for business travel outside of the area should be measured from the point of departure, i.e. your Department or personal residence to the point of destination.

(B) Mileage for travel to and from the airport should be measured from personal residence or work to the airport.

(2) Parking. Parking will be reimbursed at actual costs. A receipt is required for reimbursement.

(3) Insurance Coverage. It is required that whenever a personal automobile is used on company business, the team member must have an insurance declaration of coverage page of not less than $100,000/300,000 bodily injury, and $25,000 property damage, or a combined single limit insurance of $300,000 or more in their personal file. The standard mileage rate includes an appropriate amount of reimbursement of the cost of this insurance.

(4) In-Lieu Expenses for Personal Automobile Use. Team members may wish to use their personal automobiles rather than common carriers in some instances. Reimbursement for such use of the team member's personal automobiles is limited to the lesser of:

(A) The costs of coach airfares and transportation to and from the airports for the team member(s) traveling in the same auto; costs including hours paid for travel will be used in this calculation; or

(B) The sum of the normal mileage reimbursement, parking fees and tolls (for driver only) and the actual cost of the meals and hotels enroute. Costs including hours paid for travel will be used in this calculation.

(e) Car Rental. A car rental may be justified by the type of business being conducted and the relative cost and availability of other modes of transportation and approved prior to the trip.

(f) Taxi. Taxi fares will be reimbursed at actual cost when used as necessary transportation either to and from the airport or to and from the hotel at the destination city.

(g) Lodging. Overnight lodging while traveling out of town will be reimbursed at actual cost. If the team member's spouse is traveling and the spouse's travel expenses are not otherwise reimbursable, lodging will be reimbursed at single room rates.

(h) Meals. Meals enroute and at destination are reimbursable up to the allowable subsistence rate. Expenditures should be appropriate to the nature of the business trip.

(i) Entertainment. In appropriate situations the cost of entertaining individuals with whom a business relationship is desired is reimbursable. To be reimbursable, the entertainment expense must be ordinary and necessary to the conduct of our business. The allowance of the expenditure is subject to a post audit.

(j) Documentation. Reimbursable expenses must be substantiated with documentary evidence such as itemized receipts, itemized paid bills, or paid statements. These receipts must show:

(1) Amount of each expense;

(2) Date and place of travel, entertainment, etc., or description;

(3) Odometer readings are required for local business travel when using your personal automobile;

(4) All lodging receipts and receipts for items over $25.00 are required. Daily cost of meals and other expenses incidental to travel should be broken down by meal and type of expense;

(5) When attending educational seminars, include a copy of the agenda as part of the documentation for registration.

(k) Trip Report. A trip report to the Direct Report is required by all team members within five (5) days of their return from traveling on company business. This report will summarize the business purpose of the trip and what was accomplished.

PAP.9.13.110 Compliance with Security During an Internal Investigation

When the assistance of team members is needed during an internal investigation, all team members are to promptly cooperate to the fullest, by whatever means necessary, to promote a timely investigation. This may include, but is not limited to reporting to work on off-days with compensation for actual time involved or three (3) hours, whichever is greater, with the investigation procedure. At no time during the investigation will customers or services be interrupted unless an emergency condition exists.

PAP.9.13.120 Computer Use Policy

The employer relies on its computer network to conduct its business to ensure that its team members, independent contractors, agents, and other computer users use its computer Resource properly.

(a) The rules and obligations described in this Policy apply to all users (the "Users") of the employer's computer network, wherever they may be located. Violations will be taken very seriously and may result in disciplinary action, including possible termination, civil and criminal liability.

(b) It is every team member's duty to use the employer's computer Resources responsibly, professionally, ethically, and lawfully.

(c) Definitions. The term Computer Resource refers to the Employer's entire computer network, including hardware and software.

(1) Computer Resources include, but are not limited to: host computers, file servers, application servers, communication servers, mail servers, fax servers, Web servers, work stations, stand-alone computers, laptops, software, data files, and all internal and external computer and communications networks (for example, Internet, commercial online service, value-added networks, e-mail systems) that may be accessed directly or indirectly from our computer network.

(2) "Users" refers to all team members, independent contractors, consultants, temporary workers, and other persons or entities that use the employer's Computer Resource.

(d) The Computer Resource are the property of the employer and may be only used for legitimate business purposes. Users are permitted access to the computer Resource to assist them in performance of their jobs. Use of the computer system is a privilege that may be revoked at any time.

PAP.9.13.130 No Expectation of Privacy

(a) The computers and computer accounts are given to Users to assist them in the performance of their jobs.

(b) Users should not have an expectation of privacy in anything they create, store, send or receive on the computer system.

(d) Users expressly waive the right of privacy in anything they create, store, send, or receive on the computer or through the Internet or any other computer network.

(e) Users consent to allowing personnel of the employer to access and review all materials users create, store, send, or receive on the computer or through the Internet or any other computer network.

(f) Users understand that the employer may use human or automated means to monitor use of its Computer Resource.

PAP.9.13.140 Prohibited Activities

(a) Inappropriate or Unlawful Material. Material that is fraudulent, harassing, embarrassing, sexually explicit, profane, obscene, intimidating, defamatory, or otherwise unlawful or inappropriate may not be sent by e-mail or other form of electronic communication (such as bulletin board systems, newsgroups, chat groups) or displayed or stored in the employer's computers. Users encountering or receiving this kind of material should immediately report the incident to their supervisors.

(b) Prohibited Areas. Without prior written permission from appropriate entities, the Employer's Computer Resource may not be used for dissemination or storage of commercial or personal advertisements, solicitations, promotions, destructive programs (that is, viruses or self-replicating code), political material, or any other unauthorized use.

(c) Waste of Computer Resource. Users may not deliberately perform acts that waste Computer Resource or unfairly monopolize Resource to the exclusion of others. These acts include, but are not limited to sending mass mailings or chain letters, spending excessive amounts of time on the Internet, playing games, engaging in online chat groups, printing multiple copies of documents, streaming media or otherwise creating unnecessary network traffic.

(d) Misuse of Software. Without prior written authorization from appropriate entities, Users may not do any of the following:

(1) Copy software for use on their home computers;

(2) Provide copies of software to any independent contractors or clients of the employer, or to any third party;

(3) Install software on any of the employer's workstations or servers.

(4) Download any software from the Internet or other online service to any of the employer's workstations or servers;

(5) Modify, revise, transform, recast, or adapt any software; and Reverse-engineer, disassemble, or de-compile any software.

(6) Users who become aware of any misuse of software of violation of copyright law should immediately report the incident to their supervisors.

(7) Communication of trade secrets. Unless expressly authorized, sending, transmitting, or otherwise disseminating proprietary data, trade secrets, or other confidential information of the employer, is strictly prohibited.

PAP.9.13.150 Passwords

(a) Responsibility for passwords. Users are responsible for safeguarding their passwords for access to the computer system.

(b) Individual passwords should not be printed, stored online, or given to others.

(d) No Users may access the computer system with another User's password or account.

(e) Passwords do not imply privacy. Use of passwords to gain access to the computer system or to encode particular files or messages does not imply the Users have an expectation of privacy in the material they create or receive on the computer system. The employer may utilize global passwords that permit access to all material stored on its computer system regardless of whether that material has been encoded with a User's password.

PAP.9.13.160 Accessing Other Users Files

(a) Users may not alter or copy a file belonging to another User without first obtaining permission from the owner of the file.

(b) Ability to read, alter, or copy a file belonging to another User does not imply permission to read, alter, or copy that file.

(c) Users may not use the computer to "snoop" or pry into the affairs of other users by unnecessarily reviewing their files and e-mail.

(d) Accessing other computers and networks. A User's ability to use other computer systems through the network or by a modem does not imply a right to connect to other systems or to make use of those systems unless specifically authorized by the operators of those systems.

(e) Computer Security. Each User is responsible for ensuring that use of outside computers and networks, such as the Internet, does not compromise the security of the employer's Computer Resources. This duty includes taking reasonable precautions to prevent intruders from accessing the employer's network without authorization and to prevent introduction and spread of viruses.

PAP.9.13.170 Viruses

(a) Each User is responsible for taking reasonable precautions to ensure he or she does not introduce viruses into the employer's network. To that end, all material received on jump drive or other magnetic or optical medium and all material downloaded from the Internet or from computers or networks that does not belong to the employer, must be scanned for viruses and other destructive programs before being placed onto the computer system.

(b) Users should understand that their home computers and laptops might contain viruses. All disks and/or drives transferred from these computers to the employer's network, must be scanned for viruses.

(c) Accessing the Internet. To ensure security and avoid the spread of viruses, Users accessing the Internet through a computer attached to the employer's network must do so through an approved Internet firewall. Accessing the Internet directly, by modem, is strictly prohibited, unless the computer used is not connected to the employer's network and is approved by the appropriate entities.

PAP.9.13.180 Encryption Software

Use of encryption software: Users may not install or use encryption software on any of the employer's computers without first obtaining written permission from the appropriate entities.

PAP.9.13.190 No Additional Rights

This Policy is not intended to, and does not grant, users any contractual rights.

PAP.9.13.200 Software

(a) The enterprise licenses the use of computer software from a variety of third parties; such software is normally copyrighted by the software developer and team members are not authorized to make copies of the software except for backup or archival purposes. The purpose of this policy is to prevent copyright infringement and to protect the integrity of the employer's computer environment from viruses.

(b) It is the policy of the employer to respect all computer software copyrights and to adhere to the terms of all software licenses to which the employer is a party.

(c) Team members may not duplicate any licensed software or related documentation for use either on enterprise's premises or elsewhere unless the employer is expressly authorized to do so by agreement with the licenser.

(d) Team members may not give software to any outsiders including clients, contractors, customers, and others.

(e) Team members may use software on local area networks or on multiple machines only in accordance with applicable license agreements.

(f) Computers are the employer's assets and its software must be kept legal and virus free.

(g) Only software purchased through the procedure specified in this policy may be used on employer's equipment.

(h) Team members are not permitted to bring software from home and load it on the employer's computers.

(i) Generally, employer-owned software cannot be taken home and loaded on a team member's computer if it also resides on the employer's computers.

(j) If a team member is to use software at home, the employer should purchase a separate package and record it as an enterprise asset in the software register. However, some software companies provide in their licensing agreements that home use is permitted under certain circumstances. Before taking any software home, the User must receive written permission.

(k) All software acquired by the employer must be purchased through the appropriate purchasing department.

(l) Software may not be purchased through team member corporate credit cards, petty cash or travel and entertainment budgets.

(m) Software acquisition channels are restricted to ensure that the appropriate department has a record of all software that has been purchased for the employer's computers and can register, support and upgrade such software accordingly.

(n) To purchase software, team members must obtain the approval of their supervisor and then follow the prescribed procedures for acquisition of other employer's assets. All software purchases must be reviewed and approved by the MIS department for security and compatibility to the employer's computer Resource.

(o) When software is delivered, it must be first delivered to the MIS Department so that registration and inventory requirements are complete.

(p) The MIS Department is responsible for completing the registration card and returning it to the software publisher.

(q) Software must be registered in the name of the employer and the department in which it will be used. Because of personnel turnover, software should never be registered in the name of the individual user.

(r) The MIS Department will maintain a register of all the employer's software and will keep a library of software licenses. The register must contain the following:

(1) Date and source of software acquisition;

(2) Location of each installation as well as the serial number of the hardware on which each copy of the software is installed;

(3) Name of the authorized user;

(4) The existence and location of back-up copies;

(5) The software product's serial number;

(6) After the registration requirements have been met, the software installation will proceed. Once installed on the hard disk, the original diskette or CD should be kept in a safe storage area;

(7) Manuals, tutorials, and other user materials should be provided to the user;

(8) A copy of the applicable license agreement shall be provided to the user upon request.

(s) Each team member should be trained on the software to be used in that department.

(t) Department managers must notify the MIS Department whenever new team members are in need of software. All new team members will be required to complete a training program before software can be utilized.

PAP.9.13.210 Cultural Involvement and Responsibilities

All employees must be supportive of the mission, philosophy, concept, policies and procedures of the Gaming Enterprises. Team members are required to participate in on-going cultural awareness activities.

PAP.9.13.220 Safety and Threats

PAP.9.13.230 Acknowledgment of Receipt and Understanding

It is the expectation of the Gaming Enterprises that new team members will receive and review this manual, and that such receipt and review will be acknowledged in writing. Further, it is the expectation of the Gaming Enterprises that all team members will acknowledge, in writing, receipt of any changes to the manual when presented to that team member.

PERSONNEL POLICIES AND PROCEDURES MANUAL

RECEIPT AND ACKNOWLEDGEMENT

I hereby acknowledge receipt of a copy of the Gaming Enterprises Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. This personnel policy and procedural manual contains the policies and rules that apply to me. I agree to read the manual and follow it during my employment with the Gaming Enterprises. I further understand the Gaming Enterprises may amend this personnel policy and procedural manual at any time and that such changes will be communicated to me in writing.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this acknowledgement for your records.

CONSENT TO APPEAL PROCESS

I hereby consent, as a condition of my employment, to the exclusive jurisdiction of the Gaming Enterprises' Disciplinary Action and Appeal procedures as set forth in Subchapter PAP.9.12 of this manual, and the jurisdiction of the Tribal Court for all disputes in connection with my employment with the Gaming Enterprises. I acknowledge that my failure to comply with time limitations for resolving a complaint or filing an appeal will preclude further consideration of any matter. I hereby waive any right I may have to litigate in another court of law, any and all claims arising out of my employment, and hereby waive any right I may have to a jury trial, and agree instead to submit any and all disciplinary action claims to the Disciplinary Action and Appeal procedures as set forth in Subchapter PAP.9.12 of this manual. I hereby consent to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the Gaming Enterprises.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

WAIVER OF APPEAL PROCESS

I hereby consent, as a condition of my employment, to participate in a Probationary Period in lieu of Termination pursuant to Section PAP.9.12.030(a)(3) of this manual. I hereby waive any right I may have to the Appeal procedures as set forth in Section PAP.9.12.040 of this manual through my participation in this Probationary Period in lieu of Termination. I hereby acknowledge that as a condition of my employment that I have consented to the application of Tribal law, both substantive and procedural, regarding all proceedings, matters and things relating to my employment relationship with the Gaming Enterprises.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this consent for your records.

Chapter PAP.10 Governmental Fiscal Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This fiscal policy and procedural manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians. This fiscal policy and procedural manual, sets forth the fiscal and accounting policies and procedures in effect for the Lac Courte Oreilles Tribal Government. This Manual replaces any and all previous fiscal and accounting policy statements, whether written or oral. No prior fiscal or accounting policies or procedures will have any force or effect after the effective date of this Manual. This Manual will not be construed to create any contract or any other right. The Tribal Governing Board acting in its sovereign capacity may in its sole discretion amend this fiscal policy and procedural manual from time to time. All amendments to this Manual will be made in writing, and no amendment will be effective until approved by the Tribal Governing Board and signed by the Secretary/Treasurer. In the event of an inconsistency between any provision of this Manual and applicable law, the provision of this Manual shall be void and deemed stricken, and this Manual shall be amended to the extent necessary to comply with the same.

Subchapter PAP.10.1 General Provisions

PAP.10.1.010 Title

This fiscal policies and procedures manual shall be known as the Governmental Fiscal Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.10.1.020 Authority

This fiscal policy and procedural manual is enacted pursuant to Article V, Section 1(j) of the Amended Constitution and Bylaws of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians, empowers the Tribal Governing Board to: "To administer any funds within the control of the Band; to make expenditures from available funds for public purposes, including salaries or other remuneration of Band officials, employees or members. Such salaries or remuneration shall be paid only for services actually rendered. All expenditures by the Governing Board shall be in accord with a previously approved budget, and the amount so paid shall be a matter of public record at all times.

PAP.10.1.030 Purpose

It is the purpose of this fiscal policy and procedural manual is to provide the general policies, rules and practices in effect at the Tribe such as the following:

(a) Ensure accurate and timely accounting of all financial transactions involving the Tribe or funds or assets of the Tribe.

(b) Ensure that all funds and assets of the Tribe are properly accounted for in an effort to safeguard the same against loss from unauthorized use or disposition.

(c) Ensure compliance by the Tribe will all requirements of every applicable governing authority, including those governing or related to grants or other sources of funding.

(d) Ensure compliance with Generally Accepted Accounting Principles.

(e) Ensure the accuracy and reliability of the Tribe's financial statements.

PAP.10.1.040 Effective Date

Except as otherwise provided in specific sections, the provisions of this fiscal policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.10.1.050 Interpretation

The provisions of this fiscal policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the fiscal and accounting related activities of the Tribe;

(b) Shall be liberally construed in favor of the Tribe;

PAP.10.1.060 Severability and Non-Liability

If any section, provision or portion of this fiscal policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this fiscal policy and procedural manual shall not be affected thereby. The Tribe further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this fiscal policy and procedural manual.

PAP.10.1.070 Repeal of Inconsistent Governmental Manual(s)

All previous fiscal policy and procedural manual(s) of the Tribe inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the fiscal and accounting related activities of the Tribe.

Subchapter PAP.10.2 Definitions

PAP.10.2.010 General Definitions

(a) "Account Number" means a group of numbers used to identify the fund, department, and description of an account. For example 171-6110-1900 is broken down as follows: 171 = indirect cost fund, 6110 = supplies and 1900 = project 1 (See Subchapter PAP.10.4).

(b) "Allowable Cost" (as set forth in OMB Circular A-87) means those which meet the following general criteria:

(1) Be reasonable for the performance of the award and be allocable thereto under these principles;

(2) Conform to any limitations or exclusions set forth in these principles or in the award as to types or amount of cost items;

(3) Be consistent with policies and procedures that apply uniformly to both federally financed and other activities of the organization;

(4) Be accorded consistent treatment;

(5) Be determined in accordance with GAAP (Generally Accepted Accounting Principles);

(6) Not be included as a cost or used to meet cost sharing or matching requirements of any other federally financed program in either the current or a prior period; and

(7) Be adequately documented.

(c) "Asset" means any valuable item that is owned or a future economic benefit obtained or controlled by a particular entity as a result of past transactions or events. Examples include cash and accounts receivable.

(d) "Appropriation" means funds set aside for a specific purpose.

(e) "Balance Sheet" means a statement of the assets, liabilities, and fund balance as of a specified date. Total Assets equal total liabilities plus fund balance.

(f) "Budget" means an itemized summary of probable income and approved expenditures for a given program and period.

(g) "Capital Project Funds" means funds to account for financial resources to be used for the acquisition or construction of major capital facilities.

(h) "Chart of Accounts" means a list of all account numbers used by an organization to record activity into the general ledger.

(i) "Credit" means the right side of an account.

(j) "Debit" means the left side of an account.

(k) "Debt Service Funds" means an account for the accumulation of resources for, and the retirement of, general long-term debt principal and interest.

(l) "Deferred Compensation Fund" means the fund used to account for assets held for employees in accordance with the provisions of Internal Revenue Code Section 457.

(m) "Deferred Revenue" means revenue that is not yet recognized.

(n) "Direct Cost" means any cost which can be specifically identified with a particular cost objective.

(o) "Disbursement" means funds paid out.

(p) "Discretionary Funds" means funds that may be spent as the Tribal Governing Board wishes, subject to any applicable legal constraints.

(q) "Enterprise Funds" means an account for business operations financed and operated in a manner similar to private business enterprises.

(r) "Encumbrance" means commitments related to unperformed contracts for goods or services. As used in budgeting, encumbrances are not GAAP expenditures or liabilities, but represent the estimated amount of assets reserved for outstanding purchase orders.

(s) "Equipment Purchase" means the expense line item used to record equipment purchased. This expense line should only include items costing $5,000 or more individually. Equipment items of lesser value should be charged to a supply expense line.

(t) "Expense" means a decrease in financial resources.

(u) "Fiduciary Funds" means funds held by a governmental unit in a trustee capacity.

(v) "Financial Department" means the accounting department of the Tribe.

(w) "Fixed Asset" means a single tangible item valued at $2,000 or more with a useful life longer than one year, including buildings, equipment and vehicles and items of a lesser value which are subject to pilferage such as computers.

(x) "Fringe Benefit" means any property, service, cash or cash equivalent provided to an employee by an employer in connection with the performance of services.

(y) "Fund" means a fiscal and accounting entity with a self-balancing set of accounts which is segregated for the purpose of tracking specific activities in accordance with special regulations or restrictions.

(z) "Fund Balance" means the difference between the assets and liabilities of a governmental fund.

(aa) "Generally Accepted Accounting Principles or GAAP" means the rules of accounting established by experienced professional accountants and bodies such as the financial accounting standards board.

(bb) "General Fixed Assets" means capital assets which are not assets of any fund, but rather are assets of the unit as a whole. Most often these assets arise from the expenditures of the financial resources of governmental funds.

(cc) "General Fixed Assets Account Group" means those fixed assets which are not recorded in a proprietary or another fund.

(dd) "General Fund" means accounts for all financial resources except those required to be accounted for in another fund.

(ee) "General Ledger" means a record of monetary transactions of an organization posted in the form of debits and credits.

(ff) "General Long-Term Debt Account Group" means a fund used to account for a government's long term indebtedness that has not been identified as a specific fund liability of a proprietary or trust fund.

(gg) "Government Accounting Standards Board or GASB" means the board which is the authority for establishing governmental accounting standards.

(hh) "Governmental Funds" means the funds used to finance most governmental function.

(ii) "Indirect Cost" means costs incurred for a common or joint purpose benefiting more than one cost objective. Assigning these costs to more than one objective requires an effort that is disproportionate to the results achieved. Examples of indirect costs include fiscal department staff and electricity for the administration building.

(jj) "Internal Service Funds" means funds to account for the financing of goods or services provided by one department to other governmental units.

(kk) "Journal Entry" means a two-sided entry consisting of a debit and a credit used to record information into the general ledger.

(ll) "Liability" means the obligations of an entity, such as accounts payable.

(mm) "Payee" means the one to whom money is to be paid.

(nn) "Post" means to record an item in the general ledger.

(oo) "Proprietary Funds" means funds used to account for governmental activities that are similar to for profit business operations in the private sector.

(pp) "Reasonable Costs" (as set forth in OMB Circular A-87) means a cost which, in its nature or amount, it does not exceed that which would be incurred by a prudent person under the circumstances prevailing at the time the decision was made to incur the costs. The question of the reasonableness of specific costs must be scrutinized with particular care in connection with organizations or separate divisions thereof which receive the preponderance of their support from awards made by Federal agencies. In determining the reasonableness of a given cost, consideration will be given to:

(1) Whether the cost is of a type generally recognized as ordinary and necessary for the operation of the organization or the performance of the award;

(2) The restraints or requirements imposed by such factors as generally accepted sound business practices, arm's length bargaining, federal and state laws and regulations, and terms and conditions of the award;

(3) Whether the individuals concerned acted with prudence in the circumstances, considering their responsibilities to the organization, its members, employees, and clients, the public at large, and the government; and

(4) Significant deviations from the established practices of the organization which may unjustifiably increase the award costs.

(qq) "Reserved Fund Balance" means those portions of fund balance not appropriable for expenditures or that are legally segregated for a specific future use.

(rr) "Revenue" means an increase in financial resources.

(ss) "Special Revenue Funds" means funds to account for specific revenue sources that are restricted legally to be expended for specific purposes.

(tt) "Statement of Revenues, Expenditures, and Changes in Fund Balance" means a financial statement which shows revenue, expenditures, and changes in fund balance during a specified period of time.

(uu) "Tribal Balance" means a list of the balances of the accounts in a ledger fund by double entry, with the debit and credit balances shown in separate columns. The totals of the debits and credits must be equal for the trial balance to balance.

(vv) "Unallowable Costs" (as set forth in OMB Circular A-87) include but are not limited to the following:

(1) Alcoholic beverages;

(2) Bad debts;

(3) Contingencies (See exceptions, Number 12, OMB Circular A-87);

(4) Contributions and donations;

(5) Entertainment;

(6) Fines and penalties;

(7) Fund raising;

(8) Interest and other financing costs except where authorized under the circular;

(9) Legislative expenses;

(10) Lobbying expenses; and

(11) Under-recovery of costs of other grants or agreements

Subchapter PAP.10.3 Method of Accounting

PAP.10.3.010 General

As a governmental entity, the Tribe is required to follow GAAP as endorsed by the GASB, including the following five basic principles of governmental accounting, which the Tribe will adhere pursuant to this subchapter.

PAP.10.3.020 Accounting and Reporting Capabilities

The governmental accounting system must make it possible to present fairly and with full disclosure the financial position and results of operations of the funds and account groups of the governmental unit in conformity with GAAP and to demonstrate compliance with legal and contractual provisions.

PAP.10.3.030 Fund Classifications

The governmental accounting system should be organized and operated on the fund basis. The three major categories of funds are Governmental Funds, Proprietary Funds, and Account Groups. Within each of these categories there are the following fund types and account groups:

(a) Governmental Funds include the General Fund, Special Revenue Funds, Capital Project Funds, and Debt Service Funds.

(b) Proprietary Funds include Enterprise Funds, Internal Service Funds, Fiduciary Funds, and the Deferred Compensation Fund.

PAP.10.3.040 Basis for Accounting

All governmental funds must be accounted for using the modified accrual basis of accounting, under which revenues are recognized when they become measurable and available, and expenditures are recognized when the related fund liability is incurred. All proprietary funds must be accounted for using the accrual basis of accounting, under which revenues are recognized when earned, and their expenses are recognized when incurred.

PAP.10.3.050 Budgeting

A budget must be prepared annually to coincide with the fiscal year. The accounting system provides the basis for appropriate budgetary control and budgetary comparisons will be included on the Revenue and Expenditure Report.

PAP.10.3.060 Annual and Interim Financial Reporting

Complete audited financial statements of the General Funds and the Special Revenue Funds must be issued annually. Interim financial reports such as Trial Balances, Revenue & Expenditure Reports and detailed general ledgers must be issued monthly or at the request of Program Directors or Tribal Governing Board. It is the responsibility of the Program Director to monitor their program. If they do not receive the financial information they need, they must contact the Finance Department and request it.

Subchapter PAP.10.4 Chart of Accounts

PAP.10.4.010 Purposes

The Tribe has established the Chart of Accounts that is reflected below, the purpose of which is to establish a system of numbering accounts in such a way manner that identifies certain information about the account.

PAP.10.4.020 Chart of Accounts Grouping

The Chart of Accounts is grouped into three groups of digits as follows: Fund – Activity– Area, with the following corresponding number of digits: xxx - xxxx - xxxx.

(a) The first group of three digits represents the fund and the fiscal period. The first two digits in this group represent the fund, and the last digit in this group represents the fiscal period.

(b) The second group of four digits usually represents the activity, and is referred to as the line item account number.

Subchapter PAP.10.5 Internal Controls

PAP.10.5.010 Objective

The objective of internal controls is to provide management with reasonable assurance as to the safeguarding of assets against losses from unauthorized use or disposition, and the reliability of financial records for preparing financial statements and maintaining accountability of assets.

PAP.10.5.020 Characteristics

The characteristics of an adequate system of internal controls include:

(a) The segregation of duties within the organization based on functional responsibilities;

(b) A system of authorization and record retention;

(d) A sound basis for practices to be followed to achieve the objectives of internal accounting controls.

PAP.10.5.030 Best Management Practices

The following internal controls are recognized as best management practices, and although conditioned upon the number of employees, will be adhered to whenever possible:

(a) No person will have complete control over all phases of any significant transaction.

(b) Whenever possible, the flow of work will be from one employee to another so that the work of the second, without duplicating that of the first, provides a check upon the work of the first employee.

(d) Record keeping will be separated from operations or the handling and custody of assets, including:

(1) The function of receiving cash will be centralized in one person, who will not be concerned in any way with approving or certifying vouchers, acting as petty cash cashier, preparing deposits, making disbursements, or keeping accounting records; and

(2) In receiving cash through the mail, the person responsible for opening the envelopes will immediately restrict with a tribal endorsement stamp all incoming checks and other negotiable instruments; these along with other cash received will be logged and listed in duplicate before forwarding the receipts to accounting for deposits to the bank.

(e) The following will be adhered to when handling cash:

(1) All cash receipts will be deposited intact and for the full amount received; and

(2) All collections will be deposited as soon as possible, preferably the day received.

(f) Collections and all other funds held within an office pending regular deposit will be restrictively endorsed. Petty cash funds and all other funds will be kept under complete control and under proper safeguards; preferably in a fire-resistant combination safe or safe cabinet.

(g) Uncollectible items and related documents will not be handled by the person making up deposits or by the person handling accounts receivable.

(h) If possible, persons preparing payrolls or time reporting records will not handle the related pay checks.

(i) Bank statements will be reconciled promptly to the formal accounting records and the reconciliation reviewed and approved by the Chief Financial Officer.

(j) The number of bank accounts and inter-bank transfers will be kept to a minimum.

(k) The following will be adhered to when issuing checks:

(1) Checks will not be issued to "cash" or "bearer;"

(2) Check signers will not sign blank checks; and

(3) Records of void checks will be kept. When possible the actual void check will be stamped void and filed.

If required, a replacement check will be issued following the process set forth in the Subchapter PAP.10.13 of this manual. When the actual check is not available and the check is for more than $15, a stop payment will be issued.

Subchapter PAP.10.6 Grants Management [Repealed]

PAP.10.6.010 Separate Accounting [Repealed]

Repealed.

PAP.10.6.020 Expenditures [Repealed]

Repealed.

PAP.10.6.030 Compliance Requirement [Repealed]

Repealed.

PAP.10.6.040 Department Proposals [Repealed]

Repealed.

PAP.10.6.050 Review of Proposals [Repealed]

Repealed.

PAP.10.6.060 Grants/Contracts Proposed as Pass Thru [Repealed]

Repealed.

PAP.10.6.070 Grants/Contracts Reviews Completed [Repealed]

Repealed.

PAP.10.6.080 New Grants/Contracts Applications [Repealed]

Repealed.

PAP.10.6.090 Departmental Programs and Projects [Repealed]

Repealed.

PAP.10.6.100 Approved Proposals [Repealed]

Repealed.

PAP.10.6.110 Notice of Award Selection [Repealed]

Repealed.

PAP.10.6.120 Advance or Reimbursement from a Funding Agency [Repealed]

Repealed.

PAP.10.6.130 Incurring Costs Against an Award [Repealed]

Repealed.

PAP.10.6.140 Requests to Move Contract/Grant Funds [Repealed]

Repealed.

PAP.10.6.150 Technical Assistance Request [Repealed]

Repealed.

PAP.10.6.160 Denial of Approval to Submit Grant/Contract Application [Repealed]

Repealed.

PAP.10.6.170 Internal Audit and Self-Monitoring [Repealed]

Repealed.

PAP.10.6.180 Memorandums of Understanding [Repealed]

Repealed.

PAP.10.6.190 Drawdowns [Repealed]

Repealed.

Subchapter PAP.10.7 Budgets

PAP.10.7.010 Annual Budgets

At the beginning of each fiscal year annual budgets will be prepared for the BIA Contracts, Health Contracts, Indirect Cost Pool, and any other grants that do not have approved budgets in the grant request.

PAP.10.7.020 Budget Preparation

The budgets will be prepared by the Contracts Officer with the help and input of program managers.

PAP.10.7.030 Budget Review

All budgets will be reviewed by the Chief Financial Officer.

PAP.10.7.040 Budget Approval

All budgets require the approval of the Tribal Governing Board.

PAP.10.7.050 Budget Comparisons

All approved budgets will be entered into the accounting system by fiscal staff so that actual to budget comparisons will be reflected on the Revenue and Expenditure Report.

Subchapter PAP.10.8 Audits

PAP.10.8.010 Audit Accordance

An audit in accordance with GAAP, and the standards applicable to financial audits contained in Auditing Standards issued by the Comptroller General of the United States will be conducted once a year. These standards require that the audit be planned and performed to obtain reasonable assurance about whether the financial statements are free of material misstatement.

PAP.10.8.020 Single Audit Act

The audit will be performed in accordance with the Single Audit Act and will address compliance and internal control issues.

PAP.10.8.030 Auditing Firms

All changes in auditing firms hired to perform and audit requires the prior approval of the Tribal Governing Board.

Subchapter PAP.10.9 Petty Cash

PAP.10.9.010 Petty Cash

Whenever possible and practical, disbursements should be made by check from the bank account. When it does become necessary to make small miscellaneous cash expenditures they may be made from the "petty cash" fund.

PAP.10.9.020 Petty Cash Fund Issuance

The person to whom a Petty Cash Fund is issued is solely responsible for properly controlling and maintaining the same.

PAP.10.9.030 Petty Cash Access Restricted

All petty cash will be kept in a locked box and in a locked drawer, with access restricted to the person to whom the Petty Cash Fund has been issued.

PAP.10.9.040 Petty Cash Fund

The amount of the Petty Cash Fund will not exceed $300. The total cash on hand plus the total of petty cash vouchers must equal the total fund at all times.

PAP.10.9.050 Cash on Hand Replenishment

When the total cash on hand requires replenishment the following steps should be followed:

(a) Request replenishment of cash from the fiscal department;

(b) Provide a reconciliation of all cash spent to the fiscal department;

(d) Include invoices or other documentation to support reconciliation.

Subchapter PAP.10.10 Bank Reconciliations

PAP.10.10.010 Separate Accounts

The Tribe will maintain one checking account for payroll and one account for cash disbursements. All cash receipts for all funds will flow through the cash disbursement account.

PAP.10.10.020 Reconciliation of Cash Balances

At the end of each month, all general ledger cash balances will be reconciled to the bank statement.

PAP.10.10.030 Additional Bank Accounts

Additional bank accounts such as certificates of deposit may also be used by the Tribe. These bank accounts will also be reconciled to the general ledger on a monthly basis.

PAP.10.10.040 Bank Reconciliations

The following will apply to bank reconciliations:

(a) Bank statements must be picked up at the bank by an authorized employee, received via US mail, or printed off from the online banking website.

(b) Reconciled deposits recorded on the bank statement to the cash receipts must be recorded in the cash receipts journal. Any deposit-in-transit from the prior month's reconciliation to the bank statement must be traced and the date these deposits were credited to the bank must be indicated.

(c) Any deposits not clearing the bank statement will represent deposits-in-transit on the current month's reconciliation. Deposits which have not cleared the bank within a week of the date deposited should be brought to the attention of the Chief Financial Officer.

(d) The prior month's reconciliation must be matched to the cancelled checks against those listed as outstanding. Any checks still outstanding should be listed on the current month's outstanding check list.

(e) Each cancelled check must be compared with the entry in the cash disbursements journal and place a check mark by the entry. Those entries not checked off will make up the current month's outstanding check list. Checks outstanding for a period of more than sixty (60) days should be brought to the attention of the Chief Financial Officer.

(f) Any other transaction appearing on the bank statement which will be recorded on the books by journal entry must be noted, including:

(1) Returned checks;

(2) Bank service charge;

(3) Wire transfer of funds; and

(4) Stop payment checks.

(g) The monthly bank statement must be reconciled to the balance shown in the general ledger account for cash on deposit. Since the balance in the general ledger account for cash on deposit controls the accuracy of the books, it is essential that the figure be reconciled with the balances shown by the bank statement.

Subchapter PAP.10.11 Cash Receipts

PAP.10.11.010 Cash Transactions

There is a relatively high risk associated with transactions involving cash. Cash generally is received from the following sources:

(a) Grant/contract funds received from the grantor/contractor;

(b) Medical Billing Receipts;

(d) Reimbursement of Unused Travel Advances; and

(e) Other Miscellaneous cash receipts.

PAP.10.11.020 Cash Internal Controls

In addition to the provisions of this Manual, including the internal controls listed in Subchapter PAP.10.5 of this manual, the following apply to all cash receipts:

(a) Cash Receipts must be properly safeguarded and appropriately recorded;

(b) Access to Cash Receipts must be limited to as few employees as possible;

(d) Cash Receipts must be deposited intact and on a timely basis.

PAP.10.11.030 Accounting Window Deposit

Specifically, when a deposit is received at the accounting window the accounting clerk in attendance will sit down with the person that brought the deposit and verify the total amount of money received in cash and by check and enter that amount onto the Incoming Check Log sheet (See sample form A-19) along with a brief description of where it came from, what it was for, and who brought it over.

PAP.10.11.040 Incoming Check Log

Once the amount has been verified by both the accounting clerk and the person that brought the deposit, each will sign off on the Incoming Check Log.

PAP.10.11.050 Immediate Transfer of Cash

The cash will immediately be transferred to the Accounts Receivable Clerk. The Accounts Receivable Clerk will count the cash, verify the amount, and initial the Incoming Check Log as verification that the entire amount of cash listed has been received. If the Accounts Receivable Clerk is not immediately available the cash will be given to the General Ledger Clerk or in their absence, to the supervisor in charge. This person will transfer the cash to the Accounts Receivable Clerk at their earliest opportunity, and have the Accounts Receivable Clerk verify the amount of cash received, and sign off on the Incoming Check Log. If the amount of cash does not agree with the amount on the Incoming Check Log, any discrepancy must be reported to the Chief Financial Officer immediately. All other deposits will be placed immediately in the Incoming Deposit Basket on the Accounts Receivable Clerk's desk.

PAP.10.11.060 Preparation of Receipt

The Accounts Receivable Clerk will prepare a receipt for each item received, and reconcile that item to the Incoming Check Log, and initial the Log as verification. The Accounts Receivable Clerk will immediately notify the CFO via e-mail of any receipts that do not agree with the amounts entered on the Incoming Check Log. Each receipt will have three (3) copies, with the original going to the person making the payment. One ( 1) of the copies must be filed in the cash receipts journal and the other must remain in the cash receipts book (See sample form A-4).

PAP.10.11.070 Employee Cash Handling

Each employee handling cash will be personally responsible for that amount until they have someone else sign off for it, or until it is verified as having been deposited into the proper bank account. Any shortages resulting from lost or missing cash will be deducted from the next payroll check of the last person to sign off as having received it prior to it being discovered to be lost or missing.

PAP.10.11.080 Miscellaneous Cash Receipts

Miscellaneous cash receipts will show the source, amount and nature of the cash received. Cash receipts will be summarized in a cash receipts journal, which will contain the following information:

(a) Date of receipt of the cash;

(b) Source from which the cash was received;

(d) Account number to be credited for the cash receipt.

PAP.10.11.090 Accounts Receivable Balance Review

Accounts receivable balances will be reviewed periodically and adjusted for bad debts at least once per year.

Subchapter PAP.10.12 Procurement

PAP.10.12.010 Purchases

All purchases must be in compliance with Chapter PAP.2 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law – Property and Procurement Policies and Procedures. The applicable budget shall serve as the guideline for annual expenditures for all operating expenses.

PAP.10.12.020 Purchases Within the Approved Budget Line

All purchases within the approved budget line items are classified as follows:

(a) Routine and Recurring Purchases. Purchases under this category include monthly payments for rent, telephone, utilities, insurance, etc. It is not necessary for the finance department to obtain Program Director signature each month for these routine purchases.

(b) Special Program Purchases. Program purchases include project expenditures such as supplies and training. Prior to making these types of purchases, a Purchase Requisition Form must be received from the Program Director. This form must be completed in every detail and signed by the Program Director. Upon receipt of the Purchase Request, the Purchasing Officer will review the Purchasing Request for propriety regarding vendor, price, budget and bids. The Purchasing Officer will then prepare a purchase order using the Sage MIP Fund Accounting System. Upon signed authorization by the Program Director, the purchase order will then be submitted to the vendor for processing.

(c) Travel Claims. All purchases must be in compliance with Chapter PAP.3 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law – Travel Personnel Policies and Procedures.

(d) Equipment. All purchase must be in compliance with Chapter PAP.2 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law – Property and Procurement Policies and Procedures.

PAP.10.12.030 Purchases of Individual Items

Purchases of individual items require the following approval levels:

(a) $0 to $2,000 requires approval of the Program Director; and

(b) Over $2,000 requires three (3) documented bids, and Tribal Governing Board approval; provided the Tribal Governing Board may determine that obtaining such bids is not possible, and may waive such requirement.

PAP.10.12.040 Vendor and Professional Services Contracts

All vendor and professional services contracts, excluding Education Department Tutoring contracts, require Tribal Governing Board approval regardless of the dollar amount. The process for requesting such approval is as follows:

(a) The procurement documentation and Request for Contract Form must be completed in their entirety (See sample form A-5).

(b) The procurement documentation and Request for Contract Form must be submitted to the Executive Director and Chief Financial Officer for review and approval. The Executive Director will assign a contract number.

(c) The approved procurement documentation and Request for Contract Form must then be submitted to the Tribal Governing Board for approval at least seven (7) calendar days prior to the date of consideration, which will give the Tribal Governing Board time to review the documents and if necessary, request additional information.

(d) After approval and signature by the Tribal Chairperson, one original must be forwarded to the Executive Director.

PAP.10.12.050 Sole Source Provider

The Tribe strongly discourages the awarding of any contract to a sole source provider. Unless sufficient evidence is provided that a contractor is a true sole source provider, such contract shall be rejected.

PAP.10.12.060 Purchase Orders

The following requirements apply to purchase orders, in that all purchase orders must:

(a) Be pre-numbered;

(b) Be issued by the Purchasing Clerk and authorized by a Program Director;

(d) Be compared to invoices upon receipt, and related encumbrances must be removed when invoice is paid.

Subchapter PAP.10.13 Cash Disbursements

PAP.10.13.010 Unused Checks

Unused checks will be stored in the locked file room located in the finance department.

PAP.10.13.020 W-9 Form

A W-9 form will be completed for each new vendor used (See sample form A-6). No payments will be made to new vendors without W-9 information.

PAP.10.13.030 "Debarred" or "Suspended"

The finance department will periodically review new vendors to confirm that they have not been "debarred" or "suspended" by the federal government.

PAP.10.13.040 Accounts Payable Vouchers

The deadline for submission of Accounts Payable vouchers is 4:30pm Monday. In order for a check to be issued by 11:00 am Friday, the properly completed voucher must be received by the 4:30 Monday deadline. Vouchers that are received after the submission deadline will not be processed until the following week.

PAP.10.13.050 Improperly Coded Vouchers

Vouchers that are not properly coded and authorized will be returned and will not be processed until properly completed. The properly completed vouchers will be processed in accordance with the processing schedule cited above based on the time when the properly completed voucher is received.

PAP.10.13.060 Supporting Documentation

The finance department will review and approve original supporting documentation for expenditures prior to payment.

PAP.10.13.070 Payments for Purchases

Payments for purchases, and obligations made from grant funds will be made only by check; provided no check will be issued unless there is documentary proof that the service or merchandise has been received and is satisfactory.

PAP.10.13.080 Purpose for Payment

When a check is written, the purpose for the payment will be stated in the related paperwork.

PAP.10.13.090 Check Signers

All checks will be signed by two members of the Tribal Governing Board.

PAP.10.13.100 Recording of Cash Disbursement Journal

All checks will be recorded in the cash disbursement journal and posted to the general ledger when issued.

PAP.10.13.110 Cash Disbursement Journal

The cash disbursement journal will contain the following information:

(a) Check number;

(b) Payee;

(d) Amount of check; and

(e) Distribution of the expense accounts affected.

PAP.10.13.120 Proof That the Service or Merchandise Has Been Received

The bill, invoice, or proof that the service or merchandise has been received will be clearly marked "Paid", and a second copy of the check stapled to it to prevent duplicate payment.

PAP.10.13.130 Paid Bills in a Vendor File

All paid bills will then be filed in a vendor file in alphabetical order for future reference.

Subchapter PAP.10.14 Credit Cards

PAP.10.14.010 Credit Cards

Refer to Chapter PAP.3 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law – Travel Personnel Policies and Procedures for details regarding the Tribe's policies and procedures relating to use of credit cards.

Subchapter PAP.10.15 Travel

PAP.10.15.010 Travel

Subchapter PAP.10.16 Payroll

PAP.10.16.010 Personnel Policy and Procedures Manual

Refer to Chapter PAP.1 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law – Governmental Personnel Policies and Procedures for more details regarding payroll, benefits, and other employment related issues. The provisions of this subchapter summarize the payroll process.

PAP.10.16.020 Employment Forms

All new employees must complete the following forms:

(a) Personnel Information Sheet (See sample form A-7);

(b) Notify In Case of Emergency (See sample form A-8);

(d) I-9 Eligibility to Work Verification (See sample form A-10); and

(e) All other information, ID's, or forms required by the Tribe.

PAP.10.16.030 Payroll Information

All supervisors of new employees must complete and provide the payroll department with following information:

(a) Notice of Appointment (See sample form A-11);

(b) Any information regarding all special agreements or arrangements made with the new employee; and

PAP.10.16.040 Personnel Action Notice Form

After obtaining all required approvals, a supervisor must complete and provide the finance department with a Personnel Action Notice Form whenever there is a change in an employee's employment status. Changes in employment status include raises, termination, and changes in fund being charged (See sample form A-14). Personal Action Notice's must be submitted by the due date for timecards for pay period in which the change becomes effective.

PAP.10.16.050 Pay Periods

The normal pay periods for employees will be weekly. The deadline for submission of time cards is Noon Tuesday. In order for a paycheck to be issued by 11:00 am Friday, the properly completed time card must be received by the Noon Tuesday deadline. Completed time cards that are received after the submission deadline will not be processed until the next payroll.

PAP.10.16.060 Time Cards

All time cards must have the hours accurately totaled, must be signed by the employee, and must be signed by the supervisor, or they will be returned and will not be processed until properly completed. The properly completed timecards will be processed in accordance with the processing schedule cited above based on the time when the properly completed time card is received. In order to maintain our current level of operating efficiency it is imperative that these submission deadlines and processing schedules be strictly adhered to.

PAP.10.16.070 End of Pay Periods

At the end of each pay period the following steps will be performed:

(a) Each nonexempt employee will total the hours that have been punched on their time card during the week. After verifying that the hours are correct, the employee must sign the time card (See sample form A-12).

(b) The employee will then submit their time card to their supervisor for review. After verifying that the hours on the time card are correct, and that it has been signed by the employee, the supervisor must sign the time card.

(c) Time cards must accurately reflect all annual leave, sick leave, holidays, or other absence from work during the pay period.

(d) All Request for Leave Forms must be turned in with time records (See sample form A-13).

(e) The finance department will maintain records showing current accrued vacation and sick leave.

(f) Any time cards on which the hours are not accurately totaled, not signed by the employee or the supervisor or which do not otherwise meet the requirements of this Manual will be not be processed; but rather will be returned to the supervisor for proper completion.

(g) Ensure that prior to payment, all payroll calculations will be reviewed by a financial department employee other than the person who prepared the original calculation.

PAP.10.16.080 Finance Department Responsibilities Pertaining to Pay Periods

The finance department will:

(a) Update computer files to reflect status changes, garnishments, and other items that affect payroll;

(b) Charge wages to the correct funding sources;

(d) Ensure that proper authorization for deductions are on file;

(e) Ensure that all payroll checks are signed when they are printed out on the MICR check printer.

(f) Ensure that payroll reports are printed and filed after processing a payroll.

(g) Ensure that payroll tax deposits and fringe benefit payroll deductions are paid to the appropriate agencies in a timely manner.

PAP.10.16.090 Payroll Advances

There will be no payroll advances and no early check releases shall occur except with approval of the Tribal Governing Board.

PAP.10.16.100 Termination, Resignation, or Layoff of an Employee

Upon termination, resignation, or layoff of an employee, the Program Director must verify that the employee has completed all required reports, and turned in all keys, computers, cell phones, and all other property belong to the Tribe that was assigned to the employee during the term of their employment. The Program Director may place a hold on the employee's final pay check pending receipt of those items. An "Authorization to Hold Check" form will be completed and submitted to the Payroll Clerk (See sample form A- 15). The Payroll clerk will then hold the employee's final check until a completed "Authorization to Release Check" form is received from the Program Director (See sample form A-16).

Subchapter PAP.10.17 Journal Entries

PAP.10.17.010 General

Journal entries are made to accounts to record information not posted to the general ledger through the payroll, accounts receivable, or accounts payable systems.

PAP.10.17.020 General Ledger Journal Entry

The finance department will comply with the following when recording a journal entry to the general ledger:

(a) A journal voucher form will be utilized for entry of a journal entry into the general ledger (See sample form A-17).

(b) All necessary documentation will be attached. Where no documents exist, appropriate reference will be sufficient.

(c) After a journal entry is entered into the system a journal voucher edit list will be printed and reviewed for accuracy.

(d) The journal voucher edit list will be reviewed to verify that it is correct, and upon verification the journal entry will be posted to the general ledger.

Subchapter PAP.10.18 General Ledger

PAP.10.18.010 Journal Entries to the General Ledger on a Weekly Basis

The finance department will record and post all information from payroll, cash receipts, cash disbursements, as well as journal entries to the general ledger on a weekly basis.

PAP.10.18.020 Finance Department Responsibilities Each Month

The finance department, after each month, will:

(a) Lock down the general ledger for that month, which prevents information from being changed, which is necessary to ensure that the general ledger information coincides with the reports filed by Contracts Department with the funding agencies; and

(b) Generate Management Reports, which will be distributed to managers by the 1Oth of each month.

Subchapter PAP.10.19 Year End Accruals

PAP.10.19.010 Finance Department Responsibilities Each Fiscal Year

At the end of each fiscal year, the finance department will:

(a) Record expenses into the correct year;

(b) Prorate payroll expenses so that they are charged to the year in which the employee actually worked;

(c) Record invoices for items received or services rendered in the prior fiscal year but paid for in the current fiscal year at year end to ensure that the financial statements reflected the expense in the correct fiscal year; and

(d) Record third party revenue to ensure that revenue is recognized in the year when the services were provided.

Subchapter PAP.10.20 Fixed Assets

PAP.10.20.010 Purchases

Purchases of fixed assets will be made from funds designated for such purpose in compliance with Chapter PAP.2 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law – Property and Procurement Policies and Procedures. The finance department will maintain a record on the Property Inventory List by program and location for each fixed asset costing $5000 or more and for all vehicles, computer equipment, and other sensitive "walk-away" assets (See sample form A-18).

PAP.10.20.020 Property Inventory List

The Property Inventory List will include the following:

(a) Description of the property, new or used;

(b) Date of acquisition;

(d) Serial number, vehicle identification number, or other identifying number, if applicable;

(e) Acquisition cost or assigned value; and

(f) General condition of the property.

PAP.10.20.030 Equipment Accounts in the General Ledger

The total amount shown on the record should be consistent with the amount shown in the Equipment Accounts in the General Ledger.

(a) The finance department will conduct a physical inventory at least one (1) time every two (2) years. The inventory will be reconciled with the subsidiary ledger.

PAP.10.20.040 Finance Department Responsibilities

The finance department will maintain the Property Inventory List; will record acquisitions, disposals, and transfers and will prepare fixed asset financial reports, such as:

(a) Schedule of General Fixed Assets;

(b) Schedule of changes in General Fixed Assets; and

PAP.10.20.050 Fixed Asset Disposal

No fixed asset shall be disposed of except in compliance with Chapter PAP.2 of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Tribal Code of Law – Property and Procurement Policies and Procedures. Fixed assets valued at more than $5,000.00, shall not be disposed of without the without the prior approval of the Tribal Governing Board and the additional approval of the funding agency that paid for the asset.

Subchapter PAP.10.21 Indirect Cost Proposal

PAP.10.21.010 Indirect Cost Proposal Preparation

The Contracts Office will prepare an Indirect Cost Proposal each year in compliance with federal guidelines including Circular A-87. The Chief Financial Officer will review the Indirect Cost Proposal and submit it to the Tribal Governing Board.

PAP.10.21.020 Indirect Cost Proposal Approval

The Indirect Cost Proposal requires the approval of the Tribal Governing Board prior to mailing to the National Business Center. The final negotiated rate also requires such approval by the Tribal Governing Board before it is signed for acceptance.

Subchapter PAP.10.22 Matching Funds

PAP.10.22.010 Matching Funds Required

In cases where matching funds are required, the Program Director will ensure that adequate matching funds are secured and that the matching funds meet all guidelines called for in the award documents.

PAP.10.22.020 Matching Funds Compliance

The Contracts Officer will monitor compliance with all matching requirements.

PAP.10.22.030 Indirect Cost as In-Kind Match

In cases where indirect cost is utilized as in-kind matching funds, the Chief Financial Officer, or designee shall adhere to the following procedure:

(a) Once month/end program funds are expended, the indirect cost rate shall be charged against the expenditure less any exclusion (equipment and contracted services);

(b) The indirect cost is then invoiced to the program for payment;

(c) For in-kind match. The invoice for indirect cost shall be entered into the system as in-kind (revenue) and as in-kind (expense), along with other monthly in-kind as valued and documented by the Program Director. Documentation shall be submitted on a monthly basis to the Compliance Office for review, and submitted to the General Ledger Specialist for entry into the financial system. One complete, monthly financial reports shall be issued to each Program Director.

Subchapter PAP.10.23 Eligibility

PAP.10.23.010 Eligibility Requirements

Many programs and grants require that individuals who receive goods or services meet certain eligibility requirements. Program Directors must document eligibility before providing any goods or services.

PAP.10.23.020 Eligibility Determination

The Executive Director will monitor compliance, but it is not the responsibility of the financial department to determine eligibility.

Subchapter PAP.10.24 Financial Software

PAP.10.24.010 Designated Financial Software

It is important for the Tribe to use financial software designed for use by a governmental organization. The Tribe currently uses MOM Software, which is specifically designed for governmental accounting.

PAP.10.24.020 Financial Software Integrity

The financial department and information technology staff shall maintain and ensure the security of written and electronic fiscal records.

Subchapter PAP.10.25 Loans and Delinquent Debts

PAP.10.25.010 Loans

All loans made to individuals from the Tribe's discretionary funds require approval by the Tribal Governing Board, and shall be subject to a minimum annual interest rate of ten percent (10%), amortized over the life of the loan.

PAP.10.25.020 Debts

Tribal members and others who owe delinquent debts to the Tribe, or any of its entities, for any amounts will not be eligible for assistance during the period of delinquency, including but not limited to LIHEAP, General Assistance, Childcare, Education, etc.

PAP.10.25.030 Exclusion

This exclusion does not apply to medical benefits allowable under the Indian Health Service, but may apply to certain medical benefits under third party for non-emergent or elective medical or dental services or substance abuse program treatment and services, including the AAIR program.

ADDENDUM TO

FISCAL POLICIES AND PROCEDURES MANAUAL

CODE OF CONDUCT

(a) No employee, officer or agent of the Tribe or any sub-grantee will participate in selection or in the award or administration of a contract or grant if a conflict of interest, real or apparent is involved, including without limitation:

(1) If the employee, officer or agent, any member of his/ her immediate family; his or her partner; or any organization which employs, or is about to employ, any of the above, has a financial interest in the firm selected for the award; or

(2) If a conflict of interest is deemed to exist under applicable law, including without limitation rules and regulations of the awarding agency.

(b) No employee, officer, or agent of the Tribe, or any sub-grantee or its officers, employees or agents will solicit or accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to sub agreements.

(c) Any employee, officer or agent of the Tribe who is aware that a conflict of interest may exist is required to immediately and fully disclose the nature of the relationship to the Tribal Governing Board so as a determination can be made as to whether an actual or potential conflict of interest exists and if so, what remedies can be taken to correct the situation.

(d) Any employee, officer or agent of the Tribe who is found to be in violation of this Code of Conduct or any other provision of this Manual is subject to disciplinary action, up to and including termination of their employment and possible civil or criminal penalties.

Chapter PAP.11 Grant Management

Subchapter PAP.11.1 General Provisions

PAP.11.1.010 Authority

The Tribal Governing Board holds the authority to provide for application and acceptance of grants and agreements from federal and state agencies and all other third parties pursuant to the Amended Constitution and Bylaws of the Lac Courte Oreilles Band of Lake Superior Chippewa Article V, §1(c) which empowers the TGB to "to negotiate, make and perform contracts and agreements of every description, not inconsistent with law or with any provisions of this Constitution, with any person, association, or corporation, with any county, or with the State of Wisconsin or in the United States." All grants shall be consistent with the Tribe's goals, policies, and priorities. This policy provides guidance to ensure an orderly process in seeking, making applications for, accepting, administering grants, and assigning compliance responsibility for the provisions of all approved Tribally approved agreements. This policy is applicable to all employees of the Tribe and pertains to all activities associated with grants and other agreements with federal and other governments and other third parties. Compliance provisions of this Chapter are applicable to all employees responsible for administering programs financed under contract and compact agreements entered into under the Indian Self-Determination Act, and all other grant and cooperative agreements with federal and state agencies and other third parties.

PAP.11.1.020 Purpose

To provide uniform guidance in the process of considering, applying for, accepting, and administering grants and agreements from federal agencies, state agencies, and all other third-party sources.

PAP.11.1.030 Effective Date

Except as otherwise provided in specific sections, the provisions of this Grant Management policy shall be effective on the date adopted by the Tribal Governing Board.

PAP.11.1.040 Severability and Non-Liability

PAP.11.1.050 Repeal of Inconsistent Governmental Manual(s)

All previous Grant Management policy and procedural manual(s) of the Tribe inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the fiscal and accounting related activities of the Tribe.

Subchapter PAP.11.2 Grants

(a) The Chairman of the Tribal Governing Board has been delegated authority to negotiate, execute, sign, and modify grant documents that implement programs, activities, and functions that have been approved by the Tribal Governing Board. This delegation includes signature authority for all agreements that are necessary for the successful implementation of the program, e.g., sub-contracts, etc.

(b) Execution of grant awards is vested with the Tribal Chairman. Employees may not sign awards on behalf of the Tribe unless acting formally on behalf of the Chairman under written delegated authority.

PAP.11.2.010 Grant Selection

(a) Employees are encouraged to seek and examine grant opportunities to promote the general and specific goals of the Tribe. In general, consideration will be given to grants that meet the following criteria:

(1) Are consistent with the Tribes long term goals and objectives as set forth in the Tribe's comprehensive plan, and/or annual work plans or as directed by Tribal Governing Board consensus.

(2) Will advance established program goal(s) or support for already authorized programs,

(3) Will be self-supporting (i.e., the cost for administering the grant can be paid for entirely by the grant, including its share of indirect costs, or through some other means, such as cost sharing with already available budgetary resources, or through appropriation of Tribal revenue).

(4) Can be administered in a timely and efficient manner,

(5) Will not place unreasonable burdens on staff and facilities, thereby compromising other Tribal services and goals,

(6) Can be carried out consistent with the full expectations of the funding agency within the technical capability of the organization.

(7) Does not place an inappropriate financial burden on the Tribe or create community expectations that are unreasonable to fulfill in the absence of the grant.

(b) With input and support of specific staff through an internal review process, the Chairman shall review grant opportunities identified by employees, authorize grant applications, and shall make a determination if a Tribal Governing Board resolution is appropriate or necessary.

(c) Matching requirements associated with grants, whether direct, indirect, or in-kind shall be authorized consistent with budget policies.

(d) Budgets incorporated within grant applications shall conform to the Tribe's Cost Allocation Policies, and procedures implemented by the Tribe.

PAP.11.2.020 Approval Policy

(a) Upon notice of award, the grant agreement shall be reviewed by the LCO Legal Department, Compliance Department, and, when relevant, the Information Technology Department prior to execution by the Chairman.

(b) Departmental review ensures the grant conditions are appropriate for the Tribe.

(d) If the conditions of the grant require additional authority or resources, the Chairman and/or Secretary Treasurer will assure that budget authority is appropriately addressed.

(e) The Chairman is authorized to execute renewal of ongoing grants, contracts, and compacts on an annual basis.

PAP.11.2.030 Implementation

(a) Upon acceptance and execution of a grant, the department director is responsible for implementing and carrying out the grant.

(b) The assigned department director shall have direct responsibility to assure that all activities undertaken using grant resources are applicable, allocable, and allowable under the provisions of the grant, federal regulations, applicable state regulations, and applicable Tribal policies,

(c) The assigned department director shall have direct responsibility for all record keeping and reporting requirements of the grant are fully complied with.

(d) The Compliance Department shall establish procedures to monitor compliance of all financial and programmatic activities and reporting, consistent with grant requirements and applicable laws and regulations.

(e) Where grants are for ongoing programs, the department director responsible for implementation of the program shall be responsible for initiating renewal applications on a timely basis with the assistance of the Grants Department for submission.

PAP.11.2.040 Disputes and Exceptions

(a) To the extent that issues arise with the granting agency regarding any aspects of grant implementation, including disputes or exceptions taken by the granting agency with procedures or activities of the Tribe in carrying out the grant, the department director charged with grant implementation shall take immediate action to resolve the issue and shall advise the Compliance Department regarding the issue.

(b) Disputes and exceptions considered of material nature by the Compliance Manager shall be reported to the Tribal Governing Board on a timely basis along with a summary of actions being taken to resolve the issue.

PAP.11.2.050 Pass Through Awards

(a) Ensure that every subaward is clearly identified to the subrecipient as a subaward and includes the following information at the time of the subaward and if any of these data elements change, include the changes in subsequent subaward modification. When some of this information is not available, the pass-through entity must provide the best information available to describe the Federal award and subaward. Required information includes:

(1) Federal Award Identification:

(A) Subrecipient name (which must match the name associated with its unique entity identifier).

(B) Subrecipient' s unique entity identifier.

(D) Federal Award Date of award to the recipient by the Federal agency.

(E) Subaward Period of Performance Start and End Date.

(F) Amount of Federal Funds Obligated by this action by the pass-through entity to the subrecipient.

(G) Total amount of Federal Funds Obligated to the subrecipient by the pass-through entity including the current obligation.

(H) Total amount of Federal Award committed to the subrecipient by the pass-through entity.

(I) Federal award project description, as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA).

(J) Name of Federal awarding agency, pass-through entity, and contact information for awarding official of the Pass-through entity.

(K) Assistance Listing Number and Name' the pass-through entity must identify the dollar amount made available under each Federal award and the Assistance Listing number at time of disbursement.

(L) Identification of whether the award is R&D; and

(M) Indirect cost rate for the Federal award (including if the de minimis rate is charged.

(2) All requirements imposed by the pass-through entity on the subrecipient so that the Federal award is used in accordance with Federal statutes, regulations and the terms and conditions of the Federal award.

(3) Any additional requirements that the pass-through entity imposes on the subrecipient in order for the pass-through entity to meet its own responsibility to the Federal awarding agency including identification of any required financial and performance reports.

(4) An approved federally recognized indirect cost rate negotiated between the subrecipient and the Federal Government or, if no such rate exists, either a rate negotiated between the pass-through entity and the subrecipient, or a de minimis indirect cost rate.

(5) A requirement that the subrecipient permit the pass-through entity and auditors to have access to the subrecipient's records and financial statements as necessary for the pass-through entity to meet the requirements of this part; and

(6) Appropriate terms and conditions concerning closeout of the subaward.

(7) Evaluate each subrecipient's risk of noncompliance with Federal statutes, regulations, and the terms and conditions of the subaward for purposes of determining the appropriate subrecipient monitoring described in paragraphs (d) and (e) of this section, which may include consideration of such factors as:

(A) The subrecipient's prior experience with the same or similar subawards.

(B) The results of previous audits include whether or not the subrecipient receives a Single Audit in accordance with Subpart F- Audit Requirements of this part, and the extent to which the same or similar subaward has been audited as a major program.

(D) The extent and results of Federal awarding agency monitoring (e.g., if the subrecipient also receives Federal awards directly from a federal awarding agency)

(8) Consider imposing specific subaward conditions upon a subrecipient if appropriate as described in 2 CFR §200.207 Specific conditions.

(9) Monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with Federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved. Pass-through entity monitoring of the subrecipient must include:

(A) Reviewing financial and performance reports required by the pass-through entity.

(B) Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the Federal award provided to the subrecipient from the passthrough entity detected through audits, on-site reviews, and other means.

(C) Issuing a management decision for audit findings pertaining to the Federal award provided to the subrecipient from the passthrough entity as required by 2 CFR §200.521 Management decision.

(D) Depending upon the pass-through entity's assessment of risk posed by the subrecipient, the following monitoring tools may be useful for the pass-through entity to ensure proper accountability and compliance with program requirements and achievement of performance goals.

(E) Providing subrecipients with training and technical assistance on program-related matters.

(F) Performing on-site reviews of the subrecipient's program operations.

(G) Arranging for agreed-upon-procedures engagements as described in 2 CFR §200.425 Audit services.

(H) Verify that every subrecipient is audited as required by Subpart F-Audit Requirements of this part when it is expected that the subrecipient's Federal awards expended during the respective fiscal year equaled or exceeded the threshold set forth in 2 CFR §200.501 Audit requirements.

(I) Consider whether the results of the subrecipient's audits, onsite reviews, or other monitoring indicate conditions that necessitate adjustments to the pass-through entity's own records.

(J) Consider taking enforcement action against noncompliant subrecipients as described in 2 CFR §200.338 Remedies for noncompliance of this part and in program regulations.

PAP.11.2.060 Proposal Development

(a) Grant Authorization form, attachment A, is completed by the requesting department director or Grants staff. Once all details are completed including:

(1) Assistance Listing Number,

(2) Funding Agency,

(3) Opportunity Title,

(4) Requested budget amount,

(5) Project period,

(6) and Description of proposal,

(7) Required signatures of: Department Director, Planning and Grants Department Director, Compliance Manager, Executive Director, and at minimum four Tribal Governing Board Members.

(b) The lead writer, selected by the Grants Department Director shall create a Grant Proposal and Management Team including but not limited to:

(1) Tribal Governing Board designee

(2) Secretary/Treasurer of TGB

(3) Executive Director

(4) Chief Financial Officer

(5) Compliance Manager

(6) Director or designee of Department responsible for implementation of grant to be developed.

(c) Stakeholder representatives will be assigned by their supervisors and/or TGB designees to work with the Grant Proposal and Management Team to assist with the development of each grant proposal as warranted. This will enable those responsible for administering and reporting on the grant projects to review, revise, approve, and disapprove proposed projects based upon considerations of administrative and technical capacity, attainable goals, objectives, and deliverables, budget costs versus benefits, and fund matching requirements. However, the Tribal Governing Board retains the right to accept, reject, or modify stakeholder recommendations and proposed revisions.

(d) The lead writer will work with the Grants Department Director under the purview of the Grants Department Director to coordinate the effort of all involved in the grant development process for each grant. The lead writer will continue meeting with team members and stakeholders to develop grant application and required attachments and supporting documents generally including but not limited to supporting research and data, project goals and objectives, narratives, logic models, management plans, budgets and budget narratives, assurances, standard federal forms, resolutions, etc.

(e) A majority vote from the Tribal Governing Board must be received by the Grants department in order to submit grant proposals to funding agencies.

PAP.11.2.070 Awards

(a) Upon receipt of notice of award, the Program Director shall email the originals to the Chairman's Administrative Assistant or designee, who will obtain the Tribal Chairperson's signature, on the agreement. Once complete, the Program Director shall email a copy of the agreement to the funding agency with a copy to the Chairman's Administrative Assistant or designee, Program Director, Compliance Department and to the Financial Analyst and Accounting Specialists, so a fund number is issued, and drawdown accounts can be created.

(b) If the Tribe receives a new award without Director assigned or Department Director;

(1) The Executive Director shall send the Financial Analyst and Compliance Department a copy of the signed award agreement and associated documents, approved budget in Excel format with tribal general ledger expense codes and a copy of submitted grant application.

(2) The Compliance Department shall review the excel budget to verify match of submitted proposal, award document, and approve for funding code to be created.

(3) The Financial Analyst shall create a fund code for new awards or add the new Fiscal Year to the existing fund code for continuing awards.

(4) Upon budget posting in the accounting system, the Executive Director shall submit the job posting intake form for awards without identified staff upon award to Executive Director and Human Resources.

(c) Upon Program Director implementation of the new award, the Grants Department shall provide Grant Management Orientation. This orientation shall include the Compliance Department in order to discuss award terms and conditions, programmatic and financial reporting, explain goals and objectives, assign role in grant management portal, and other pertinent information.

(d) The Accounting Specialist shall:

(1) set up the initial grant and drawdown summary reports when the Tribe is awarded a new grant; and

(2) Submit summary report to program director and appropriate management to maintain in the master grant file.

(e) Once the Financial Analyst receives notification and supporting documentation of the new award, they shall:

(1) Sets up the appropriate fund; and

(2) Enter the approved budget into the accounting system,

(f) Program Directors shall maintain master grant files.

PAP.11.2.080 Maintenance and Compliance

(a) All terms, conditions, and requirements of the grants and between the Tribe and the funding agencies or contractors shall be strictly complied with.

(b) Executive Director is responsible for:

(1) Oversight of all externally funded awards and programs;

(2) Monitor grant compliance and assist directors as needed;

(3) Ensure good stewardship and compliance with the §200 CFR Subpart A - F to avoid fraud, waste, and abuse of Federal funds; and

(4) Work with the Compliance, Accounting Department, and the Program Director to ensure all expiring grants are closed out timely and all grant files and records are retained and archived for audit purposes.

(1) Ensuring good stewardship and compliance with the §200 CFR Subpart A - F to carry out the goals and objectives of the award;

(2) Read and understand all grants;

(3) Maintain award documents, grant summary, and provide updates and copies of all correspondence and modifications to the award or budget to the Compliance Department on an ongoing basis until the grant is closed;

(4) Review detailed general ledger transactions and budget to actual report no less than once per month to ensure expenditures are recorded correctly and are in compliance with the award; and

(5) Document matching requirements for funding agency reporting purposes.

(d) Chief Financial Officer (or designee) is responsible for:

(1) Grant monitoring for compliance, reporting for audit purposes, and informs directors, management, and the Tribal Governing Board of any discrepancies;

(2) Processing all drawdowns for payments from the funding agencies as requested by the Compliance Department;

(3) Maintain grant/drawdown summaries; and

(4) Ensure all financial information provided to the Tribe and funding agencies accurately reflect audited numbers.

(e) Compliance department is responsible for:

(1) Designating a Compliance Manager specifically tasked with the daily responsibility of monitoring grant compliance;

(2) The Compliance Manager is the person primarily responsible for overseeing and managing grant compliance issues within the Tribe;

(3) Assisting Program Directors and Accounting Departments as needed;

(4) Ensuring all grants are read and understood;

(5) Ensuring all terms, conditions, and requirements of the grants between the Tribe and the funding agencies or contractors will be strictly complied with;

(6) Document matching requirements for funding agency reporting purposes; and

(7) Responsible for preparation and submission of financial reports to the funding agencies.

(f) If the Tribe has grants with matching requirements, levels of effort, and/or earmarking limitations, the Program Director, Compliance Manager, and Financial Analyst, shall monitor activities to ensure that requirements and limitations are met, and amounts claimed or used for matching were determined in accordance with applicable laws and regulations.

PAP.11.2.090 Financial Management

(a) The Tribe's financial management system, including records documenting compliance with all statutes, regulations, and the terms and conditions of all awards, must be sufficient to permit the preparation of reports required by general and program-specific terms and conditions; and the tracing of funds to a level of expenditures adequate to establish that such funds have been used according to the statutes, regulations, and the terms and conditions of the awards. The financial management system of the Tribe must provide for the following:

(1) Identification (ID), in its accounts, of all awards received and expended and the programs under which they were received.

(2) Program and award identification (ID) must include, as applicable:

(3) The federal assistance listing number,

(4) Award identification (ID) number and year,

(5) Name of the funding agency, and

(6) Name of the pass-through entity, if any.

(7) Each grant will be accounted for separately by using a fund/department code issued by the Financial Analyst. Costs will not be incurred without a fund/department number.

(b) Accurate, current, and complete disclosure of the financial results of each award or program in accordance with the reporting requirements set forth in 2 CFR §200.327, titled "Financial reporting", and 2 CFR §200.328, titled "Monitoring and reporting program performance."

(1) Sound internal controls require timely and accurate financial information to be prepared and presented to management for review.

(2) Financial reports will be prepared for required accounting periods within the time imposed and on the basis of accounting required by the grantor agencies.

(d) The Program Director is responsible for maintaining the:

(1) Grant reporting schedule to ensure all reports are submitted on time.

(2) Master grant files for audit purposes.

(3) Grant financial and programmatic reports are kept on file by the Compliance Manager of the Tribe.

(e) The Financial Analyst also provides reports to the Program Directors, management, and the Tribal Governing Board so they have the most current up to date information and are able to update their grant files. These may include:

(1) Revenue/expenditure reports, and

(2) General ledger account detail reports.

PAP.11.2.100 Award Payments

(a) Drawdowns will be done according to grant guidelines provided by the funding agency.

(b) While some grants may be drawn down in advance, many will be drawn down on a reimbursement basis.

(1) Need to minimize time between funds received from the U.S. Treasury and disbursements made to vendors, and

(2) If kept in an interest-bearing account pursuant to 2 CFR§200.30S(b)(8).

(d) Interest earned amounts up to $500.00 per year may be retained by the Tribe for administrative expenses. 2 CFR §200.305(b)(9)

(e) Interest exceeding $500.00 per year must be remitted annually to the federal government. Pursuant to 2 CFR §200.305(b)(9).

PAP.11.2.110 Drawdowns

(a) The following cash drawdown procedures will govern the drawing of cash from the various funding agencies to ensure the drawing of federal cash will minimize the time between funds received from the U.S. Treasury and disbursements made to vendors:

(1) All grant drawdowns are prepared and processed by the Accounting Specialists, or other assigned staff.

(2) Funds are requested following the protocols of each funding source and after any required reviews and approvals.

(3) For normal drawdowns, the Compliance Department reviews each of the Federal programs after month-end close and processes a drawdown monthly, or more often as needed.

(4) For construction projects, the Executive Director or designee informs the Accounting Department three (3) days in advance before a large payment is needed so funds can be drawn prior to making the payment.

(A) Certified payroll reports are required on construction projects unless waived in writing by the funding agency, in compliance with Davis Bacon Related Acted (DBRA). Waiver of requirements must also be attached to the payment request just as certified payroll reports must be attached to all payment requests to the Accounts Payable staff before a payment can be made to the vendor.

(5) When the drawdown is complete, a printout is made of the cash drawdown and filed in the grant file. Copies are given to the Tribe's Accounting Department and the Compliance Department for the master file.

(6) The Compliance Department must provide documentation supporting the dollar amount being drawn down and to be in compliance with the Federal grants reporting requirements according to 2 CFR §200.302(b)(3), titled "Financial Management. " Supporting documentation includes:

(A) Drawdown printout,

(B) Grant and drawdown summary report,

(D) Trial balance (TB) summary,

(E) General ledger account (GLA) detail, and

(F) Cumulative general ledger account (GLA) detail for closeout final reports.

(7) Accounting Specialists will complete the drawdown and record the drawdown by entering the transaction in the general ledger (GL).

(8) The Tribe's bank account is reviewed each business day by the Accounting Specialists and when the drawdown is deposited in the bank account, cash is debited, and Grant Revenue is credited within the general ledger (GL) for the incoming cash. An adjustment is made to the receivable at year-end close with an accrued/deferred journal entry (JE).

PAP.11.2.120 Cost Sharing and Matching

(a) Cost sharing or matching may be considered if it is both in accordance with Federal awarding agency regulations and specified in a notice of funding opportunity later awarded to the Tribe.

(b) In cases where matching funds are required, it is the responsibility of the Program Director or Executive Director to ensure that adequate matching funds are secured.

(d) It is also the Program Director's responsibility to make sure the matching funds meet the guidelines called for in the award documents for non-federal matches.

(e) The in-kind form must have the match provider's signature as well as the Program Director's signature.

PAP.11.2.130 Program Eligibility

(a) Many grants require that individuals who receive goods or services meet certain eligibility requirements. It is the responsibility of the Program Directors to document eligibility before providing services. It is not the responsibility of the Accounting and Compliance Departments to determine eligibility.

(b) If the Tribe provides services under award programs with eligibility requirements, a Program Director or designee will use a set checklist to review and approve the provision of services to ensure that recipients are eligible under specific program requirements.

PAP.11.2.140 Program Income

(a) Program income is funds generated from specific activities approved by the funding agency and includes interest earned on loans made to program recipients with award funds.

(b) Except as otherwise provided in statutes, regulations, or the terms and conditions of awards, program income does NOT include:

(1) Interest earned on advances of award funds and

(2) Interest earned on rebates, credits, or discounts.

(c) Taxes, special assessments, levies, fines, and other such revenues raised by the Tribe are NOT program income unless the revenues are specifically identified in the award or awarding agency regulations as program income.

(d) The Tribe shall copy the Accounting Department to record the receipt and expenditures of revenues (taxes, special assessments, levies, fines, and other such revenues raised by the Tribe, etc.) as part of program income when such revenues are earmarked for the program.

(e) Proceeds from the sale of real property or equipment are NOT program income. Such proceeds will be handled in accordance with the requirements:

(1) Subpart D, titled "Post Federal Award Requirements Standards for Financial and Program Management" Property standards are as followed:

(A) Real property as defined in 2 CFR §200.311(a), titled "Real property"

(B) Equipment as defined in 2 CFR §200.3131(a) titled "Equipment" and as §200.313

(2) As specifically identified in statutes, regulations, or the terms and conditions of the award.

(f) If the awarding agency does not specify in its regulations or the terms and conditions of the award, or give prior approval for how program income is to be used pursuant to 2 CFR §200.307(e)(l), titled ''Program income" must apply:

(1) Ordinarily program income must be deducted from total allowable costs to determine the net allowable costs. Program income must be used for current costs unless the awarding agency authorizes otherwise. Program income, which the Tribe did not anticipate at the time of the award, must be used to reduce the award and Tribal contributions rather than to increase the funds committed to the project.

(2) With prior approval of the awarding agency, program income may be added to the award by the awarding agency and the Tribe. The program income must be used for the purposes and under the conditions of the award.

(3) With prior approval of the awarding agency, program income may be used to meet the cost sharing or matching requirement of the award. The amount of the award remains the same.

(g) The Tribe will follow a formal approval process for activities generating program income.

PAP.11.2.150 Modification

(a) For grant modifications, the Tribe is required to report deviations from budget, project scope, or objective, and request written approval from awarding agencies for budget and program plan revision.

(b) For non-construction awards, the Program Director must request prior approval from awarding agencies for one (1) or more of the following program or budget-related reasons:

(1) Change in the scope or the objective of the program (even if there is no associated budget revision requiring prior written approval).

(2) Change in a key person specified in the application or the award.

(3) The disengagement from the project for more than three (3) months, or a 25 percent (25%) reduction in time devoted to the project by the approved program.

(4) The inclusion, unless waived by the awarding agency, of costs that require prior approval in accordance with CFR §200 Subpart E, titled "Cost Principles"

(5) The transfer of funds budgeted for participant support costs, to other categories of expense.

(6) Unless described in the application and funded in the approved awards, the sub-awarding, transferring, or contracting out of any work under an award. This provision does not apply to the acquisition of supplies, material, equipment, or general support services.

(7) Changes in the amount of approved cost sharing or matching provided by the Tribe.

(c) For construction federal awards, the Tribe must request prior written approval promptly from the federal awarding agency for budget revisions whenever the following applies:

(1) The revision results from changes in the scope or the objective of the project or program.

(2) The need arises for additional federal funds to complete the project.

(3) A revision is desired which involves specific costs for which prior written approval requirements may be imposed consistent with applicable CFR §200 listed in Subpart E-Cost Principles

(4) No other prior approval requirements for budget revisions may be imposed unless a deviation has been approved by OMB.

(5) When a federal awarding agency makes a federal award to the Tribe which provides support for construction and non-construction work, the federal awarding agency shall require the Tribe to obtain prior approval from the federal awarding agency before making any fund or budget transfers between the two types of work supported.

(d) Generally, grant modifications follow most of the same guidelines for regular budget modifications, although some of the budget requirements for grants are more stringent. Some grants also will not allow any amount over the amount that was requested for administration, indirect costs, salaries, or other line items.

(e) Departmental requests to move grant funds from one budget line item to another must be made in writing. Depending upon the amount, the request may need the approval of the Tribal Governing Board and approval from the funding source. Copies of all modifications should be given to the Compliance Department and the Financial Analyst to record in the accounting system. At the least, a budget modification is required when one (1) of the following changes:

(1) One (1) line of the budget has exceeded more than ten percent (10%) of the total budget. The Tribal Governing Board must also approve all budget modifications if any line item exceeds ten percent (10%) of the total grant.

(2) Plans to hire a position that is not included in the original budget.

(3) Plans to make a large equipment purchase (over $5,000.00) not budgeted for.

(4) There is an increase or decrease in funding from the relevant funding source.

(f) The Program Director, with agreement from Compliance Department and Accounting Department, must receive Tribal Governing Board approval of all budget modifications before submission to the funding agency.

(g) The Program Director will always submit to the appropriate management at the funding agency, after receiving approval from the Compliance and Accounting Departments, when a modification is needed, specifically when the budget modification exceeds an agency allowed maximum budget modification not requiring approval and moving funds from one budget line item to another that did not exist in agency approved budget.

PAP.11.2.160 Monitoring Program Performance

(a) The Tribe is responsible for oversight of the operations of activities supported by an award.

(1) The Tribe must monitor its activities under awards to assure compliance with applicable requirements.

(2) The Compliance Manager or designee and Executive Director or designee shall constantly monitor program performance under grant-supported activities to assure adequate progress is being made toward achieving the goals of the grant.

(3) Monitoring by the Compliance Manager or designee and Executive Director or designee must cover each program, function, or activity of each grant as set forth in the approved grant application.

(b) The awarding agency may make site visits as warranted by program needs.

PAP.11.2.170 Reporting Program Performance

(a) The Tribe will employ department directors who will be responsible for the preparation and submission of all program performance reports.

(1) The department director shall submit performance reports to the awarding agency in the frequency established per award specifications.

(2) Copies of the reports shall be given to the Tribe's Compliance Department.

(3) The awarding agency may waive the requirement of any performance report if not needed.

PAP.11.2.180 Non-Construction Performance Reports

(a) The Tribe must submit performance reports at the interval required by the awarding agency to best inform the agency of improvements in program outcomes and productivity. The awarding agency shall prescribe the frequency with which the performance reports will be submitted.

(1) Intervals must be no less frequent than annually or more frequent than quarterly except in unusual circumstances.

(2) More frequent reporting may be necessary:

(A) For the effective monitoring of an award or

(B) When it could significantly affect program outcomes.

(3) Annual reports are typically due ninety (90) calendar days after the reporting period, refer to award document.

(4) Semiannual or quarterly reports must be due thirty (30) calendar days after the reporting period.

(5) The awarding agency may require annual reports before the anniversary dates of multiple year awards.

(6) The final performance report is typically due ninety (90) calendar days after the period of performance end date, refer to the award document.

(7) If a justified request is submitted by the Tribe, the awarding agency may extend the due date for any performance report.

(b) The Tribe must submit performance reports using approved government-wide standard information collections when providing performance information. The department director shall submit a performance report for each award which contains brief information on the following for each program, function, or activity involved:

(1) A comparison of actual accomplishments to the objectives of the award established for the period.

(A) Where the accomplishments of an award can be quantified, a computation of the cost (for example, related to units of accomplishment) may be required if that information is useful.

(B) Where performance trend data and analysis would be informative to the program and the awarding agency, the agency should include this as a performance reporting requirement.

(2) The reasons why established goals were not met, if appropriate.

(3) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs.

PAP.11.2.190 Construction Performance Reports

(a) For the most part, onsite technical inspection and certified percentage of completion data are relied on heavily by awarding agencies to monitor progress under awards for construction.

(b) The awarding agency may require additional performance reports only when considered necessary.

PAP.11.2.200 Significant Developments

(a) Events may occur between the scheduled performance reporting dates which have significant impact upon the supported activity. In such cases, the Tribe's responsible department director or Executive Director or designee shall inform the awarding agency as soon as the following types of conditions become known:

(1) Problems, delays, or adverse conditions will materially impair the ability to meet the objective of an award.

(2) This disclosure must include a statement of the action taken, or contemplated, and any assistance needed to resolve the situation.

(3) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned.

PAP.11.2.210 Grant Closeout

(a) The Tribe will adhere to procedures for closeout of grants at the end of the awarded period in accordance with 2 CFR §200.343, titled "Closeout".

(b) The Tribe must submit no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by or the terms and conditions of the Federal award. The Federal awarding agency or pass-through entity may approve extensions when requested by the nonfederal entity.

(c) Unless the Federal awarding agency or pass-through entity authorizes an extension, the Tribe must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award.

(d) The Federal awarding agency or pass-through entity must make prompt payments to the Tribe for allowable reimbursable costs under the Federal award being closed out.

(e) The Tribe must promptly refund any balances of unobligated cash that the Federal awarding agency or pass-through entity paid in advance or paid and that is not authorized to be retained by the non-Federal entity for use in other projects pursuant to Circular A–129 and CFR §200.345 amounts due for requirements regarding unreturned amounts that become delinquent debts.

(f) Consistent with the terms and conditions of the Federal award, the Federal awarding agency or passthrough entity must make a settlement for any upward or downward adjustments to the Federal share of costs after closeout reports are received.

(g) The Tribe must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR §200.310 Insurance coverage, §200.316 Property trust relationship, and §200.329 Reporting on real property.

(h) The Federal awarding agency or pass-through entity should complete all closeout actions for Federal awards no later than one year after receipt and acceptance of all required final reports.

PAP.11.2.220 Post-Closeout Adjustments and Continuing Responsibilities

(a) The Tribe will adhere to procedures for post-closeout adjustments and continuing responsibilities of grants at the end of the awarded period in accordance with 2 CFR §200.344 and §200.344, "Post Closeout Adjustments and Continuing Responsibilities".

(b) The closeout of a federal award does not affect any of the following.

(1) The right of the Federal awarding agency or pass-through entity to disallow costs and recover funds on the basis of a later audit or other review. The Federal awarding agency or passthrough entity must make any cost disallowance determination and notify the Tribe within the record retention period.

(2) The obligation of the Tribe to return any funds due as a result of later refunds, corrections, or other transactions including final indirect cost rate adjustments.

(3) Audit requirements in Subpart F—Audit Requirements of this part.

(4) Property management and disposition requirements in Subpart D— Post Federal Award Requirements of this part, pursuant to 2 CFR §200.310-200.316.

(5) Records retention as required in Subpart D—Post Federal Award Requirements of this part, 2 CFR §§200.333-200.337.

(b) After closeout of the Federal award, a relationship created under the Federal award may be modified or ended in whole or in part with the consent of the Federal awarding agency or pass-through entity and the Tribe, provided the responsibilities of the Tribe referred to in paragraph (a) of this section including those for property management as applicable, are considered and provisions made for continuing responsibilities of the Tribe, as appropriate.

PAP.11.2.230 Collection of Amounts Due

(a) The Tribe will adhere to procedures for collection of amounts due from grants at the end of the awarded period in accordance with §200.345 "Collection of Amounts Due".

(b) Any funds paid to the Tribe in excess of the amount to which the Tribe is finally determined to be entitled under the terms of the Federal award constitute a debt to the Federal government. If not paid within ninety (90) calendar days after demand, the Federal awarding agency may reduce the debt by:

(1) Making an administrative offset against other requests for reimbursements.

(2) Withholding advance payments otherwise due to the Tribe.

(3) Or other action permitted by Federal statute.

(c) Except where otherwise provided by statutes or regulations, the Federal awarding agency will charge interest on an overdue debt in accordance with the Federal Claims Collection Standards (31 CFR parts 900 through 999). The date from which interest is computed is not extended by litigation or the filing of any form of appeal.

Chapter PAP.14 LCO Development Corporation Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

Subchapter PAP.14.1 General Provisions

PAP.14.1.010 Title

This personnel policies and procedures manual shall be known as The LCO Development Corporation Personnel Policies and Procedures.

PAP.14.1.020 Authority

PAP.14.1.030 Purpose

It is the purpose of this personnel policy and procedural manual to provide the general policies, rules and practices in effect at the LCO Development Corporation. This personnel policy and procedural manual is intended to govern your employment with the LCO Development Corporation. The information contained herein is general information, and its contents do not create or constitute a contract between The LCO Development Corporation and any employee. The LCO Development Corporation Human Resource Director, or designee, will distribute approved revisions to all employees.

PAP.14.1.040 Mission Statement

The LCO Development Corporation shall perform for our customers the highest level of quality construction services at fair and market competitive prices. To maintain the highest levels of professionalism, integrity, honesty and fairness in our relationships with our suppliers, subcontractors, professional associates and customers. Safety of our employees and customers is of the highest priority within the corporation.

PAP.14.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this personnel policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.14.1.060 Interpretation

The provisions of this personnel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the employment related activities of the LCO Development Corporation;

(b) Shall be liberally construed in favor of the LCO Development Corporation;

PAP.14.1.070 Severability and Non-Liability

If any section, provision or portion of this personnel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this personnel policy and procedural manual shall not be affected thereby. The LCO Development Corporation further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this personnel policy and procedural manual.

PAP.14.1.080 Repeal of Inconsistent Governmental Manual(s)

All previous personnel policy and procedural manual(s) of the LCO Development Corporation inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the employment related activities of the LCO Development Corporation.

Subchapter PAP.14.2 Definitions

PAP.14.2.010 General Definitions

(a) "Assistant Superintendent" means the individual employed by the LCO Development Corporation who reports to the Superintendent and manages affairs when the Superintendent is not available.

(b) "Compensatory time" and "compensatory time off" means paid time off, which is not counted as hours worked during the applicable workweek, or other work period for purposes of overtime compensation, and for which the non-exempt employee is compensated at the non-exempt employee's regular rate.

(c) "Contracted Employee" means an employee who has entered into a written contract, which has been properly authorized and signed by a signatory of the Tribe and the employee which defines the employment relationship. The contract will be for a specified period, and will outline benefits, pay and other conditions of employment. The terms and conditions of employment for Contracted employees may differ from the terms in this personnel policy and procedural manual, and this manual may be incorporated by reference in the Contracted Employee's written contract.

(d) "Employee" means an employee of the Tribe including: Exempt Employee, Non-exempt Employee, Full-time Employee, Seasonal Employee, or Temporary Employee.

(e) "Executive Director" means the individual employed by the Tribal Governing Board to manage the affairs of the Lac Courte Oreilles Tribal Government as provided for in this manual, the Employment Ordinance, and other relevant documents.

(f) "Extreme Circumstance" means an unscheduled or unplanned circumstance exceeding an ordinary, usual, or expected event.

(h) "Fringe Benefit" means an extra benefit supplementing an employee's salary, such as: health insurance, Worker's compensation, 401(k) benefits, short-term and long-term disability.

(i) "Human Resources" means the LCO Development Human Resources.

(j) "Immediate family member" means Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Grandparent, Grandchild.

(k) "Independent contractor" means an individual who is not an employee of the Tribe, but rather has entered into a contract with the Tribe, which defines the scope of services. Independent contractors are not employees, do not receive benefits, are not subject to this personnel policy and procedural manual and are governed by a written or verbal contract.

(l) "Management" means the Superintendent, Assistant Superintendent, Foreman and any employee who is assigned permanent or temporary supervisory or decision-making authority.

(m) "Non-Exempt Employee" means an employee who the Human Resource Director, or designee, categorizes as being non-exempt from accruing compensatory time.

(n) "Part-time Employee" means an employee regularly scheduled to work less than thirty-two (32) hours per week. Part-time employees are not eligible for employee benefits or leave.

(o) "Positive Test Result" means a Blood Alcohol Concentration determined to be under the influence as established in Section PAP.14.2.010(u) andSection PAP.14.8.080(c).

(p) "Probationary Employee" means an employee who has not successfully completed their required 30-day probationary period.

(q) "Seasonal Employee" means an employee hired for an established period usually during peak workloads or seasonal demands. Seasonal workers may not be eligible for all employee benefits.

(r) "Serious Health Condition" means a condition which requires inpatient care at a hospital, hospice, or residential medical care facility, or a condition which requires continuing care by a licensed health care provider. This policy covers illnesses of a serious and long-term nature, resulting in recurring or lengthy absences. Generally, a chronic or long-term health condition which, if left untreated, would result in a period of incapacity of more than three (3) days would be considered a serious health condition.

(s) "Superintendent" means the individual employed by the Tribal Governing Board to manage the affairs of the LCO Development Corporation as provided for in this manual and other relevant documents.

(u) "Under the Influence of Alcohol, Illegal Drugs or Controlled Substances" means the following: a Blood Alcohol Concentration that indicates a positive test result as established in Section PAP.14.8.080(c); or are results that confirm the presence of illegal substance; or are results that confirm the presence of a controlled substances that an employee does not have a valid prescription for or the levels exceed the prescribed dosage.

(v) "Valid Prescription" means a prescription that is current and issued for a medical purpose in the usual course of professional practice by a practitioner or a covering practitioner who has conducted at least 1 in-person medical evaluation of the patient.

Subchapter PAP.14.3 Governance

PAP.14.3.010 General

PAP.14.3.020 Sovereignty

The Tribe is a sovereign nation, with inherent reserved rights recognized through federal treaties; as such the tribe exists within the geographical boundaries of the United States. Immunity from private lawsuits is one aspect of inherent tribal sovereignty. Immunity from suit means that no private lawsuit can be maintained against the Tribe unless the Tribe consents to the action. Nothing in this manual, constitutes a waiver of the Tribe's inherent sovereign immunity.

PAP.14.3.030 Employment Laws

Subchapter PAP.14.4 Hiring Process

PAP.14.4.010 Equal Employment Opportunity

The L.C.O. Development Corporation reaffirms its commitment to equal employment opportunity and advancement toward all applicants and employees regardless of race, color, creed, national origin, gender, sexual orientation, marital status, veteran status, religion, status with regard to public assistance, membership or activity in a local commission, disability, age or any other status protected by law.

PAP.14.4.020 Indian Preference

(a) Members of the Lac Courte Oreilles Tribe,

(b) Members of other Federally Recognized Tribes with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(d) Non-members with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(e) All Others.

PAP.14.4.030 Hiring Preferences

The LCO Development Corporation will utilize the following preference ranking when considering an applicant for employment. It is the responsibility of the applicant to provide the necessary documents listed below for the purpose of obtaining preferences:

(a) Indian preference as described in Section PAP.14.4.020 of this manual (Applicant must provide a signed official document from a federally recognized Tribe acknowledging enrollment);

(b) Veteran preference (Applicant must provide a Veterans Administration form DD214);

(c) Former employees of the LCO Development Corporation whom left in "good standing" and whose separation was not as a result of disciplinary action or an agreement in lieu of disciplinary action which would have otherwise resulted in termination.

PAP.14.4.040 Employment of Relatives

The LCO Development Corporation encourages relatives of Lac Courte Oreilles Tribal members to seek employment with the LCO Development Corporation. However, the LCO Development Corporation also seeks to avoid potential problems arising from family members directly supervising one another. A waiver of this provision may be granted by the Executive Director when the services of the employee cannot be obtained from any other available person with the same or equivalent qualifications.

PAP.14.4.050 Employment of Minors

The LCO Development Corporation will utilize, solely as a guideline, federal laws pertaining to the employment of minors.

PAP.14.4.060 Disclosure and Background Check

(a) All applicants who are being considered for employment with the LCO Development Corporation must provide the information as described in Section PAP.14.4.090 of this manual. Incomplete applications and application which fail to provide consent for background checks will not be considered. For all applicants considering employment with the Tribe, the Tribe reserves the right to:

(1) conduct background checks on all the LCO Development Corporation employees.

(b) While employed with the LCO Development Corporation, every employee must notify his or her department head or director in writing of any pending criminal charge or conviction, which may result in disciplinary action pursuant to Subchapter PAP.14.12 of this manual. The LCO Development Corporation reserves the right to:

(1) issue disciplinary action depending upon the severity of the charge or conviction.

(2) conduct a criminal background check or personnel background check of current the LCO Development Corporation employees with reasonable suspicion of policy violations as detailed in this manual.

(c) Failure to pass a background check to the satisfaction of the LCO Development Corporation or to disclose a criminal charge or conviction may result in revocation of a conditional offer of hire or disciplinary action, up to and including termination.

PAP.14.4.070 Funding and Approval

Prior to posting or filing a position, management must ensure there are sufficient funds to pay for salary, fringe benefits and all other costs of the position. If the job is for a shorter period and only limited funds are available or if the position is contingent upon receiving funding, this constraint will be explicitly specified at the time of advertisement. The Human Resource designee shall ensure that all positions submitted for posting have all required approvals.

PAP.14.4.080 Posting

Only the Human Resources designee, is authorized to post a position, provided an existing position shall only be posted with the prior approval of the management. All positions shall be posted for at least ten (10) working days, provided temporary positions may be exempt from this section that are of a 14 (fourteen) day duration or less. The Human Resource designee, will advertise all job postings locally at various locations and other places as appropriate including electronic posting.

PAP.14.4.090 Job Application

(a) Application Form. Applicants for employment are required to submit an application form, which will include without limitation:

(1) Signature for permission to perform a background and reference check.

(2) Driving record and insurance information (if applicable).

(3) Pre-employment drug testing consent and authorization form.

(4) Letter of interest

(5) Resume

(6) Proof of any stated qualifications

(7) Three (3) letters of recommendation

(8) Documentation of hiring preferences pursuant to Section PAP.14.4.030 of this manual.

(b) Background Investigations. The Human Resource designee, shall ensure that background investigations are performed prior to applicant screening pursuant to Section PAP.14.4.060 of this manual.

PAP.14.4.100 Screening and Selection Process

As an employer, the LCO Development Corporation seeks to employ individuals who possess the qualifications, skills, abilities and background to meet the employment needs of the LCO Development Corporation. It is also the intent of the LCO Development Corporation to treat all applicants with respect and fairness along with ensuring the provisions of Section PAP.14.4.010 of this manual, are adhered to. Pursuant to the Privacy Act of 1974, 5 U.S.C. § 552a, all applications shall be treated as privileged information and shall be made available only to those directly involved in the hiring process.

(a) Applicant Screening.

(1) Upon receipt, all applications will be date stamped and kept in the hiring file until the deadline date and time has expired. After the deadline, all applications received, within the required time lines, will be reviewed by the Human Resources designee for completeness and minimum qualifications. In addition, the Human Resources designee will conduct a background and reference check to determine any issues that might prohibit an individual from being employed by the LCO Development Corporation.

(2) Applicants that are deemed to meet these minimum qualifications will be notified in writing, emailed (if applicable) and/or telephonically of an offer to be interviewed. Any applications deemed to not be complete, not meet the minimum qualifications or have a background check that contains information that is detrimental to the LCO Development Corporation will be notified in writing that they were not selected to be interviewed.

(3) The decision to not offer an interview will not be subject to any grievance, complaint or appeal provisions of the LCO Development Corporation.

(4) In the event management determines that there are no qualified or insufficient applicants the position may be reposted.

(5) Reference and background checks made by the Human Resources designee should be properly documented and retained for a period no longer than the probationary period of the position being considered.

(b) Applicant Interview.

(1) All eligible applicants will be interviewed by a committee which shall be facilitated by the Human Resources designee and composed of the following, unless the position being considered requires such other composition as determined by the Executive Director:

(A) Human Resource Designee,

(B) Management,

(D) Other as the management deems appropriate.

(1) The committee will interview each eligible applicant and shall make the selection based upon all relevant factors, including but not limited to:

(A) Preferences defined in Section PAP.14.4.030 of this manual,

(B) Education/Training,

(D) Experience relevant to position,

(E) Interview.

(2) The committee may utilize a ranking system that factors all of the areas established in Section PAP.14.4.100(c)(1) above, that will ensure a fair and equitable process for determining the best qualified candidate, and if applicable an alternate, to fill the position being interviewed. Such system may utilize points or other forms of ranking that is deemed relevant for the position in consideration. The Human Resources designee shall forward the committee's recommendation to management for review and approval.

(3) The Human Resource designee shall notify the successful and unsuccessful applicants in writing within five (5) working days. If the selected individual does not accept the position or an employee does not successfully complete the probationary period, the Human Resource designee shall offer the position to the alternate selection, if applicable. If there was no alternate selected then the Human Resource designee may repost the position as approved by management.

(4) All relevant documents related to a hiring will be retained by the Human Resources designee for a period not longer than the probationary period for the position being considered. Pursuant to the Privacy Act of 1974, 5 U.S.C. § 552a, all such information shall be treated as privileged information and shall be made available only to those directly involved in the hiring process.

(5) If an employee does not complete the probationary period, the Human Resource designee shall offer the position to the alternate selection. If there was no alternate selected then the Human Resource designee may repost the position as approved by management.

(6) The decision to not hire an interviewee will not be subject to any grievance, complaint or appeal provisions of the LCO Development Corporation.

PAP.14.4.110 Tribal Governing Board Notification

The Superintendent will notify the TGB who was hired for what position(s) and/or if a position(s) was reposted.

PAP.14.4.120 Orientation

(a) All new employees will be provided an orientation within the first day of employment, and will be provided this personnel policy and procedural manual, safety manual, all required forms for employment, benefits, a copy of Chapter CMP.6 – Worker's Compensation Code, and day-to-day procedures. The Human Resource Director designee, will also answer any questions which may arise throughout the course of employment. Foreman will provide further direction relevant to the operation of their division.

(b) Orientation for management will include additional training with the Accounting Department and other required areas to familiarize the employee with grants management responsibilities, accounting codes and procedures, and other applicable functions.

PAP.14.4.130 Position Description

The Human Resource designee, will provide every employee with a copy of his or her current and or amended position description. The position description is intended to provide a general overview of the duties of the position. From time to time, however, employees will perform duties and handle duties and responsibilities that are not a part of the original position description. Position descriptions contain a general description of a position and do not create any employment rights or entitlements.

PAP.14.4.140 Probationary Period

(a) All newly-hired employee's will be placed on a thirty (30) calendar day probationary period with the exception of positions identified by management as needing an extended period in order to adequately assess the employees capabilities to perform the job duties. During an employee's probationary period they will get to know fellow employees, Management and the duties involved for the position. The LCO Development Corporation will work closely with employees during the probationary period to assist in understanding the needs and processes of the job. The probationary period may be waived by management for short term or seasonal employment.

(b) The probationary period is a trial time for both the employee and the LCO Development Corporation. During this probationary period, the LCO Development Corporation will evaluate the employee's suitability for employment. At any time during the probationary period, an employee may resign without any detriment to the employee's record. In addition, if during this period an employee's work habits, attitude, attendance, or performance do not measure up to the LCO Development Corporation's standards, the LCO Development Corporation may extend the probationary period for up to thirty (30) calendar days or terminate the employee's employment without the ability of the employee to appeal the decision.

(c) Probationary employees are not eligible for holiday leave and funeral leave. Probationary employees accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from management and only for medical reasons or extreme circumstances. If an employee does not complete the probationary period for any reason, the employee forfeits all accrued but unused benefits.

(d) At the end of the probationary period, the LCO Development Corporation will prepare a written performance evaluation and discuss overall job performance with the employee. During the course of the discussion, the employee is encouraged to present his or her comments and ideas as well.

(e) The probationary period ends only when a written evaluation of the employee is filed by management indicating the employee has passed probation, with no exceptions.

PAP.14.4.150 Classifications

Upon hire, the LCO Development Corporation will inform every employee of his or her employment classification, whether exempt or non-exempt, full-time, part-time, seasonal or temporary. This is important because employment classification has an effect on employee rights and benefits under this personnel policy and procedural manual (See Subchapter PAP.14.2 – Definitions for the various classifications).

PAP.14.4.160 Employment At-Will

Employees, with the exception of certain contracted employees, are hired for an indefinite and unspecified duration and are not guaranteed employment for any specified length of time. As such, either the LCO Development Corporation or an employee can terminate the employment relationship at-will, at any time. In addition, the LCO Development Corporation can modify, amend, supplement or delete terms and conditions of employment relationship at-will, at any time, with or without cause or advance notice.

Subchapter PAP.14.5 Employment

PAP.14.5.010 Work Site Accommodations

The LCO Development Corporation is exempted from the federal and state offered definition of an employer as provided by the American's with Disabilities Act, 42 USC § 12111 (5) (B). However, as a matter of its own internal policies The LCO Development Corporation discourages discrimination against persons with disabilities and when possible seeks to accommodate persons with disabilities on the job. When possible, The LCO Development Corporation will make reasonable efforts to provide reasonable accommodations to all employees and applicants, including work site accessibility. Employees must notify management or Human Resource designee in writing of any requested reasonable accommodation within a reasonable period of time after the employee learns of the need for such accommodation.

PAP.14.5.020 Personnel Files

(a) The LCO Development Corporation will create and maintain a personnel file for each employee beginning at the time of employment. These files are the sole property of the LCO Development Corporation and are deemed confidential. All employee files, past and present, will be secured in a locked location at all times. Access will be limited to the superintendent, assistant superintendent, or Human Resource designee. An employee or his or her representative if designated in writing which states the purpose of the disclosure may inspect his or her personnel file in the Human Resources department. Employee or designee must contact the Human Resource designee, to make an appointment. Files will be reviewed in a secure location under the supervision of the Human Resource designee, superintendent or assistant superintendent. A personnel file may contain the following types of information:

(1) Original employment application,

(2) Letters of reference,

(3) Notice of hire,

(4) New hire forms,

(5) Current position description,

(6) Records of all disciplinary actions,

(7) Performance evaluations,

(8) Starting pay scale and subsequent increases,

(9) Change of employment status,

(10) Applicable skills test results,

(11) Training and career development records,

(12) Copy of certification or licenses as required,

(13) Copy of separation notice or letter of resignation,

(14) Exit interview and inventory checklist,

(15) Other documents relied upon by the LCO Development Corporation to make decisions concerning the employee's employment.

(b) The Accounting Department will maintain time, attendance, and payroll and leave records for each employee in a separate file.

PAP.14.5.030 Medical Documentation

The LCO Development Corporation will maintain employee documentation as it relates to Doctor's excuse for longer than the allowable three-day absence, return to work statements or any limitations on type of work to be performed by the employee. This information shall be maintained alongside an employee's personnel file but shall be maintained in a separate file. Access will be limited to the Human Resource designee. All personal medical related information is subject to the provisions of the Health Insurance Portability and Accountability Act of 1996, 110 Stat. 1936.

PAP.14.5.040 Hours of Work

(a) The standard work hours are from 8:00 a.m. to 4:30 p.m. Employee hours may be changed at the discretion of management. A written approval shall be maintained in an employee's personnel file.

(b) All field employees must accurately record, sign and in addition have their respective foreman attest to the hours being paid by signing an approved timesheet or timecard. Each timesheet or timecard shall accurately reflect the actual hours being paid during the pay period and distributed by the correct payroll and account/department coding for each employee. The timesheet or timecard is a legal record of hours worked and may not be altered without consent of both the employee and his or her foreman. Management must initial all timecards for work recorded in the field. Any falsification of timecard is grounds for automatic termination.

(c) All office employees must punch in using the office time clock. All timecards are the property of the LCO Development Corporation. No employee shall knowingly punch or allow another employee to punch his or her timecard. All timecards need to be approved by the superintendent or assistant superintendent.

PAP.14.5.050 Pay Period

The LCO Development Corporation's pay period is from Monday through Sunday and all hours worked during this period are to be recorded as defined in Section PAP.14.5.040 of this manual.

PAP.14.5.060 Reclassification

The LCO Development Corporation may reclassify an employee (full-time, part-time, exempt, nonexempt, etc.) if the duties or need for the employee has changed. The reclassification of an employee may result in a change in the terms and conditions of employment including without limitation eligibility for benefits and leave. Any foreman who seeks to reclassify an employee shall obtain proper authorization in collaboration with management.

PAP.14.5.070 Evaluations

Each employee will receive an annual written performance evaluation from management. The evaluation will highlight the employee's strengths and weaknesses, and ways to improve or enhance job performance. The employee and management must sign the evaluation. The employee's signature does not necessarily indicate concurrence but does record acknowledgement and delivery of the document. Employees should not expect that evaluations will automatically result in a change in pay. However, the LCO Development Corporation will rely on evaluations, in addition to all other relevant information, to make decisions about an employee's terms and conditions of employment.

PAP.14.5.080 Resignations

Each employee must provide management with at least two (2) weeks prior written notice of resignation. Failure to provide notice will result in a negative recommendation for future employment and may result in forfeiture of accrued but unused leave.

PAP.14.5.090 Transfers

An employee may be granted an internal transfer upon agreement of management of both divisions involved, subject to the prior approval of superintendent. The transferred employee must accept all provisions of the other position (i.e. benefits, rate of pay, duties, hours of work, etc.). The provisions of Subchapter PAP.14.4 of this manual shall not apply to transfers with the exception of Section PAP.14.4.040, Section PAP.14.4.070, Section PAP.14.4.130, Section PAP.14.4.150, and Section PAP.14.4.160. In addition, the provisions of Section PAP.14.4.140, may not apply upon approval of management.

PAP.14.5.100 Promotions

Management may recommend an employee for a promotion based upon job performance and the needs of the LCO Development Corporation, subject to the prior approval of superintendent. The promoted employee must accept all provisions of the new position (i.e. benefits, rate of pay, duties, hours of work, etc.). The provisions of Subchapter PAP.14.4 of this manual shall not apply to transfers with the exception of Section PAP.14.4.040, Section PAP.14.4.070, Section PAP.14.4.130, Section PAP.14.4.150, and Section PAP.14.4.160. In addition, the provisions of Section PAP.14.4.140, may not apply upon approval management.

PAP.14.5.110 Attendance

Punctuality and regular attendance are essential to the effective operation of the LCO Development Corporation. Employees must report to work on time. Any employee who will be absent from work must notify his or her immediate supervisor before their scheduled start time. Any employee who wants to leave early for any reason must have prior approval from management, sign out and sign in upon return. Failure to report to work, without notice, for three consecutive working days will be considered job abandonment and the employee will be considered to have resigned from the LCO Development Corporation. Job abandonment will not be subject to any appeal provisions and shall be subject to the provisions of Section PAP.14.5.080 of this manual.

PAP.14.5.120 Lunch

Employees are allowed half hour (1/2) hour leave for lunch. Employees must take their lunch at the usual time, between 12:00 – 12:30, unless mutually changed by management.

PAP.14.5.130 Break Periods

Employees are allowed one fifteen (15) minute break between the hours of 8:00 a.m. and noon and another fifteen (15) minute break between 1:00 p.m. and 4:30 p.m. Employees should be mindful and courteous of workload requirements and the need to make certain that break periods should not be abused. Workers are not allowed to leave the job site during these breaks. A request must be written and approved by management if employee is in need of leaving work site during their break.

PAP.14.5.140 Inclement Weather

Work will be based upon weather conditions. All workers will be notified prior to start time by management.

Subchapter PAP.14.6 Wages

PAP.14.6.010 Wage Classifications

The LCO Development Corporation establishes wage and salary classifications for each position based on many factors, including, but not limited to position category, education, experience, knowledge, ability and level of responsibility.

PAP.14.6.020 Wage Increases

The LCO Development Corporation will consider cost of living, merit and wage increases on an annual basis. All such increases are contingent upon many factors, including funding availability and performance evaluation.

PAP.14.6.030 Compensatory Time

(a) Management will classify and consistently review the classification of employees as either Exempt or Non-exempt. Exempt employees are compensated on a salary basis and will not accrue overtime for hours worked in excess of forty (40) hours in a workweek. Non-exempt employees will accrue overtime compensation, at a rate of time and a half (1.5). If a non-exempt employee is required to work on a holiday, the non-exempt employee shall receive compensation at a rate of double time (2.0).

(b) A Non-exempt employee shall not work over forty (40) hours in a workweek without the prior authorization of management. Management may adjust any employee's work schedule to avoid accumulation of overtime.

PAP.14.6.040 Temporary Increases

Management who obtains prior authorization of management may temporarily increase the pay rate of an employee during the time that the employee is temporarily performing the duties of a position with a higher salary range. Any increase will cease upon removal of the conditions that warranted the increase.

PAP.14.6.050 Employer Payroll Deductions

Various payroll deductions are made each payday to comply with applicable laws, including but not limited to federal and state income tax withholding and social security. At the end of each calendar year, the LCO Development Corporation will provide each employee with a Wage and Tax Statement (W-2) form. This statement summarizes employee income and deductions for the year.

PAP.14.6.060 Bank Deposits or Payroll Deductions

In addition, the LCO Development Corporation may make deductions from Employees' paychecks in accordance with orders issued by a court of competent jurisdiction. Employees should contact the Accounting Department with any questions.

PAP.14.6.070 Workers' Compensation

The LCO Development Corporation carries insurance to cover the cost of work-incurred injury or illness. Benefits help pay for employees' medical treatment and a portion of any income lost while recovering. An employee must report any work-related injury or illness to his or her foreman or management by completing the "First Report of Injury or Illness Form," which must be completed within the timelines as stated in the Chapter CMP.6 – Worker's Compensation Code. Refer to the Chapter CMP.6 – Worker's Compensation Code for additional guidelines.

Subchapter PAP.14.7 Available Benefits

PAP.14.7.010 Available Benefits

(a) The following is a brief list of benefits available to eligible employees;

(1) Group Health Insurance/COBRA

(2) Holiday

(3) Personal Time Off (PTO)

(4) Additional Paid Leave

(5) Unpaid Leave

(6) Family and Medical Leave

(7) Life Insurance, Disability Insurance and Retirement Plan

(8) Employee Assistance Program

(9) Christmas Bonus

(10) Employee Recognition – Years of Service

(b) The LCO Development Corporation reserves the right, at its sole and absolute discretion, to rescind or amend benefits, to change insurance carriers, or to require employees to contribute towards premium costs. The LCO Development Corporation may make these changes at any time, except as provided by law. The Human Resource designee will notify employees of changes. While the LCO Development Corporation intends to continue offering sponsored benefits, there is no guarantee that such benefits will always be available.

PAP.14.7.020 Eligibility

The following employee classifications and eligibility for Fringe Benefits are as follows;

(a) Full Time Employee. Full time employees, including seasonal employees as defined in Section PAP.14.2.010(g) of this manual, are eligible for all Fringe Benefits after satisfactorily completing their probationary period, unless otherwise provided for in an Employment Contract with the LCO Development Corporation or mandated by law.

PAP.14.7.030 Group Health Insurance / Cobra

PAP.14.7.040 Holiday Leave

The L.C.O. Development Corporation grants eligible employees paid holiday leave. Eligible employees will receive the following paid holidays:

(a) New Year's Day

(b) Memorial Day

(d) Honor the Earth Powwow (Friday prior to or the Monday after Unpaid)

(e) Labor Day

(f) Veterans Day

(g) Thanksgiving (2 Days)

(h) Christmas Eve Day and Christmas Day (2 Days)

PAP.14.7.050 Personal Time off

(a) Office employees will get paid Personal Time Off (PTO) at the following rates:

(1) If employed up to three (0 to 3) years, 1 week per year.

(2) If employed three years to ten years (3 to 10), 2 weeks per year.

(3) If employed more than ten (10+) years, 3 weeks hours per year.

(b) Field employees will get paid Personal Time Off (PTO) at the following rate:

(1) 1 week per year.

(c) Prior to the utilization of PTO, Employees must schedule and have the use of PTO time approved by superintendent. If requesting more than three (3) days of PTO time employees shall obtain prior authorization at least five (5) working days in advance of the leave date. The superintendent may not approve such request depending on a variety of factors, including project deadlines and schedules. In extreme emergency situations the superintendent, may waive the five (5) day notification provision, if requested by the employee in writing citing the reason.

(d) To utilize PTO for unscheduled absences employees must notify the superintendent prior to their designated start time. If an Employee is absent from work for 3 days or longer, which is related to an illness or other medical related issues, a Physicians excuse must be provided that substantiates their absence.

(e) Probationary employees will not be able to use PTO during their 30-day probationary period.

PAP.14.7.060 Sharing of Personal Time Off

Employees are permitted to share PTO with other LCO Development staff with the approval of the Director/Manager and the Human Resource Director. Under no circumstances are probationary employees entitled to participate in the sharing of Personal Time Off. Employees may cash-out PTO with Director's approval.

PAP.14.7.070 Additional Paid Leave

The LCO Development Corporation grants employees additional paid leave in certain situations, including the following:

(a) Civil Leave. The LCO Development Corporation grants eligible employees paid civil leave during the required absence when any employee appears as a witness for the federal, state or Tribal Government, in obedience to a subpoena. An employee must promptly notify his or her department head or director upon receipt of any subpoena. If an employee receives any stipend for such civil leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for civil leave.

(b) Jury Duty Leave. The LCO Development Corporation grants eligible employees paid leave during the required absence for jury service. An employee must promptly notify his or her department head or director upon receipt of any notice to appear. If an employee receives any stipend for such jury duty leave, he or she must use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for jury service.

(1) All full-time employees will be given a three (3) day leave without loss of pay for funeral services for immediate family. Immediate family includes the following:

(A) Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Grandparent and Grandchild.

(2) All other funeral leave will be limited to no more than one (1) day with pay to attend the funeral services, subject to the notification and approval of employee's immediate supervisor.

(d) Maternity Leave. The LCO Development Corporation grants eligible full-time female employees up to six (6) weeks paid leave, for time to deliver and care for a newborn child. If an employee has medical problems prior to delivery, she may utilize paid maternity leave, subject to the maximum limit, with written verification from her doctor. An employee must request and obtain the prior approval of his or her department head or director to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.14.7.090 of this manual.

(e) Paternity Leave. The LCO Development Corporation grants eligible full-time employees up to one (1) week, paid leave to care for a newborn child. An employee must request and obtain the prior approval of superintendent to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.14.7.090 of this manual.

(f) Parental Leave. The LCO Development Corporation grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave for adoption, customary adoption, guardianship, protective placement, or an emergency safety plan of a pre-school (0-5 years of age) child. Leave may be granted prior to the legal proceedings having been completed. An employee must request the leave as early as possible and obtain approval of his or her department head or director to utilize the leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.14.7.090 of this manual.

(g) Military Leave. The LCO Development Corporation grants eligible full-time employees up to ten (10) days, maximum of eighty (80) hours, paid leave upon presentment of official orders requiring attendance for training or to perform other duties as a member of the United States Armed Forces. An employee serving on military leave with pay will be paid only the difference between compensation fees received for such duties and his or her normal salary. An employee must notify his or her department head or director prior to such leave. The LCO Development Corporation will look to the provisions of the Uniformed Services Employment and Reemployment Rights Act (USERRA) 38 U.S.C. § 4301 et. seq. solely as a guideline in determining reemployment of employees who take extended military leave.

(h) Conferences and Meetings. The LCO Development Corporation may grant employees time to attend job-related conferences and professional meetings. An employee must consult with superintendent prior to registering to ensure the conference or professional meeting is acceptable. An employee must request and obtain the prior written approval of superintendent to utilize this benefit.

PAP.14.7.080 Unpaid Leave

(a) Disciplinary Leave. The LCO Development Corporation may take disciplinary action, up to and including termination or suspension without pay, against employees who violate the provisions of this personnel policy and procedural manual.

(b) 30-Day Leave of Absence. The LCO Development Corporation may grant eligible employees up to thirty (30) days unpaid leave, without loss of employment status. The superintendent may grant such leave only when the resulting leave will not adversely affect the operations of the LCO Development Corporation. An employee must request and obtain the prior written approval of superintendent to utilize this leave.

PAP.14.7.090 Family and Medical Leave

(a) Eligibility for Leave. To be eligible for family and medical leave under this policy all of the following conditions must be met:

(1) An employee must have been employed by the Tribe for at least twelve (12) months or fifty-two (52) weeks.

(2) An employee must have worked at least one thousand two hundred fifty (1250) hours during the twelve (12) months immediately preceding the request for leave.

(1) To care for a child following the child's birth or placement for adoption or foster care (this may be taken only within twelve (12) months of the birth or placement).

(2) To care for an immediate family member who has a serious health condition as defined in Section PAP.14.2.010(r) of this manual.

(3) Because the employee has a serious health condition as defined in Section PAP.14.2.010(r) of this manual, which prevents the employee from performing the functions of the position.

(d) If both parents work for the LCO Development Corporation, and each wish to take leave for the birth of a child, adoption or acceptance of a child in foster care, or to care for an immediate family member with a serious health condition, the employees may only take a combined total of twelve (12) weeks of unpaid leave.

(e) Employees can take up to twelve (12) weeks of leave under this policy during any twelve (12) month period. The LCO Development Corporation will measure the twelve (12) month period as a rolling twelve (12) month period measured backward from the date an employee uses any leave under this policy. Each time an employee takes a leave, the Tribe will compute the amount of leave you have taken under this policy and subtract it from the twelve (12) weeks of available leave, and the balance remaining is the amount an employee is entitled to take at that time. An employee's family or medical leave taken may run concurrently with other types of leave including workers' compensation and other leaves, such as short-term or long-term disability, etc.

(g) Use of Paid and Unpaid Leave. Employees who have accrued PTO must use paid leave first and take the remainder of the twelve (12) weeks as unpaid leave.

(1) Employees who take a leave because of their own serious health condition or the serious health condition of a family member must use all accumulated PTO prior to being eligible for unpaid leave.

(2) Employees who take leave for the birth of a child must use paid PTO for physical recovery following childbirth, except where such leave is compensated as paid maternity leave under this personnel policy and procedural manual or as paid short-term or long-term disability leave. These employees must then use all paid vacation, and then will be eligible for unpaid leave for the remainder of the twelve (12) weeks. Employees who take leave for the adoption or acceptance of a child in foster care must use all paid PTO prior to being eligible for unpaid leave.

(h) Procedure for Requesting Leave. In situations where leave is foreseeable, employees must provide written notice to the department head or director at least thirty (30) days prior to the date on which the leave is scheduled to begin. If the leave is foreseeable due to a planned medical treatment, employees must make reasonable efforts to schedule the treatment(s) to minimize disruptions to governmental operations. If circumstances occur, in which it is not practicable to provide thirty (30) days' notice, employees must provide written notice as far in advance as is practicable. If an employee fails to provide thirty (30) days advance written notice of a requested leave and have no reasonable excuse, the leave may at management's discretion be delayed for up to thirty (30) days from the date of written notice.

(i) Medical Certification Requirement. When leave is requested because of a serious health condition affecting an employee or his or her immediate family member, the LCO Development Corporation requires the employee to obtain certification of the health condition from the pertinent doctor or health care provider. This certification must be provided to the department head or director within fifteen (15) days after the leave is requested or, when the need for leave was unforeseeable, within fifteen (15) days after the leave has commenced unless it is not practicable to do because of the nature of the health condition.

(A) The date on which the serious health condition started and its expected duration,

(B) The diagnosis concerning the condition,

(D) A statement of whether in-patient hospitalization is required, or

(2) The LCO Development Corporation, if it doubts the certification, at its expense, may require an employee seeking leave due to a serious medical condition to obtain a second opinion from a doctor or other health care professional designated by the LCO Development Corporation. If the second opinion conflicts with the certification provided by the employee, the LCO Development Corporation may, at its sole discretion and at its expense, require a third opinion from a doctor or other health care professional designated jointly by the LCO Development Corporation and the employee. Such a third opinion will be final and binding.

(3) If an employee plans to take intermittent leave or work a reduced schedule, the certification must also include dates and the duration of treatment and a statement of medical necessity for taking intermittent leave or working a reduced schedule. During a leave taken under this section, employees may be required to provide, periodically, written notice to management concerning his or her status and intention to return to work.

(j) Return from Leave. Upon completion of leave due to an employee's own serious health condition, the employee must provide the LCO Development Corporation with medical certification from his or her doctor or other health care professional that the employee is now able to return to work. If an employee fails to provide this certification, he or she will not be permitted to return to work until such certification is provided. An employee who takes leave under this policy will be able to return to the same job or a job with equivalent status, pay, benefits and other employment terms. The LCO Development Corporation may choose to exempt certain highly compensated employees from this requirement and not return them to the same or similar position.

(k) Health Benefits during Leave.

(1) During a leave taken pursuant to this policy, an employee's health benefits under any existing Tribal sponsored health plan will be continued as if the employee had continued in employment continuously for the duration of the leave. If, however, an employee fails to return at the end of a leave taken under this policy, except if this is due to the continuation, recurrence or onset of a serious health condition or something else beyond the employee's control, then the LCO Development Corporation may recover from the employee all of the health care premiums paid to maintain health coverage during the leave.

(2) If under the LCO Development Corporation's current policy, an employee pays a portion of the health care premium, while on paid leave, the LCO Development Corporation will continue to make payroll deductions to collect the employee's share of the premium. While on unpaid leave, the employee must continue to make this payment, either in person or by mail. The payment must be received by the first day of each month. If the payment is more than thirty (30) days late, the employee's health care coverage may be dropped for the duration of the leave.

PAP.14.7.100 Life Insurance, Disability Insurance and Retirement Plan

If requested by the Employee, the LCO Development Corporation provides eligible employees Life and Disability insurances along with a Retirement Plan. An Employee wanting these types of benefits should consult with the Tribe's Benefit's Administrator for further information.

PAP.14.7.110 Employee Assistance Program

The LCO Development Corporation recognizes that individual employees may develop personal problems which could have negative effects on job performance. The LCO Development Corporation offers an Employee Assistance Program (EAP) for all employees, the purpose of which is to encourage the early diagnosis and treatment of personal, psychological, and medical problems. Employees are encouraged to contact the Human Resource Director, or designee, for information regarding the EAP. Employees are responsible for submission of all documents and paperwork to pay the costs incurred for services rendered in connection with the EAP. Employees may utilize their health insurance plan as coverage is available; otherwise the service will be self-pay. Employees may attend a scheduled EAP appointment with the LCO Clinic during work hours. If the EAP appointment is at another facility the employee may use permitted paid or unpaid leave for EAP absences. EAP appointments (that the employee is required to attend by the Employer) will be coordinated with the employee's supervisor so customer service does not get interrupted.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCO Clinic – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCOCHC – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Regardless of any EAP referral, employees must maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(B) Employees placed on a leave of absence from self-disclosure shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.14.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from self-disclosure will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.14.2.010(o), the employee shall be subject to disciplinary action, up to and including termination pursuant to Section PAP.14.8.080(f) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.14.8.080(a) of this manual.

(D) Utilization of this self-disclosure provision does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.14.8.080(f) of this manual, or any other tribal law or policy.

(b) Employer Referral. An employee's department head or director shall refer an employee to the Human Resource Director, or designee, when an employee's conduct mandates as such.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCO Clinic – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCO Clinic – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Employees shall comply with the referral to the EAP and follow subsequent recommendations for referral and treatment. Failure to show-up for required scheduled EAP appointment will result in further disciplinary action up to and including termination of employment. Regardless of any EAP referral, employees must maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(A) A leave of absence to attend inpatient treatment shall be granted to employees when required by an approved LCO Clinic- Behavioral Health EAP treatment plan. The leave of absence may not exceed 12 weeks pursuant to Section PAP.14.7.090 of this manual.

(B) Employees placed on a leave of absence when required by an approved LCOCHC- Behavioral Health EAP treatment plan shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.14.7.090 of this manual.

(C) An employee returning to duty following a leave of absence from a referral of the employer will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.14.2.010(o), the employee shall be subject to disciplinary action, up to and including termination pursuant to Section PAP.14.8.080(f) of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.14.8.080(a) of this manual.

(D) Participation in an approved LCOCHC- Behavioral Health EAP treatment plan does not negate any disciplinary action for which an employee is subject to pursuant to Section PAP.14.8.080(f) of this manual, or any other tribal law or policy.

Subchapter PAP.14.8 Conduct

PAP.14.8.010 General Statement of Conduct

PAP.14.8.020 Conflict of Interest

Employees are not permitted to engage in nepotism, favoritism, and any outside business transactions, or other activities, which are detrimental to the best interests of the LCO Development Corporation. This includes activities that, directly or indirectly, divert business opportunities from the LCO Development Corporation or confer an unfair advantage upon or benefit to a family member. It also includes activities that negatively reflect upon the LCO Development Corporation's image or are contrary to the mission of the Tribe, except for activities specifically protected by law. The LCO Development Corporation respects the right of employees to engage in activities outside their employment that are of a private nature and unrelated to their job or the LCO Development Corporation. However, employees must fully disclose to the superintendent all business and personal activities that represent such a conflict of interest with the LCO Development Corporation. If an employee is unsure whether a conflict of interest exists, the employee is encouraged to seek the advice of the superintendent.

PAP.14.8.030 Outside Employment

Employees may not accept simultaneous employment with another tribal agency or another employer without the express permission of the superintendent. Permission may be denied if the other employer is a competitor or supplier of the Tribe. The request may be denied with employment of another tribal agency if the total hours worked in a given week violates tribal policy or interferes with the work expectations of the LCO Development Corporation. The LCO Development Corporation considers all full-time employees' work with the LCO Development Corporation to be their primary employment responsibility. As such, outside employment will not be considered an excuse for poor performance, absenteeism, tardiness or refusal/inability to work overtime.

PAP.14.8.040 Political Activity

Employees shall not directly or indirectly use their authority, influence or political aspirations to compel individuals to participate or not participate in Tribal political activity and/or election processes. Campaign buttons, posters, or apparel related to tribal political activity is prohibited at the workplace, and distributing literature, emailing, and circulating petitions related thereto during work time or in work areas is strictly prohibited. In addition, employees shall not use the LCO Development Corporation property and services to influence individuals to participate or not participate in the Tribal election process.

PAP.14.8.050 Harassment

(a) The LCO Development Corporation has a "zero-tolerance" policy with respect to employee harassment. Any form of unlawful employee harassment based on race, color, religion, sex, national (including Tribal) origin, age, disability or status in any protected group is prohibited. The LCO Development Corporation will not tolerate interference with the ability of employees to perform their expected job duties. Harassment of employees, tenants or members of the public by employees will result in disciplinary action, up to and including termination.

(A) Sexual harassment also includes unwelcome sexual flirtations, advances or propositions, verbal abuse of a sexual nature, subtle pressure or requests for sexual activities, unnecessary touching of an individual, graphic or verbal commentary about an individual's body, sexually degrading words used to describe an individual, a display in the workplace of sexually suggestive objects or pictures, sexually explicit or offensive jokes, or physical assault.

(3) General. Harassment under this policy may also include words or conduct committed by customers or suppliers of the Tribe. In the event that any harassing or offensive language or conduct occurs, employees must report it to the Human Resource designee, immediately so the matter can be addressed promptly.

(b) If an employee experiences any job-related harassment based on sex, race, national (including tribal) origin, disability, or another factor, or believes that he or she has been treated in an unlawful, discriminatory manner, the employee must promptly report the incident to his or her department head or director or Human Resource designee, who will investigate the matter and take appropriate action. All employee complaints will be kept confidential to the maximum extent possible.

(c) The LCO Development Corporation prohibits any form of retaliation against any employee for filing a bona fide complaint under this policy or for assisting in a complaint investigation. However, if, after investigating any complaint of harassment or unlawful discrimination, the LCO Development Corporation determines that the complaint is not bona fide and was not made in good faith or that an employee has provided false information regarding the complaint, disciplinary action may be taken against the individual who filed the complaint.

PAP.14.8.060 Alcohol and Drugs

(a) All employees of the LCO Development Corporation are subject to the drug testing procedures as provided in Section PAP.14.8.080 of this manual.

(b) Employees are expected to come to work with a clear mind, unimpaired by drugs or alcohol. No employee under the influence of alcohol, illegal drugs or controlled substances as established in Section PAP.14.2.010(u) shall be permitted to come to or remain at work.

(c) Employees, while on the LCO Development Corporation's property or on duty, shall not be under the influence of alcohol or illegal drugs; possess or consume alcoholic beverages; possess or consume prescription drugs in the absence of a valid prescription; or use, sell, possess, transfer or purchase illegal drugs or controlled substances. Prescription drugs shall be used only in the manner, combination, and quantity prescribed by a licensed medical practitioner while on the LCO Development Corporation's property or while on duty. As a condition of continued employment with the LCO Development Corporation, all employees must notify the LCO Development Corporation of any criminal drug statute conviction or charges against them no later than five (5) days after receiving such conviction or charges.

PAP.14.8.070 Drug Free Workplace Act Compliance

(a) The LCO Development Corporation hereby establishes a policy providing for a drug-free workplace as required by the Drug Free Workplace Act of 1988, 41 U.S.C. 701 et. seq. As such, as required by the Act, the LCO Development Corporation hereby publishes a statement notifying employees that the LCO Development Corporation prohibits the unlawful manufacture, illegal distribution, dispensation, possession or use of a controlled substance in the workplace. All employees who violate this policy shall be subject to disciplinary action, up to and including termination. As a condition of continued employment with the LCO Development Corporation, all employees must notify the LCO Development Corporation of any criminal drug statute conviction or charges no later than five (5) days after receiving such conviction or charges.

(b) General Provisions.

(3) Notice of Conviction or Charges.

(c) Rehabilitation and Rehiring. Any employee who has been dismissed for violation of the LCO Development Corporation's Drug-Free Workplace Policy may be eligible for re-employment after 90-days with the LCO Development Corporation upon proof of rehabilitation provided by an accredited treatment facility that the person has been to treatment or has successfully completed appropriate treatment and is in recovery.

PAP.14.8.080 Drug and Alcohol Testing Procedures

All employees and applicants for employment are subject to drug and alcohol testing, including reasonable suspicion, pre-employment, and return-to-duty. Drug tests require laboratory testing as provided by the Mandatory guidelines for Federal Workplace Drug Testing Programs pursuant to 94 FR 28101, May 15, 2015 as amended, as minimum standards for the following classes of drug and correlative cutoff concentrations: Cocaine; Opiates including opium and codeine derivatives such as Oxycodone, Oxymorphone, Hydrocodone, Hydromorphone; Amphetamines and Methamphetamines including Methylenedioxyamphetamine (MDA) and Methylenedioxyethylamphetamine (MDEA); Phencyclidine (PCP). Nothing precludes the Human Resource Director, or designee, in testing for substances which are not included on this list, should the Superintendent, or designee, determine it is in the best interests of the Tribe to include substances which are not listed above to ensure a drug free workplace. Employees are encouraged to contact the Human Resource Director, or designee, with any questions regarding drug and alcohol testing. Failure or refusal to participate in an employer-directed drug test is considered insubordination and the employee will be terminated for insubordination.

(3) In the event of a positive test result, a confirmation test will be performed by a laboratory specified in Section PAP.14.8.080(a)(2) above, using the original sample (not a new sample). The confirmation test will be based on a different analytical method of higher analytical certainty.

(6) A portable breath test (PBT) conducted by a Class 1 PBT Certified person of the LCO-CHC choice that is deemed appropriate by the LCO Development Corporation for business purposes shall be utilized for alcohol testing.

(b) Pre-Employment Testing Procedures.

(2) Applicants who test positive for alcohol, illegal drugs, and/or prescribed medication for which they do not have a valid prescription, shall be denied employment.

(3) An applicant who initially declines a drug test will be denied employment and not eligible for employment for 90 days.

(1) Upon a finding by an employee's foreman or superintendent that there is probable cause that the employee is either under the influence of alcohol (under the influence shall mean a blood alcohol concentration of 0.02 grams of alcohol per 100 milliliters of a person's blood or while the person has 0.02 grams of alcohol per 210 liters of a person's breath) or drug abuse that is impairing the employee's ability to carry out job-related activities, the employee shall be required to be tested for the presence of drugs or alcohol pursuant to Section PAP.14.8.080(c)(3), below. A finding of probable cause and directive requiring the employee to submit to testing for drugs or alcohol must be in writing signed by the employee's department head or director. The probable cause finding must be supported by evidence of specific, personal observations concerning job performance, appearance, behavior, speech, or bodily odors of the employee. If hearsay information is received, such information must be corroborated by personal observations, or observations and evaluation by management, or designee.

(2) Once an employee's foreman or superintendent has determined that probable cause pursuant to Section PAP.14.8.080(c)(1), above exists, the employee's department head or director shall immediately contact the Human Resource Director, or designee and convey that one of his or her employees is under the influence of alcohol or a controlled substance and that such influence is impairing that employee's ability to carry out his or her job related duties.

(3) Upon receiving contact from an employee's department head or director, the Human Resource Director, or designee shall have the employee drug tested and if alcohol related have the employee submit to a portable breath test (PBT) conducted by a Class 1 PBT Certified person as specified in Section PAP.14.8.080(a)(6), above. If the employee refuses to take a test (including but not limited to a drug test, drug urine test, or PBT test) after being required to do so, the employee is thereby insubordinate and considered to be in violation of the Drug Testing Policy and shall be terminated.

(4) Upon receipt of a positive test result, the employee shall be immediately relieved of their duty station and will be subject to disciplinary action, Section PAP.14.8.080(f) below, and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.14.8.080(a) above. In all cases, an employee may face legal consequences for his/her actions. Upon receipt of a positive confirmation test result pursuant to Section PAP.14.8.080(a) above, the employee shall be referred by the Human Resource designee to participate in the Employee Assistance Program pursuant to Section PAP.14.7.110(a) of this manual. Failure to comply and successfully complete an approved LCOCHC- Behavioral Health EAP treatment plan within the timeframe established in the treatment plan will result in termination.

(d) [Open.]

(f) Discipline for Drug Testing Violation. In all cases, an employee may face legal consequences for his/her actions.

(A) First Offense: The employee will be informed of a first offense in writing and will be suspended three (3) days without pay and will be referred to EAP.

(B) Second Offense: If a second offense occurs, the employee will be terminated.

(2) Any employee who refuses to take a test as established in Section PAP.14.8.080(a) will be considered insubordinate and will be terminated for insubordination. Such termination shall not be subject to appeal.

(3) Rehabilitation and Rehiring. Any employee who has been dismissed for violation of the Tribe's Drug Testing Policy may be eligible for re-employment after 1 year with the LCO Development Corporation upon proof of rehabilitation provided by an accredited treatment facility that the person has been to treatment or has successfully completed appropriate treatment and is in recovery.

PAP.14.8.090 Inspection and Search

(a) The LCO Development Corporation has the authority to inspect or search the entire work-place, including, but not limited to any office or desk when there are reasonable grounds for suspecting that the search will turn-up evidence that an employee violated any provision of this manual or otherwise engaged in work-related misconduct.

(b) The LCO Development Corporation has the authority to inspect or search, when the inspection or search is necessary for non-investigatory work-related purpose, including locating and retrieving any information from a location within the work place.

(c) The LCO Development Corporation has the authority to inspect or search any employee's personal possessions located within the work place when there are reasonable grounds for suspecting that the search will turn-up evidence that the employee violated any provision of this manual or otherwise engaged in work-related misconduct.

PAP.14.8.100 Confidentiality

(a) In the course of performing duties for the LCO Development Corporation, employees may obtain or become aware of confidential information, such as personnel, financial and legal information of the LCO Development Corporation, its programs, operations, enterprises and employees, including but not limited to information encompassed in any reports, investigations, research or development work, mailing lists, bid lists, directories, listings, plans, specifications, proposals, marketing plans, financial projections, cost sheets, bid estimates, bid spreadsheets, vendor or subcontractor quotes, financial data and any and all concepts or ideas, materials or information related to the business, products, or services of the Tribe or its customers and vendors ("Confidential Information").

(c) Employees also must not use or release, directly or indirectly, any proprietary information or trade secrets of the LCO Development Corporation without prior authorization from their department head or director, in consultation with the legal department. Trade secrets include any formula, pattern or devise of compilation of information which is used in the LCO Development Corporation's business or operations.

(d) Violations of confidentiality, including the disclosure of confidential information (verbal, written or documents) as defined under this section shall be subject to discipline, up to and including termination. The LCO Development Corporation reserves the right to prosecute any violations to fullest extent allowed under tribal, state or federal law.

PAP.14.8.110 Security Measures / Limited Access Control Areas

Maintaining security and limiting access to certain areas of the LCO Development Corporation's facilities is important to the continued success and is required by law in some instances. Employees shall not permit unauthorized persons, which may include Tribal employees, to enter secure and limited access controlled areas or to access confidential or protected information, or access to job sites for safety and insurance purposes.

PAP.14.8.120 Dress and Appearance

Employees must dress and groom themselves in accordance with appropriate social and business standards. Management retain the right to request any employee to change his or her mode of dress or grooming if deemed provocative or otherwise inappropriate. In addition, employees must maintain good personal hygiene.

PAP.14.8.130 Smoking

(a) Employees shall smoke only in designated areas, notwithstanding subd. (3) below.

(b) Smoking is prohibited in the following areas, notwithstanding subd. (3) below:

(1) In any Tribal owned or leased vehicle or machinery;

(2) In any Governmental building designated as a workplace and the garage.

Violators of this section are subject to disciplinary action, up to and including termination.

(c) Nothing in this policy shall be deemed to limit or interfere with the use of tobacco at traditional ceremonies and cultural functions.

PAP.14.8.140 Internet and Telephones

(b) No employee may not use a pass code or voice-mail access code that has not been issued to that employee or that is unknown to the LCO Development Corporation. Moreover, improper use of the e-mail system (e.g., distributing offensive jokes or remarks) will not be tolerated.

(c) Employees shall not use the LCO Development Corporation's internet, voice mail and e-mail resources, phones and other systems in a prohibited manner, including:

(1) To transmit, view, retrieve, or store any communications of a discriminatory or harassing nature or materials that are considered obscene or pornographic;

(2) To access pornographic internet sites, display or print any associated materials, pictures and cartoons;

(4) For non-business, personal or private use, including but not limited to game playing and personal communication not associated with business;

(5) To disclose any confidential or proprietary information except where such disclosure is authorized or permitted in this personnel policy and procedural manual.

(d) Employees shall not use the LCO Development Corporation's internet, voice mail and e-mail resources and other systems and equipment, including but not limited to computer hardware, software, copier, fax machine and postage machine in a manner that is contrary to the provisions of any purchase or lease contract, such as unlawful copying of computer software.

(f) The LCO Development Corporation may monitor, record and listen to all internet, e-mail and voice mail usage, to assure compliance with its policies, for cost analysis and for legitimate business purposes. Thus, the LCO Development Corporation may listen to, access and disclose any information in the electronic communication and telephone systems, even such information or communication protected by an employee's personal password, at any time, with or without notice to the employee. Employees have no expectation of privacy in connection with the use of these systems, or the transmission, receipt or storage of information in such systems.

PAP.14.8.150 Workplace Violence

(a) The LCO Development Corporation is concerned about the increased violence in society, which has also filtered into many workplaces, and has taken steps to help prevent incidents of violence from occurring at its facilities. It is our policy to expressly prohibit any acts or threats of violence against any employee in or about our facilities or elsewhere at any time. We will not condone any acts or threats of violence against our employees, customers, or visitors on the Tribe's property at any time or while they are engaged in business with or on behalf of the LCO Development Corporation, on or off our premises.

(b) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the Tribe is committed to the following:

(1) To provide a safe and healthful work environment;

(d) Employees have a "duty to warn" the LCO Development Corporation Management of any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve other employees, former employees, customers, or visitors and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The LCO Development Corporation will not condone any form of retaliation against any employee for making a report under this policy.

PAP.14.8.160 Off-Duty Misconduct

Employees shall not engage in off-duty misconduct which is deemed detrimental to the LCO Development Corporation. While it is impossible to predict every detrimental situation, the LCO Development Corporation may determine that off-duty misconduct is adverse to the corporation, because it is serious in nature; is at odds with an employee's job duties; or is notorious and has the potential to discredit the LCO Development Corporation. Any arrest shall be reported to the superintendent within 72 hours. Any arrest shall be subject to review by the superintendent and may include discipline including a suspension or termination depending on the determination and severity of the allegations leading to an arrest. An arrest and conviction related to misconduct shall be subject to discipline which may include termination.

PAP.14.8.170 Children in the Workplace

The presence of children in the workplace is discouraged because it can be disruptive to other employees. However, the LCO Development Corporation recognizes that there may be circumstances when it is necessary for an employee to have a child at the workplace for a short period. Management has the authority to prohibit an employee from having a child at the workplace if the supervisor determines that the employee is abusing this policy or the workplace is being disturbed. There will be no children allowed on job sites.

PAP.14.8.180 Policy Regarding Use of Social Media by Employees

(a) While the LCO Development Corporation encourages its employees to enjoy and make good use of their off-duty time, certain activities on the part of employees may become a concern if they have the effect of impairing the work of any employee; harassing, demeaning, or creating a hostile working environment for any employee; disrupting the smooth and orderly flow of work within the office; or harming the goodwill and reputation of the LCO Development Corporation. In the area of social media (print, broadcast, digital, and online services such as Facebook, LinkedIn, MySpace, Plaxo, and Twitter, among others), employees may use such media in any way they choose as long as such use does not produce the adverse consequences noted above. For this reason, the following provisions apply regarding an employee's use of social media, both on and off duty:

(1) An employee shall be subject to disciplinary action, up to and including termination of employment, depending upon the severity and repeat nature of the offense, if an employee publishes any personal information about the employee, another employee of the LCO Development Corporation, the LCO Development Corporation and its officials, or a tribal member in any public medium (print, broadcast, digital, or online) that:

(A) has the potential or effect of involving the employee, their coworkers, tribal members or the LCO Development Corporation in any kind of dispute or conflict with other employees or third parties;

(B) interferes with the work of any employee;

(D) disrupts the smooth and orderly flow of work within the office, or the delivery of services to tribal members;

(E) harms the goodwill and reputation of the LCO Development Corporation in the community at large; or

(F) tends to place in doubt the reliability, trustworthiness, or sound judgment of the person who is the subject of the information.

(2) No employee may use the LCO Development Corporation's equipment or facilities for furtherance of non-work-related social media related activities or relationships without the express advance permission of their program Director.

(3) Employees who conduct themselves in such a way that their social media related actions toward and relationships with each other interfere with or damage work relationships, disrupt the flow of work or tribal member relations, or cause unfavorable publicity in the community, should be concerned that their conduct may be inconsistent with one or more of the provisions of this policy. In such a situation, the employees involved should request guidance from management to discuss the possibility of a resolution that would avoid such problems. Depending upon the circumstances, failure to seek such guidance may be considered evidence of intent to conceal a violation of the policy and to hinder an investigation into the matter.

(4) Use of social media that involves any kind of criminal activity or harms the rights of others may result in criminal prosecution or civil liability to those harmed, or both.

(5) Social media access and use involving the LCO Development Corporation equipment and resources are subject to the LCO Development Corporation's computer and internet policy at all times.

(6) The provisions in this policy are not intended to restrict communications regarding the terms and conditions of the workplace.

Subchapter PAP.14.9 Workplace Safety

PAP.14.9.010 General Rules

(a) The safety of employees is important to the LCO Development Corporation. Fire extinguishers, exits and first-aid kits are available in marked locations around Tribal facilities. Employees must strictly adhere to all applicable safety regulations and comply with the following general rules:

(1) Employees must report immediately all accidents or injuries to a foreman or superintendent without exception;

(2) Employees may smoke only in designated areas;

(3) Employees must be careful and take necessary precautions when operating, cleaning or repairing any machinery;

(4) Employees must be present prior to starting any operation or task which calls for more than one employee;

(5) Employee must not attempt to operate equipment without authorization or proper training or certification;

(6) The LCO Development Corporation will not tolerate horseplay or practical jokes. Accidents or injuries resulting from such horseplay or conduct shall not be considered work related.

PAP.14.9.020 Accidents or Injuries

PAP.14.9.030 Protective Equipment

The LCO Development Corporation will furnish required safety equipment to employees, if the work requires such equipment. Safety equipment includes safety glasses, gloves, safety shoes, noise protection devices, special protective devices for handling hazardous chemicals and waste, etc. Employees must follow all rules concerning the wearing of safety equipment at all times and must not remove safety equipment from any machinery, such as machine guards. All employees need to follow all OSHA regulations.

PAP.14.9.040 Hazardous Materials

The LCO Development Corporation complies with all applicable "Right to Know" laws, which means employees will be made aware of any chemical hazards at the workplace. Employees will also receive special training concerning the labeling, handling and disposal of hazardous substances, and what steps should be taken in the event of a spill or release.

PAP.14.9.050 Personal Responsibility

All employees shall take personal responsibility in the performance of all workplace related activities. If at any time an employee reasonably determines that a workplace related activity is unsafe or warrants protective equipment, the employee shall make all reasonable efforts to remedy the situation. All employees are responsible for making sure that sign out tools with the front desk and also making sure that the front desk knows when tool or equipment is returned. The employee who signs out the tool or equipment is responsible for the tool or equipment, this means that if the tool or equipment is not returned or damaged that the employee will need to pay to replace it.

Subchapter PAP.14.10 Vehicle Driver Certification

PAP.14.10.010 Purpose

The purpose of this subchapter is to certify employees who may operate a vehicle or travel on tribal business and to minimize Tribal exposure to liability claims resulting from vehicle accidents.

PAP.14.10.020 Scope

Any person driving on the LCO Development Corporation business including all employees and volunteers shall comply with this subchapter. The LCO Development Corporation business does not include an employee's regular commute to and from the work place.

PAP.14.10.030 Policy

Drivers of the LCO Development Corporation, personal, or rental vehicles may be authorized to drive on the LCO Development Corporation business if they are 18 years of age and certification criteria contained in this subchapter are satisfied.

PAP.14.10.040 Procedures

Drivers must achieve certification to drive on the LCO Development Corporation business by meeting the requirements listed in Section PAP.14.10.050 of this manual.

PAP.14.10.050 Minimum Certification Requirements

(a) The LCO Development Corporation Vehicle Certification.

(1) Current Wisconsin Driver's License

(2) Commercial Driver's License if required by Federal law or other contractual obligations

(3) License requirements listed in the employee's current job description.

(4) Completed Driving Record Authorization Form in employee's personnel file.

(5) None of the following driving violation convictions within the last year:

(A) Operating without valid driver's license

(B) Obstruction in regard to driver violation

(D) Violation of Occupational License

(E) Causing great bodily harm with vehicle

(F) Negligent homicide by use of motor vehicle

(G) Operating while license suspended

(H) Vehicle usage resulting in felony conviction

(I) Operating a school bus without a school bus license

(b) Personal Vehicle Certification.

(1) Current Wisconsin Driver's License

(2) Evidence of current minimum insurance coverage as follows, verified by an insurance policy with copy supplied to the Human Resource designee at every policy renewal:

(A) $100,000 per Person

(B) $300,000 per Accident for Bodily Injury

PAP.14.10.060 Recordkeeping

(a) The LCO Development Corporation will maintain a current list of all certified drivers.

(1) Lists will be supplied to the Travel Clerk.

(b) The LCO Development Corporation Vehicle Drivers must notify the Human Resource designee within five (5) working days of any conviction affecting their certification eligibility. Failure to do so may be considered "employee misconduct" and subject to disciplinary action.

PAP.14.10.070 Supervisors Responsibility

(a) Management shall ensure that no uncertified employees drive on the LCO Development Corporation business.

(1) Divisions, where appropriate, shall create Standard Operating Procedures which minimize drivers risk exposure.

(b) Management shall take action when employees or the Human Resource Department report violations. Actions may be, but are not limited to:

(1) Reassigning the uncertified employee to a position which does not require driving.

(2) Removing the driving requirement from the employee's job description.

(3) Place the employee on unpaid leave until they become recertified.

(4) Termination of employment because of a valid driver's license is a required qualification on the job description.

(c) If all fines, suspensions, revocations, and any other penalties or conditions imposed on the driver due to the driving violation conviction(s) are satisfied, the superintendent may decide to re-certify the driver if all other certification requirements are satisfied.

(d) If management has reason to question an employee's mental or physical health as it relates to the employee's ability to drive on the LCO Development Corporation business, the superintendent shall refer the employee to the Employee Assistance Program (EAP) for an assessment.

Subchapter PAP.14.11 Problem Solving

PAP.14.11.010 Scope

(a) Problem Solving Process. When people work closely together it is only natural that problems, questions or conflict may sometimes arise. It is in the best interest of the LCO Development Corporation and all employees that these issues be resolved as quickly and fairly as possible; therefore, the LCO Development Corporation supports an "open-communication policy" to encourage addressing these issues. The following "Problem Solving Process" has been designed to provide guidelines for resolution of questions, problems or conflicts:

(1) If you have a work related or personal problem that you think the LCO Development Corporation can help you resolve, you are encouraged to discuss it with management. Your superintendent is usually is in the best position to help you.

(2) If you do not get an answer, or you are not satisfied with the answer, the issue should be written down and presented to the Human Resources designee. The Human Resources designee will facilitate a meeting to assist with mutually resolving the issue.

(3) In the unlikely situation that these steps have not resolved the issue, you may take your problem to the superintendent.

(b) Chain of Command. All employees are required to follow the chain of command, with no exceptions. The chain of command consists of and is limited to the following:

(1) Foreman

(2) Human Resources Designee

(3) Superintendent

(c) Open Communication Policy. The LCO Development Corporation supports open lines of communication between employees, which assures all employees concerns will be heard and considered. It is the belief and commitment of the LCO Development Corporation to maintain direct lines of communication and good working relationships with all employees. Problems arise in all work places and this process is designated to identify and correct those problems and issues in a fair, equitable and timely manner. It should be noted that not all problems or issues will have an outcome that all parties agree with but in no circumstances will insubordinate behavior or communications be tolerated.

Subchapter PAP.14.12 Disciplinary Action and Appeal

PAP.14.12.010 Consent

Each employee shall agree to, by signing, a Consent to Disciplinary Action Procedure form as a condition of continued employment. The Consent to Disciplinary Action Procedure form constitutes a contract between the Tribe and the employee and establishes the framework under which employees may be subject to disciplinary action imposed under this subchapter or employment claims, provided no employee can appeal any disciplinary action. In addition, regarding employment claims, it is important to note that nothing in this personnel policy and procedural manual shall be construed as the Tribe consenting to application of any law or waiving applicable defenses, including the defense of sovereign immunity and the defense that the subject law does not apply to the Tribe.

PAP.14.12.020 Grounds for Disciplinary Action

(b) An employee may be suspended for any conduct which results in an arrest, pending the determination of management of the seriousness of the offense. Conduct by an employee which results in a felony arrest and/or felony conviction as defined under state and federal law will result in termination.

(d) The LCO Development Corporation reserves the right to impose discipline for any of the actions listed in this section, but not limited to the list; such action may include suspension and /or termination:

(1) Incompetence;

(2) Neglect of duty;

(3) Insubordination;

(4) Refusal to work;

(5) Willful misconduct;

(6) Political activity as defined in Section PAP.14.8.040 of this manual;

(7) False representation in conjunction with job performance;

(8) Intoxication or use of intoxicants during working hours;

(9) Conviction of any felony either in performance of job duties, or in private affairs;

(10) Negligence or willful damage to tribal property;

(11) Discourteous treatment of the public or fellow employees during working hours;

(12) Loss of driver's license if required for the job;

(13) Job performance which results in serious harm to the employee's program;

(14) Failure to properly report to work on time;

(15) Unauthorized disclosure of confidential information;

(16) Conflict of interest;

(17) Theft;

(18) Falsification of timecards;

(19) Willful violation of any Tribal law, rule, regulations or any deliberate action that is detrimental to the LCO Development Corporation;

(20) Willful violation of security or safety rules;

(21) Negligence or any careless action which endangers the life or safety of another person;

(22) Unauthorized possession of dangerous or illegal firearms, weapons, or explosives on the LCO Development Corporation's property or while on duty;

(23) Engaging in criminal conduct or acts of violence, or making threats of violence toward anyone on the LCO Development Corporation's premises or when representing the LCO Development Corporation;

(24) Provoking a fight on the LCO Development Corporation property;

(25) Refusing to obey instructions properly issued by Management;

(26) Refusing to help out on a special assignment;

(27) Threatening, intimidating, or coercing fellow employees on or off the premises – at any time, for any purpose;

(28) Dishonesty; willful falsification or misrepresentation on the application for employment or other work records; falsifying other data requested by the LCO Development Corporation;

(29) Giving confidential or proprietary the LCO Development Corporation information to competitors, other organizations, the general public, or to unauthorized employees; working for a competing business while still employed by the LCO Development Corporation, breach of confidentiality of personnel information;

(30) Malicious gossip and/or spreading rumors; engaging in behavior designed to create discord and lack of harmony; interfering with another employee on the job;

(31) Poor work performance;

PAP.14.12.030 Types of Disciplinary Actions

(a) Employees must perform assigned duties at or above satisfactory levels, follow standards of workplace behavior contained in this personnel policy and procedural manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford employees an opportunity to correct behavior, however some personnel infractions are severe enough to impose any of the below-mentioned disciplinary actions, up to and including termination. Disciplinary actions may be handled in any manner deemed appropriate by the LCO Development Corporation. This may include, but is not limited to, the following:

(1) Employee Warning.

(A) An employee may receive a verbal or written warning from their supervisor to rectify behavior which requires disciplinary action.

(B) The superintendent will discuss with the employee the seriousness of the problem and the possible consequences of a failure to correct the problem. The superintendent will review applicable policies and will document the meeting through signature of both the foremen, the employee and superintendent.

(C) The Human Resource designee, will maintain all employee warnings in an employee's personnel file in the event that further progressive discipline is necessary.

(2) Suspension.

(A) An employee may be recommended for suspension by their supervisor when the employee's behavior warrants such disciplinary action. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the Human Resources designee. The Human Resources designee will consult with the Supervisor to ensure the reason is justified and clearly stated. If the Human Resources designee is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the suspension, the same will be forwarded to management for final approval or denial. All suspensions are without pay.

(B) Upon return from suspension, the superintendent will meet with an employee regarding the nature of the problem. A corrective action plan will be developed with the employee including specific timelines for completion.

(C) The Human Resource designee, shall document all suspensions and maintain all corrective action plans in the employee's personnel file in the event that further progressive discipline is necessary.

(3) Probationary Period in lieu of Termination.

(A) In lieu of termination an employee may be placed on a probationary period for a serious violation of this personnel policy and procedural manual, as recommended by the superintendent and agreed to and evidenced by the signature of the employee on a "Waiver of Appeal Process" form. The superintendent must follow the same procedures as outlined in Section PAP.14.12.030(a)(2). During this probationary period, the LCO Development Corporation will evaluate the employee's continued suitability for employment. If during this period an employee has not shown improvement or adequately addressed the issues surrounding the probationary period in lieu of termination the superintendent may recommend the termination of the employee's employment, without the ability of the employee to appeal the decision.

(B) Employees placed on a probationary period pursuant to this section are eligible for holiday leave and funeral leave. Such employees cannot use Personal Time Off until the completion of their probationary period.

(C) At the end of the probationary period pursuant to this section, the superintendent will prepare a written performance evaluation and discuss with the employee the curative conduct of the employee pertaining to the problem causing the probationary period as well as the employee's overall job performance.

(D) The Human Resource designee, shall document all probationary periods pursuant to this section and maintain all written performance evaluations pertaining to this section in the employee's personnel file in the event that further progressive discipline is necessary.

(4) Termination.

(A) An employee may be recommended for termination from employment by their foreman at any time, depending upon the severity of the offense. The recommendation must be written in a manner that clearly states the justifiable reason and forwarded to the superintendent. The superintendent will consult with the foreman to ensure the reason is justified and clearly stated. If the superintendent is satisfied that all the information is contained in the documentation and there is clear substantiated reason for the termination, the superintendent will move forward with termination.

(B) The superintendent shall document all terminations and provide a copy of all documentation to the Human Resources designee.

(b) The LCO Development Corporation retains the sole discretion to determine what behavior warrants disciplinary action and what type of disciplinary action will be imposed. The LCO Development Corporation reserves the right to terminate employees at any time for any reason that does not violate applicable law with or without notice and with or without prior resort to other means of discipline.

PAP.14.12.040 No Right to Appeal

(a) All disciplinary action pursuant to this subchapter are not appealable and shall be reviewed by the Superintendent.

(b) Nothing in this manual, including without limitation the provisions of this subchapter, constitutes a waiver of the inherent sovereign immunity of the Tribe or the LCO Development Corporation as a subordinate entity of the Tribe

PERSONNEL POLICIES AND PROCEDURES MANUAL

RECEIPT AND ACKNOWLEDGEMENT

I hereby acknowledge receipt of a copy of the Personnel Policies and Procedures of the LCO Development Corporation. This personnel policy and procedural manual contains the policies and rules that apply to me. I agree to read the manual and follow it during my employment with the LCO Development Corporation. I further understand the Tribe may amend this personnel policy and procedural manual at any time and that such changes will be communicated to me in writing.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this acknowledgement for your records.

Chapter PAP.15 Kinship Care and Long-Term Kinship Care Program Policies and Procedures

Preamble

The Lac Courte Oreilles Kinship Care and Long-Term Kinship Care Program is managed by the Lac Courte Oreilles Indian Child Welfare Program to help support a child who lives outside of his or her home with a relative. As required by the Cross-Governmental Contract Agreement by and between Wisconsin Department of Children and Families and Lac Courte Oreilles Band of Lake Superior Chippewa Indians of Wisconsin, relative shall be defined solely as: stepparent, brother, sister, stepbrother, stepsister, half-brother, half-sister, brother−in−law, sister−in−law, first cousin, 2nd cousin, nephew, niece, aunt, uncle, step-uncle, step-aunt, or any person of a preceding generation as denoted by the prefix of grand, great or great− great, whether by blood, marriage or legal adoption, or the spouse of any person named in this subsection, even if the marriage is terminated by death or divorce. This ordinance is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians to promote the traditional value that children are the most important asset of the Tribe, which predates its Treaties of 1825, 1826, 1837, 1842, 1847 and 1854 with the United States Government. In the implementation of this inherent sovereign authority, Article V, § 1 (q),(s), (t), and (u) of the Amended Constitution and By-laws of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians empowered the Tribal Governing Board to establish a Children's Court Division of the Lac Courte Oreilles Tribal Court..." It is the purpose of this ordinance to establish criteria and procedures for determining initial and continuing eligibility of a relative who provides care and maintenance for a child to receive a monthly payment to help with the expenses involving in providing that care and maintenance.

Subchapter PAP.15.1 General Provisions

PAP.15.1.010 Title

This policy and procedure manual shall be known as Kinship Care and Long-Term Care Program Policies and Procedures.

PAP.15.1.020 Authority

This policy and procedure manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians to promote the traditional value that children are the most important asset of the Tribe, which predates its Treaties of 1825, 1826, 1837, 1842, 1847 and 1854 with the United States Government. In the implementation of this inherent sovereign authority, Article V, § 1 (q),(s), (t), and (u) of the Amended Constitution and By-laws of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians empowered the Tribal Governing Board to establish a Children's Court Division of the Lac Courte Oreilles Tribal Court..."

PAP.15.1.030 Purpose

It is the purpose of this ordinance to follow Wis. Stat. §48.57(3m) and (3n), as well as codify WI DCF 58 which establishes criteria and procedures for determining initial and continuing eligibility of a relative who provides care and maintenance for a child to receive a monthly payment to help with the expenses involved in providing that care and maintenance and for recovering overpayments. This includes utilizing all the required DCF forms. Following these state laws and rules are required under the Cross-Governmental Contract Agreement by and between Wisconsin Department of Children and Families and Lac Courte Oreilles Band of Lake Superior Chippewa Indians of Wisconsin.

PAP.15.1.040 Types of Relative Caregiving

(a) This Ordinance applies to the following types of relative caregiving of a child:

(1) Court-Ordered Out-of-Home Care Placement. A relative applying for or receiving kinship care payments on behalf of a child that was placed in the relative's home under a tribal court order or a voluntary transition-to-independent-living agreement and is under the placement and care responsibility of the LCO Indian Child Welfare Department. A relative under this subsection is not required to apply for a license to operate a foster home.

(2) Voluntary. A relative applying for or receiving kinship care payments on behalf of a child residing with the relative for a child that was not placed in the relative caregiver's home under a tribal court order or a voluntary transition-to-independent-living agreement and is not under the placement and care responsibility of the LCO Indian Child Welfare Department. The child's living arrangement with the relative may be informal or the relative may be the child's guardian under a third party-guardianship unrelated to a Minor in Need of Care case.

(3) Guardian Appointed for Minor in Need of Care (MNC). A relative that is applying for or receiving long-term kinship care payments and is a child's guardian under §DMR.1 or Wis. Stat. § 48.977.

P.15.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.15.1.060 Interpretation

The provisions of this policy and procedural manual:

(a) Shall be interpreted and applied as the requirements for the Kinship Care and Long-Term Kinship Care Program;

(b) Shall be liberally construed in favor of the Indian Child Welfare Department which has been granted the authority to manage Kinship Care and Long-Term Care Program by the Lac Courte Oreilles Tribal Governing Board;

(c) Shall not be deemed a limitation or repeal of any other tribal power or authority, except to the extent that this ordinance pertains to Cross-Governmental Contract Agreement by and between Wisconsin Department of Children and Families and Lac Courte Oreilles Band of Lake Superior Chippewa Indians of Wisconsin, and as such, ICW may not create additional criteria for kinship/long-term kinship care eligibility that conflict with Wisconsin's DCF 58 and Wis. Stat. §48.57.

PAP.15.1.070 Additional Criteria Prohibited

ICW may not create eligibility or termination criteria for kinship care or long-term kinship care that are in addition to the criteria in this ordinance and Wis. Stat. §48.57(3m), (3n), and (3p).

PAP.15.1.080 Severability and Non-Liability

If any section, provision, or portion of this ordinance is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this ordinance shall not be affected thereby. The Tribe further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this ordinance.

Subchapter PAP.15.2 Definitions

PAP.15.2.010 General Definitions

(a) Any term not defined in this section shall be given its ordinary meaning. The following terms, wherever used in this ordinance, shall be construed to apply as follows, except where the context indicates otherwise:

(1) "Adult resident" means a person 18 years of age or over who lives at the home of a relative with the intent of making that home his or her home or who lives for more than thirty (30) days cumulative in any six (6) month period at the home of a relative.

(2) "Background check" means the requirements under Wis. Stat. § 48.57(3p) and § 15.401.

(3) "Background information disclosure" means the form prescribed by DCF on which a person provides information for purposes of the background check under Wis. Stat. § 48.57(3p) and PAP.15.4.010. Note: DCF-F-2978-E, Background Information Disclosure, is available on the department's website at https://dcf.wisconsin.gov/forms.

(4) "Child" means a person under 18 years of age. "Child" also includes a person 18 years of age or over if any of the following applies:

(A) The person is under 19 years of age, is a full−time student in good academic standing at a secondary school or its vocational or technical equivalent, and is reasonably expected to complete the program of study and be granted a high school or high school equivalency diploma.

(B) The person is under 21 years of age and meets all of the following conditions:

(i) The person is a full−time student at a secondary school or its vocational or technical equivalent.

(ii) There is an individualized education program under Wis. Stat. § 115.787, in effect for the person.

(i) A Lac Courte Oreilles Minor in Need of Care Dispositional Order.

(ii) A voluntary transition-to-independent-living agreement.

(iii) The placement and care responsibility of another state under 42 U.S.C. § 675(8)(B) (iv) until that state provides reimbursement for the placement of the child in a relative caregiver's home in Wisconsin.

(5) "Child Support Agency" means the Lac Courte Oreilles Child Support Services or county child support agency that has jurisdiction over child support matters.

(6) "Child welfare agency" or "ICW Department" means the Lac Courte Oreilles (LCO) Indian Child Welfare (ICW) Department.

(7) "Conviction record" means the record of a person's arrests and convictions.

(8) "Court order" means a court order under §DMR.1.

(9) "Custodial parent" means a parent that has legal custody of a child.

(10) "Department" means the Wisconsin Department of Children and Families (DCF).

(11) "Director" means the director of the Lac Courte Oreilles Indian Child Welfare Department.

(12) "Division of hearings and appeals" means the Wisconsin division of hearings and appeals in the department of administration.

(13) "Employee" means a person hired by a relative caregiver to work in a position in which the person has contact with the child on a regular basis.

(14) "Final substantiated finding" means a final determination made by the child welfare arm of the LCO Indian Child Welfare Department that a person has abused or neglected a child under §DMR.1.

(15) "Kinship care" means the program described herein, which provides specific assistance to children and families through the provision of a monthly payment to a relative and is administered by the LCO Kinship Care Office under contract pursuant to the Cross-Governmental Contract Agreement by and between Wisconsin Department of Children and Families and Lac Courte Oreilles Band of Lake Superior Chippewa Indians of Wisconsin.

(16) "Kinship care payment" or "kinship care benefit" means a monthly payment in an amount specified in Wis. Stat. § 48.57(3m)(am), that is paid to a relative caregiver that has been determined eligible for payments under Wis. Stat. § 48.57(3m) and (3p) and this Ordinance.

(17) "LCO Kinship Care Office" or "ICW" means a tribal agency appointed by the tribal governing board for the purpose of administering all or part of the kinship care program or the long-term kinship care program.

(18) "Legal custody" means, with respect to an individual with legal custody of a child, the right and responsibility to make major decisions, as defined under §DMR.2.4.010 or Wis. Stat. § 767.001(2m), concerning the child. Physical placement is not the same as legal custody.

(19) "Long−term kinship care" means the program under Wis. Stat. § 48.57(3n) and is administered by the LCO Kinship Care Office.

(20) "Long−term kinship care payment" means a monthly payment in an amount specified in Wis. Stat. § 48.57(3n)(am), Stats., that is paid to a relative caregiver that has been determined eligible under Wis. Stat. § 48.57(3n) and (3p) and this Ordinance.

(21) "Medical assistance" means the assistance program under 42 U.S.C., ch. 7, subch. XIX, and Wis. Stat. Ch. 49, subch. IV.

(22) "Relative," solely for the purpose of the kinship care program, means an adult that is the child's stepparent, brother, sister, stepbrother, stepsister, half-brother, half-sister, brother-in-law, sister-in-law, first cousin, 2nd cousin, nephew, niece, uncle, aunt, step-uncle, step-aunt, or any person of a preceding generation as denoted by the prefix of grand, great, or great-great, whether by blood, marriage, or legal adoption, or the spouse of any person named in this subsection, even if the marriage is terminated by death or divorce.

(23) "Relative caregiver" means a relative that is providing care and maintenance for a child and is applying for, or receiving, kinship care payments or long-term kinship care payments.

(24) "Voluntary kinship care" means the program under Wis. Stat. § 48.57(3m), Stats., when the child is not placed in the relative caregiver's home under a court order or a voluntary transition-to-independent-living agreement and is not under the placement and care responsibility of the LCO ICW Department or other child welfare agency.

(25) "Voluntary transition−to−independent−living agreement" means a voluntary agreement under Wis. Stat. § 48.366(3) or § 938.366(3).

Subchapter PAP.15.3 Eligibility Requirements and Procedures

PAP.15.3.010 Eligibility Criteria for Kinship Care and Long-Term Kinship Care

A relative caregiver shall be eligible to receive kinship care payments or long-term kinship payments if the LCO Kinship Care Office determines that all of the following conditions in §PAP.15.3 are met.

PAP.15.3.020 Application

(a) Kinship care providers must complete all areas of the Kinship Care Payment Application and shall complete any forms required by ICW. Applications must be completed even when kinship is court-ordered. Applications submitted with incomplete information will not proceed.

(1) More than one child. A relative caregiver may apply for kinship care or long-term kinship care for more than one child on the same application form. Note: DCF-F-CFS2023, Kinship Care Payment Application, is the application prescribed by the department if the relative caregiver is not required to apply for a license to operate a foster home. DCF-F-2483-E, Joint Court-Ordered Kinship Care and Foster Care Application –Part A is the application form prescribed by the department if the child is in a court-ordered out-of-home care placement. Both application forms are available on the department's website at https://dcf.wisconsin.gov/forms.

PAP.15.3.030 Cooperation with LCO Kinship Care Office

(a) The relative caregiver cooperates with the LCO Kinship Care Office, including all of the following:

(1) Completing and returning any forms created and required by DCF.

(2) Returning phone calls from the LCO Kinship Care Office.

(3) Providing information through home visits, interviews, and documentation as necessary for the LCO Kinship Care Office to determine or redetermine the eligibility of the relative caregiver for kinship care or long-term kinship care.

(4) Applying for other forms of assistance for which the child may be eligible, including financial assistance and medical assistance for the child. Note: see the Kinship Navigator Portal at https://dcf.wi.gov/kinship/navigator for information and available resources.

(5) Cooperating with referral of the child's parent or parents to the LCO Child Support Services, except in any of the following circumstances:

(A) The child is 18 years of age or older.

(B) The relative caregiver has a pending good cause claim under §PAP.15.7.030.

(C) The relative caregiver requested and the LCO Kinship Care Office granted a good cause exemption to the requirement that a relative caregiver cooperate with referring the child's parent to the LCO Child Support Services under §PAP.15.7.030(b).

(6) Notifying the LCO Kinship Care Office of a change in circumstance specified under PAP.15.7.010(a).

(7) Cooperating with eligibility redeterminations and reviews under §PAP.15.7.010.

(8) If the child is 18 years of age or over and the relative caregiver is applying for or receiving voluntary kinship care payments or long-term kinship care payments, providing the LCO Kinship Care Office with a form prescribed by DCF that has been signed by the relative caregiver and an official from the child's school that verifies that the child meets the criteria in §PAP.15.2.010(4)(A)-(B). Note: DCF-F-CFS2167, Kinship Care School Verification, is available on the department's website at https://dcf.wisconsin.gov/forms.

PAP.15.3.040 No Simultaneous Payments

(a) The relative caregiver does not simultaneously receive any of the following payments for the care and maintenance of the same child:

(1) Kinship care payments and long-term care payments.

(2) Kinship care payments or long-term kinship care payments and foster care payments under Wis. Stat. § 48.62(4); subsidized guardianship payments under Wis. Stat. § 48.623(1) or (6); or any comparable payments form another jurisdiction.

(3) The relative caregiver does not receive kinship care payments or long-term kinship care payments for providing care and maintenance for a child who is receiving supplemental security income under 42 U.S.C. § 1381 to 1383c or state supplemental payments under Wis. Stat. § 49.77, due to the child's own disability.

PAP.15.3.050 Relationship and Residence Verification

(a) The relative caregiver provides all of the following to the LCO Kinship Care office:

(1) Documentation that verifies the relative caregiver's relationship to the child, such as a birth certificate, a marriage license, guardianship papers, or paternity papers. If no formal documentation is available, the relative caregiver may attest to the relationship on the application under sub (a).

(2) Documentation that verifies that the child is residing with the relative caregiver, such as the child's medical assistance card or a written statement from a school representative. If no formal documentation is available, the relative caregiver may attest to the living arrangement on the application under sub (a).

(b) The LCO Kinship Care office may request additional information on a relative caregiver's relationship to the child or the child's residence with the relative caregiver at any time.

PAP.15.3.060 Background Check

The relative caregiver complies with the requirements of Wis. Stat. § 48.57(3p), and §PAP.15.4.010.

PAP.15.3.070 Best Interests of the Child

The LCO Kinship Care Office determines that living with the relative caregiver is in the best interest of the child under §PAP.15.5.010.

PAP.15.3.080 Need for Protection or Services-Minor in Need of Care (MNC)

(a) For kinship care, the criteria under §PAP.15.5.070(a) are met.

(b) For long-term kinship care, the criteria under PAP.15.5.070(b) are met.

PAP.15.3.090 Child's Grade

The relative caregiver informs the LCO Kinship Care Office of the last grade that the child has completed.

PAP.15.3.100 Child's Social Security Number

(a) Within in ninety (90) days after the date on which the LCO Kinship Care Office determines a relative caregiver's initial eligibility for kinship care payments or long-term kinship care payments, the relative caregiver provides the LCO Kinship Care Office with the child's social security number.

(b) If a relative caregiver is unable to obtain a social security number for the child by the deadline in par. (a), the relative caregiver notifies the LCO Kinship Care Office of the actions taken to obtain eh social security number and the current status of the request. The LCO Kinship Care Office shall document the relative caregiver's efforts.

Subchapter PAP.15.4 Background Checks

PAP.15.4.010 When Conducted

(a) Mandatory.

(1) Application. Within ten (10) working days after receiving a complete application as specified under §PAP.15.6.010, the LCO Kinship Care Office shall begin the background check of the relative caregiver and any adult residents, prospective adult residents, employees, or prospective employees under Wis. Stat. § 48.57(3p), and this section.

(2) Prospective adult resident or employee. Within ten (10) working days after receiving notice from a relative caregiver of a prospective employee, prospective adult resident, or new adult resident, the LCO Kinship Care Office shall begin the background check of the prospective employee, prospective adult resident, or adult resident under Wis. Stat. § 48.57(3p), and this section.

(b) Discretionary.

(1) At any time that the LCO Kinship Care Office considers to be appropriate, the Office may conduct a background check of a relative caregiver, adult resident, prospective adult resident, employee, or prospective employee.

(2) The LCO Kinship Care Office may investigate the background of a relative caregiver, adult resident prospective adult resident, employee, or prospective employee at any time the Office considers to be appropriate without conducting a complete background check. The Office is not required to repeat a fingerprint-based Federal Bureau of Investigation (FBI) criminal history check for a discretionary background check.

PAP.15.4.020 Provisional Approval.

(a) The following provisional actions are allowed if a relative caregiver states to the LCO Kinship Care Office that none of the persons who are subject to a background check has any arrests or convictions that could adversely affect the child or relative caregiver's ability to care for the child:

(1) The LCO Kinship Care Office may make kinship care payments or long-term kinship care payments to the relative caregiver.

(2) The relative caregiver may allow a prospective adult resident to be an adult resident and may allow a prospective employee to be an employee.

(b) The provisional approval under par. (a) expires the earlier of the following:

(1) When the LCO Kinship Care Office determines whether the person who is the subject of the background check meets the conditions under Wis. Stat. § 48.57(3p), and this section.

(2) Ninety (90) days after the date on which the provisional approval was granted.

PAP.15.4.030 Provide Information.

(a) The relative caregiver shall ensure that each person who is the subject of a background check does all of the following:

(1) Completes the background information disclosure and written authorization for the LCO Kinship Care Office to make follow−up contact with the Wisconsin Department of Justice and any other person or organization. Note: DCF−F−2978−E, Background Information Disclosure, is available in the forms section of the department website at https://dcf.wisconsin.gov.

(2) Provides information on the person's places of residence during the preceding five (5) years.

(b) The relative caregiver shall submit the information under par. (a) to the LCO Kinship Care Office.

(c) A person who is the subject of a background check shall submit a complete set of the person's fingerprints in a technology approved by the Wisconsin Department of Justice or other law enforcement agency if any of the following conditions is met:

(1) The person is not a resident of Wisconsin.

(2) The person has resided outside Wisconsin at any time within the preceding five (5) years.

(3) The LCO Kinship Care Office determines that the person's employment, licensing, or state court records provide a reasonable basis for further investigation.

PAP.15.4.040 Conduct Background Check.

(a) The LCO Kinship Care Office shall obtain information on a person who is the subject of a background check by doing all of the following:

(1) Requesting a search of the criminal history records maintained by the Wisconsin Department of Justice.

(2) Submitting the person's fingerprints to the Wisconsin Department of Justice for submission to the Federal Bureau of Investigation (FBI) if any of the conditions pursuant §PAP.15.4.030(c).

(b) When the LCO Kinship Care Office is conducting a background check of a relative caregiver, the Office shall conduct a reverse search of the Wisconsin Sex Offender Registry using the relative caregiver's address to determine if a person residing at that address has committed a sex offense that is specified in Wis. Stat. § 48.57(3p)(g).

(1) A reverse search of the sex offender registry by address can be done by entering the relative caregiver's address at https://doc.wi.gov/community−resources/offender−registry. The Wisconsin Sex Offender Registry does not contain information on all convicted sex offenders. The information is limited by the effective date of the applicable law and to those offenders who have been arrested and convicted, adjudicated, or committed for a crime specified under the law and who meet registration and publication requirements. For example, certain sex offenses by juveniles or other persons may not meet registration or publication requirements. These limitations should be considered when obtaining information from the sex offender registry.

PAP.15.4.050 Further Investigation.

(a) If a relative caregiver is applying for or receiving kinship care payments, the LCO Kinship Care Office shall investigate further if the criminal history records of the person who is the subject of the background check indicate any of the following:

(1) If the criminal history records indicate a charge of a crime specified in Wis. Stat. § 48.57(3p)(g), or comparable law in another state, but do not completely and clearly indicate the final disposition of the charge, the LCO Kinship Care Office shall make every reasonable effort to contact the appropriate county clerk of courts to determine the final disposition of the charge.

(A) The LCO Kinship Care Office may need to seek the assistance of the LCO Office of the Attorney General in working with a county clerk of courts.

(2) If the background information disclosure indicates a charge or conviction of a crime specified in Wis. Stat. § 48.57(3p)(g), or comparable law in another state, but the criminal history records do not include the charge or conviction, the Office shall make every reasonable effort to contact the appropriate clerk of courts to obtain a copy of the criminal complaint and the final disposition of the complaint.

(A) The LCO Kinship Care Office may need to seek the assistance of the LCO Office of the Attorney General in working with a county clerk of courts.

(3) If the results of the criminal history records, the background information disclosure, or any other information indicate a conviction for a violation of Wis. Stat. §§ 940.19 (1), 940.195, 940.20, 941.30, 942.08, 947.01 (1), or 947.013, or comparable law in another state, not more than five (5) years before the LCO Kinship Care Office obtained the information, the Office shall make every reasonable effort to contact the appropriate clerk of courts to obtain a copy of the criminal complaint and judgment of conviction relating to that violation.

(A) The LCO Kinship Care Office may need to seek the assistance of the LCO Office of the Attorney General in working with a county clerk of courts.

PAP.15.4.060 Kinship Care Barred Offenses.

(a) The LCO Kinship Care Office may not make kinship care payments to a relative caregiver if the relative caregiver or an employee or adult resident has been convicted of a crime or has had a penalty imposed that is specified in Wis. Stat. § 48.57(3p)(g), unless a director's review under §PAP.15.7.020(a) or a division of hearings and appeals hearing order under Wis. Stat. § 48.57(3m)(g), determines that there are no arrests, convictions, or penalties that are likely to adversely affect the child or the relative caregiver's ability to care for the child.

(1) Patterns of criminal behavior, pending charges, and convictions that are not specified under Wis. Stat. § 48.57(3p)(g), may be considered when determining the best interests of the child under §PAP.15.5.010.

(2) The LCO Kinship Care Office may need to obtain a copy of the criminal complaint from the appropriate clerk of court to determine whether the circumstances of the crimes or the reason for the penalties could adversely affect the child or the relative caregiver's ability to care for the child.

(3) The LCO Kinship Care Office may need to seek the assistance of the LCO Office of the Attorney General in working with a county clerk of courts.

(b) A relative caregiver may not employ a person or permit a person to reside in the relative caregiver's home if the person has been convicted of a crime or has had a penalty imposed that is specified in Wis. Stat. § 48.57(3p)(g), unless a director's review under §PAP.15.7.020(a) or a division of hearings and appeals hearing order under Wis. Stat. § 48.57(3m)(g), determines that there are no arrests, convictions, or penalties that are likely to adversely affect the child or the relative caregiver's ability to care for the child.

(3) The LCO Kinship Care Office may need to seek the assistance of the LCO Office of the Attorney General in working with a county clerk of courts.

PAP.15.4.070 Long-Term Kinship Care Standard.

(a) The LCO Kinship Care Office may not make long-term kinship care payments to a relative caregiver if the director determines that the relative caregiver or an employee or adult resident of the relative caregiver has an arrest or conviction that is likely to adversely affect the child or the relative caregiver's ability to care for the child, unless the director's decision is overturned by the division of hearings and appeals under Wis. Stat. § 48.57(3n)(g).

(3) The LCO Kinship Care Office may need to seek the assistance of the LCO Office of the Attorney General in working with a county clerk of courts.

(b) A relative caregiver may not employ a person or permit a person to reside in the relative caregiver's home if the director determines that the person has an arrest or conviction that is likely to adversely affect the child or the relative caregiver's ability to care for the child, unless the director's decision is overturned by the division of hearings and appeals under Wis. Stat. § 48.57(3n)(g).

(3) The LCO Kinship Care Office may need to seek the assistance of the LCO Office of the Attorney General in working with a county clerk of courts.

Subchapter PAP.15.5 Best Interests of the Child

PAP.15.5.010 Criteria for Best Interest Determination.

(a) Kinship care. For kinship care eligibility, the LCO Kinship Care Office shall determine if living with the relative caregiver is in the best interests of the child based on the criteria in this section, unless an exception in par. (c) applies.

(b) Long-term kinship care. For long-term kinship care eligibility, the LCO Kinship Care Office shall determine if living with the relative caregiver on a long-term basis is in the best interests of the child based on the criteria in §PAP.15.5.020, unless §PAP.15.5.040 applies.

(c) Presumption of best interests. Notwithstanding par. (a) or (b), the LCO Kinship Care Office shall presume it is in the child's best interests to live with the relative caregiver if any of the following conditions is met:

(1) Court order. The child was placed in the home of the relative caregiver under an LCO Tribal Court Order or a voluntary transition-to-independent-living agreement, and the LCO ICW Department has placement and care responsibility for the child, wherein they continue to be responsible for managing the safety of the out-of-home care placement.

(2) Recent court order. The LCO Kinship Care Office is determining the relative caregiver's eligibility for voluntary kinship care or long-term kinship care within six (6) months after a court order or voluntary transition-to-independent-living agreement placing the child in the relative caregiver's home expired or was terminated.

PAP.15.5.020 Characteristics of the Relative Caregiver.

(a) The relative caregiver has or exhibits all of the following characteristics to a degree that allows the relative caregiver to adequately care for the child:

(1) A positive approach to parenting the child, including all of the following:

(A) If the relative caregiver has parenting history, the parenting history does not include behaviors or actions that are contrary to the health, safety, or welfare of a child, or the LCO Kinship Care Office determines that the relative caregiver has a positive approach to parenting the child despite the parenting history.

(B) The relative caregiver does not inflict or tolerate infliction of abuse and does not neglect the child.

(2) A demonstrated interest in integrating the child into the relative caregiver's household and the ability to manage the stress of doing so.

(3) An adequate recognition of the child's strengths and needs consistent with the child's age and abilities.

(4) The ability to provide stable and appropriate care for the child, given the child's age, strengths, needs, and abilities.

(5) The ability and willingness to work with the child's parents, if the relative caregiver is applying for or receiving voluntary kinship care and does not have guardianship of the child through the Tribal Court (or state).

PAP.15.5.030 History of Behaviors.

(a) The relative caregiver, employees, and adult residents do not have any final substantiated findings of child abuse or neglect that are likely to adversely affect the child or the relative caregiver's ability to care for the child.

(b) If the LCO Kinship Care Office conducts a background check on a person subject to the background check under PAP.15.4.010, the Office determines that the person does not have any patterns of criminal behavior, pending charges, or convictions that are likely to adversely affect the child or the relative caregiver's ability to care for the child.

PAP.15.5.040 Other Minor Child(ren) in the Home. No minor child residing in the relative caregiver's home endangers the safety of another child.

PAP.15.5.050 Physical Environment.

The physical environment of the relative caregiver's home is safe for the child, including all of the following:

(a) The relative caregiver's home is constructed, arranged, and maintained in a manner that is safe.

(b) The relative caregiver's home has all of the following:

(1) Furnishings and equipment necessary to adequately accommodate the child and other household members.

(2)(A) A safe and appropriate sleeping arrangement for the child.

(B) If the child is under 12 months of age, the child sleeps alone in a crib, bassinet, or playpen.

(c) The relative caregiver considers the child's developmental level and ensures that materials and equipment that may be hazardous to the child are stored in areas not readily accessible to the child. Potentially hazardous materials and equipment may include weapons, ammunition, poisons, insecticides, flammable or combustible materials, alcohol, tobacco products, medications, power tools, detergents, and plastic bags.

(d) The relative caregiver makes every reasonable effort to correct any hazard to the safety of the child in the home.

(1) If the relative caregiver does not own the home, the relative caregiver's "reasonable effort to correct any hazard" includes asking the landlord to address safety concerns in the home.

PAP.15.5.060 Voluntary Kinship Care Only.

The LCO Kinship Care Office determines all of the following conditions are met:

(a) Child's basic needs. The child needs to live with the relative caregiver because one or more of the following basic needs of the child can be better met by the relative caregiver than the child's parent(s):

(1) The need for adequate food, shelter, clothing, and education.

(2) The need to be free from physical, sexual, or emotional injury, neglect, or exploitation.

(3) The need for a safe or permanent family.

(4) The need to develop physically, mentally, and emotionally to the child's potential.

(b) Parental consent. The LCO Kinship Care Office determines that the child's custodial parent(s) have consented to the child living with the relative caregiver, except that no consent is required if the relative caregiver has guardianship of the child through the Tribal Court (or state).

PAP.15.5.070 Need for Protection or Services – Minor in Need of Care (MNC).

(a) Kinship Care. When determining the eligibility of a relative caregiver to receive kinship care payments, the LCO Kinship Care Office shall determine if any of the following conditions is met:

(1) Court order. The child has been placed with the relative caregiver by a Tribal Court order pursuant to §DMR.1.5.

(2) Voluntary kinship care.

(A) If par. (a) does not apply, the LCO Kinship Care Office determines any of the following:

(i) The child meets one or more of the grounds or conditions under §DMR.1.5.

(ii) There is a reasonable probability that the child would be at risk of meeting one or more of the grounds or conditions under §DMR.1.5, if the child were to remain in the parent's home.

(iii) If the child is 18 years of age or over, there is a reasonable probability that the child would meet or be at risk of meeting one or more of the grounds or conditions under §DMR.1.5, if the child were under 18 years of age and in the parent's home.

(B) The LCO Kinship Care Office shall base a determination involving reasonable probability under par. (a)(2) or (a)(3) on any of the following:

(i) The LCO Kinship Care Office or LCO Tribal Court has made a similar determination about the child or a sibling of the child within the previous twelve (12) months.

(ii) Evidence of behavior by the child or a parent of the child that if increased in degree, could meet one or more of the grounds or conditions under §DMR.1.5.

(iii) A parent of the child has made threatening and credible statements that, if carried out, could meet one or more of the grounds or conditions under §DMR.1.5.

(iv) Information provided by the relative caregiver, a parent of the child, or any other credible person supports a determination that the circumstances in the child's home could result in the child being at risk of meeting one or more of the grounds or conditions §DMR.1.5, if the child were to remain in the home.

(b) Long-term Kinship Care. When determining the eligibility of a relative caregiver to receive long-term kinship care payments, LCO Kinship Care Office shall require the relative caregiver to provide proof that the relative caregiver is the child's guardian under §DMR.1.5 or Wis. Stat. § 48.977.

Subchapter PAP.15.6 LCO Kinship Care Office Procedures

PAP.15.6.010 Application.

(a) Complete application. The LCO Kinship Care Office shall consider a relative caregiver's application for kinship care payments or long-term kinship care payments to be complete when the Office has received all of the following from the relative caregiver:

(1) All information required on the application form prescribed by DCF under PAP.15.3.020(a).

(2) All information that a relative caregiver is required to provide for background checks under PAP.15.4.030.

(b) LCO Kinship Care Office timeframe for determining eligibility. The LCO Kinship Care Office shall approve or deny a relative caregiver's application within forty-five (45) days after receiving the complete application specified under par. (a).

(c) Reapplication within 2 years. The LCO Kinship Care Office may refuse to accept an application for kinship care or long-term kinship care from a relative caregiver that was determined ineligible for the same program within the previous two (2) years if the Office determines that the reason for the previous denial or termination of payments has not changed.

PAP.15.6.020 Health Insurance.

A LCO Kinship Care Office shall do all of the following:

(a) Provide information on medical assistance to all relative caregivers during the initial eligibility determination process.

(b) Require that a relative caregiver that does not have private health insurance for the child apply for medical assistance for the child and assist the relative caregiver with applying if appropriate.

(c) Inform a relative caregiver that has private health insurance for the child that medical assistance may be available as a secondary health insurance.

PAP.15.6.030 Additional Eligibility or Termination Criteria Prohibited.

The LCO Kinship Care Office may not create eligibility or termination criteria for kinship care or long−term kinship care that are in addition to the criteria in this Ordinance and Wis. Stat. § 48.57(3m), (3n), and (3p).

PAP.15.6.040 Best Interests Determination.

(a) Voluntary and long-term kinship care. When determining whether living with the relative caregiver is in the best interests of the child under §PAP.15.5.010, the LCO Kinship Care Office shall do all of the following:

(1) Assess the ability of the relative caregiver to care for the child and the safety of the relative caregiver's home and do the following if applicable:

(A) If the LCO Kinship Care Office determines that a relative caregiver has a positive approach to parenting the child under §PAP.15.5.020 despite a parenting history that includes behaviors or actions that are contrary to the health, safety, or welfare of a child, the Office shall document the reasons for concern in the relative caregiver's parenting history and the LCO Kinship Care Office's rationale for determining that the relative caregiver has a positive approach to parenting the child despite the parenting history.

(B) If the relative caregiver does not have safe sleeping arrangements for the child as required under §PAP.15.5.050(b)(2) the LCO Kinship Care Office shall assist the relative caregiver with obtaining the needed crib or bed.

(2) With an approach that is trauma-informed and age and developmentally appropriate, talk to each child for whom a relative caregiver is applying for or receiving kinship care payments or long-term kinship care payments and discuss the child's needs.

(3) When determining a relative caregiver's initial eligibility for kinship care or long-term kinship care, check for all of the following:

(A) Child abuse or neglect investigations or final substantiated findings in each county in Wisconsin, and within the Tribe, in which the relative caregiver, adult residents, prospective adult residents, employees, and prospective employees reside or have resided within the previous five (5) years.

(B) Investigations or findings on a child abuse or neglect registry maintained by any jurisdiction outside Wisconsin in which the relative caregiver, adult residents, prospective adult residents, employees, or prospective employees reside or have resided within the previous five (5) years.

(4) When redetermining a relative caregiver's eligibility, make the checks specified under sub. (3) above, in any jurisdiction where the relative caregiver, adult resident, or employee reside or have resided since the most recent check by the LCO Kinship Care Office.

(b) Voluntary kinship care; parental consent.

(1) 'Request express consent for living arrangement.' When determining a relative caregiver's initial eligibility for voluntary kinship care when the relative caregiver is not the child's guardian, the LCO Kinship Care Office shall make diligent efforts to contact the custodial parent(s) and request that the parent(s) sign a form prescribed by DCF expressly consenting to the child living with the relative caregiver. The initial effort to contact the custodial parent(s) shall be by mail. The LCO Kinship Care Office may subsequently attempt contact by phone, in person, or by electronic mail. Note: DCF−F−5371, Voluntary Kinship Care Parental Approval, is available on the department's website at https://dcf.wisconsin.gov/forms.

(2) 'Express denial.' The LCO Kinship Care Office shall determine that a relative caregiver is ineligible to receive voluntary kinship care and contact the local child protective services agency if the relative caregiver does not have guardianship of the child under Tribal or state law, and a custodial parent expressly denies consent for the child to live with the relative caregiver.

(3) 'Implied consent.' The LCO Kinship Care Office may determine that consent by the child's custodial parent(s) for the child to live with the relative caregiver is implied if any of the following conditions is met:

(A) The LCO Kinship Care Office makes diligent efforts to contact the child's custodial parent(s) and does not receive a response from any of the child's custodial parents within twenty (20) days after the LCO Kinship Care Office's first attempt to contact the custodial parent(s).

(B) The child's custodial parent(s) respond to the LCO Kinship Care Office in a manner that is not an express denial of consent for the child to live with the relative caregiver.

(C) The child has two (2) custodial parents, one custodial parent responds in a manner that is not an express denial of consent for the child to live with the relative caregiver, and the other custodial parent does not respond to the LCO Kinship Care Office's diligent efforts to contact the parent within twenty (20) days after the first attempt to contact the parent.

PAP.15.6.050 Child Safety.

(a) Child protective services. The LCO Kinship Care Office has reasonable cause to suspect that the child has been abused or neglected or has been threatened with abuse or neglect and that abuse or neglect will occur shall report the facts and circumstances contributing to the suspicion to the Tribe's ICW or local child protective services agency under Wis. Stat. § 48.981(2).

(b) Court.

(1) 'Guardian; not in best interests.' If the LCO Kinship Care Office has concerns about whether it continues to be in a child's best interests to live with a relative caregiver that has been appointed the child's guardian under §DMR.1, Wis. Ch. 48, or Wis. Stat. § 48.9795 (formerly Wis. Ch. 54 guardianship), the LCO Kinship Care Office shall inform the court that appointed the guardianship.

(2) 'Parent in home; long-term kinship care.' If a child's parent resides with the child and the relative caregiver that is the child's guardian under §DMR.1 or Wis. Stat. § 48.977, for more than thirty (30) days, the LCO Kinship Care Office shall inform the court that appointed the guardianship.

(A) Guardianships granted as a form of permanency after a minor in need of care (MNC) case under §DMR.1 or Wis. Ch. 48 action, are the result of a child welfare matter, in which child safety may have been an issue. Therefore, it is imperative that the LCO Kinship Care Office responds accordingly when the Office becomes aware of a situation that circumvents the guardianship.

PAP.15.6.060 Child Age Eighteen (18) or Over.

The LCO Kinship Care Office may contact the school that a child eighteen (18) years of age or over is attending to verify the documentation submitted by the relative caregiver §PAP.15.3.030(8).

PAP.15.6.070 Additional Child Within Six (6) Months.

If a relative caregiver applies for kinship care or long-term kinship care for a child that moves into the relative caregiver's home within six (6) months after the LCO Kinship Care Office determined that the relative caregiver is eligible for kinship care or long-term kinship care for a different child, all of the following apply:

(a) The LCO Kinship Care Office shall direct the relative caregiver to complete only the child-specific portions of the application under §PAP.15.3.020.

(b) The LCO Kinship Care Office is not required to conduct new background checks under subchapter 15.4.

(c) In determining whether living with the relative caregiver is in the best interests of the child under subchapter 15.5 the LCO Kinship Care Office may use information obtained for the Office's most recent determinations under §PAP.15.5.020, §PAP.15.5.030, and §PAP.15.5.040 for the other children.

(d) At the earliest date that an eligibility redetermination is required for the care of any child in the relative caregiver's home, the LCO Kinship Care Office shall redetermine the relative caregiver's eligibility for all children in the home for whom the relative caregiver is receiving kinship care payments or long-term kinship care payments.

PAP.15.6.080 Determination.

(a) The LCO Kinship Care Office shall determine whether a relative caregiver is eligible to receive kinship care payments or long-term kinship care payments and send the relative caregiver a written notice of the decision on a form prescribed by DCF.

(b) A notice denying or terminating a relative caregiver's eligibility shall include the reasons for the denial or termination and a summary of appeal rights under PAP.15.7.020 and s. Wis. Stat. § 48.57(3m)(f), (3n)(f), and (3p)(h) or (hm), as applicable.

(c) A notice terminating eligibility shall inform the relative caregiver that payments will continue until a review or hearing decision is issued if the relative caregiver submits a request for a review or hearing as specified under §PAP.15.7.020 within ten (10) days after the date of the notice. Any payments issued while the review or hearing is pending may be recovered by the LCO Kinship Care Office if the Office's determination is upheld. Note: DCF−F−5370−E, Kinship Care Eligibility Determination, is available on the department's website at https://dcf.wisconsin.gov/forms.

PAP.15.6.090 Payment.

(a) Kinship care payments. After the LCO Kinship Care Office has determined that a relative caregiver is eligible to receive kinship care payments, the Office shall issue payments that begin as follows:

(1) For a child that was placed in the relative caregiver's home under a court order or a voluntary transition-to-independent-living agreement, the later of the following:

(A) The date the child was placed in the relative caregiver's home under a court order or a voluntary transition-to-independent-living agreement.

(B) Ninety (90) days prior to the date the LCO Kinship Care Office received the relative caregiver's application information under §PAP.15.6.010(a).

(2) For voluntary kinship care, the date on which the LCO Kinship Care Office received the relative caregiver's application information under §PAP.15.6.010(a), unless the relative caregiver is placed on a waiting list under §PAP.15.6.110.

(b) Long-term kinship care payments. After the LCO Kinship Care Office has determined that a relative caregiver is eligible to receive long-term kinship care payments, the Office shall issue payments that begin the later of the following:

(1) The date the relative caregiver was appointed to be the child's guardian under §DMR.1 or Wis. Stat. § 48.977.

(2) Ninety (90) days prior to the date the LCO Kinship Care Office received the relative caregiver's application information under §PAP.15.6.010(a).

PAP.15.6.100 Waiting Prohibited.

(a) Waiting list prohibited. The LCO Kinship Care Office may not place any of the following relative caregivers on a waiting list:

(1) 'Long-term kinship care.' A relative caregiver that has been determined eligible for long-term kinship care payments.

(2) 'Kinship care with court-ordered placement.' A relative caregiver that has been determined eligible for kinship care payments if the child was placed with the relative caregiver under a court order or a voluntary transition−to−independent−living agreement and the ICW Department has placement and care responsibility for the child.

(3) 'Type of relative caregiving changes to voluntary.' A relative caregiver whose type of relative caregiving under §PAP.15.1.40 changes to voluntary under §PAP.15.1.040 while the relative caregiver is receiving kinship care payments or long-term kinship care payments.

(b) Continued payment by previous agency until funding available.

(1) Subject to §PAP.15.6.100(2) &(3), the LCO Kinship Care Office shall continue to make kinship care payments to a relative caregiver receiving voluntary kinship care payments from the Office if the relative caregiver moves to an area of the state served by another kinship care agency that has a waiting list.

(2) The kinship care agency serving the area of the relative caregiver's new residence under subd. (1) shall place the relative caregiver's name at the top of the agency's waiting list.

(3) The kinship care agency serving the area where the relative caregiver is residing shall begin making the kinship care payments to the relative caregiver when the agency's contract with the department is renewed or amended or the agency otherwise has kinship care funding available to make the payments.

PAP.15.6.110 Waiting List Policy and Procedures for Voluntary Kinship Care.

(a) Policy. The LCO Kinship Care Office shall maintain a waiting list for relative caregivers that have been determined eligible to receive voluntary kinship care payments at a time when the LCO Kinship Care Office's allocation for kinship care payments is insufficient to begin the payments.

(1) The LCO Kinship Care Office will move relative caregivers off the waitlist based on the following criteria:

(A) The order in which applications are received.

(B) The lack of stability in the living arrangement if a payment is not made.

(D) If the child is under the guardianship of the relative caregiver through a guardianship that is for permanency after a Minor in Need of Care (MNC) case or a Wis. Stat. § 48.977 guardianship.

(2) The LCO Kinship Care Office may provide a retroactive payment for the time period that a relative caregiver is on the waiting list.

(b) LCO Kinship Care Office Submittal. The LCO Kinship Care Office shall submit the Office's waiting list policy under PAP.15.6.110 to DCF by January 1, 2023, and following any change to the Office's waiting list policy

(c) Authorization. The LCO Kinship Care Office will establish a waiting list for newly-eligible relative caregivers if all of the following conditions are met:

(1) The LCO Kinship Care Office's allocation for kinship care payments in the current fiscal year will be fully expended by payments to existing relative caregivers.

(2) The LCO Kinship Care Office notifies DCF that the Office expects to be placing newly-eligible relative caregivers on the waiting list for the remainder of the fiscal year.

(d) Funding available. When the LCO Kinship Care Office has sufficient funds to begin kinship care payments to a relative caregiver that the Office placed on a waiting list, the LCO Kinship Care Office shall do all of the following:

(1) Notify the relative caregiver in writing that funding is available and request that the relative caregiver contact the Office if the relative caregiver continues to be interested in and eligible for kinship care payments.

(2) Begin payments to the relative caregiver for the time period beginning no later than the first day of the month beginning after the date that the relative caregiver contacted the LCO Kinship Care Office to express continued interest in and eligibility for kinship care payments.

PAP.15.6.120 Documentation.

(a) Eligibility decisions.

(1) Within five (5) working days after making any decision related to the LCO Kinship Care Office's determination, redetermination, or review of a relative caregiver's eligibility for kinship care or long-term kinship care, the LCO Kinship Care Office shall document eligibility decisions by completing the form DCF-F-5370-E, Kinship Care Eligibility Determination, and obtaining and retaining supporting documentation as necessary. Note: Tribal kinship care agencies do not have access to eWiSACWIS. DCF−F−5370−E, Kinship Care Eligibility Determination, is available on the department's website at https://dcf.wisconsin.gov/forms.

(b) Status. The LCO Kinship Care Office shall document any of the following within five (5) working days after any of the following events:

(1) A relative caregiver is placed on waiting list.

(2) Kinship care payments or long-term kinship care payments to a relative caregiver begin or end.

(3) A relative caregiver files an appeal of the Office decision under PAP.15.7.020.

(c) Documentation transfer to or from a tribal agency. A kinship care agency shall transfer documentation regarding a relative caregiver's eligibility for kinship care or long-term kinship care to another kinship care agency if all of the following conditions are met:

(1) The relative caregiver is receiving kinship care payments or long-term kinship care payments and moves with the child to an area of the state served by another kinship care agency.

(2) The kinship care agency serving the area of either the relative caregiver's old residence or new residence does not have access to DCF's eWiSACWIS (i.e., a Tribe).

PAP.15.6.130 Long-Term Kinship Care Agreement.

If the LCO Kinship Care Office determines that a relative caregiver is eligible to receive long-term kinship care payments, the Office shall enter into a written agreement with the relative caregiver using DCF-F-CFS2190-E, Long-Term Kinship Care Agreement. Under the written agreement, the relative caregiver agrees to provide care and maintenance for the child and the LCO Kinship Care Office agrees to provide long-term kinship care payments to the relative caregiver until the date of a change in circumstances specified in Wis. Stat. § 48.57(3n)(am)6.

Note: DCF−F−CFS2190−E, Long−Term Kinship Care Agreement, is available on the department's website at https://dcf.wisconsin.gov/forms.

(a) There are only minor differences in the eligibility criteria for kinship care and long-term kinship care. If a relative caregiver receiving kinship care payments is appointed the child's guardian, the LCO Kinship Care Office and relative caregiver will enter Long-Term Kinship Care Agreement and the Office will update the program type to long-term kinship care.

PAP.15.6.140 Change in Type of Relative Caregiving.

(a) Following a change in a relative caregiver's type of relative caregiving as specified under PAP.15.1.040, the LCO Kinship Care Office shall determine if the relative caregiver's eligibility for kinship care or long-term kinship care has changed.

(b) If the relative caregiver's eligibility for kinship care or long-term kinship care changes due to a change in the type of relative caregiving under PAP.15.1.040, the LCO Kinship Care Office shall use information about the relative caregiver and child previously obtained to the extent appropriate to document the relative caregiver's eligibility following the change in the type of relative caregiving. The LCO Kinship Care Office may require additional information and actions only as necessary for the eligibility determination and may not require a relative caregiver to complete a new application under PAP.15.3.020.

PAP.15.6.15 Director's Designee.

(a) The ICW Director may designate an individual to fulfill the director's responsibilities under PAP.15.4.070 and PAP.15.7.020(a) if the individual is a manager in the LCO Kinship Care Office and does not directly supervise the Office staff that make eligibility determinations for kinship care or long-term kinship care.

(b) If a director designates an individual under par. (a), the LCO Kinship Care Office shall submit the name of the designee and the designee's position in the Office to DCF each January.

PAP.15.6.160 Overpayments.

(a) The LCO Kinship Care Office may recover an overpayment of kinship care or long-term kinship care from a relative caregiver by any of the following means:

(1) Reducing the amount of relative caregiver's monthly kinship care payment or long-term kinship care payment by an amount agreed to by the relative caregiver and the LCO Kinship Care Office.

(2) Requesting payment within a specified time period.

(3) Negotiating a payment plan.

(b)(1) The LCO Kinship Care Office that recovers an overpayment under this section due to Office's efforts may retain the amount recovered.

(2) Funds retained under subd. (b)(1) may only be spent on the LCO Kinship Care Office's kinship care or long-term kinship care program.

(3) If the LCO Kinship Care Office has not spent the retained funds under subd. (b)(1) by the end of the contract period, DCF shall recover the funds through the contracting process.

PAP.15.6.170 Federal Reporting Requirements.

The LCO Kinship Care Office shall provide information to DCF necessary for compliance with federal data collection and reporting requirements under 45 C.F.R. Part 265, as determined by DCF and set forth in the DCF/LCO contract.

Subchapter PAP.15.7 Changes and Reviews/redeterminations

PAP.15.7.010 Change in Circumstances.

(a) Notification Requirements.

(1) A relative caregiver shall notify the LCO Kinship Care Office within five (5) working days after the date that any of the following occur:

(A) The relative caregiver and child move to a new residence.

(B) The relative caregiver or a prospective employee, employee, prospective adult resident, or adult resident is the subject of an investigation or final substantiated finding that the person has abused or neglected a child.

(C) The relative caregiver or a prospective employee, employee, prospective adult resident, or adult resident is arrested for, charged with, or convicted of any crime.

(D) The child has a new caregiver.

(E) The child is no longer living with the relative caregiver.

(F) The child is married.

(G) The child enters the military.

(H) The child is deceased.

(I) The child graduates, completes, or drops out from a full−time, kindergarten to 12th grade educational program or its equivalent, and the child is 18 years of age or older.

(J) An individualized education program under Wis. Stat. § 115.787, is no longer in effect for the child, and the child is 18 years of age or older.

(K) The relative caregiver is no longer supporting the child.

(L) The child's parent is residing with the relative caregiver and the child.

(M) The child is placed outside the relative caregiver's home under a court order, voluntary placement agreement, or a voluntary transition−to−independent−living agreement.

(N) The child is placed in the relative caregiver's home under a court order or a voluntary transition−to−independent−living agreement.

(O) The relative caregiver is appointed the child's guardian under §DMR.1 or Wis. Stat. § 48.977.

(P) The relative caregiver's guardianship order under §DMR.1 or Wis. Stat. § 48.977 terminates.

(Q) The relative caregiver begins receiving foster care payments under Wis. Stat. § 48.62(4), or from another jurisdiction.

(R) The relative caregiver begins receiving subsidized guardianship payments for care of the child under Wis. Stat. § 48.623, or comparable payments from another jurisdiction.

(S) The child begins receiving supplemental security income under 42 U.S.C. §§ 1381 to 1383c or state supplemental payments under Wis. Stat. § 49.77, due to the child's own disability.

(T) A person residing in the relative caregiver's home no longer meets the definition of "child" under §PAP.15.2.010(a)(4).

(2)(A) A relative caregiver shall notify the LCO Kinship Care Office that a person intends to become an adult resident in the relative caregiver's home as soon as possible before the person begins residing in the home, except as provided under subd. (B) below .

(B) If a person becomes an adult resident in a relative caregiver's home without advance notice to the relative caregiver, the relative caregiver shall notify the LCO Kinship Care Office no later than five (5) working days after the person became an adult resident.

(3) A relative caregiver shall notify the LCO Kinship Care Office of a prospective new employee before employing the person.

(b) LCO Kinship Care Office Review.

(1) When the LCO Kinship Care Office receives notice from the relative caregiver or otherwise knows or suspects that a change specified in par. (a) has occurred shall review whether the relative caregiver continues to be eligible for kinship care payments or long-term kinship care payments within twenty (20) calendar days.

(2) The LCO Kinship Care Office may allow the child's parent to reside with the relative caregiver and the child for no more than thirty (30) calendar days, unless the relative caregiver is providing care for the child's parent and any of the following apply:

(A) The child's parent is a child.

(B) The child's parent is subject to an order for adult protective services or protective placement under state or tribal law.

(1) Annual redetermination date.

(A) The LCO Kinship Care Office shall redetermine the eligibility of a relative caregiver to receive kinship care payments or long-term kinship care payments at least every twelve (12) months after the Office began making kinship care payments or long-term kinship care payments to the relative caregiver.

(B) If the relative caregiver is caring for more than one child and the kinship care payments or long-term kinship care payments began on different dates, the LCO Kinship Care Office shall redetermine the relative caregiver's eligibility at least twelve (12) months from the redetermination date or otherwise establish a single annual redetermination date for the relative caregiver.

(2) Redetermination form.

(A) Sixty (60) days before a relative caregiver's annual redetermination date established under par. (a), the LCO Kinship Care Office shall send to the relative caregiver a form prescribed by DCF that requests the relative caregiver to indicate whether any of the circumstances specified under PAP.15.7.010(a) have occurred and the last grade that the child has completed.

(B) The form under subd. (A) shall also direct the relative caregiver to contact the LCO Kinship Care Office to schedule a time for the Office to visit the relative caregiver's home if the relative caregiver is receiving voluntary kinship care payments or long-term kinship care payments. Note: DCF−F−5369−E, Kinship Care Request for Information to Determine Continued Eligibility, is available on the department's website at https://dcf.wisconsin.gov/forms.

(3) Voluntary and long-term kinship care; home visit. If the relative caregiver is receiving voluntary kinship care payments or long-term kinship care payments, the LCO Kinship Care Office shall visit the relative caregiver's home and determine whether living with the relative caregiver continues to be in the best interests of the child under subchapter 15.5.

(4) Voluntary kinship care. If the relative caregiver is receiving voluntary kinship care payments, the LCO Kinship Care Office shall also determine all of the following:

(A) Whether there continues to be a need for the child to live with the relative caregiver §PAP.15.5.010(a).

(B) Whether the conditions under §PAP.15.5.070(a), regarding the child's need for protection or services, are met.

(d) Eligibility After Age 17.

(1) Definition of child. A relative caregiver may be eligible to receive kinship care payments or long-term kinship care payments for the care of a child who has attained the age of 18 years if the child meets the conditions under §PAP.15.2.010(a)(4)(a) or (B) and other eligibility requirements in this chapter and Wis. Stat. § 48.57(3m), (3n), and (3p), as applicable, are met.

(2) Voluntary kinship care and long-term kinship care procedures. To determine if the eligibility of a relative caregiver receiving voluntary kinship care payments or long-term kinship care payments is expected to continue when the child turns 18 years old, the LCO Kinship Care Office shall do all of the following:

(A) Six (6) months before the child's 18th birthday, the LCO Kinship Care Office shall send the relative caregiver a form prescribed by DCF that notifies the relative caregiver that kinship care payments or long-term kinship care payments will terminate when the child turns 18 years old unless the relative caregiver provides information regarding potential eligibility for the payments to continue. Note: DCF−F−5373−E, Advance Notice of Termination of Kinship Care at Age 18, is available on the department's website at https://dcf.wisconsin.gov/forms.

(B) If the LCO Kinship Care Office has not received the completed form under subd. (A) and any necessary documentation from the relative caregiver by sixty (60) days before the child's 18th birthday, the Office shall send a second copy of the form to the relative caregiver.

(C) If the LCO Kinship Care Office has not received the completed form under subd. (A) or (B) with any necessary documentation from the relative caregiver by thirty (30) days before the child's 18th birthday, the payment for the month of the child's 18th birthday shall be the last payment.

(D) If the LCO Kinship Care Office receives the completed form under subd. (A) or (B) and any necessary documentation from the relative caregiver thirty (30) days or more before the child's 18th birthday, the Office shall determine if eligibility will continue when the child turns 18 years old and send the notice of decision on a form prescribed by DCF within fifteen (15) days after receiving the relative caregiver's completed form and any necessary documentation.

(3) Court-ordered kinship care procedures.

(A) The LCO Kinship Care Office does not have access to DCF's child welfare automation system and thus shall use the procedures in par. (b) to determine if eligibility is expected to continue when the child turns 18 years old and the relative caregiver is receiving kinship care payments on behalf of a child that was placed in the relative's home under a court order or a voluntary transition-to-independent-living agreement. Note: DCF−F−5373−E, Advance Notice of Termination of Kinship Care at Age 18, is available on the department's website at https://dcf.wisconsin.gov/forms.

PAP.15.7.020 Appeal Rights.

(a) Kinship Care; Director Review of Background Check Denial.

(1) Request for review.

(A) A relative caregiver applying for or receiving kinship care payments may submit a request for review by the ICW Director if the relative caregiver receives a written notice of any of the following:

(i) Kinship care payments are denied or terminated because the background check of the relative caregiver indicates a conviction or imposition of a penalty specified under Wis. Stat. § 48.57(3p)(g) and §PAP.15.4.060.

(ii) The background check of a prospective adult resident, adult resident, prospective employee, or employee indicates a conviction or imposition of a penalty specified under Wis. Stat. § 48.57(3p)(g) and §PAP.15.4.060, and kinship care payments will be denied or terminated if the relative caregiver permits the prospective adult resident to reside in the relative caregiver's home, continues to permit the adult resident to reside in the relative caregiver's home, employs the prospective employee, or continues to employ the employee.

(B) A relative caregiver's request for review shall be addressed to the ICW Director and submitted to the LCO Kinship Care Office in the manner specified in the notice no later than forty-five (45) days after the date of the notice under subd. (A)

(C) The LCO Kinship Care Office shall continue kinship care payments to a relative caregiver if the relative caregiver submits a request for review by the director within ten (10) days after the date of a notice of termination, pending the ICW Director's written notice of determination under sub. (3) and, if the relative caregiver submits a request for a hearing under par. (b) within ten (10) days after the date of the ICW Director's written notice of determination under sub. (3), the hearing decision.

(2) Standard for review. Within thirty (30) days after the LCO Kinship Care Office receives the relative caregiver's request for review under sub. (1), the ICW Director shall determine if the conviction record on which the denial, termination, prospective denial, or prospective termination was based includes any arrests, convictions, or penalties that are likely to adversely affect the child or the ability of the relative caregiver to care for the child. In reviewing the conviction record, the ICW Director shall consider all of the following factors:

(A) The length of time between the date of the arrest, conviction, or imposition of the penalty and the date of the review.

(B) The nature of the alleged violation, violation, or penalty and how that alleged violation, violation, or penalty affects the ability of the relative caregiver to care for the child.

(3) Director's determination. Within ten (10) working days after making the determination under sub. (2), the LCO Kinship Care Office shall send the relative caregiver a written notice of the ICW Director's determination and a summary of the relative caregiver's right to a hearing under par. (b) and Wis. Stat. § 48.57(3m)(f)-(g).

(A) A relative caregiver applying for or receiving long-term kinship care is not eligible for a review by the ICW Director because the ICW Director makes background check determinations for long-term kinship care under §PAP.15.4.070.

(b) Request for Hearing.

(1) Notice of LCO Kinship Care Office action. A relative caregiver may submit a request for a hearing to the division of hearings and appeals in the manner specified in the notice no later than forty-five (45) days after the date of a notice from the LCO Kinship Care Office of any of the following:

(A) A denial or termination of kinship care payments or long-term kinship care payments for a reason other than as specified under §PAP.15.4.060 or §PAP.15.4.070

(B) A denial or termination of kinship care payments following the ICW Director's review of the relative caregiver's conviction record under par. (a).

(C) A determination by the ICW Director, after reviewing the conviction record of a prospective adult resident, adult resident, prospective employee, or employee under par. (a), that kinship care payments will be denied or terminated if the relative caregiver does any of the following:

(i) Permits the prospective adult resident, or continues to permit the adult resident, to reside in the relative caregiver's home.

(ii) Employs the prospective employee or continues to employ the employee.

(D) A denial or termination of long-term kinship care payments based on the background check of the relative caregiver under §PAP.15.4.070.

(E) A determination by the ICW Director, based on the background check of a prospective adult resident, adult resident, prospective employee, or employee, that long-term kinship care payments will be denied or terminated if the relative caregiver does as provided under subd. (C) (i) or (ii).

(F) A determination under §PAP.15.5.030 that it is not in the best interests of the child for the relative caregiver to do any of the following:

(i) Permit a prospective adult resident to reside, or continue to permit an adult resident to reside, in the relative caregiver's home.

(ii) Employ a prospective employee or continue to employ an employee.

(G) The relative caregiver received the first written notice of an overpayment.

(2) Failure to act on application. If the LCO Kinship Care Office fails to act on a relative caregiver's complete application as specified under §PAP.15.6.010(a), the relative caregiver may submit a request for a hearing to the division of hearings and appeals no later than forty-five (45) days after the date of the deadline for the LCO Kinship Care Office to process the application under §PAP.15.6.010(b).

(3) No division of hearings and appeals hearing right. A relative caregiver may not be granted a hearing with the division of hearings and appeals if any of the following conditions is met:

(A) The relative caregiver is applying for or receiving kinship care payments, the LCO Kinship Care Office sent the relative caregiver the notice specified under par. (a) (1) (A), and any of the following:

(i) The relative caregiver has not requested a review by the ICW Director under par. (a).

(ii) The relative caregiver requested a review by the ICW Director under par. (a), the ICW Director has not sent a notice of the determination, and the time allowed for the ICW Director to send the notice of the determination has not expired.

(B) The LCO Kinship Care Office determined that the person was ineligible for kinship care or long-term kinship care within the previous two (2) years, and the reason for the denial or termination has not changed.

PAP.15.7.030 Procedures for Requesting Exemption for Good Cause to Requirement for Cooperation in Securing Child Support.

(a) Definitions. In this section:

(1) "Emotional harm" means that the child or relative caregiver is emotionally impaired to an extent that substantially affects his or her functioning.

(2) "Serious nature" means:

(A) In reference to a relative caregiver, that the physical or emotional impairment is or will affect the relative caregiver's capacity to care for the child.

(B) In reference to a child, that the physical or emotional impairment is or will affect the child's emotional, mental, or physical functioning.

(b) Right to Request Good Cause Exemption. A relative caregiver may request a good cause exemption from the requirement under §PAP.15.3.030(5) to cooperate with the LCO Kinship Care Office in referring the child's parent or parents to the LCO Child Support Services Office.

(1) Notice.

(A) The LCO Kinship Care Office shall notify the relative caregiver of the opportunity to claim a good cause exemption in the application for kinship care or long-term kinship care.

(B) The notice shall describe the right to refuse to cooperate for good cause in securing child support and shall advise the relative caregiver of all of the following:

(i) The potential benefits the child may derive from securing child support.

(ii) That cooperation in securing child support is a condition of eligibility for kinship care and long−term kinship care.

(iii) That good cause for refusing to cooperate may be claimed and if the LCO Kinship Care Office finds that there is good cause, the relative caregiver will be excused from the cooperation requirement.

(2) Claim.

(A) A relative caregiver may claim good cause in application form prescribed by DCF under §PAP.15.3.030. The good cause information in the application shall describe the circumstances that support a good cause claim and how a claim should be documented.

(B) The information on good cause in the application shall include that the LCO Kinship Care Office directs the LCO Child Support Services Office to proceed to attempt to secure child support without the participation of the relative caregiver.

(D) Within two (2) days after the date on which the relative caregiver signs the good cause claim under subd. (C), the LCO Kinship Care Office shall notify the LCO Child Support Services Office that the relative caregiver has filed a good cause claim and instruct the LCO Child Support Services Office to either not initiate or to suspend activities to secure child support until the claim is determined.

(3) Burden on relative caregiver to establish good cause circumstances. A relative caregiver who refuses to cooperate in securing child support and who claims good cause for refusing to cooperate has the burden of establishing good cause, except as provided in subs. (e) (3) and (k) (1).

(d) Good Cause Circumstances. The LCO Kinship Care Office shall determine whether requiring cooperation is contrary to the best interests of the child or the relative caregiver. An exemption may be granted only for one of the following reasons:

(1) The relative caregiver's cooperation can be reasonably anticipated to result in any of the following:

(A) Physical harm of a serious nature to the child or to the relative caregiver.

(B) Emotional harm of a serious nature to the child or the relative caregiver.

(2) One of the following circumstances exists and it can be reasonably anticipated that proceeding to secure child support would be detrimental to the child:

(A) The child was conceived as the result of incest or sexual assault.

(B) A petition for adoption of the child has been filed with a court.

(C) The parent or parents are being assisted by a social services agency in deciding whether to terminate parental rights and the discussions have not gone on for more than three (3) months.

(e) Determination of Good Cause.

(1) Within forty-five (45) days from the date a claim is signed, the LCO Kinship Care Office shall determine if there is good cause for a relative caregiver to refuse to cooperate in securing child support. The 45−day period may be extended by the LCO Kinship Care Office upon written notice to the relative caregiver if the LCO Kinship Care Office documents that additional time is needed for any of the following reasons:

(A) Information needed to verify the claim cannot be obtained by the LCO Kinship Care Office within forty-five (45) days.

(B) Supporting evidence was not submitted by the relative caregiver within twenty (20) days as required under par. (j) (1).

(2) The LCO Kinship Care Office's determination on whether good cause exists shall be reviewed and signed by a supervisor in the Office.

(3) If there is no evidence or verifiable information available which suggests otherwise, the LCO Kinship Care Office shall conclude that a refusal to cooperate was a case of cooperation to the fullest extent possible.

(4) The LCO Kinship Care Office shall place all of the following in the relative caregiver's case record:

(A) The Office's final determination on the relative caregiver's good cause claim and the reasons for the determination.

(B) All evidence submitted in support of the claim.

(5) Written notice of the final determination shall be given to the relative caregiver and to the LCO Child Support Services Office. If the LCO Kinship Care Office determines that good cause does not exist, the relative caregiver may, within forty-five (45) days from the date of the notification, do one of the following:

(A) Withdraw the claim and cooperate.

(B) Exclude any affected child from the application or case.

(D) Request a hearing under §PAP.15.7.020(b).

(6) A denial or termination of kinship care or long-term kinship care shall remain in effect until there is cooperation or until cooperation is no longer an issue.

(f) Approving or Continuing Payments. If the relative caregiver is cooperating with the LCO Kinship Care Office in furnishing evidence and information for a determination on good cause, the LCO Kinship Care Office may not deny, delay, reduce, or discontinue a kinship care or long−term kinship care payment, pending the determination, provided that all other eligibility criteria are met.

(g) Participation of the LCO Child Support Services Office.

(1) The LCO Kinship Care Office shall allow the LCO Child Support Services Office to review and comment on the findings of the LCO Kinship Care Office and shall consider the LCO Child Support Services Office's recommendations prior to the final determination on good cause by the LCO Kinship Care Office.

(2) The LCO Child Support Services Office may participate in any hearing resulting from a good cause determination.

(3) The final decision on good cause shall be made by the LCO Kinship Care Office.

(h) Evidence. An initial good cause claim shall be based on evidence in existence at the time of the claim. There is no limitation on the age of the evidence. Once a final decision, including any hearing, is made on the claim, any subsequent claim shall have new evidence as its basis. Any of the following types of evidence may be used in determining good cause:

(1) Birth certificates or medical or law enforcement records that indicate that the child may have been conceived as a result of incest or sexual assault.

(2) Court documents or other records that indicate that a petition for the adoption of the child has been filed with a court.

(3) Court, medical, criminal, child protective services, social services, psychological, school or law enforcement records that indicate that a parent might inflict physical or emotional harm on the child or on the relative caregiver.

(4) Medical records indicating the emotional health history and present emotional health status of the relative caregiver or the child, or a written statement from a mental health professional indicating a diagnosis or prognosis concerning the emotional health of the relative caregiver or the child.

(5) A written statement from a public or private social services agency that the parent is being assisted by that agency to determine whether or not to terminate parental rights.

(6) Sworn statements from persons other than the parent or the relative caregiver with knowledge of the circumstance on which the good cause claim is based.

(7) Any other supporting or corroborative evidence.

(i) Special Requirements for Proof of Good Cause.

(1) Emotional harm. If a good cause claim is based on emotional harm to the relative caregiver or to the child, the LCO Kinship Care Office shall consider all of the following:

(A) Present emotional state of the person subject to emotional harm.

(B) Emotional health history of the person subject to emotional harm.

(D) Degree of cooperation to be required.

(E) Extent of involvement of the child or the relative caregiver in the establishment of the support enforcement activity to be undertaken.

(2) Physical harm. If a good cause claim is based on anticipated physical harm and no evidence is submitted, the LCO Kinship Care Office shall conduct an investigation.

(3) Incest or sexual assault. If a good cause claim is based on the relative caregiver's statement that the child was conceived as a result of incest or sexual assault, but this is not documented, the claim may be reviewed as one based on emotional harm.

(j) General Requirements for Proof of Good Cause.

(1) The relative caregiver who claims good cause shall provide supporting evidence within twenty (20) days from the day the claim is signed. The LCO Kinship Care Office worker may, with supervisory approval, determine that more time is necessary because of difficulty in obtaining certain evidence.

(2) There shall be at least one document of evidence, in addition to any sworn statements from the relative caregiver, for proof of good cause. The relative caregiver shall be encouraged to provide as many types of evidence as possible. The LCO Kinship Care Office shall offer assistance in obtaining necessary evidence.

(3) When sufficient evidence to substantiate a good cause claim has not been submitted, the LCO Kinship Care Office shall do all of the following:

(A) Notify the relative caregiver that additional evidence is required and specify that evidence.

(B) Advise the relative caregiver on how to obtain the evidence.

(C) Make a reasonable effort to obtain specific documents that are not reasonably attainable by the relative caregiver without assistance.

(4) If after having been notified that additional evidence is required, the relative caregiver continues to refuse to cooperate or the evidence obtained does not establish good cause, the LCO Kinship Care Office shall then notify the relative caregiver that if no further action is taken within forty-five (45) days from the date of the notification, good cause will not be found and that the relative caregiver may do any of the following:

(A) Withdraw the claim and cooperate.

(B) Exclude affected children from the application or case.

(D) Request a hearing under §PAP.15.7.020(b).

(5) If the 45-day period under sub. (4) has expired and no action as specified in sub. (4) has occurred, the LCO Kinship Care Office shall deny the application for, or close the case of, any affected child.

(k) Investigation of Good Cause Claim.

(1) The LCO Kinship Care Office shall conduct an investigation of any good cause claim based on anticipated physical harm, both when the claim is credible without supporting evidence and when supporting evidence is not available. Good cause shall be found when both the relative caregiver's statement and the investigation satisfy the LCO Kinship Care Office that the relative caregiver has good cause.

(2) The LCO Kinship Care Office may also investigate any good cause claim when the relative caregiver's statement, together with the corroborative evidence, does not provide a sufficient basis for a determination.

(3) Neither the LCO Kinship Care Office nor the LCO Child Support Services Office shall, in the course of any investigation, contact the parent from whom support would be sought without first notifying the relative caregiver in writing of the intention to do so. The relative caregiver may, within 45−days from the date of the notification, do any of the following:

(A) Present additional supporting or corroborative evidence or information so that contact with the parent is unnecessary.

(B) Exclude an affected child from the application or case.

(D) Request a hearing under §PAP.15.7.020(b).

(4) When the 45-day period under sub. (3) has expired and no action as specified in par. (c) has occurred, the LCO Kinship Care Office shall deny the application for, or close the case of, any affected child.

(l) Notice of Good Cause Finding.

(1) Notice to the LCO Child Support Services Office. The LCO Kinship Care Office shall notify the LCO Child Support Services Office in writing of the final determination whether good cause is found or is not found and, if found, whether or not the LCO Child Support Services Office should proceed to secure child support without participation of the relative caregiver.

(2) When good cause is found. When good cause is found, the LCO Kinship Care Office shall do one of the following, as appropriate:

(A) Direct the LCO Child Support Services Office to suspend all further case activities if it is determined that the LCO Child Support Services Office's action, even without participation of the relative caregiver, can be reasonably anticipated to result in physical or emotional harm to the child or the relative caregiver.

(B)(i) Advise the LCO Child Support Services Office to proceed without the participation of the relative

(ii) The LCO Kinship Care Office shall notify the relative caregiver immediately of its intended recommendation to the LCO Child Support Services Office shall delay notice to the LCO Child Support Services Office for forty-five (45) days from the date on which the LCO Kinship Care Office gave notice to the relative caregiver to allow the relative caregiver time to exclude any affected child from the application or case, to withdraw the application or request that the case be closed, or to request a hearing.

(iii) The LCO Kinship Care Office's recommendation to the LCO Child Support Services Office shall be in writing and shall contain the LCO Kinship Care Office's findings and the basis for its determination. A copy of the written recommendation shall be included in the relative caregiver's case record.

(3) When good cause is not found. When good cause is not found, the LCO Kinship Care Office shall do all of the following:

(A) Provide written notice to the relative caregiver.

(B) Wait forty-five (45) days before taking further action. If after the forty-five (45) days, the relative caregiver still refuses to cooperate and has not excluded the affected child or withdrawn the application or requested that the case be closed, the LCO Kinship Care Office shall deny the application for any affected child or close the case. If the application is denied or the case is closed for not cooperating in securing child support, the LCO Kinship Care Office shall inform the relative caregiver, in writing, of the right to a hearing under PAP.15.7.020(b). If a hearing is requested, the LCO Kinship Care Office shall direct the LCO Child Support Services Office not to proceed with any support enforcement action during the hearing process.

(m) Review of Good Cause Determinations.

(1) Good cause determinations based on permanent circumstances need not be reviewed.

(2) The LCO Kinship Care Office shall review good cause determinations involving circumstances that are subject to change at each eligibility redetermination under PAP.15.7.010, or upon the receipt of new evidence.

(3) When good cause is determined to no longer exist, the LCO Kinship Care Office shall rescind its determination and immediately send written notification to the relative caregiver with the right to a hearing under §PAP.15.7.020(b), but may not notify the LCO Child Support Services Office for forty-five (45) days from the date of the notification to allow the relative caregiver to do one of the following:

(A) Cooperate.

(B) Exclude any affected child from the case.

(D) Request a hearing under §PAP.15.7.020(b).

(E) When the 45-day period under sub. (3) has expired and no action as specified in sub. (3) has occurred, the LCO Kinship Care Office shall do both of the following:

(i) Deny the application for or close the case of any affected child.

(ii) Inform the relative caregiver of the right to a hearing under §PAP.15.7.020(b).

Chapter PAP.17 Big Fish Golf Corporation Personnel Policies and Procedures

Preamble

The Lac Courte Oreilles Band of Lake Superior Chippewa Indians (hereinafter "Band" or "Tribe") in an effort to diversify the economy of the Tribe's reservation in order to improve the Tribe's economic self-sufficiency petitioned the Secretary of the Interior to issue a charter of corporation pursuant to section 17 of the Indian Reorganization Act, codified at U.S.C. § 5124. The BIA – Midwest Regional Office issued a certificate of incorporation for the Big Fish Golf Corporation (hereinafter "Big Fish Golf Corp" or "BFGC"). Big Fish Golf Corp is a legal entity wholly owned by the Tribe, but distinct and separate from the Tribe.

This personnel policy and procedural manual is enacted pursuant to the management authority of the Board of Directors of the Big Fish Golf Corp. This personnel and procedure manual outlines the general policies, rules and procedures and is intended to be a helpful reference during your employment with the BFGC. The information contained herein is general information, and its contents do not create or constitute a contract between BFGC and any employee. The Board of Directors acting in its management capacity may in its sole discretion amend this personnel policy and procedural manual from time to time.

Subchapter PAP.17.1 General Provisions

PAP.17.1.010 Title

This personnel policies and procedures manual shall be known as the Big Fish Golf Corporation (BFGC) Personnel Policies and Procedures.

PAP.17.1.020 Authority

This personnel policy and procedural manual is enacted pursuant to Article XI, Sec. A. of the Federal Charter of Incorporation issued by the United States of America to the Tribe for Big Fish Golf Corporation. Pursuant to Article XI, Sec. A., the business affairs of the Big Fish Golf Corporation shall be managed exclusively by its Board of Directors.

PAP.17.1.030 Purpose

It is the purpose of this personnel policy and procedural manual to provide the general policies, rules and procedures of BFGC. This personnel policy and procedural manual is intended to govern your employment with the BFGC. The information contained herein is general information, and its contents do not create or constitute a contract between BFGC and any employee. Nothing can take the place of direct communication. If you have any questions concerning the applicability of a policy or practice, you should address your concerns to your supervisor.

PAP.17.1.040 Mission Statement

We are dedicated to making our guests feel delighted to be at the Big Fish Golf Club and to feel completely comfortable by using a friendly, upbeat manner and by providing them with cheerful and prompt service, excellent product and clean, well-kept facilities.

PAP.17.1.050 Big Fish Golf Corporation Core Values

Our product is hospitality. Our guests can golf anywhere. We will deliver the best quality service possible. We are a team. We are a united front. We all look good together or we all look bad together. We treat each other and guests with the utmost respect and courtesy. There are no problems, only challenges. We will take ownership of any guest issues. We will never tell a guest, that's not my department. Hospitality is a way of being. It is not an option. We are on stage and must act the part at all times of an enthusiastic and willing service provider. We are committed to growth as a business, as team members and as individuals.

PAP.17.1.060 Effective Date

Except as otherwise provided in specific sections, the provisions of this personnel policy and procedural manual shall be effective on the date adopted by the Big Fish Golf Corporation Board of Directors.

PAP.17.1.070 Interpretation

The provisions of this personnel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the employment related activities of the BFGC;

(b) Shall be liberally construed in favor of BFGC;

PAP.17.1.080 Severability and Non-Liability

If any section, provision or portion of this personnel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this personnel policy and procedural manual shall not be affected thereby. Pursuant to Article XIV, Sec. A., the Big Fish Golf Corp. is an instrumentality of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians of Wisconsin, and consistent with Article IV, is entitled to all of the privileges and immunities of the Tribe, except as provided in Article XIV.

Subchapter PAP.17.2 Definitions

PAP.17.2.010 General Definitions

(a) "Contracted Employee" means an employee who has entered into a written contract, which has been properly authorized and signed by a signatory of the BFGC Board of Directors and the employee which defines the employment relationship. The contract will be for a specified period, and will outline benefits, pay and other conditions of employment. The terms and conditions of employment for Contracted employees may differ from the terms in this personnel policy and procedural manual, and this manual may be incorporated by reference in the Contracted Employee's written contract.

(b) "Employee" means an employee of the BFGC including: Exempt Employee, Non-exempt Employee, Full-time Employee, Seasonal Employee, or Temporary Employee.

(c) "Independent contractor" means an individual who is not an employee of the BFGC, but rather has entered into a contract with the BFGC, which defines the scope of services. Independent contractors are not employees, do not receive benefits, are not subject to this personnel policy and procedural manual and are governed by a written or verbal contract.

(d) "Management" means the General Manager, Director of Golf, Office Manager and any employee who is assigned permanent or temporary supervisory or decision-making authority.

(e) "Non-Exempt Employee" means an employee who the Human Resources designee, categorizes as being non-exempt from accruing compensatory time.

(f) "Part-time Employee" means an employee regularly scheduled to work less than thirty-two (32) hours per week. Part-time employees are not eligible for employee benefits or leave.

(g) "Positive Test Result" means a Blood Alcohol Concentration determined to be under the influence as established in Section PAP.17.2.010(j) andSection PAP.17.8.050(c).

(h) "Seasonal Employee" means an employee hired for an established period usually during peak workloads or seasonal demands. Seasonal workers may not be eligible for all employee benefits.

(i) "Temporary Employee" means an employee hired for a period of ninety (90) days or less. Temporary employees may work a full-time or part-time schedule and are not eligible for employee benefits and paid leave.

(j) "Under the Influence of Alcohol, Illegal Drugs or Controlled Substances" means the following: a Blood Alcohol Concentration that indicates a positive test result as established in Section PAP.17.8.050(c); or are results that confirm the presence of illegal substance; or are results that confirm the presence of a controlled substances that an employee does not have a valid prescription for or the levels exceed the prescribed dosage.

(k) "Valid Prescription" means a prescription that is current and issued for a medical purpose in the usual course of professional practice by a practitioner or a covering practitioner who has conducted at least 1 in-person medical evaluation of the patient.

Subchapter PAP.17.3 Governance

PAP.17.3.010 General

The BFGC is owned solely by the Tribe for the benefit of the Tribe and its recognized citizens. The Tribal Governing Board is the Member's representative, and all rights of the Member shall be exercised by the Tribal Governing Board, in accordance with the Federal Charter of Incorporation issued by the United States of America to the Tribe for Big Fish Golf Corporation and applicable tribal law. The Tribal Governing Board in their capacity possess the inherent sovereign authority to delegate oversight and management responsibilities to program directors for the planning and daily operations of Tribal programs and entities. Pursuant to Article XI, Sec. A., the business affairs of the Big Fish Golf Corporation shall be managed exclusively by its Board of Directors. The Tribal Court interprets and enforces, in accordance with and subject to applicable law, as well as these policies and procedures established by the BFGC Board of Directors.

PAP.17.3.020 Sovereignty

The Tribe is a sovereign nation, with inherent reserved rights recognized through federal treaties; as such the tribe exists within the geographical boundaries of the United States. Pursuant to Article XIV, Sec. A., the BFGC is an instrumentality of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians of Wisconsin, and consistent with Article IV, is entitled to all the privileges and immunities of the Tribe, except as provided in Article XIV. Immunity from private lawsuits is one aspect of inherent tribal sovereignty. Immunity from suit means that no private lawsuit can be maintained against the BFGC unless the BFGC Board of Directors consents to the action. Nothing in this manual, constitutes a waiver of the BFGC's inherent sovereign immunity.

PAP.17.3.030 Employment Laws

It is the general policy of the BFGC to extend to its employees, where possible, the rights and benefits provided by employers regulated by the laws of the United States. However, the BFGC looks to federal employment laws as guidelines only, and nothing in this personnel policy and procedural manual shall be construed as the BFGC's consent to application of such laws. Another aspect of BFGC's inherent sovereignty is that Wisconsin Statutes are not applicable to the operations of the BFGC without the express written permission of the Big Fish Golf Corp. The Tribe reserves the right to create and modify its employment laws and policies without regard to such laws or interpretations thereof.

Subchapter PAP.17.4 Hiring Process

PAP.17.4.010 Equal Employment Opportunity

The BFGC is committed to equal employment opportunity and advancement toward all applicants and employees regardless of race, color, creed, national origin, gender, sexual orientation, marital status, veteran status, religion, status with regard to public assistance, disability, age or any other status protected by law.

PAP.17.4.020 Indian Preference

The BFGC grants Indian preference in employment, and will apply preference in the following order when there are two or more candidates that meet the job qualifications:

(a) Members of the Lac Courte Oreilles Tribe,

(b) Members of other Federally Recognized Tribes with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(d) Non-members with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(e) All Others.

PAP.17.4.030 Hiring Preferences

The BFGC will utilize the following preference ranking when considering an applicant for employment. It is the responsibility of the applicant to provide the necessary documents listed below for the purpose of obtaining preferences:

(a) Indian preference as described in Section PAP.17.4.020 of this manual (Applicant must provide a signed official document from a federally recognized Tribe acknowledging enrollment);

(b) Veteran preference (Applicant must provide a Veterans Administration form DD214);

(c) Former employees of the BFGC who left in "good standing" and whose separation was not as a result of disciplinary action or an agreement in lieu of disciplinary action which would have otherwise resulted in termination.

PAP.17.4.040 Employment of Minors

The BFGC Corporation will utilize, solely as a guideline, federal laws pertaining to the employment of minors.

PAP.17.4.050 Posting

The Human Resources designee will advertise all job postings locally at various locations and other places as appropriate including electronic posting.

PAP.17.4.060 Job Application

(a) Application Form. Applicants for employment are required to submit an application form.

PAP.17.4.070 Screening and Selection Process

As an employer, the BFGC seeks to employ individuals who possess the qualifications, skills, abilities and background to meet the employment needs of the BFGC. It is also the intent of the BFGC to treat all applicants with respect and fairness along with ensuring the provisions of Section PAP.17.4.010 of this manual, are adhered to. Pursuant to the Privacy Act of 1974, 5 U.S.C. § 552a, all applications shall be treated as privileged information and shall be made available only to those directly involved in the hiring process.

(a) Applicant Screening.

(1) Upon receipt, all applications will be date stamped and kept in the hiring file. All applications received, within the required time lines, will be reviewed by the Human Resources designee for completeness and minimum qualifications.

(2) Applicants that are deemed to meet the minimum qualifications will be notified of an offer to be interviewed.

(3) The decision to not offer an interview will not be subject to any grievance, complaint or appeal provisions.

(4) In the event management determines that there are no qualified or insufficient applicants the position may be reposted.

(b) Applicant Interview.

(1) All eligible applicants will be interviewed by a committee which may dependent on the position be comprised of the following:

(A) Human Resources Designee, and/or

(B) Management, and/or

(1) The committee will interview each eligible applicant and shall make the selection based upon all relevant factors, including but not limited to:

(A) Preferences defined in Section PAP.17.4.030 of this manual,

(B) Education/Training,

(D) Experience relevant to position,

(E) Interview.

(2) The committee may utilize a ranking system that factors all of the areas established in Section PAP.17.4.070(c)(1) above, that will ensure a fair and equitable process for determining the best qualified candidate, and if applicable an alternate, to fill the position being interviewed. Such system may utilize points or other forms of ranking that is deemed relevant for the position in consideration. The Human Resources designee shall forward the committee's recommendation to management for review and approval.

(3) The Human Resources designee shall notify the successful and unsuccessful applicants in writing within five (5) working days. If the selected individual does not accept the position or an employee does not successfully complete the probationary period, the Human Resources designee shall offer the position to the alternate selection, if applicable. If there was no alternate selected, then the Human Resources designee may repost the position as approved by management.

(5) If an employee does not complete the probationary period, the Human Resources designee shall offer the position to the alternate selection. If there was no alternate selected, then the Human Resources designee may repost the position as approved by management.

(6) The decision to not hire an interviewee will not be subject to any grievance, complaint or appeal provisions.

PAP.17.4.080 Orientation

(a) All new employees will be provided an orientation and will be provided this personnel policy and procedural manual and all required forms for employment. The Human Resources designee will also answer any questions which may arise throughout the course of employment.

PAP.17.4.090 Position Description

The Human Resources designee, will provide every employee with a copy of his or her current and or amended position description. The position description is intended to provide a general overview of the duties of the position. From time to time, however, employees will perform duties and handle duties and responsibilities that are not a part of the original position description. Position descriptions contain a general description of a position and do not create any employment rights or entitlements.

PAP.17.4.100 Employment At-Will

Subchapter PAP.17.5 Employment

PAP.17.5.010 Work Site Accommodations

The BFGC is exempted from the federal and state offered definition of an employer as provided by the American's with Disabilities Act, 42 USC § 12111 (5) (B). However, as a matter of its own internal policies the BFGC discourages discrimination against persons with disabilities and when possible seeks to accommodate persons with disabilities on the job. Whenever possible, we will make reasonable accommodations for individuals with disabilities. Employees who would like to request a reasonable accommodation should contact the General Manager.

PAP.17.5.020 Personnel Files

(a) Management will create and maintain a personnel file for each employee beginning at the time of employment. These files are the sole property of the BFGC and are deemed confidential. An employee or his or her representative if designated in writing may inspect his or her personnel file.

(b) It is important that personnel files accurately reflect each employee's personal information. Employees are expected to inform the BFGC of any change in name, address, phone number, home and/or address, marital status, number of dependents or emergency contact information.

PAP.17.5.030 Attendance/ Hours of Work

(a) Supervisors will provide employees with their work schedule. Should an employee have any questions regarding his/ her work schedule, the employee should contact their supervisor.

(b) All employees must punch in using the BFGC time clock. No employee shall knowingly punch or allow another employee to punch his or her timecard. Violation of this timecard protocol may lead to disciplinary action up to and including termination.

(d) Employees who will be late to or absent from work should notify their supervisor in advance, or as soon as practicable in the event of an emergency.

(e) Absenteeism without excuse will not be tolerated. Chronic absenteeism will result in disciplinary action up to and including termination.

(f) Employees who need to leave early, for illness or otherwise, should inform a supervisor before departure. Unauthorized departures may result in disciplinary action up to and including termination.

PAP.17.5.040 Tardiness

Employees are expected to arrive on time and ready for work. An employee who arrives five minutes after their scheduled arrival time is considered tardy. We recognize that situations arise which hinder punctuality; regardless, excessive tardiness is prohibited, and may be subject to discipline.

PAP.17.5.050 Break Periods

When working conditions permit, and pending a supervisor's approval, employees are entitled to one paid 15-minute break for every four hours worked. Meal periods are unpaid and are for 30 minutes and must be approved by a supervisor.

PAP.17.5.060 Inclement Weather

Work will be based upon weather conditions. All workers will be notified prior to start time by management.

PAP.17.5.070 Paychecks

(a) The pay period for the BFGC is Sunday through Saturday. Paychecks are distributed every two (2) weeks by direct deposit to a banking institution of the employee's choice or by a paycheck. If the pay date lands on a holiday, paychecks will be distributed on the closest business day after the holiday.

(b) The paycheck will reflect work performed for the previous pay period. Paychecks include salary or wages earned less any mandatory or elected deductions.

(d) Advances on paycheck are not permitted.

PAP.17.5.080 Resignations

We recognize that personal situations may arise which require Employee to resign from their position of employment. Should this occur, we request that the employee provide management two (2) weeks of notice in writing.

Subchapter PAP.17.6 Wages

PAP.17.6.010 Wage Classifications

The BFGC Corporation establishes wage and salary classifications for each position based on many factors, including, but not limited to position category, education, experience, knowledge, ability and level of responsibility.

PAP.17.6.020 Temporary Increases

PAP.17.6.030 Employer Payroll Deductions

Various payroll deductions are made each payday to comply with applicable laws, including but not limited to federal and state income tax withholding and social security. At the end of each calendar year, the BFGC will provide each employee with a Wage and Tax Statement (W-2) form. This statement summarizes employee income and deductions for the year.

PAP.17.6.040 Bank Deposits or Payroll Deductions

In addition, the BFGC may make deductions from Employees' paychecks in accordance with orders issued by a court of competent jurisdiction. Employees should contact the Accounting Department with any questions.

PAP.17.6.050 Workers' Compensation

The BFGC carries insurance to cover the cost of work-incurred injury or illness. Benefits help pay for employees' medical treatment and a portion of any income lost while recovering. If an employee is injured or becomes ill as a result of his/her job, it is the employee's responsibility to immediately notify a supervisor of their injury in order to receive benefits. Report every illness or injury to a supervisor, regardless of how minor it appears. Management will advise the employee of the procedure for submitting a workers' compensation claim. If necessary, injured employees will be referred to a medical care facility. Failure to report a work-related illness or injury promptly could result in a denial of benefits. An employee's report should contain as many details as possible, including the date, time, description of the illness or injury , and the names of any witnesses.

Subchapter PAP.17.7 Benefits

PAP.17.7.010 Employee Merchandise Privileges

Employees may purchase golf merchandise in the Golf Shop at a 30% discount. Employees may not use this privilege to purchase for non-employees. Merchandise must be paid for at the time of purchase. Already discounted merchandise in the Golf Shop will not be eligible for the 30% employee discount unless noted by the General Manager.

PAP.17.7.020 Employee Golf Privileges

Employees are offered golf privileges at no cost during off peak hours.

(a) Tee times must be set and approved by golf operations staff.

(b) Employees must check in with the Golf Shop prior to playing.

(d) Employees must be playing with their guest.

(e) Situational exceptions can be granted during peak hours if the tee times go unused by customers.

(f) Employee tee times could be canceled in the event that tee time is not available to customers.

As an employee with these golfing privileges you are representing BFGC while you are on the property. If bringing guests, you will be responsible for their adherence to our polices and their conduct.

Subchapter PAP.17.8 Expectations and Conduct

PAP.17.8.010 General Statement of Expectations and Conduct

All Employees must conduct themselves in a manner, which is kind, courteous, ethical and respectful to all members of the public, including fellow employees. In all instances, employees must exercise good judgment and conduct themselves with the highest degree of professionalism. This ensures the work environment is safe, comfortable and productive. General cooperation between workers and supervisors is expected.

PAP.17.8.020 Political Activity

Employees shall not directly or indirectly use their authority, influence or political aspirations to compel individuals to participate or not participate in Tribal political activity and/or election processes. Campaign buttons, posters, or apparel related to tribal political activity is prohibited at the workplace, and distributing literature, emailing, and circulating petitions related thereto during work time or in work areas is strictly prohibited. In addition, employees shall not use the BFGC property and services to influence individuals to participate or not participate in the Tribal election process.

PAP.17.8.030 Non-Harassment Policy/Non-Discrimination Policy

(a) BFGC prohibits discrimination or harassment based on race, color, religion, creed, sex, national origin, age, disability, marital status, veteran status or any other status protected by applicable law. Each employee has the right to work in a professional atmosphere that promotes equal employment opportunity and is free from discriminatory practices, including, without limitation harassment. Consistent with its workplace policy of equal employment opportunity, BFGC prohibits and will not tolerate harassment on the basis of race, color, religion, creed, sex, national origin, age, disability, marital status, veteran status or any other status protected by applicable law. Violations of this policy will not be tolerated.

(b) Any employee who feels that he or she has been harassed or discriminated against or has witnessed or become aware of discrimination or harassment in violation of these policies, should bring the matter to the immediate attention of his or her supervisor or the General Manager. We will promptly investigate all allegations of discrimination and harassment and take action as appropriate based on the outcome of the investigation. An investigation and its results will be treated as confidential to the extent feasible and we will take appropriate action based on the outcome of the investigation. No employee will be retaliated against for making a complaint in good faith regarding a violation of these policies. If an employee feels he/she has been retaliated against, the employee should file a complaint using the procedures set forth above.

PAP.17.8.040 Drug Free/Alcohol Free Environment

Employees are prohibited from unlawfully consuming, distributing, possessing, selling, or using controlled substances while on duty. In addition, employees may not be under the influence of any controlled substance such as drugs or alcohol, while at work, on BFGC premises or engaged in company business. Prescription drugs or over-the counter medications, taken as prescribed, are the exception to the policy.

Anyone violating this policy may be subject to disciplinary action, up to and including termination.

PAP.17.8.050 Drug and Alcohol Testing Procedures

Drug tests require laboratory testing as provided by the Mandatory guidelines for Federal Workplace Drug Testing Programs pursuant to 94 FR 28101, May 15, 2015 as amended, as minimum standards for the following classes of drug and correlative cutoff concentrations: Cocaine; Opiates including opium and codeine derivatives such as Oxycodone, Oxymorphone, Hydrocodone, Hydromorphone; Amphetamines and Methamphetamines including Methylenedioxyamphetamine (MDA) and Methylenedioxyethylamphetamine (MDEA); Phencyclidine (PCP). Nothing precludes the Human Resource Director, or designee, from testing for substances which are not included on this list, should the General Manager, or designee, determine it is in the best interests of the Corporation to include substances which are not listed above to ensure a drug free workplace. Employees are encouraged to contact the Human Resources designee, with any questions regarding drug and alcohol testing. Failure or refusal to participate in an employer-directed drug test is considered insubordination and the employee will be terminated for insubordination.

(a) General Drug and Alcohol Testing Procedures. In cases where an employee is required to undergo testing for the presence of alcohol or drugs (pre-employment, probable cause, and post-accident) the following procedures shall apply:

(1) LCO-CHC using a licensed laboratory of the LCO-CHC choice that conducts substance abuse testing that is deemed appropriate by the BFGC Board of Directors for business purposes; i.e., screening and confirmatory testing, will take a sufficient sample to assure that confirmation testing can occur in the event of an initial positive test result. The initial cost for this testing will be incurred by the BFGC.

(3) In the event of a positive test result, a confirmation test will be performed by a laboratory specified in Section PAP.17.8.050(a)(2) above, using the original sample (not a new sample). The confirmation test will be based on a different analytical method of higher analytical certainty.

(5) The results of any drug or alcohol tests shall be kept confidential, except information shall by Management as deemed necessary. All policies regarding employee personnel records shall be strictly adhered to and followed in accordance with the provisions of this Manual.

(6) A portable breath test (PBT) conducted by a Class 1 PBT Certified person of the LCO-CHC choice that is deemed appropriate by BFGC Board of Directors for business purposes shall be utilized for alcohol testing.

(b) Pre-Employment Testing.

(2) Applicants who test positive for alcohol, illegal drugs, and/or prescribed medication for which they do not have a valid prescription, shall be denied employment.

(3) An applicant who initially declines a drug test will be denied employment and not eligible for employment for 90 days.

(1) Upon a finding by an employee's supervisor that there is probable cause that the employee is either under the influence of alcohol (under the influence shall mean a blood alcohol concentration of 0.02 grams of alcohol per 100 milliliters of a person's blood or while the person has 0.02 grams of alcohol per 210 liters of a person's breath) or drug abuse that is impairing the employee's ability to carry out job-related activities, the employee shall be required to be tested for the presence of drugs or alcohol pursuant to Section PAP.17.8.050(c)(3), below. A finding of probable cause and directive requiring the employee to submit to testing for drugs or alcohol must be in writing signed by the employee's supervisor. The probable cause finding must be supported by evidence of specific, personal observations concerning job performance, appearance, behavior, speech, or bodily odors of the employee. If hearsay information is received, such information must be corroborated by personal observations, or observations and evaluation by management, or designee.

(2) Once an employee's supervisor has determined that probable cause pursuant to Section PAP.17.8.050(c)(1), above exists, the employee's supervisor shall immediately contact the General Manager or designee.

(3) Upon receiving contact from an employee's supervisor, the General Manager or designee shall have the employee drug tested and if alcohol related have the employee submit to a portable breath test (PBT) conducted by a Class 1 PBT Certified person. If the employee refuses to take a test (including but not limited to a drug test, drug urine test, or PBT test) after being required to do so, the employee is thereby insubordinate and considered to be in violation of the Drug Testing Policy and shall be terminated.

(4) Upon receipt of a positive test result, the employee shall be immediately relieved of their duty station and will be subject to disciplinary action, and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.17.8.050(a) above. In all cases, an employee may face legal consequences for his/her actions.

(d) Post-Accident Testing Procedures.

It is the BFGC policy that an alcohol and drug test will be given to any team member involved in a work-related accident or injury event requiring professional medical treatment (EMT, paramedics, and other professional medical providers) for her/himself, another team member or guest. A work-related injury is an accident while on the clock and performing a work-related duty whether on property or off property so long as the act of which was being done at the time of the incident was for the purpose of work.

(1) The team member must report to the General Manager, or designee within eight hours (regardless of time of day or day of week) of the reported accident or injury unless they are still under the care of a professional medical provider.

(2) The General Manager, or designee shall have the employee drug tested and if alcohol related have the employee submit to a portable breath test (PBT) conducted by a Class 1 PBT Certified person. If the employee refuses to take a test (including but not limited to a drug test, drug urine test, or PBT test) after being required to do so, the employee is thereby insubordinate and considered to be in violation of the Drug Testing Policy and shall be terminated. A team member who receives a negative test result will immediately report back to their department. A team member who receives a positive test result must submit to a second test.

(A) Five (5) minutes following the Preliminary Test, the team member will receive a second Breathalyzer test. A team member who receives a negative test result will immediately report back to their department. A team member who tests positive on the Second Breathalyzer Test will be in violation of the company Drug-Free Workplace policy.

(B) A team member whose alcohol test has a positive Blood Alcohol Concentration (BAC) reading of .01 to .029 will be sent home for the day. If a team member is 0.03 or higher, and/or the drug test is positive for a substance they admit not having permission to take, is considered in violation of the employer's Drug-Free Workplace policy. A team member will be offered a ride home if they are sent home for a positive Preliminary Breathalyzer Test (PBT).

(3) Upon receiving a presumptive positive result of the first drug test, the General Manager, or designee will seal the sample to be sent to the lab for confirmation. Every effort will be made to keep this information confidential.

PAP.17.8.060 Inspection and Search

(a) The BFGC has the authority to inspect or search the entire work-place, including, but not limited to any office or desk when there are reasonable grounds for suspecting that the search will turn-up evidence that an employee violated any provision of this manual or otherwise engaged in work-related misconduct.

(b) The BFGC has the authority to inspect or search, when the inspection or search is necessary for non-investigatory work-related purpose, including locating and retrieving any information from a location within the work place.

(c) The BFGC has the authority to inspect or search any employee's personal possessions located within the work place when there are reasonable grounds for suspecting that the search will turn-up evidence that the employee violated any provision of this manual or otherwise engaged in work-related misconduct.

PAP.17.8.070 Confidentiality

(a) In the course of performing duties for the BFGC, employees may obtain or become aware of confidential information, such as personnel, financial and legal information of the BFGC its operations and employees, including but not limited to information encompassed in any reports, mailing lists, proposals, marketing plans, financial projections, vendor or subcontractor quotes, financial data and any and all concepts or ideas, materials or information related to the business, products, or services of the BFGC or its customers and vendors ("Confidential Information").

(c) Employees also must not use or release, directly or indirectly, any proprietary information or trade secrets of the BFGC without prior authorization from their supervisor. Trade secrets include any formula, pattern or devise of compilation of information which is used in the BFGC's business or operations.

PAP.17.8.080 Dress and Appearance

An employee's personal appearance and hygiene is a reflection on BFGC's character. Employees must dress and groom themselves in accordance with appropriate social and business standards. In addition, employees must maintain good personal hygiene. Management retains the right to request any employee to change his or her mode of dress or grooming if deemed provocative or otherwise inappropriate.

PAP.17.8.090 Smoking

(a) BFGC is dedicated to providing a healthy, comfortable and productive work environment for all employees and guests. In response to the growing concern about second-hand smoke, all BFGC facilities are smoke-free environments. Employees should never smoke while on duty. No employees should ever smoke in the presence of a guest. Do not smoke in or near a building or public area. Please use the provided containers for disposal.

(b) Nothing in this policy shall be deemed to limit or interfere with the use of tobacco at traditional ceremonies and cultural functions.

PAP.17.8.100 Internet and Telephones

(a) All electronic and telephonic communication systems and all communications and information transmitted by, received from, or stored in these systems are the property of the BFGC and as such are to be used solely for job-related purposes. The use of any software and business equipment, including, but not limited to, e-mail, internet access, facsimile machines, computers, telephones (land lines and cellular phones) and copy machines for private purposes is prohibited.

(b) No employee may use a pass code or voice-mail access code that has not been issued to that employee or that is unknown to the BFGC. Moreover, improper use of the e-mail system (e.g., distributing offensive jokes or remarks) will not be tolerated.

(c) Employees shall not use the BFGC Corporation's internet, voice mail and e-mail Resources, phones and other systems in a prohibited manner, including:

(1) To transmit, view, retrieve, or store any communications of a discriminatory or harassing nature or materials that are considered obscene or pornographic;

(2) To access pornographic internet sites, display or print any associated materials, pictures and cartoons;

(4) For non-business, personal or private use, including but not limited to game playing and personal communication not associated with business;

(5) To disclose any confidential or proprietary information except where such disclosure is authorized or permitted in this personnel policy and procedural manual.

(d) Employees shall not use the BFGC's internet, voice mail and e-mail Resources and other systems and equipment, including but not limited to computer hardware, software, copier, fax machine and postage machine in a manner that is contrary to the provisions of any purchase or lease contract, such as unlawful copying of computer software.

(e) Notwithstanding the BFGC's right to retrieve and read any voice or electronic mail messages, such messages should be treated as confidential by other employees and accessed only by the intended recipient. Employees are not authorized to retrieve or read any voice or e-mail messages that are not sent to them. Any exception to this policy must receive prior written approval by Management.

(f) BFGC may monitor, record and listen to all internet, e-mail and voice mail usage, to assure compliance with its policies, for cost analysis and for legitimate business purposes. Thus, the BFGC may listen to, access and disclose any information in the electronic communication and telephone systems, even such information or communication protected by an employee's personal password, at any time, with or without notice to the employee. Employees have no expectation of privacy in connection with the use of these systems, or the transmission, receipt or storage of information in such systems.

PAP.17.8.110 BFGC Property

BFGC property, such as equipment, vehicles, telephones, computers and software, is not for private use. These devices are to be used strictly for company business and are not permitted off grounds unless authorized. BFGC property must be used in the manner for which it was intended. Upon termination, employees are required to surrender any company property they possess. Groundskeeper and maintenance staff will receive training on the operation and use of all equipment required for the performance of their duties and are required to operate the equipment in the appropriate and safe manner.

BFGC computers, internet and emails are a privileged resource, and must be used only to complete essential job-related functions. Files or programs stored on company computers may not be copied for personal use. Employees are reminded that they should have no expectation of privacy in their use of company computers.

PAP.17.8.120 Privacy

Employees and employers share a relationship based on trust and mutual respect. However, the company retains the right to access all BFGC property including vehicles, employee lockers, computers, desks, file cabinets, storage facilities, and files and folders, electronic or otherwise, at any time. Employees should not entertain any expectation of privacy when on company grounds or while using company property.

All documents, files, voice-mails and electronic information, including e-mails and other communications created, received or maintained on or through BFGC property are the property of the BFGC, not the employee. Therefore, employees should have no expectation of privacy over those files or documents.

PAP.17.8.130 Workplace Violence

(a) The BFGC is concerned about the increased violence in society, which has also filtered into many workplaces, and has taken steps to help prevent incidents of violence from occurring at its facilities. It is our policy to expressly prohibit any acts or threats of violence against any employee in or about our facilities or elsewhere at any time. We will not condone any acts or threats of violence against our employees, customers, or visitors on the BFGC's property at any time or while they are engaged in business with or on behalf of the BFGC, on or off our premises.

(b) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the BFGC is committed to the following:

(1) To provide a safe and healthful work environment;

(4) To establish viable security measures to ensure that the BFGC's facilities are safe and secure to the maximum extent possible and to properly handle access to the BFGC's facilities by the public, off-duty employees, and former employees.

(c) Employees, former employees, customers and visitors shall not bring or possess unauthorized firearms or other weapons onto the BFGC's premises. Any employee who displays a tendency to engage in violent, abusive, or threatening behavior or who otherwise engages in behavior that the BFGC, in its sole discretion, deems offensive or inappropriate, or who possesses a firearm or weapon in violation of this policy will be subject to disciplinary action, up to and including termination.

(d) Employees have a "duty to warn" the BFGC of any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve other employees, former employees, customers, or visitors and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The BFGC will not condone any form of retaliation against any employee for making a report under this policy.

PAP.17.8.140 Off-Duty Misconduct

Employees shall not engage in off-duty misconduct which is deemed detrimental to the BFGC. While it is impossible to predict every detrimental situation, the BFGC may determine that off-duty misconduct is averse to the BFGC, because it is serious in nature; is at odds with an employee's job duties; or is notorious and has the potential to discredit the BFGC. Any arrest shall be reported to the General Manager within 72 hours. Any arrest shall be subject to review by the General Manager and may include discipline including a suspension or termination depending on the determination and severity of the allegations leading to an arrest. An arrest and conviction related to misconduct shall be subject to discipline which may include termination.

PAP.17.8.150 Employee Social Media Policy

(a) While BFGC encourages its employees to enjoy and make good use of their off-duty time, certain activities on the part of employees may become a concern if they have the effect of impairing the work of any employee; harassing, demeaning, or creating a hostile work environment for any employee; disrupting the smooth and orderly flow of work; or harming the goodwill and reputation of the BFGC. In the area of social media (print, broadcast, digital, and online services such as Facebook, LinkedIn, Instagram, Plaxo, and Twitter, among others), employees may use such media in any way they choose as long as such use does not produce the adverse consequences noted above.

(b) An employee shall be subject to disciplinary action, up to and including termination of employment, depending upon the severity and repeat nature of the offense, if an employee publishes any personal information about another employee of the BFGC in any public medium (print, broadcast, digital, or online) that produces the adverse consequences noted in Section PAP.17.8.150(a), above.

(c) No employee may use the BFGC's equipment or facilities for furtherance of non-work-related social media related activities or relationships without the express advance permission of the General Manager.

(d) Employees who conduct themselves in such a way that their social media related actions toward and relationships with each other interfere with or damage work relationships, disrupt the flow of work, or cause unfavorable publicity in the community, should be concerned that their conduct may be inconsistent with one or more of the provisions of this policy. In such a situation, the employees involved should request guidance from management to discuss the possibility of a resolution that would avoid such problems. Depending upon the circumstances, failure to seek such guidance may be considered evidence of intent to conceal a violation of the policy and to hinder an investigation into the matter.

(e) Use of social media that involves any kind of criminal activity or harms the rights of others may result in criminal prosecution or civil liability to those harmed, or both.

(f) Social media access and use involving BFGC equipment and Resources are subject to the General Manager.

(g) The provisions in this policy are not intended to restrict communications regarding the terms and conditions of the workplace.

(h) How an employee uses social media is not a matter of concern as long as it is consistent with the aforementioned provisions on this policy. Employees may address any questions on this policy to the General Manager.

PAP.17.8.160 Children in the Workplace

The presence of children in the workplace is discouraged because it can be disruptive to other employees and customers. Management has the authority to prohibit an employee from having a child at the workplace. Please contact the General Manager to make exceptions to this rule.

Subchapter PAP.17.9 Safety

PAP.17.9.010 General Rules

(a) BFGC takes every reasonable precaution to ensure that employees have a safe working environment. Safety measures and rules are in place for the protection of all employees. Ultimately, it is the responsibility of each employee to help prevent accidents. Employees should use all safety and protective equipment provided to them and maintain work areas in a safe and orderly manner, free from hazardous conditions.

(b) Employees who observe an unsafe practice or condition should report to a supervisor or the General Manager immediately. Employees are prohibited from making threats against anyone in connection with his/her work or engaging in violent activities while in the employment of the company. Any questions regarding safety and safe practices should be directed to the General Manager.

PAP.17.9.020 Accidents or Injuries

If an accident or injury occurs, until medical help arrives employees should try to provide aid and comfort to the injured person. In the event of an accident or injury, regardless of how minor, employees must notify a supervisor immediately. Employees should try to keep the circumstances of any accident or injury fresh in their minds so that the incident can be reported accurately and to provide information that may prevent a repeated incident. The employee will be required to fill out an incident report form.

PAP.17.9.030 Hazardous Materials

The BFGC complies with all applicable "Right to Know" laws, which means employees will be made aware of any chemical hazards at the workplace. Employees will also receive special training concerning the labeling, handling and disposal of hazardous substances, and what steps should be taken in the event of a spill or release.

Subchapter PAP.17.10 Problem Solving

PAP.17.10.010 General Statement

When people work closely together it is only natural that problems, questions or conflict may sometimes arise. It is in the best interest of BFGC and all employees that these issues be resolved as quickly and fairly as possible; therefore, the BFGC supports an "open-communication policy" to encourage addressing these issues.

PAP.17.10.020 Open Communication Policy

BFGC takes employees concerns and problems seriously. We value each employee and strive to provide a positive work experience. Employees are encouraged to bring any workplace concerns or problems they might have or know about to their supervisor or some other member of management.

Subchapter PAP.17.11 Disciplinary Action

PAP.17.11.010 Grounds for Disciplinary Action

BFGC reserves the right to discipline and/or terminate any employee who violates company policies, practices or rules of conduct. Poor performance and misconduct are also grounds for discipline or termination.

(a) The following actions are unacceptable and considered grounds for disciplinary action. This list is not comprehensive; rather, it is meant merely as an example of the types of conduct that the company does not tolerate. These actions include, but are not limited to:

(1) Engaging in acts of discrimination or harassment in the workplace;

(2) Possessing, distributing or being under the influence of illicit controlled substances;

(3) Being under the influence of a controlled substance or alcohol at work, on BFGC premises, or while engaged in company business.

(4) Unauthorized use of BFGC property or equipment;

(5) Damage, destruction or theft of BFGC property, equipment or devices;

(6) Removing BFGC property without prior authorization or disseminating BFGC information without authorization;

(7) Falsification, misrepresentation, or omission of information; documents or records;

(8) Lying;

(9) Insubordination or refusal to comply with directives;

(10) Failing to adequately perform job responsibilities;

(11) Excessive or unexcused absenteeism or tardiness;

(12) Disclosing confidential or proprietary BFGC information without permission;

(13) Illegal or violent activity;

(14) Falsifying injury reports or reasons for leave;

(15) Possessing weapons on premises;

(16) Disregard for safety and security procedures;

(17) Disparaging or disrespecting supervisors and/or co-workers; and

(18) Any other action or conduct that is inconsistent with BFGC policies, procedures, standards or expectations.

PAP.17.11.020 Disciplinary Actions

Disciplinary action is any one of a number of options used to correct unacceptable behavior or actions. Discipline may take the form of oral warnings, written warnings, suspension, demotion, discharge or some other disciplinary action. The course of action will be determined by BFGC at its sole discretion as it deems appropriate.

PAP.17.11.030 Termination

(a) Employment with the BFGC is on an at-will basis and may be terminated at any time. BFGC retains the sole discretion to determine what behavior warrants disciplinary action and what type of disciplinary action will be imposed. The BFGC reserves the right to terminate employees at any time for any reason that does not violate applicable law with or without notice and with or without prior resort to other means of discipline.

(b) All rights and privileges of employment terminate upon the date of separation.

(1) Continue to work until the last scheduled day of employment;

(2) Return all files, documents, equipment, keys, access cards, or other property belonging to the BFGC that are in the employee's possession, custody or control. Failure to do so may result in the withholding of their final paycheck.

(3) To participate in an exit interview ass requested by the General Manager.

PAP.17.11.040 No Right to Appeal

Each employee that has been disciplined or terminated will not have the right to appeal to the Tribal Court. All decisions made by the General Manager are FINAL.

Subchapter PAP.17.12 Miscellaneous

PAP.17.12.010 Cash Handling Policy

The purpose of the cash handling policy is to ensure control and safekeeping of BFGC cash assets.

PAP.17.12.020 Cash Handling Procedures

(a) Each employee that requires cash to conduct business will receive their cash daily from the General Manager or Office Manager.

(b) The employee will count out their bank and have it verified by the General Manager or Office Manager.

(c) At the end of the employee's shift the employee will count their drawer and record this amount on a tally sheet. The tally sheet and the cash will then be placed in a security bag with the employee's name, date and department written on the bag.

(d) The employee will then give their bag to the General Manager or Office Manager to be placed in the large safe.

(e) In the event there is more than one employee working after 5 pm, the Employee in the Pro Shop will call the General Manager or Office Manager to come to the course when they are ready to close to secure the cash in the large safe.

(f) When the Pro Shop attendant is the last to leave the course, the Pro Shop attendant will place their cash bag in the small safe. Pro Shop employees will have their own code to enter the small safe room and the combination to the safe to either get their bank in the morning or secure their bank at night.

(g) The Office Manager will verify the cash each morning and reconcile it with the Tee Snap Cash and Summary report and make the appropriate deposit to the bank.

(1) When total receipts do not equal the total deposit, the variance should be extended in the over/short line. The variance should never be added to or deducted from the starting cash in an attempt to balance receipts to deposits.

(2) In the event of a cash deposit shortage, the employee's wages will be deducted to cover register shortages.

(h) Employee will be subject to discipline at the discretion of the General Manager or designee depending on the circumstances and regularity of any variances

PERSONNEL POLICIES AND PROCEDURES MANUAL

RECEIPT AND ACKNOWLEDGEMENT

I hereby acknowledge receipt of a copy of the Personnel Policies and Procedures of the BFGC. This personnel policy and procedural manual contains the policies and rules that apply to me. I agree to read the manual and follow it during my employment with the BFGC. I further understand the BFGB Board of Directors may amend this personnel policy and procedural manual at any time and that such changes will be communicated to me in writing.

Employee Signature Date

Employee Name (Printed)

Please keep a copy of this acknowledgement for your records.

Chapter PAP.18 Police Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Subchapter PAP.18.1 Personal Appearance

PAP.18.1.010 Policy

All personnel, as visible representatives of the community and the Lac Courte Oreilles Tribal Police Department, must conform to standards of appearance which are acceptable to the community. During duty hours personnel will be well groomed and maintain neat and clean uniforms. A supervisor may authorize departures from these standards when required by nature of the Officer's job assignment.

PAP.18.1.020 Standards

(a) Hair

(1) Hair shall be kept neat and clean to present a groomed appearance.

(2) Hair shall be worn in a manner that does not interfere with wearing of Department uniforms and headgear.

(3) Hair accessories shall be plain, conservative and conform to the color of the uniform and be primarily used to keep hair in place.

(4) If hair is dyed, hair will not be of unusual color or contrast with natural coloring.

(b) Facial Hair

(1) Any Officer choosing to wear sideburns, mustache, or a beard shall keep it neatly trimmed and well groomed.

(2) Facial hair shall not be worn in a manner that interferes with the wearing of necessary equipment or the Officer's uniform.

(1) Officers may wear small conservative earrings that fit tightly against the ear.

(2) No other visible body piercing may be worn while on duty.

(3) A wristwatch, a wrist bracelet and rings may be worn if they do not expose the employee to the risk of injury.

(4) Tongue rings that are visible or interfere with speech are not allowed.

(5) Ear spools or ear plugs will not be worn while on duty.

(d) Tattoos/other

(1) Visible tattoos will be in good taste.

(2) No other visible body modifications (branding, scarification, etc.) shall be allowed.

Subchapter PAP.18.2 Uniform and Equipment Allowance

The dress for Patrol Officers shall be properly and completely worn while on duty. It is never proper to wear the uniform mixed with civilian clothing, or to wear non-authorized articles (e.g., patches, badges, insignias and the like) on or as part of the uniform.

Long sleeve uniform shirts shall be worn between November 1^st and March 31^st. While wearing a long sleeve uniform shirt you will either wear a black tie and a tie clip or a black turtleneck shirt under the uniform, and either blue pants or blue tactical style pants, black socks, shoes and belt.

While wearing a short sleeve uniform shirt you will wear a black or white undershirt, either blue pants or blue tactical style pants, black socks, shoes and belt.

All members of the Lac Courte Oreilles Tribal Police Department shall dress and groom in a manner that reflects a clean and professional image. The Lac Courte Oreilles Tribal Police Department wishes to avoid interfering in personal choice of dress and grooming styles as much as reasonably practicable. To do this, however, requires that employees exercise good common sense in their dress, appearance, and grooming. This means that their clothing, cosmetics, hairstyles, colognes or perfumes, or jewelry should not attract unnecessary attention to themselves, or interfere with the safe and effective performance of their duties.

PAP.18.2.010 Patrol Officer Uniform

(a) Patch: The Lac Courte Oreilles Tribal Police Department patches, worn on both sleeves of all shirts and outer garments shall be positioned with the uppermost part of the patch just below the seam of the arm.

(b) Rank Insignia: Shall be worn on all outer garments. The Chief shall wear the words; "Chief" in gold, Sergeants shall wear gold collar chevrons.

(c) Badge/collar brass/name plate: The Tribal Police Department badge shall be the present shield with the state seal in the center. The badge shall be worn on the outer most shirt or garment. The badge shall be worn on the left, above the pocket, in the appropriate reinforced are(a) Collar brass will be worn on the collar of outermost uniform collar. Name plate shall be worn under the flag.

(d) Shirts: Blue with LCO patches on both shoulders, American flag over right pocket.

(e) Pants: Blue BDU style.

(f) Headgear: black stocking cap or a low-profile baseball cap.

(g) Footwear: Black shined oxford shoe or boot.

(h) 1 level IIIA bulletproof vest, must be worn by all Patrol Officers while on duty.

PAP.18.2.020 Uniform Members Dress Uniform

Department dress uniform shall be a long sleeve uniform shirt, blue pants, tie and tie clip, hat and acorns. Patrol Officers are required to own a full-dress uniform. Dress uniform, minus the hat and acorns, is to be worn to court. Load bearing vests are not to be worn to court or to any other function, which requires our department dress uniform.

PAP.18.2.030 Investigators

(a) Non-uniform members are required to wear either long sleeve or short sleeve shirts. Appropriately matched with a dress shirt shall be mandatory for all court appearances. Male members shall wear a tie and tie clip. The member may also wear a pull over sweater or cardigan with a dress shirt and tie or turtleneck shirt (winter wear).

(b) Shined dress shoes or boots.

(d) Jackets: Suitable jacket for professional and business-like appearance and shall not have any advertisement or lettering.

(e) Other attire may be worn for specific assignments upon approval of the Chief of Police or in the absence of the Chief of Police, his/her designee.

PAP.18.2.040 Non-Uniform Members Dress Uniform

Non-uniform members are required to wear either long sleeve or short sleeve shirts with a sport coat. A sport coat or suit, appropriately matched with a dress shirt, shall be mandatory for all court appearances. Male members shall wear a tie and tie clip. The member may also wear a pull over sweater or cardigan with a dress shirt and tie or turtleneck shirt under. Shoes shall be dress or boots. Trouser shall be pressed dress pants and jackets shall be professional, businesslike, with no prominent advertising.

PAP.18.2.050 Department Casual Uniform Attire

Department members may wear a shirt with the Lac Courte Oreilles Tribal Police Department's name embroidered on for training, department meetings, or as approved by the Lac Courte Oreilles Tribal Police Department Uniform allowance will be defined either in contract or department handbooks. All requests for purchases of reimbursable uniforms or equipment must be authorized by the Chief of Police or in the absence of the Chief of Police his/her designee.

PAP.18.2.060 Initial Issue

Initial clothing issue is a one-time allowance. After the initial issue, full time employees receive an annual clothing allowance, to be used to purchase, repair or clean their clothing.

(a) Full-time Patrol Officer:

(1) 3 pants, to include one pair of dress pants

(2) 2 long sleeve shirts

(3) 3 short sleeve shirts

(4) 1 tie

(5) 1 dress jacket

(6) 1 winter jacket

(7) 1 winter hat

(8) 1 campaign style hat with hat badge and acorns

(9) 2 large badges

(10) 1 pair work boots or shoes

(11) 2 name tags

(12) 2 sets of collar brass

(13) 1 level IHA bulletproof vest, optional for Officer to purchase load bearing vest

(14) 1 gun belt with holster, magazine pouch, cuff case and belt keepers (leather or web)

(15) Department issued or approved firearms, in accepted calibers

(16) Taser and holster

(17) 2 pair handcuffs

(18) 1 OC pepper spray, with case

(19) 1 straight baton with holder or collapsible with case

(20) 1 latex glove case

(21) 1 portable radio with charger

(22) 1 flashlight ring or holder

(23) Noiseless key holder

(24) 1 OSHA approved reflective traffic vest

(b) Investigator:

(1) 1 large badge

(2) 1 pair work boots or shoes

(3) Blazer or suit jacket

(4) 4 pants

(5) 1 sweater

(6) 3 long sleeve shirts

(7) 3 short sleeve shirts

(8) Winter/summer coat

(1) 2 black, red or gray shirts with LCO insignia

(d) SWAT:

(1) BDU ‒ Battle Dress Uniform

(2) 1 BDU hat

(3) 1 BDU shirt

(4) 1 BDU pants

(5) 1 BDU jacket/liner

(6) 1 BDU balaclava hood

(7) 1 BDU tactical gloves

(8) 1 tactical duty gun belt with holster with magazine pouch

(9) 1 tactical bulletproof vest

(10) 1 tactical helmet with accessories

(11) 1 tactical radio with holder and accessories

(12) 1 pair tactical goggles

(13) 1 pair tactical gas mask with carrier

(14) 1 pair tactical elbow pads

(15) 1 pair tactical knee pads

(16) 1 SWAT pager with charger

(e) Part-time

(1) Long sleeve shirt

(2) Short sleeve shirt

(3) 2 pairs of BDU style trousers

(4) Polo shirt (non-sworn only)

PAP.18.2.070 Separation from the Lac Courte Oreilles Tribal Police Department

Any member of the Lac Courte Oreilles Tribal Police Department who leaves the Department shall return all issued clothing and equipment to the Lac Courte Oreilles Tribal Police Department.

Subchapter PAP.18.3 Classification of Calls for Service

PAP.18.3.010 Purpose

Process information received concerning a situation, which necessitates the dispatch of an Officer or Officers, in a swift, diligent and reasonable time frame.

PAP.18.3.020 Procedures

(a) General

(1) Upon receipt of a request for service, the member of the Lac Courte Oreilles Tribal Police Department shall, if possible, determine sufficient facts from the source, to determine the priority of the complaint. Such facts are determined from the general questions: who, what, when, where, why, and how.

(2) When sufficient information concerning a request for service has been obtained, the officer receiving the request shall classify the complaint as a code #1, code #2, or code #3 as outlined below.

(3) Members of the Department receiving requests for service should bear in mind that in those cases where doubt arises, as to the character of service to be rendered, such doubt shall be resolved in a presumption that an emergency situation may arise.

(b) Classification

(1) Code #1: Requests for service that involve routine matters, which do not pose a threat to the safety of any person or persons. These calls will be considered those which immediate response is necessary.

(2) Code #2: Request for service which demands immediate attention and pose a threat to property. Always bear in mind doubt as to the exact character of service to be rendered, it may dictate an emergency situation as a code #3.

(3) Code #3: Request for service which involves a felony in progress, a misdemeanor in progress, or a violator that may be armed or is threatening serious bodily harm, or any other requests where there is immediate and significant hazard to the safety of a person or persons. Also included are traffic situations where injuries may have occurred, or immense danger exists whereby a more serious incident may occur if there is no immediate action.

Subchapter PAP.18.4 Field Training Program

PAP.18.4.010 Policy

It shall be the policy of the Lac Courte Oreilles Tribal Police Department to have in place a structured Field Training Program as a means to which to train and evaluate new candidates and employed members of the Lac Courte Oreilles Tribal Police Department to Police Officer duties.

PAP.18.4.020 General

It should be recognized that having an established Field Training Program in place as means of a training tool is an effective way of increasing the professionalism of the Lac Courte Oreilles Tribal Police Department. Having such a program in place is not only conclusive of raising the standard for employment but also as a way of reducing liability to the Lac Courte Oreilles Tribal Police Department. At no time shall a Field Training Program be used in lieu of the State of Wisconsin Law Enforcement Certification requirements.

The Field Training Program shall be composed of the following components:

(a) Trainee Qualifications: (Effective 12/21/2007)

(1) To qualify as a trainee for the Lac Courte Oreilles Tribal Police Department Field Training Program, the individual shall be certified as a law enforcement officer through the State of Wisconsin Law Enforcement Standards Board and have accrued sixty recognized college credits or upon hire obtain sixty college credits within five years from an accredited college.

(2) In addition, the applicant may be required to satisfactorily complete a written exam, oral interview, psychological profile, medical examination, vision examination, drug screening, background investigation, and fitness/agility screening.

(3) These requirements shall be met by any full-time or part-time employee entering into the Field Training Program.

(b) Trainee:

(1) Shall be any individual, full-time or part-time, who is employed by the Lac Courte Oreilles Tribal Police Department and authorized by the Chief of Police to work as a Police Officer. The trainee shall be responsible for following the training outline as set forth by the program and shall be sufficiently prepared to perform the duties as such.

(2) To qualify as a trainee for the Lac Courte Oreilles Tribal Police Department Field Training Program the individual shall be certified as a law enforcement officer through the State of Wisconsin Law Enforcement Standards Board and have accrued sixty recognized college credits or upon hire obtain sixty college credits within five years.

(1) Shall be any current, full-time employee of the Lac Courte Oreilles Tribal Police Department, who has received specialized training in the Field Training Program, and has been selected by the Chief of Police, or designee(s) to directly observe, train and educate the trainee in the duties and tasks of a Police Officer. It shall be the responsibility of the Field Training Officer to instruct the Trainee in the acceptable practice to performing patrol duties as well as the acceptable practices of the Lac Courte Oreilles Tribal Police Department.

(2) It is critical to the success of the program that the Field Training Officer conduct themselves to the highest form possible, as it is inherent to the training to teach by example. The Field Training Officer himself/herself must take particular care not to become bias in any way when evaluating a Trainee's performance. The Field Training Officer must not be swayed by a like or dislike of the Trainee, but on the job performance itself of that Trainee. It must be kept in mind to the Field Training Officer that the end results, positive or negative, are in the best interests of the Department.

(3) Selection of Field Training Officers need not be the most senior Officers within the Lac Courte Oreilles Tribal Police Department, but rather those who possess the ability to coach and a willingness to perform.

(d) Patrol Supervisors:

(1) For the purposes of the Field Training Program, when a Road Sergeant is selected as a Field Training Officer, that the recommendations and evaluations of all Field Training Officers are equal regardless of rank.

(e) Specialized Officers:

(1) For the context of the Field Training Program, Specialized Officers shall be referred to as any full-time Officer or Investigator who is certified or has considerable experience in a particular field for Law Enforcement but has not received training in the Field Training Program. Use of these "Specialized Officers" may be used for a trainee's supplemental training.

(f) Training Supervisor:

(1) Shall be designated by the Chief of Police or designee(s) to oversee and direct all training requirements for the Lac Courte Oreilles Tribal Police Department. The Training Supervisor shall establish a record of each employee's certifications and training record and maintain each in an orderly and professional manner. The training supervisor shall provide for the Trainee an assigned training schedule as well as assigning a Field Training Officer to each of the Trainee's scheduled shifts. The Training Supervisor must have a familiarity with the program and monitor trainee's progress throughout the course. The Training Supervisor shall provide random conferences with the Trainee and the Field Training Officer to evaluate both the Trainee and the Trainer. The Training Supervisor shall offer when needed: assistance in suggesting or setting up additional training sessions, offer feedback from other Officer's recommendations, periodically review written reports, etc. The Training Supervisor shall keep the Chief of Police or designee(s) informed on the Trainee's progress as well as how the Field Training Program itself is commencing.

PAP.18.4.030 Program Composition and Procedure:

The Field Training Program shall consist of three "Phases". The duration of the Program may be extended or lessened as the needs of the Lac Courte Oreilles Tribal Police Department demand. The Trainee shall be given a schedule that lists what Training Officer the Trainee is assigned, as well as what shifts the Trainee will be working. The Trainee's schedule shall be rotated so that all possible shifts are covered in the training block.

Prior to being allowed participation into the Field Training Program, the Trainee shall be duly authorized by the Chief of Police or designee(s). The Trainee must have also attended the Department's Firearms Qualification Range and must have successfully qualified with an issued Lac Courte Oreilles Tribal Police Departmental weapon or other authorized firearm. Any employee of the Lac Courte Oreilles Tribal Police Department, whom has not been previously authorized to perform Patrol Duties, shall participate and successfully complete the established Field Training Program prior to being authorized to perform such duties with the Department.

(a) Phase One ‒ Orientation:

Shall be the initial point of entry into the Program. The Field Training Officer shall maintain and complete a Field Training Outline Form and initial each task as it is completed. IN addition, the Field Training Officer shall complete a Daily Observation Report for each shift that the Trainee is assigned. Once completed, these forms shall be forwarded to the Training Supervisor and placed in the Trainee's training record.

(1) The Trainee shall be assigned a training schedule and a Field Training Officer for each day. A Trainee Control Registration Form shall be filed and maintained for the Trainee and kept with the Trainee Supervisor.

(2) During Phase One, the Trainee shall receive a training packet consisting of, but not limited to: the Lac Courte Oreilles Tribal Police Department Policy Manual, the Standardized Scoring Guidelines, Reservation Maps, County Road Names, 911 map book, Sawyer County Plat Book, County Ordinance Summary, Spillman Reporting Software handouts, and contact phone numbers.

(3) The Trainee shall maintain this packet in an orderly and professional manner for the duration of the training program. The Field Training Officer shall review and evaluate this packet at various times throughout the training to ensure that it is maintained as a useful tool for the course.

(4) The Trainee shall meet with various specialty staff such as (but not limited to) Narcotics Investigation, Administration, Evidence and Civilian Support Staff to be aware of the duties that each section provides to the Lac Courte Oreilles Tribal Police Department.

(5) The Trainee shall conduct each shift with the Field Training Officer as a "ride along".

(6) The Field Training Officer shall be the primary Officer of contact during this phase. The Trainee shall be the secondary Officer, observing the primary Officer's action and providing support when needed. This is to introduce the Trainee to the geographical nature of the Reservation or patrol zone and offer some limited exposure to tasks and duties of the Patrol Officer. This is done so as not to overwhelm the Trainee too early in the training phase.

(7) The Trainee shall assist the Field Training Officer in the completion of the required duties and such performance shall be evaluated and scored on the Daily Observation Report by the Field Training Officer.

(8) If there are any unsatisfactory marks on the Trainee's Daily Observation Report for any particular shift within Phase One, there shall be remedial training assigned. The Field Training Officer shall document any such remedial training completed on the Daily Observation Report or, if necessary, a Training Task Worksheet.

(9) If such unsatisfactory ratings persist, then other action may be warranted, including removal of the Trainee's involvement in the Program.

(10) Completion of Phase One will not occur until the Field Training Outline Form for the Trainee has been completed.

(11) The Trainee may also be assigned to work with a Specialized Officer at some point. In this instance, the Field Training Officer will meet with the Specialized Officer and provide a Training Task Worksheet Form for the Trainee. During this task, the Specialized Officer shall rate the Trainee's performance in the task as a Daily Observation Report Form. (See Specialized Officer Training).

(12) During the course of Phase One, the Trainee shall keep a written notebook, citing notes taken from procedures described or demonstrated by Field Training Officer; the Trainee shall turn this notebook into the Evaluating Field Training Officer at the program's completion. The notebook shall be kept in an orderly and professional manner.

(13) When a trainee is assigned to a complaint requiring a narrative report, the Field Training Officer shall be provided a copy of such narrative for their review. A copy of said report shall be attached to the Daily Observation Report (DOR) from the shift in which the incident occurred. It shall be the Trainee's responsibility to keep the Field Training Officer informed of any additional supplemental materials stemming from follow-up investigations.

(b) Phase Two ‒ Primary:

This phase shall be the primary block of hands on training in the field. The Field Training Officer shall complete a Daily Observation Report for each shift that the Trainee is assigned. Once completed, these forms shall be forwarded to the Training Supervisor and placed in the Trainee's training record.

(1) The Trainee shall be assigned a training schedule and a Field Training Officer for each day.

(2) During Phase Two: The Trainee shall become the primary Officer, responsible for operating the patrol car, managing the radio, making vehicle contacts, handling the calls for service, writing reports, etc. It will be at the Trainee's discretion on what areas to patrol, places to stop, and routes to travel.

(3) The Field Training Officer shall become the secondary unit, offering assistance and suggestions when appropriate.

(4) The Field Training Officer shall routinely quiz the Trainee about routes of travel, locations, procedures, etc. when not answering calls for service.

(5) The Field Training Officer and Training Supervisor may assign "mock" calls for service, giving the Trainee practice in a controlled environment on report writing, accident investigations and other situations that may not present themselves in the actual field. These "mock" trials shall also be evaluated and critiqued using a Training Task Worksheet.

(6) If at any time it becomes necessary, the Field Training Officer shall "Override" the Trainee and become the primary Officer. This can occur when a Trainee fails to retain control of a situation, fails to act when needed, or any other time that the Field Training Officer, based on experience, feels it necessary to retain control of the situation. It shall also be the Field Training Officer's discretion as when to release the position of primary Officer back to the Trainee. It is essential in this instance, that the Field Training Officer be as discreet as possible and not publicly berate or challenge the Trainee. Any remedial action taken shall be out of the public's view and handled professionally.

(7) If there are any unsatisfactory marks on the Trainee's Daily Observation Report for any particular shift with Phase Two, there shall be remedial training assigned. The Field Training Officer shall document any such remedial training completed on the Daily Observation Report or, if necessary, a Training Task Worksheet.

(8) If such unsatisfactory ratings persist, then other actions may be warranted, including removal of the Trainee's involvement in the Program.

(9) The Trainee may also be assigned to work with a Specialized Officer at some point. In this instance, the Field Training Officer will meet with the Specialized Officer and provide a Training Task Worksheet Form for the Trainee. During this task, the Specialized Officer shall rate the Trainee's performance in the task. (See Specialized Officer Training.)

(10) When a Trainee is assigned to a complaint requiring a narrative report, The Field Training Officer shall be provided a copy of such narrative for their review. A copy of said report shall be attached to the Daily Observation Report (DOR) from the shift in which the incident occurred. It shall be the Trainee's responsibility to keep the Field Training Officer informed of any additional supplemental materials stemming from follow-up investigations.

This phase shall be the final block of training in the Program. The evaluations shall be more critical for the Trainee as the scoring will be not only on performance, but also on how infrequently assistance is given by the Field Training Officer. The primary goal of this Phase is to prepare the Trainee to act without direct supervision. The Field Training Officer shall complete a Daily Observation Report for each shift that the Trainee is assigned. Once completed, these forms shall be forwarded to the Training Supervisor and placed in the Trainee's training record.

(1) The Trainee shall be assigned a training schedule and a Field Training Officer for each day.

(2) During Phase Three: The Trainee shall continue to act as primary Officer, responsible for operating the patrol car, managing the radio, making vehicle contacts, handling the calls for service, writing reports, etc. It will be at the Trainee's discretion on what areas to patrol, places to stop, and routes to travel.

(3) The Field Training Officer shall continue to act as the secondary unit, offering assistance and suggestions when appropriate.

(4) The Field Training Officer shall routinely quiz the Trainee about routes of travel, locations, procedures, etc. when not answering calls for service.

(5) The Field Training Officer will have a broader discretion when awarding points in that the Trainee will be judged on how much of the tasks can be completed without prompting or assistance from the Field Training Officer.

(6) When answering calls for service during this Phase, it is recommended that the Field Training Officer maintain observation in the background while the Trainee conducts his/her duties, providing input only when absolutely necessary.

(7) If there are any unsatisfactory marks on the Trainee's Daily Observation Report for any particular shift within Phase Three, there shall be remedial training assigned. The Field Training Officer shall document any such remedial training completed on the Daily Observation Report or, if necessary, a Training Task Worksheet.

(8) If such unsatisfactory ratings persist or if the nature of the unsatisfactory rating is so severe, then other actions may be warranted, including removal of the Trainee's involvement in the program.

(9) When a Trainee is assigned to a complaint requiring a narrative report, the Field Training Officer shall be provided a copy of such narrative for their review. A copy of said report shall be attached to the Daily Observation Report from the shift in which the incident occurred. It shall be the Trainee's responsibility to keep the Field Training Officer informed of any additional supplemental materials stemming from follow-up investigations.

(d) Program Completion:

Once the Trainee has completed Phase Three; The Field Training Officer shall complete a Final Trainee Recommendation Form. The Field Training Officer will list either a recommendation for the Trainee's release to solo patrol duty, a continuation of training within the program, other action that may be taken, such as release of the Trainee from the Program or patrol duty with conditions (i.e. dual patrol with another Officer). Once this form has been completed it shall be forwarded to the Training Supervisor who may support the Field Training Officer's recommendations or provide other recommendations of actions. This form shall be attached with copies of the Trainee's training record and remanded to the Chief of Police or designee for their approval.

(e) Extension of Field Training:

Should a Trainee be deemed unsuitable for solo patrol at the end of the designated program, an opportunity for additional training shall exist The duration of this extension shall be dependent on the evaluations of all Field Training Officers involved in the Trainee's program and the Training Supervisor on a case-by-case basis. The content of the Extension Phase shall be as listed in "Phase Three: Evaluation" but may or may not be limited to one (1) week in duration. At the conclusion of the Extension Phase, the assigned Training Officer shall complete a "Phase Completion Form and a Final Trainee Recommendation Form and forward such copies to the Training Supervisor.

(f) Waiver of Field Training:

A waiver of the Field Training Program may occur:

(1) If an employee of the Lac Courte Oreilles Tribal Police Department has been previously authorized to work as a Patrol Officer by the Chief of Police, or his/her designee, is terminated, leaves, or quits and for whatever reason is re-hired to a position within the Lac Courte Oreilles Tribal Police Department (and seeks to perform as a Patrol Officer).

(2) If the Chief of Police or his/her designee waives such an employee, then such waiver shall be in written form and kept on file with the Training Supervisor.

(g) Ride-Along:

The Trainee may, with authorization, conduct voluntary ride-along shifts with other Patrol Officers as a way to supplement their training in the Program. Ride-along shifts should be encouraged as a means to learn different techniques used within the Lac Courte Oreilles Tribal Police Department so as long as not to undermine the overall benefit of the Field Training Program itself. Such ride-along shifts will occur outside of the Trainee's Field Training schedule and be on a voluntary non-compensated status. The supervising Officer may be asked to complete a Non-FTO Daily Observation Form and forward it to the Field Training Officer.

PAP.18.4.040 Specialized Officer Training:

It is recognized that not all Officers perform the same. This is positive to the Trainee in the effect that he/she may utilize Officers' experiences in a given field as well as the different avenues to handle the same or similar situation. There can be a negative side effect to this however, in that there can be no conformity to assist the Trainee in learning quicker. Typically, since these Officers have not received training in the Field Training Program, they may not fully understand the scoring, policy, or principles that encompass it.

As such, when a Trainee is assigned with a Non-FTO Officer for exposure or assistance in a training task, the Field Training Officer shall put together a "Training Task Worksheet". This form would clearly state what goals the Field Training Officer would like covered (i.e. practice in vehicle stops, radar, accident investigation, etc.). The Non-FTO Officer would be asked to evaluate the Trainee's performance in the Training Task given as well as a performance (positive or negative) that was observed during the course of the shift. The evaluation would be given on a Non-FTO Daily Observation Form and handed back to the Field training Officer. It provides an opportunity for the Trainee to work with other Officers and staff.

PAP.18.4.050 Trainee Removal from the Program:

(a) A Trainee may be removed from the Program is he/she fails to successfully complete the program by attaining repeated unsatisfactory ratings, failure to respond to training, or violating the Lac Courte Oreilles Tribal Police Department Departmental Policy and Procedure. The purpose of the Field Training Program is to train new employees so that they may successfully function as a Patrol Officer on their own. Unfortunately, this level of competency is not always attained. It may be that the Trainee realized their own expectations of working Patrol were not met, as they progressed through the Field Training Program and that the goals they had set for themselves were unattainable. Some Trainees may have been able to perform many, but not all of the tasks associated with patrol duties. Still others may have been able to perform competently in the required tasks, but their attitude or behavior did not match with the standards set by the Lac Courte Oreilles Tribal Police Department. Regardless of the cause(s), the fact that in some instances, the Trainee does not meet the requirements set by the Program.

(b) A Trainee's removal from the Program may not only be obligatory, but also necessary. In the event that the Trainee is not progressing in the Program and that it has been determined that attaining a satisfactory level of competence is not possible, removal from the program may be the next logical step. There are times when the Field Training Officer may go to great lengths to assist the Trainee in completing the Program. Although this is laudable, it is not always the greater interest of the Lac Courte Oreilles Tribal Police Department. The Administration must be realistic to those employees that do not meet the exceptions of the Program. Retention of such employees not only presents a cause for liability but also for public image, money and safety factors.

(c) The decision to remove a Trainee from the Field Training Program shall be based on the performance of the Trainee, the evaluations of the Field Training Officer and the Training Supervisor, as well as a meeting with the Trainee himself/herself. In the event that a recommendation for removal is approved, the Trainee will be notified and directed to turn in all Lac Courte Oreilles Tribal Police Department issued equipment that has been assigned to the Trainee for the purposes of the Field Training Program. Any decision as well as the reasons for which such a decision may be based, shall be in writing and a copy placed in the Trainee's personnel file. If the Trainee's removal from the Program is based on a violation of Lac Courte Oreilles Tribal Police Department Policy, other consequences may be affected, including disciplinary action or termination of employment altogether.

(d) A Trainee that has been removed from the Field Training Program may again apply to complete the training pending the approval of the Chief of Police or his/her designee. Any such employee granted into the Field Training Program after removal will be required to complete the entire Training Program of all three Phases, regardless of which Phase the Trainee had previously completed successfully. A Trainee who wishes to reapply must wait one (1) year after their removal date. That year will give the Trainee an opportunity to improve in areas they were not initially successful.

PAP.18.4.060 Forms:

The Field Training Program shall consist of the following forms, all which shall be completely and accurately filled out and filed with the Training Supervisor to provide written documentation of the Trainee's progress.

(a) Trainee Control Register – shall provide documentation on when the Trainee entered the program, what department issued equipment the Trainee received, receipt of training packet, uniform issue, when Trainee has qualified with a Lac Courte Oreilles Tribal Police Department issued weapon, etc. The Trainee and issuing Officer shall initial and date each line item. The Trainee shall receive a copy of this form and the original shall be filed with the Training Supervisor and kept with the Trainee's record. This form is used prior to the initial start of the Training Program.

(b) Field Training Outline Form - shall be an outlined checklist of the various tasks and duties that the Patrol Officer is expected to complete or have exposure to. The Field Training Officer shall go through each line item with the trainee and provide instruction, whether hands on or demonstration, on how each task is completed or handled. Both the Field Training Officer and the Trainee shall initial each task when completed and date it. This form shall provide documentation to show when the Trainee received instruction on a particular task. Once completed, the Trainee and Field Training Officer shall receive a copy, with the original going to the Training Supervisor and kept with the Trainee's record. This form is used during the course of Phase One and is instrumental in the completion of this Phase.

(c) Daily Observation Report - shall be completed on each day that the Trainee is scheduled to work with a Field Training Officer. In the event that multiple Field Training Officers are used, then copies of all prior Trainee Daily Observation Reports shall be made available to each subsequent Field Training Officer. The front side of the form lists thirty-two (32) category titles, which encompass a wide variety of Patrol Officer functions. The Field Training Officer shall assign a score based on Trainee performance to each category at the end of the duty shift. If multiple instances of the same category are observed, then the performance with the lesser rating shall be used for the end of the day result. Scoring of the Daily Observation Report shall be based on a sliding numeral value of "1" to "5", with "1" (Unacceptable) being the lowest possible score and "5" (Superior) the highest successful score. The criteria set for‒the numeral values of "1", "3" and "5" are laid forth in the Standardized Scoring Guideline Handout. The scores of "2", and "4" are discretionary values which may be used by the Field Training Officer, based on the amount of input needed by the Field Training Officer or the receptiveness of the Trainee to the task that receives a rating of "3" (Acceptable). The purpose of scoring is to assist in tracking what areas the Trainee needs improvement in as well as what areas the Trainee is achieving a consistent score in, denoting capable performance.

(1) Scoring shall be placed on each category as a whole shift performance, rather than in each instance. For example: The Trainee responds to a building alarm three times in one shift. Performance in the first two is acceptable. Yet on the third call, the Trainee makes an Officer safety error which results in an unacceptable rating. At the end of the shift when scores for each category are compiled, the lesser of the three performance ratings is used.

(2) On the reverse side of the form has a narrative field to make specific comments on any of the 32 categories listed on the front. All categories that receive a rating of "2" (Minimally) or below must have a brief narrative as to why the performance was scored this way. In addition, if a category was scored a "1" (Unacceptable), some type of remedial training "R/T" shall be provided and such type of training shall be noted along with the time used to conduct the training. The type of remedial training used will be dependent on the situation, if the cause for the unacceptable score can be addressed through demonstration or discussion then the Field Training Officer need only briefly document what was provided to the Trainee and the approximate length of time used. The training time or "T/T" marking should appear on the front of the form next to the category in which the remedial training was used.

(3) In the event that a Trainee is given numerous sessions of remedial training in the same category or if the single cause for an unacceptable score was severe enough then the Field Training Officer should consider a more detailed type of remedial training. For such an event the Field Training Supervisor and the Field Training Officer should prepare detailed training tasks for the Trainee to complete. The task is developed based on the categories where the Trainee needs improvement in. The training task shall be issued to the Trainee and the Trainee's performance rated on a Training Task Worksheet Form. This form shall be used throughout the program.

(d) Non-FTO Daily Observation Report - This report is similar to the standard Daily Observation Report. This report form is used for those Officers that supervise the Trainee on either "Ride- Along", or Training Tasks. There are still fields for the Officer to provide evaluations, but rather than using the scoring method as above, there will be only two scores, acceptable or unacceptable based on the individual Officers training and experience. There will also be fields for the Officer to make comments on the Trainee's performance. Once the form is completed, it shall be remanded to the Field Training Officer, who will initial it and go over the content with the Trainee. It will then be attached to the Trainee's file.

(e) Standardized Scoring Guideline Handout - Shall list each category on the Daily Observation Report Form that will be evaluated throughout the program. This handout will be used to determine how the trainee's score is evaluated for the course of the Program. It shall be provided to all Field Training Officers and for the Trainee's. This form is used throughout the course of the training for reference.

(f) Training Task Worksheet - Shall be a handout containing some type of training objective, whether to provide needed exposure to a patrol Officer not encountered in normal patrol, or to provide remedial training for a severely unacceptable performance.

(g) Final Field Trainee Recommendation Form - Once the Trainee has completed all Phases; the Field Training Officer shall complete this form. It provides areas for total training times from all phases, a summary of the Trainee's overall performance and whether there is a recommendation for the Trainee to be released to solo patrol or continuation in the Program. Any such recommendations must be supported by details on the Trainee' direct performance.

(h) Trainee's Evaluation of the Training Program Form - This form is given to the Trainee to be completed at the end of his/her training course. Its purpose is meant to critique the performance of the Field Training Officer and the overall program materials. For the success of the Program, it is important to obtain feedback from the Trainee on what areas they found beneficial as well as what things could be improved. Once completed, this form should be returned to the Training Supervisor.

Subchapter PAP.18.5 Nasal Naloxone

PAP.18.5.010 Purpose

To establish guidelines and regulations governing the utilization of Nasal Naloxone. The objective of utilizing Nasal Naloxone is to treat and reduce fatal Opioid Overdoses.

PAP.18.5.020 Policy

Officers who administer Nasal Naloxone shall be properly trained in the use and administration of Nasal Naloxone.

PAP.18.5.030 Procedures:

(a) Nasal Naloxone Coordinator

The Equipment Manager is designated as the Nasal Naloxone Coordinator. The Nasal Naloxone Coordinator shall be responsible for the following:

(1) Ensuring Nasal Naloxone kits are current and not expired,

(2) Proper dissemination of Nasal Naloxone kits.

(3) Replacement of any Nasal Naloxone kits that are either damaged, unusable, expired or deployed.

(4) Ensuring all personnel that will be administering Nasal Naloxone kits have received appropriate training.

(5) Ensuring that any administration of Nasal Naloxone is documented by a Nasal Naloxone report.

(b) Location of Nasal Naloxone Kits

(1) Desk Sergeant/Booking area

(2) Two kits in each patrol car

(A) K-9 Unit, Detective Bureau, Community Policing Officers/School Resource Officers and as directed by the Chief of Police.

(3) Nasal Naloxone may be damaged by extreme temperatures, both high and low. Due to this fact, consideration should be given to storing Nasal Naloxone in the interior of a patrol car when these conditions exist When the Officer's shift is complete, the Officer shall remove the kit from the patrol car and store the kit inside the police department or their residence.

Officers shall maintain universal precautions.

(1) Officer(s) shall notify their communications dispatch that the subject is in an overdose state.

(2) Dispatcher then notifies the local EMS and Paramedic Unit.

(3) Identify and assess the subject for responsiveness, pulse and status of breathing.

(4) In no pulse, initiate CPR and AED per normal protocol, notifying incoming EMS.

(5) If pulse is present and the subject is unconscious, assess breathing status:

(A) If breathing is adequate (>8 per minute, no cyanosis) and no signs of trauma, place in the recovery position.

(B) If breathing Is decreasing or signs of low oxygen (cyanosis) and overdose is suspected (based on history, evidence on the scene, bystander reports, physical examination) then proceed with Nasal Naloxone kit administration.

(6) Retrieve Nasal Naloxone kit.

(7) Assemble Nasal Naloxone kit.

(8) Administer a maximum of 1 mg in each nostril for a total of 2 mg using the mucosal atomizer device.

(9) Initiate breathing support with pocket mask, bag-valve-mask and oxygen if available.

(10) In no response after 3-5 minutes and a second dose of nasal naloxone is available, repeat the administration.

(11) Continue to monitor subject's breathing and pulse. If breathing increases and there is no evidence of trauma, place subject in the recovery position.

(12) If at any time the subject's pulse is lost, initiate CPR and AED per normal protocol.

(13) Keep advising EMS of subject's status when able to do so.

(14) Provide EMS with a full report when they arrive on the scene.

(15) Release the care of the subject to EMS.

(16) If the subject is transported to a medical facility by ambulance, for all practical purposes the Officer should accompany ambulance personnel for their safety.

(17) Complete documentation and internal department procedures for restocking and notification.

(d) Maintenance/Replacement

(1) An inspection of the nasal naloxone kit, including checking the expiration date of the kit, shall be the responsibility of the Officer during each shift.

(2) Missing or damaged nasal naloxone kit(s) shall be reported directly to the person in charge of the shift who shall then notify the Nasal Naloxone Coordinator.

(3) When any condition necessitates a nasal naloxone kit be submitted for replacement, information shall be directed to the Nasal Naloxone Coordinator. If expired, the Nasal Naloxone Coordinator shall be notified as soon as possible.

(e) Documentation/Nasal Naloxone Report

(1) Upon administration of a nasal naloxone kit, the Officer shall complete a nasal naloxone administration report detailing the nature of the incident, the care the subject received and the fact that the nasal naloxone was administered.

(2) The report shall be forwarded to the Nasal Naloxone Coordinator.

(3) After approval from the Nasal Naloxone Coordinator the report shall be forwarded to the Sawyer County Prosecutor's Office Nasal Naloxone Coordinator. (These records must be completed for statistical value and tracking of the Nasal Naloxone administration by law enforcement personnel).

Subchapter PAP.18.6 Body Worn Cameras

PAP.18.6.010 Purpose

The purpose of this policy is to provide standards for the use and maintenance of the Body Worn Cameras. These cameras are provided to personnel to assist in the performance of their duties by providing audio and video records of contacts. This policy will address the storage, retention of evidence, and incidents captured on audio/video files.

PAP.18.6.020 Policy

It is the policy of the Lac Courte Oreilles Tribal Police Department that activities associated with calls for police service and officer-initiated activity be recorded using body worn cameras in a manner consistent with this policy. Furthermore, uniform procedures will be followed for the storage and safekeeping of audio/video recordings.

PAP.18.6.030 Discussion

The objective of this policy is to increase the efficiency of the department's mission, "Excellence in Service", increase officer safety, and safeguard the rights of our citizens and personnel in the use of this technology. Audio and video recordings captured by assigned personnel during law enforcement or investigative actions are evidence and a public record, and, therefore subject to rules of evidence and Wisconsin Public Records Law, Wis. Stat. § 19.31-19.39.

It is understood the recording captured from a BWC provides an objective record of the event however does not necessarily reflect the experience, state of mind of the individual assigned personnel, or events occurring outside the recording capabilities of the camera angle. The video recording has limitations and may depict events differently than the events recalled by the involved personnel. Specifically, it is understood the BWC may capture information that may not have been heard and/or observed by the involved employee and may not capture information observed by the employee.

PAP.18.6.040 Definitions

(a) BWC (Body Worn Camera): Equipment worn by department personnel that captures audio/video and includes a camera, microphone, and electronic storage device.

(b) Web-Based Storage Facility: A virtual warehouse that stores digitally encrypted data in a highly secure environment accessible to personnel based on assigned levels of security clearance.

(c) Evidence Transfer Manager (ETM): A router with built in docking stations physically installed within the police department. The ETM simultaneously recharges the device while uploading all digitally encrypted data to the web-based storage facility (evidence.com).

(d) Video/Audio Recordings: Includes both VHS videotapes and digital files.

PAP.18.6.050 Procedure

(a) Training

(1) All officers using a BWC device shall receive training in the use of the equipment.

(2) The training will include techniques that will help to ensure an incident is accurately documented and properly stored.

(b) Responsibilities of Personnel assigned BWC

(1) The BWC equipment, as well as any recorded audio/video obtained through its use, are the property of the Lac Courte Oreilles Tribal Police Department and shall be for authorized use only.

(2) At the beginning of each shift, the officer should remove the BWC from the ETM and affix the BWC to their uniform and conduct a function check to ensure the following functions of the BWC are working properly:

(A) Video recording

(B) Audio recording

(D) Pre-shift function checks shall be classified as "non-evidentiary video."

(3) Officers assigned a BWC are responsible for keeping the unit in good working order. This includes ensuring the charging of the battery and downloading of the video files.

(4) Throughout the officer's shift or at the end of the officer's shift, recorded video files shall be given a classification code and corresponding incident number. Incident number format shall consist of eight numbers starting with the last two digits of the calendar year, followed by a dash, and then the six digits from the incident numbering system (e.g., XX-000000).

(5) Activity not requiring an assigned incident number can be classified as "citizen contact, non-evidentiary video, or training demo" without an incident number being assigned.

(6) At the end of the officer's shift the officer shall return the BWC to the evidence.com dock (ETM) to upload the digitally encrypted data to the web-based storage facility and recharge the battery. All videos must be uploaded prior to the end of a work cycle and officers are responsible to ensure the BWC is functioning with a GREEN battery status.

(7) If a BWC is damaged or not properly functioning, it shall be taken out of service and a Sergeant should be notified.

(1) All enforcement and investigative contacts, as well as all contacts specifically related to a call for service by uniformed sworn personnel issued a BWC will be recorded.

(2) Circumstances when a BWC may not be used include but are not limited to:

(A) Officer safety prohibits due to sudden assault or unexpected altercation.

(B) Speaking with an informant or community member providing information who request deactivation of BWC prior to providing information.

(D) While in the hospital waiting for a person in custody to be medically cleared unless their behavior dictates the need for continued activation of the BWC.

(E) While debriefing with other officers regarding specific details or tactics of a call for service.

(F) When developing a tactical plan or creating a safety plan for a victim.

(G) Personnel are prohibited from utilizing the issued BWC for personal use.

(H) Any other incident where the officer can articulate the necessity and totality of the circumstances that led to not activating the BWC.

(d) Retention of BWC Evidence

(1) Audio/video files containing recordings of the following types of incidents shall be stored as evidence and shall be done in accordance with the Lac Courte Oreilles Tribal Police Department policy entitled, Evidence - Packaging Instructions:

(A) All felony and misdemeanor arrests (including criminal traffic)

(B) Vehicle pursuits (see sections H.l-2)

(D) Use of force by an officer that meets the reporting standard as outlined in the Use of Force Policy

(E) Use of force resulting in great bodily harm or death to a person shall be entered as evidence, but not viewed by the involved officer(s) (see section F.l-2)

(F) Any other incident where the officer has reason to believe the file(s) should be retained longer than the 121-day (BWC) / 6 month (BWC) retention period as required by Lac Courte Oreilles Tribal Police Department policy on records retention

(2) BWC files from the above types of incidents shall be downloaded and processed as evidence. This includes primary and back up officers with audio/video from the incident.

(3) Requests for audio/video files will be handled as other requests for release of information. Refer to the policy entitled, Release of Information.

(e) BWC Files of Significant Use of Force Incidents

(1) As soon as practicable after the incident is under control, a Lac Courte Oreilles Tribal Police Department supervisor shall direct the collection and entry into evidence of all known BWC files from the following types of incidents:

(A) All incidents involving the use of deadly force against a person.

(B) All incidents involving the use of force by a Lac Courte Oreilles Tribal Police Department Officer that resulted in great bodily harm or death to a person.

(C) All BWC files from all Lac Courte Oreilles Tribal Police Department Officers involved in motor vehicle pursuits that result in great bodily harm or death to a person.

(D) Any other incident as directed by the Chief of Police or his/her designee.

(2) No officer or witness directly involved in these incidents shall view any BWC files from the incident prior to being interviewed and completing an offense report or a written statement about the incident, without an authorization from the Chief of Police or his/her designee. Exceptions to this restriction may include, for example, when viewing the files is immediately necessary to identify a potential suspect(s) and/or witness. If this is necessary, a person not directly involved in the incident should view the files.

(f) Non-Evidence BWC Files

(1) BWC files that are not processed as evidence will be retained for no less than 6 months for a BWC video, to allow availability of these audio/video files for a reasonable time period as required under open records policy.

(2) After not less than 6 months for a BWC video, these BWC files may be disposed of according to the Lac Courte Oreilles Tribal Police Department records retention schedule.

(g) Reports

(1) Prior to completing an incident report, officers are encouraged to review a recorded incident for accuracy of details with the exceptions outlined in section F.l-2.

(2) Although incidents may be recorded, incident reports must be complete and thorough. A report lacking detail and simply referring to the BWC recording is not acceptable.

(h) Body Worn Cameras Recordings Storage and Integrity

(1) The Chief of Police and the BWC Coordinator shall periodically review the BWC program and recommend modifications as necessary.

Chapter PAP.22 LCO Day Care - Genawendaawasong Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians

Preamble

This personnel policy and procedural manual is enacted pursuant to the inherent sovereign authority of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians and pursuant to Article §V(h) of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians Constitution and Amended Bylaws, "to engage in any business that will further the social or economic well-being of members of the Band or undertake any programs or projects designed for the economic advancement of the people." This personnel policy and procedural manual, outlines the general policies, rules, and practices in effect for the LCO Day Care – Genawendaawasong and is intended to be a helpful reference during your employment with the LCO Day Care. The information contained herein is general information, and its contents do not create or constitute a contract between the LCO Day Care – Genawendaawasong and any employee. The Tribal Governing Board acting in its sovereign capacity may in its sole discretion amend this personnel policy and procedural manual from time to time. All approved updates to the policy shall be published on the Lac Courte Oreilles Law Library at law.lco-nsn.gov.

Subchapter PAP.22.1 General Provisions

PAP.22.1.010 Title

This personnel policies and procedures manual shall be known as the LCO Day Care-Genawendaawasang Personnel Policies and Procedures of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

PAP.22.1.020 Authority

PAP.22.1.030 Purpose

We know that a child's play is a child's work. We will put culture and a healthy lifestyle at the forefront of our program. We will ensure to provide "hands-on" learning experiences while supporting each child's social and emotional needs. Our program strives to create positive interactions with the children, families, and our community. Our program goals are:

1. Parents are a child's first teacher, and we will work to provide a family-orientated setting and welcoming environment.

2. Community focused involvement activities

3. Our program is healthy, safety, and nutritional based and will meet all healthy and safety guidelines.

4. We encourage all families and our community to be involved in all special activities throughout the year.

PAP.22.1.040 Mission Statement

Our mission is to strive for excellence while providing a safe, healthy, and culturally sensitive program. We understand that a strong connection with a child's language and culture helps to create a confident and competent future leader. Our programming will reflect the language and cultural aspects of the Lac Courte Oreilles Band of Lake Superior Ojibwe as we will continue to improve our understanding of the needs and rights of families in our community.

PAP.22.1.050 Effective Date

Except as otherwise provided in specific sections, the provisions of this personnel policy and procedural manual shall be effective on the date adopted by the Tribal Governing Board.

PAP.22.1.060 Interpretation

The provisions of this personnel policy and procedural manual:

(a) Shall be interpreted and applied as minimum requirements applicable to the employment related activities of the LCO Day Care;

(b) Shall be liberally construed in favor of the LCO Day Care;

PAP.22.1.070 Severability and Non-Liability

If any section, provision or portion of this personnel policy and procedural manual is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of this personnel policy and procedural manual shall not be affected thereby. The Tribe, on behalf of the LCO Day Care further asserts immunity on its part and that of its agencies, employees, and/or agents from any action or damages that may occur as a result of reliance upon and conformance with this personnel policy and procedural manual.

PAP.22.1.080 Repeal of Inconsistent Governmental Manual(s)

All previous personnel policy and procedural manual(s) of the LCO Day Care inconsistent with this manual are hereby repealed and the provisions of this manual shall govern the employment related activities of the LCO Day Care.

Subchapter PAP.22.2 Definitions

PAP.22.2.010 General Definitions

(b) "Contracted Employee" means an employee who has entered into a written contract, which has been properly authorized and signed by a signatory of the LCO Day Care and the employee which defines the employment relationship. The contract shall be for a specified period, and shall outline benefits, pay and other conditions of employment. The terms and conditions of employment for Contracted employees may differ from the terms in this personnel policy and procedural manual, and this manual may be incorporated by reference in the Contracted Employee's written contract.

(c) "Employee" means an employee of the LCO Day Care including: Exempt Employee, Non-exempt Employee, Full-time Employee, Part-time Employee, Seasonal Employee, or Temporary Employee.

(e) "Full-time Employee" means an employee regularly scheduled to work thirty-two to forty (32-40) hours per week who has completed the ninety (90) day probationary period. Full-time employees are eligible for employee benefits subject to the limitations of the applicable benefit plans. Additional contracts do not impact eligibility for available benefits.

(f) "Fringe Benefit" means a potential extra benefit supplementing an employee's salary, such as health insurance, Worker's compensation, 401(k) benefits, short term and long term disability.

(g) "Immediate family member" means Husband, Wife, Son, Daughter, Mother, Father, Brother, Sister, Grandparent, Grandchild, Niece, Nephew, Aunt and Uncle (including great-grandparents, in-laws, and step-relationship etc.). Immediate family member may also include a partner who has been in a relationship for a period of time or in a relationship under Ojibwe tradition and practices.

(h) "Independent contractor" means an individual who is not an employee of the LCO Day Care, but rather has entered into a contract with the LCO Day Care, which defines the scope of services. Independent contractors are not employees, do not receive benefits, are not subject to this personnel policy and procedural manual and are governed by a written or verbal contract.

(i) "Management" means the LCO Day Care Director, Department Director(s), and any employee who is assigned permanent or temporary supervisory or decision-making authority.

(j) "Non-Exempt Employee" means an employee who the LCO Day Care Director, Human Resource Director, or designee, categorizes as being non-exempt from accruing compensatory time.

(k) "Part-time Employee" means an employee regularly scheduled to work less than thirty-two (32) hours per week. Part-time employees are not eligible for employee benefits except as otherwise required by law or otherwise provided for in an employment contract with the LCO Day Care.

(l) "Positive Test Result" means a non-negative test result for drug or alcohol from the LCOCHC or other Tribally approved laboratory which determines whether an employee is under the influence as established in Section PAP.22.7.050.

(m) "Probationary Employee" means an employee who has not successfully completed their required probationary period.

(n) "LCO Day Care" means the LCO Day Care-Genawendaawasong.

(o) "LCO Day Care Director" means the individuals employed by the LCO Day Care to manage the affairs of the LCO Day Care – as provided for in this manual, the Employment Ordinance, the Education Ordinance, and other relevant documents.

(p) "Seasonal Employee" means an employee hired for an established period usually during peak workloads or seasonal demands. Seasonal workers may not be eligible for all employee benefits.

(q) "Serious Health Condition" means a condition which requires inpatient care at a hospital, hospice, or residential medical care facility, or a condition which requires continuing care by a licensed health care provider. This policy covers illnesses of a serious and long-term nature, resulting in recurring or lengthy absences. Generally, a chronic or long-term health condition which, if left untreated, would result in a period of incapacity of more than three (3) days would be considered a serious health condition.

(r) "Temporary Employee" means an employee hired for a period of ninety (90) days or less. Temporary employees may work a full-time or part-time schedule and are not eligible for employee benefits and paid leave.

(s) "Tribe" means the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(t) "Tribal Court" means the Court of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(u) "Tribal Governing Board" means the Tribal Governing Board of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians.

(v) "Under the Influence of Alcohol, Illegal Drugs or Controlled Substances" means the non-negative test result that confirms the presence of illegal substance; or are results that confirm the presence of a controlled substances that an employee does not have a valid prescription for, or the levels exceed the prescribed dosage pursuant to Section PAP.22.7.050.

(w) "Valid Prescription" means a prescription that is current and issued for a medical purpose in the usual course of professional practice by a practitioner or a covering practitioner who has conducted at least one (1) in-person medical evaluation of the patient.

Subchapter PAP.22.3 Governance

PAP.22.3.010 General

The Tribal Governing Board is the governing body of the Tribe. Pursuant to the Amended Constitution and Bylaws of the Tribe, ultimate legal and fiscal responsibility of the LCO Day Care is with the Tribal Governing Board, as the elected representatives of the members of the Tribe. The Tribal Governing Board possesses the inherent sovereign authority to delegate oversight and management responsibilities to program directors for the planning and daily operations of Tribal programs and entities.

PAP.22.3.020 Sovereignty

The LCO Day Care is a public body established as a subordinate entity of the Tribe. The Tribe is a sovereign nation, with inherent reserved rights recognized through federal treaties, as such the tribe exists within the geographical boundaries of the United States. Immunity from suit means that no private lawsuit can be maintained against the Tribe or any of its subordinate entities such as the LCO Day Care unless the Tribe consents to the action. Nothing in this manual constitutes a waiver of the Tribe's inherent sovereign immunity.

PAP.22.3.030 Employment Laws

It is the general policy of the LCO Day Care to extend to its employees, where possible, the rights and benefits provided by employers regulated by the laws of the United States. However, the Tribe looks to federal employment laws as guidelines only, and nothing in this personnel policy and procedural manual shall be construed as the Tribe's consent to application of such laws. Another aspect of the Tribe's inherent sovereignty is that Wisconsin Statutes are not applicable on LCO Day Care operations without the express written permission of the Tribal Governing Board. The Tribe reserves the right to create and modify its employment laws and policies without regard to such laws or interpretations thereof.

Subchapter PAP.22.4 Hiring Process

PAP.22.4.010 Equal Employment Opportunity

The LCO Day Care reaffirms its commitment to equal employment opportunity and advancement toward all applicants and employees regardless of race, color, creed, national origin, gender, sexual orientation, marital status, veteran status, religion, status with regard to public assistance, membership or activity in a local commission, disability, age, or any other status protected by law.

PAP.22.4.020 Indian Preference

Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000 et. seq. prohibits various forms of discrimination, including racial, color, gender-based, religion or national origin within the employment context. However, similar to the United States government, Indian tribes are expressly exempted from the definition of a covered "employer." Consistent with this exemption, the LCO Day Care grants Indian preference in employment, and shall apply preference in the following order when there are two or more candidates that meet the job qualifications:

(a) Members of the Lac Courte Oreilles Tribe,

(b) Members of other Federally Recognized Tribes with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(d) Non-members with a dependent or dependents who are members of the Lac Courte Oreilles Band of Lake Superior Chippewa Indians,

(e) All Others.

PAP.22.4.030 Hiring Preferences

The LCO Day Care shall utilize the following preference ranking when considering an applicant for employment. It is the responsibility of the applicant to provide the necessary documents listed below for the purpose of obtaining preferences:

(a) Indian preference as described above;

(b) Veteran preference (Applicant must provide a Veterans Administration form DD214);

(c) Former employees of the LCO Day Care whom left in "good standing" and whose separation was not as a result of disciplinary action or an agreement in lieu of disciplinary action which would have otherwise resulted in termination.

PAP.22.4.040 Background Check

(a) All applicants who are being considered for employment with the LCO Day Care shall provide the information as described in Section PAP.22.4.080 of this manual. Incomplete applications and applications which fail to provide consent for background checks shall not be considered. For all applicants considering employment with the LCO Day Care, the LCO Day Care reserves the right to conduct annual background checks on all employees.

(b) Procedure.

(1) Prospected employees, employees, and volunteers shall submit a DCF Background check and DCF Field Print check prior to working at the licensed facility.

(2) Employees shall submit mandatory criminal background check information to the Administration staff upon application, following any conviction occurring after commencement of employment, or upon request.

(3) The LCO Day Care Director has the responsibility for ensuring that a background investigation is completed before participation in any LCO Day Care program activities and contractual arrangements.

(4) Failure to pass a background check to the satisfaction of the LCO Day Care or to disclose a criminal charge or conviction may result in revocation of a conditional offer of hire or disciplinary action, up to and including termination.

(c) While employed with the LCO Day Care, every employee shall notify his or her supervisor within twenty-four (24) hours of:

(1) The person has been convicted of any crime.

(2) The person has been or is being investigated by any governmental agency for any other act, offense, or omission, including any investigation related to the abuse or neglect, or threat of abuse or neglect, to a child or other client, or an investigation related to misappropriation of a client's property.

(3) The person has a governmental finding substantiated against them of abuse or neglect of a client or of misappropriation of a client's property.

(4) In the case of a position for which the person shall be credentialed by the department of regulation and licensing, the person has been denied a license, or department of regulation and licensing, the person has been denied a license, or the person's license has been restricted or otherwise limited.

(5) The LCO Day Care shall pay for the initial Registry fee for the first year of hire, it will be the employee's responsibility to maintain their Registry account and all fees after the first year.

(d) The LCO Day Care reserves the right to:

(1) issue disciplinary action depending upon the severity of the charge or conviction.

(2) conduct a criminal background check or personnel background check of current LCO Day Care employees with reasonable suspicion of policy violations as detailed in this manual.

(e) Any person(s) donating time on LCO Day Care grounds, including but not limited to elders, volunteers, chaperones, or persons who will be in the LCO Day Care or attending LCO Day Care events, shall complete a Lac Courte Oreilles LCO Day Care Job Application Form and Background Check Release and Authorization form. No persons may participate in LCO Day Care business prior to the completion and determination of a background check. This is done to ensure the safety of our children pursuant to the Child Protection and Family Violence Prevention Act, P.L. 101-630. Job Application and Background Check Release and Authorization Forms are available in the Administration office. Forms can be mailed, faxed, or e-mailed upon request.

PAP.22.4.050 Funding and Approval

Prior to posting or filing a position, the LCO Day Care Director shall ensure there are sufficient funds to pay for salary, fringe benefits and all other costs of the position. If the job is for a shorter period and only limited funds are available or if the position is contingent upon receiving funding, this constraint shall be explicitly specified at the time of advertisement.

PAP.22.4.060 Orientation

(a) All staff members are given an orientation session during their first week at the center. During this session, all the center policies and licensing rules are discussed, and each staff member is informed of the confidentiality policy and signs a written agreement. A list of mandatory trainings shall be distributed to both new and returning staff.

(b) New staff members are informed of their job responsibilities as they relate to their job responsibilities as they relate to their job descriptions.

(c) Staff is introduced to the daily schedule of activities in the room where they will work and the procedures for attendance and child location.

(d) New staff also receive training in Child Guidance techniques and best practice teaching strategies. Returning staff receive annual training in all policies and procedures. All staff receive a copy of the Genawendaawasong Policies and Procedures and the DCF 251 Binder.

(e) Genawendaawasong shall provide orientation within five (5) days of hire. Abusive Head Trauma Training, SIDS Training, CPR, healthy exam, and TB Test shall be completed prior to an employee's start date. Each employee shall also complete the most current DCF Orientation form.

(f) Please note that an employee can be hired before their start date allowing time for qualifying training.

PAP.22.4.070 Probationary Period

(a) All employee's initial contract at the LCO Day Care shall involve a probationary period of ninety (90) calendar days, during which employees will get to know fellow employees, management and the duties involved for the position. The probationary period may be waived by the LCO Day Care Director for hourly or substitute employment.

(b) The probationary period is a trial time for both the employee and the LCO Day Care. During this probationary period, the LCO Day Care shall evaluate the employee's suitability for employment. At any time during the probationary period, an employee may resign without any detriment to the employee's record. In addition, if during this period an employee's work habits, attitude, attendance, or performance do not measure up to the LCO Day Care's expectations, the LCO Day Care may extend the probationary period for up to ninety (90) calendar days or terminate the employee's employment without the ability of the employee to appeal the decision.

(c) Probationary employees are eligible for holiday leave and funeral leave. Probationary employees accrue Personal Time Off. Such employees cannot use Personal Time Off until the completion of their probationary period, unless authorized by their immediate supervisor with concurrence from the LCO Day Care Director and only for medical reasons or extreme circumstances. If an employee does not complete the probationary period for any reason, the employee forfeits all accrued but unused benefits.

(d) At the end of the probationary period, the LCO Day Care shall prepare a written performance evaluation and discuss overall job performance with the employee. During the course of the discussion, the employee is encouraged to present his or her comments and ideas as well.

(e) The probationary period ends only when a written evaluation of the employee is filed by the supervisor indicating the employee has passed probation, with no exceptions.

PAP.22.4.080 Job Application

(a) Application Form. Applicants for employment are required to submit an application form, which may include without limitation if applicable:

(1) Signature for permission to perform a background and reference check.

(2) Driving record and insurance information (if applicable).

(3) Pre-employment drug testing consent and authorization form.

(4) Letter of interest

(5) Resume

(6) Proof of any stated qualifications

(7) Three (3) letters of recommendation

(b) Background Investigations. The LCO Day Care Director, Human Resource Director, or designee, shall ensure that background investigations are performed prior to applicant screening pursuant to Section PAP.22.4.040 of this manual.

Subchapter PAP.22.5 Employment

PAP.22.5.010 Work Site Accommodations

The LCO Day Care is exempted from the federal and state offered definition of an employer as provided by the Americans with Disabilities Act, 42 USC § 12111 (5) (B). However, as a matter of its own internal policies the Tribe discourages discrimination against persons with disabilities and when possible seeks to accommodate persons with disabilities on the job. When possible, the LCO Day Care shall make reasonable efforts to provide reasonable accommodations to all employees and applicants, including work site accessibility. Employees shall notify their department head or director or the Human Resource Director, or designee, in writing of any requested reasonable accommodation within a reasonable period of time after the employee learns of the need for such accommodation.

PAP.22.5.020 Personnel Files

(a) The LCO Day Care shall create and maintain a personnel file for each employee beginning at the time of employment. These files are the sole property of the LCO Day Care and are deemed confidential. All employee files, past and present, shall be secured in a locked location at all times. Access shall be limited to the Human Resource Director or designee, a department head or director, the LCO Day Care Director, an employee, or an employee's representative if designated in writing which states the purpose of the disclosure. An employee may inspect his or her personnel file in the Human Resources department by contacting the LCO Day Care Director, Human Resource Director, or designee, to make an appointment. Files shall be reviewed in a secure location under the supervision of the LCO Day Care Director, Human Resource Director, or designee. A personnel file shall include the following information:

(1) A completed staff record on a form prescribed by the department. DCF-F-CFS0053.

(2) Documentation from the department, either paper or electronic, that indicates that a childcare background check was completed in compliance with the timelines and requirements.

(3) Documentation of the actual hours a provider, substitute, employee, or volunteer worked fi the hours were used to meet the applicable staff-to-child ratio.

(4) A physical examination report completed within twelve (12) months before or thirty (30) days after the person began working with children.

(5) A certificate from the registry, indicating the person is qualified for the position within six (6) months of beginning to work with children in care.

(6) Documentation of compliance with continuing education requirements.

(7) Original employment application,

(8) Letters of reference,

(9) Notice of hire,

(10) New hire forms,

(11) Entrance interview checklist,

(12) Current position description,

(13) Professional development plan,

(14) Records of all disciplinary actions,

(15) Performance evaluations,

(16) Starting pay scale and subsequent increases,

(17) Change of employment status,

(18) Applicable skills test results,

(19) Transcripts, training, and career development records,

(20) Copy of certification or licenses as required,

(21) Copy of separation notice or letter of resignation,

(22) Exit interview and inventory checklist,

(23) Other documents relied upon by the LCO Day Care to make decisions concerning the employee's employment.

(b) The Accounting Department shall maintain time, attendance, and payroll and leave records for each employee in a separate file.

PAP.22.5.030 Medical Documentation

(a) Medical files are the property of the LCO Day Care. The LCO Day Care shall maintain employee documentation as it relates to Doctor's excuse for longer than the allowable three-day absence, return to work statements or any limitations on type of work to be performed by the employee. This information shall be maintained alongside an employee's personnel file but shall be maintained in a separate file. Access shall be limited to the LCO Day Care Director, Human Resource Director or designee.

(b) A staff health report and physical examination report no more than twelve (12) months prior to no more than thirty (30) days after an employee is hired is needed for the staff file. The report needs to be signed and dated by a licensed physician, physician assistant, or other EPSDT provider and shall indicate that the person is free from illness detrimental to children, including tuberculosis, and that the person is physically able to work with young children.

PAP.22.5.040 Hours of Work

(a) All LCO Day Care employees work an eight-hour to ten-hour workday.

(b) All LCO Day Care employees are entitled to two (2) fifteen(15) minutes breaks daily.

(d) All LCO Day Care teaching staff shall eat with their classrooms in a family-style meal setting.

(e) All other facility staff are welcome to eat meals served from the Kitchen after all children have eaten.

(f) Staff shall not leave the premises on breaks and lunches without supervisor's approval.

PAP.22.5.050 Pay Period

The LCO Day Care's pay period is from Sunday through Saturday and all hours worked during this period.

PAP.22.5.060 Reclassification

The LCO Day Care may reclassify an employee (exempt, non-exempt, full-time, part-time, short-term substitute, long-term substitute or temporary, etc.) if the duties or need for the employee has changed. The reclassification of an employee may result in a change in the terms and conditions of employment including without limitation eligibility for benefits, and leave. Any supervisor who seeks to reclassify an employee shall obtain proper authorization in collaboration with the LCO Day Care Director.

PAP.22.5.070 Evaluations

(a) Performance evaluations shall be completed by the licensee at the end of the probationary period and yearly thereafter. The results of the evaluations shall be discussed privately between the employee and the licensee. A written copy of the evaluation and future goals shall be signed by both the licensee and the employee and placed in the staff file. The evaluation shall include the following areas:

(1) Fulfillment of job obligations

(2) Compliance with state standards

(3) Compliance with objectives and goals of the program

(4) Physical, mental and emotional competence to care for children

(5) Dependability and reliability

(6) Initiative in implementing the program

(7) Willingness to share the work load

(8) Relationships with staff, parents and children

(9) Attendance, promptness

(10) Appropriateness of appearance

PAP.22.5.080 Attendance

(a) Employees shall be on time every day.

(b) Lateness as the failure to arrive on your post at the scheduled time.

(d) Employees shall be IN and AT their station by their designated time.

(e) Notify your immediate supervisor if you will be late or absent. If you are going to be absent, please notify the supervisor no later than TWO hours before your shift. An employee shall also call each day if the situation persists otherwise their extended absence will not be excused. Failure to do so may result in demotion or dismissal.

(f) Reoccurring lateness may result in a loss of scheduled hours, and/or a later scheduled time, and/or dismissal.

PAP.22.5.090 Inclement Weather

(a) The LCO Day Care Director shall determine if weather conditions are unsafe.

(b) If a decision has been made to close or delay school a HiMama message will be sent to families and the LCO Daycare Facebook page shall be updated as early as possible.

Subchapter PAP.22.6 Available Benefits

PAP.22.6.010 Available Benefits

(a) The following is a brief list of benefits that may be available to eligible employees;

(1) Group Health Insurance/COBRA

(2) Holiday Pay

(3) Personal Time Off (PTO)

(4) Additional Paid Leave

(5) Unpaid Leave

(6) Family and Medical Leave

(7) Life Insurance, Disability Insurance and Retirement Plan

(8) Employee Assistance Program

(9) Employee Recognition – Years of Service

(b) The LCO Day Care reserves the right, at its sole and absolute discretion, to rescind or amend benefits, to change insurance carriers, or to require employees to contribute towards premium costs. The LCO Day Care may make these changes at any time, except as provided by law. The Human Resource Director or Benefits Administrator, or their designee, shall notify employees of changes. While the LCO Day Care intends to continue offering sponsored benefits, there is no guarantee that such benefits shall always be available.

PAP.22.6.020 Holiday Pay

(a) The following days are considered observed holidays and non-exempt employees shall receive double the rate of pay if scheduled on and with the LCO Day Care Director's discretion: New Year's Day, Martin Luther King Jr. Day, Treaty Day, President's Day, Easter Sunday, American Indian Day, Memorial Day, Juneteenth, We'enh Day, Independence Day, Honor the Earth Powwow Saturday, Labor Day, Indigenous Peoples Day, Veteran's Day, Thanksgiving Day, Christmas Eve Day, Christmas Day, and New Year's Eve Day.

(b) Any Tribal Government Holiday and or Tribal Government Inclement Weather Day that non-exempt employees are required to work at the LCO Day Care Director's discretion, shall receive 1.5 at a rate of time and a half (1.5) for hours worked.

(c) A Non-exempt employee shall not work over forty (40) hours in a workweek without the prior authorization of management. Management may adjust any employee's work schedule to avoid accumulation of overtime.

PAP.22.6.030 Eligibility

The following employee classifications and eligibility for Fringe Benefits are as follows;

(a) Full Time Employee. Full time Employees, as defined in Section PAP.22.2.010(e) of this manual, are eligible for all Fringe Benefits after satisfactorily completing their probationary period, unless otherwise provided for in an Employment Contract with the LCO Day Care or mandated by law.

(b) Part Time Employee. Part Time Employees, as defined in Section PAP.22.2.010(k) of this manual, are not eligible for any fringe benefits offered by the LCO Day Care, unless provided for in an Employment Contract with the LCO Day Care or mandated by law.

PAP.22.6.040 Group Health Insurance / Cobra

(a) Group Health Insurance is through the Federal Employee Health Benefits; FEHB. An eligible employee may select an insurance provider that best meets their individual needs through FEHB. FEHB is offered for both single, single plus one, and family coverage. Employees considered to be full time status shall be required to pay twenty-one percent (21%) or as amended from time to time by official action of the Tribal Governing Board, of the premium for the plan selected, unless otherwise provided for in an employment contract. Employee's portion of payment shall be made through payroll deductions done weekly.

PAP.22.6.050 Personal Time off

(a) Office employees will get paid Personal Time Off (PTO) at the following rates:

(1) If employed up to three (0 to 3) years, 1 week per year.

(2) If employed three years to ten years (3 to 10), 2 weeks per year.

(3) If employed more than ten (10+) years, 3 weeks hours per year.

(b) Field employees will get paid Personal Time Off (PTO) at the following rate:

(1) 1 week per year.

(c) In no circumstance shall employees accrue any amounts over the maximum designated accumulations stated above. If an employee is on any leave without pay the employee shall not accrue any PTO until the employee returns to a full-time status. An employee who quits his or her employment without providing at least a four (4) week notice shall forfeit any accrued PTO unless otherwise approved by his or her supervisor or in collaboration with the LCO Day Care Director.

(d) For purposes of calculating length of service it shall be the responsibility of the employee to provide the Human Resources Director with a statement from other Lac Courte Oreilles Tribally controlled entities stating the start and end dates.

(e) Prior to the utilization of accrued PTO, Employees shall schedule and have the use of accrued PTO time approved so it will not interfere with job responsibilities, except as otherwise provided by law. If an employee is on PTO and there is early release or closure of the employee's worksite, the employee shall be credited any such leave during the period of early release or closure. If requesting PTO time, employees shall obtain prior authorization at least two weeks or ten (10) working days in advance of the leave date. The supervisor or LCO Day Care Director may or may not approve such request depending on a variety of factors, including availability of substitutes, special events, and schedules. In extreme emergency situations the LCO Day Care Director, in consultation with the employee's supervisor, may waive the ten (10) day notification provision, if requested by the employee in writing citing the reason.

(f) For unscheduled absences, employees shall notify their immediate supervisor. It is the supervisor's discretion whether to authorize PTO.

(g) If an Employee is absent from work for three (3) days or longer, which is related to an illness or other medical related issues, a Physicians excuse shall be provided that substantiates their absence.

(h) Probationary employees shall not be able to use PTO during their ninety (90) day probationary period unless it is for extreme circumstances with approval of their supervisor and in concurrence of the LCO Day Care Director.

(i) Use of Paid and Unpaid Leave. Employees who have accrued PTO shall use paid leave first and then take additional approved leave as unpaid leave.

(j) Any and all Personal Time Off may not be cashed out without Tribal Governing Board approval.

PAP.22.6.060 Sharing of Personal Time

Employees are permitted to share PTO with any non-probationary employee..

PAP.22.6.070 Additional Paid Leave

The LCO Day Care grants employees additional paid leave in certain situations, including the following:

(a) Civil Leave. The LCO Day Care grants eligible employees paid civil leave during the required absence when any employee appears as a witness for the federal, state or Tribal Government, in obedience to a subpoena. An employee shall promptly notify his or her supervisor upon receipt of any subpoena. If an employee receives any stipend for such civil leave, he or she shall use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for civil leave.

(b) Jury Duty Leave. The LCO Day Care grants eligible employees paid leave during the required absence for jury service. An employee shall promptly notify his or her supervisor upon receipt of any notice to appear. If an employee receives any stipend (other than food or fuel expenses) for such jury duty leave, he or she shall use PTO during any work absence for such service. No employee shall take both compensated time and stipend pay during the required absence for jury service.

(1) All full-time employees shall be given up to five (5) days leave without loss of pay for funeral services for immediate family. Immediate family includes the following:

(2) Up to three (3) day leave for other persons shall be given only if the full-time employee is assisting the family during their immediate time of loss, subject to prior approval of employee's supervisor.

(3) All other funeral leave shall be limited to no more than one (1) day with pay to attend the funeral services, subject to the notification and approval of employee's immediate supervisor.

(d) Committee or Board Leave. The LCO Day Care grants eligible full-time employees paid leave to serve on committees or boards of the Tribal Governing Board and may approve leave to participate in other outside boards or committees. An employee shall receive prior approval from his or her supervisor prior to accepting an appointment or volunteering to sit on any committee or board. An employee may receive a stipend for such committee or board service, he or she shall not need to use PTO during any work absence for such service. Attendance at any meetings related to such appointment shall be preapproved by the employee's immediate supervisor and such appointment/meetings shall not interfere with an employee's work performance and duties.

(e) Maternity Leave. The LCO Day Care grants eligible full-time female employees up to eight (8) weeks, a maximum of three hundred and twenty (320) hours paid leave, for time to deliver and care for a newborn child. If an employee has medical problems prior to delivery, she may utilize paid maternity leave, subject to the maximum limit, with written verification from her doctor. An employee shall request and obtain the prior approval of his or her supervisor to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.22.6.080 of this manual.

(f) Paternity Leave. The LCO Day Care grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave to care for a newborn child. An employee shall request and obtain the prior approval of their supervisor to utilize this leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.22.6.080 of this manual.

(g) Parental Leave. The Tribe grants eligible full-time employees up to two (2) weeks, maximum of eighty (80) hours, paid leave for adoption, customary adoption, guardianship, protective placement, or an emergency safety plan of a pre-school (0-5 years of age) child. Leave may be granted prior to the legal proceedings having been completed. An employee must request the leave as early as possible and obtain approval of his or her supervisor to utilize leave. The paid leave under this section is included in the maximum leave provided for in Section PAP.22.6.080 of this manual.

(h) Military Leave. The LCO Day Care grants eligible full-time employees up to ten (10) days, maximum of eighty (80) hours, paid leave upon presentment of official orders requiring attendance for training or to perform other duties as a member of the United States Armed Forces. An employee serving on military leave with pay shall be paid only the difference between compensation fees received for such duties and his or her normal salary. An employee shall notify his or her supervisor prior to such leave. The LCO Day Care shall look to the provisions of the Uniformed Services Employment and Reemployment Rights Act (USERRA) 38 U.S.C. § 4301 et. seq. solely as a guideline in determining reemployment of employees who take extended military leave.

(i) Voting Leave. The LCO Day Care shall grant eligible employees the ability to leave campus once students depart, to exercise the right to vote.

(j) Birthday Leave. The LCO Day Care may grant eligible employees eight (8) hours of paid leave for the employee's birthday, provided the employee shall take such leave during the calendar year.

(k) In House Medical Appointment. The LCO Day Care may grant employees up to two hours paid time to attend medical appointments at the Lac Courte Oreilles Community Health Center.

(l) Ceremonial Leave. The LCO Day Care shall grant full-time employees up to five (5) days paid leave during the calendar year to attend Midewiwin or other traditional ceremonies. An employee shall request and obtain the prior approval of his/her supervisor to utilize this leave.

(m) School Leave. The LCO Day Care may grant full-time employees up to (3) hours of paid leave to attend school upon supervisor approval. Employees shall have to submit their school schedule prior to the beginning of each semester to their supervisor. At the Conclusion of each Semester the employee shall submit a copy of their Report Card to their supervisor.

(n) Disciplinary Leave. The LCO Day Care may take disciplinary action, up to and including termination or suspension without pay, against employees who violate the provisions of this personnel policy and procedural manual.

(o) Religious Leave. The LCO Day Care may grant eligible employees up to an additional fifteen (15) days of unpaid religious leave. An employee shall request and obtain the prior approval of his/her supervisor to utilize this leave.

PAP.22.6.080 Family and Medical Leave

Employees may be eligible for up to twelve (12) weeks of family and medical leave during any twelve (12) month period. The leave may be paid, unpaid, or a combination of paid and unpaid, depending on the circumstances. This policy sets forth the LCO Day Care's policies and procedures for requesting family and medical leave.

(a) Eligibility for Leave. To be eligible for family and medical leave under this policy all of the following conditions shall be met:

(1) An employee must have been employed by the LCO Day Care for at least twelve (12) months or fifty-two (52) weeks.

(2) An employee must have worked at least one thousand two hundred fifty (1250) hours during the twelve (12) months immediately preceding the request for leave.

(1) To care for a child following the child's birth or placement for adoption or foster care pursuant PAP.22.6.070(e), PAP.22.6.070(f), and PAP.22.6.070(g).

(2) To care for an immediate family member who has a serious health condition pursuant to PAP.22.2.010(q).

(3) Because the employee has a serious health condition as defined in PAP.22.2.010(q), which prevents the employee from performing the functions of the position.

(c) If an employee takes PTO for a condition that progresses into a serious health condition and the employee requests unpaid leave as provided under this policy, the LCO Day Care may designate all or some portion of related leave taken as leave under this policy, to the extent that the earlier leave meets the necessary qualifications.

(d) If both parents work for the LCO Day Care, and both wish to take leave for the birth of a child, adoption, or acceptance of a child in foster care, or to care for an immediate family member with a serious health condition, the employees may only take a combined total of twelve (12) weeks of unpaid leave.

(e) Employees can take up to twelve (12) weeks of leave under this policy during any twelve (12) month period. The LCO Day Care shall measure the twelve (12) month period as a rolling twelve (12) month period measured backward from the date an employee uses any leave under this policy. Each time an employee takes a leave, the LCO Day Care shall compute the amount of leave you have taken under this policy and subtract it from the twelve (12) weeks of available leave, and the balance remaining is the amount an employee is entitled to take at that time. An employee's family or medical leave taken may run concurrently with other types of leave including workers' compensation and other leaves, such as short-term or long-term disability, etc.

(1) In situations where leave is requested due to the birth, adoption, or acceptance of a child in foster care, intermittent or reduced work schedules shall be granted at the LCO Day Care's sole discretion and if granted shall be taken within one (1) year of the birth or placement of the child.

(2) In situations where leave is requested in order to care for an immediate family member who suffers from a serious health condition or because of an employee's own serious health condition, intermittent or reduced work schedules shall be granted only when an employee can prove the leave is medically necessary.

(3) In situations where an intermittent or reduced work schedule is permitted, the LCO Day Care may require an employee to transfer to an alternative position with equivalent pay and benefits in order to accommodate the recurring periods of absence.

(g) Use of Paid and Unpaid Leave. Employees who have accrued PTO shall use paid leave first and take the remainder of the twelve (12) weeks as unpaid leave.

(1) Employees who take a leave because of their own serious health condition or the serious health condition of a family member shall use all accumulated PTO prior to being eligible for unpaid leave.

(2) Employees who take leave for the birth of a child shall use paid PTO for physical recovery following childbirth, except where such leave is compensated as paid maternity leave under this personnel policy and procedural manual or as paid short-term or long-term disability leave. These employees shall then use all paid vacation, and then shall be eligible for unpaid leave for the remainder of the twelve (12) weeks. Employees who take leave for the adoption or acceptance of a child in foster care shall use all paid PTO prior to being eligible for unpaid leave.

(h) Procedure for Requesting Leave. In situations where leave is foreseeable, employees shall provide written notice to the supervisor at least thirty (30) days prior to the date on which the leave is scheduled to begin. If the leave is foreseeable due to a planned medical treatment, employees shall make reasonable efforts to schedule the treatment(s) to minimize disruptions to the LCO Day Care's operations. If circumstances occur, in which it is not practicable to provide thirty (30) days' notice, employees shall provide written notice as far in advance as is practicable. If an employee fails to provide thirty (30) days advance written notice of a requested leave and have no reasonable excuse, the leave may at the LCO Day Care Director's discretion be delayed for up to thirty (30) days from the date of written notice.

(i) Medical Certification Requirement. When leave is requested because of a serious health condition affecting an employee or his or her immediate family member, the LCO Day Care requires the employee to obtain certification of the health condition from the pertinent doctor or health care provider. This certification shall be provided to the supervisor within fifteen (15) days after the leave is requested or, when the need for leave was unforeseeable, within fifteen (15) days after the leave has commenced unless it is not practicable to do because of the nature of the health condition.

(1) If an employee seeking leave due to a serious health condition fails to provide the required medical certification, the leave shall be denied until the certification is provided. If the leave request was not foreseeable, such as in a medical emergency, the failure to provide the required medical certification within a reasonable time may result in the denial of continuation of leave. Medical certification provided in justification of a request for leave shall include the following information:

(A) The date on which the serious health condition started and its expected duration,

(B) The diagnosis concerning the condition,

(D) A statement of whether in-patient hospitalization is required, or

(2) The LCO Day Care, if it doubts the certification, at its expense, may require an employee seeking leave due to a serious medical condition to obtain a second opinion from a doctor or other health care professional designated by the LCO Day Care. If the second opinion conflicts with the certification provided by the employee, the LCO Day Care may, at its sole discretion and at its expense, require a third opinion from a doctor or other health care professional designated jointly by the LCO Day Care and the employee. Such a third opinion shall be final and binding.

(3) If an employee plans to take intermittent leave or work a reduced schedule, the certification shall also include dates and the duration of treatment and a statement of medical necessity for taking intermittent leave or working a reduced schedule. During a leave taken under this section, employees may be required to provide, periodically, written notice to the LCO Day Care Director concerning his or her status and intention to return to work.

(j) Return from Leave. Upon completion of leave due to an employee's own serious health condition, the employee shall provide the LCO Day Care with medical certification from his or her doctor or other health care professional that the employee is now able to return to work. If an employee fails to provide this certification, he or she will not be permitted to return to work until such certification is provided. An employee who takes leave under this policy will be able to return to the same job or a job with equivalent status, pay, benefits and other employment terms. The LCO Day Care may choose to exempt certain highly compensated employees from this requirement and not return them to the same or similar position.

(k) Health Benefits during Leave.

(1) During a leave taken pursuant to this policy, an employee's health benefits under any existing Tribal sponsored health plan will be continued as if the employee had continued in employment continuously for the duration of the leave. If, however, an employee fails to return at the end of a leave taken under this policy, except if this is due to the continuation, recurrence or onset of a serious health condition or something else beyond the employee's control, then the LCO Day Care may recover from the employee all of the health care premiums paid to maintain health coverage during the leave.

(2) If under the LCO Day Care's current policy, an employee pays a portion of the health care premium, while on paid leave, the LCO Day Care will continue to make payroll deductions to collect the employee's share of the premium. While on unpaid leave, the employee shall continue to make this payment, either in person or by mail. The payment shall be received by the first day of each month. If the payment is more than thirty (30) days late, the employee's health care coverage may be dropped for the duration of the leave.

PAP.22.6.090 Life Insurance, Disability Insurance and Retirement Plan

If requested by the Employee, the LCO Day Care provides eligible employees Life and Disability insurances along with a Retirement Plan. An Employee wanting these types of benefits should consult with the LCO Day Care's Benefit's Administrator for further information.

PAP.22.6.100 Employee Assistance Program

The Tribe recognizes that individual employees may develop personal problems which could have negative effects on job performance. The Tribe offers an Employee Assistance Program (EAP) for all employees, the purpose of which is to encourage the early diagnosis and treatment of personal, psychological, and medical problems. Employees are encouraged to contact the Human Resource Director, or designee, for information regarding the EAP. Employees are responsible for submission of all documents and paperwork to pay the costs incurred for services rendered in connection with the EAP. Employees may utilize their health insurance plan as coverage is available; otherwise, the service will be self-pay. Employees may attend a scheduled EAP appointment with the LCO-CHC during work hours. If the EAP appointment is at another facility the employee may use permitted paid or unpaid leave for EAP absences. EAP appointments (that the employee is required to attend by the Employer) will be coordinated with the employee's supervisor, so customer service does not get interrupted.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCOCHC – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCOCHC – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Regardless of any EAP referral, employees shall maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(A) A leave of absence to attend inpatient treatment shall be granted to employees requesting assistance through self-disclosure. The leave of absence may not exceed twelve (12) weeks pursuant to Section PAP.22.6.080 of this manual.

(B) Employees placed on a leave of absence from self-disclosure shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.22.6.080 of this manual.

(C) An employee returning to duty following a leave of absence from self-disclosure will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of alcohol at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.22.2.010(l), the employee shall be subject to disciplinary action, up to and including termination pursuant to PAP.22.7.050(e) and PAP.22.10.020 of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.22.7.050(a) of this manual.

(D) Utilization of this self-disclosure provision does not negate any disciplinary action for which an employee is subject to of this manual, or any other tribal law or policy.

(b) Employer Referral. An employee's department head or director shall refer an employee to the Human Resource Director, or designee, when an employee's conduct mandates as such.

(1) Procedure: A department head or director shall provide the employee and the Human Resource Director, or designee, with written notice using the LCOCHC – Behavior Health Clinic intake form and a signed consent form to release and or share information between departments of any referral. The Human Resource Director will set up the EAP Process with the LCOCHC – Behavioral Health Director. The Behavioral Health Director will report to the Human Resource Director on the status of the referral within five (5) working days after receipt of the referral. Employees shall comply with the referral to the EAP and follow subsequent recommendations for referral and treatment. Failure to show-up for required scheduled EAP appointment will result in further disciplinary action up to and including termination of employment. Regardless of any EAP referral, employees shall maintain an acceptable level of job performance. Documentation of completion or non-completion of the EAP will be on file in the employee's personnel file located in the Human Resource Department.

(A) A leave of absence to attend inpatient treatment shall be granted to employees when required by an approved LCOCHC- Behavioral Health EAP treatment plan. The leave of absence may not exceed twelve (12) weeks pursuant to Section PAP.22.6.080 of this manual.

(B) Employees placed on a leave of absence when required by an approved LCOCHC- Behavioral Health EAP treatment plan shall:

(i) Be allowed to return to the position, shift, and level of seniority that was held by the employee prior to the leave being granted.

(ii) Be allowed to maintain Tribally sponsored Health; Life and short-term disability Insurance Benefits during the leave. The employee will be responsible for their portion of insurance premiums.

(iii) Be allowed to utilize any accrued Paid Time Off hours earned prior to the leave.

(iv) Any accrual of Paid Time Off hours shall be in accordance with the Tribe's policies on family and medical leave pursuant to Section PAP.22.6.080 of this manual.

(C) An employee returning to duty following a leave of absence from a referral of the employer will be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of returning to work. If the applicant is suspected to be under the influence of test at the time of return to drug screen, a PBT may be requested. Employees who refuse to take a test is thereby insubordinate will be considered to have produced a positive test result and shall be terminated. Upon receipt of a positive test result as defined in Section PAP.22.2.010(l), the employee shall be subject to disciplinary action, up to and including termination pursuant to PAP.22.7.050(e) and PAP.22.10.020 of this manual and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.22.7.050(a) of this manual.

(D) Participation in an approved LCOCHC- Behavioral Health EAP treatment plan does not negate any disciplinary action for which an employee is subject of this manual, or any other tribal law or policy.

Subchapter PAP.22.7 Conduct

PAP.22.7.010 General Statement of Conduct

All Employees shall conduct themselves in a manner, which is kind, courteous, ethical, and respectful to all members of the public, including fellow employees. In all instances, employees shall exercise good judgment and conduct themselves with the highest degree of professionalism. A failure to follow any conduct policies or other provisions of this personnel policy and procedure manual may result in disciplinary action, up to and including termination.

PAP.22.7.020 Outside Employment

(a) Employees may accept simultaneous employment with another tribal agency or another employer without the express permission of the LCO Day Care Director.

(b) As such, outside employment will not be considered an excuse for poor performance, absenteeism, tardiness, or refusal/inability to work overtime.

PAP.22.7.030 Harassment

(a) The LCO Day Care has a "zero-tolerance" policy with respect to employee harassment. Any form of unlawful employee harassment based on race, color, religion, sex, national (including Tribal) origin, age, disability, or status in any protected group is prohibited. The LCO Day Care will not tolerate interference with the ability of employees to perform their expected job duties. Harassment of employees, tenants, or members of the public by employees will result in disciplinary action, up to and including termination.

(1) Sexual Harassment. Sexual harassment includes unwelcome sexual advances, requests for sexual favors, and other verbal, visual or physical conduct of a sexual nature. No supervisor, manager or any other employee shall threaten or insinuate, either explicitly or implicitly that another employee's refusal to submit to sexual advances will adversely affect that person's employment, wages, advancement, assigned duties, or any other condition of employment or career development. Similarly, no supervisor, manager or employee shall promise, imply, or grant any preferential treatment in connection with another employee engaging in sexual conduct.

(A) Sexual harassment also includes unwelcome sexual flirtations, advances or propositions, verbal abuse of a sexual nature, subtle pressure or requests for sexual activities, unnecessary touching of an individual, graphic or verbal commentary about an individual's body, sexually degrading words used to describe an individual, a display in the workplace of sexually suggestive objects or pictures, sexually explicit or offensive jokes, or physical assault.

(2) Racial and National (including Tribal) Origin Harassment. Racial and national origin harassment is verbal or physical conduct that denigrates, belittles, or shows hostility or aversion towards an individual because of his or her race or national (including tribal) origin and has the purpose or effect of creating an intimidating, hostile, or offensive working environment, or has the purpose or effect of unreasonably interfering with an individual's work performance or otherwise adversely affects an individual's employment opportunities. This includes, but is not limited to, epithets, slurs, intimidating or hostile acts that relate to race, or national (including tribal) origin, written or graphic material that denigrates, belittles, or shows hostility or aversion toward an individual because of his or her race, or national (including tribal) origin and that is placed on walls, bulletin boards or elsewhere on our premises or circulated in facilities.

(3) General. Harassment under this policy may also include words, actions, or conduct committed by students, coworkers, parents, community members, customers, or suppliers of the LCO Day Care. In the event that any harassing or offensive language or conduct occurs, employees shall report it to the Human Resource Director, or designee, immediately so the matter can be addressed promptly.

(4) Enforcement. Each member of Management is responsible for creating an atmosphere free of harassment, sexual, racial, or otherwise. Further, employees are responsible for respecting the rights of their coworkers.

(b) If an employee experiences any job-related harassment based on sex, race, national (including tribal) origin, disability, or another factor, or believes that he or she has been treated in an unlawful, discriminatory manner, the employee shall promptly report the incident to his or her supervisor, LCO Day Care Director, or designee, who will investigate the matter and take appropriate action. All employee complaints will be kept confidential to the maximum extent possible.

(c) The LCO Day Care prohibits any form of retaliation against any employee for filing a bona fide complaint under this policy or for assisting in a complaint investigation. However, if, after investigating any complaint of harassment or unlawful discrimination, the LCO Day Care determines that the complaint is not bona fide and was not made in good faith or that an employee has provided false information regarding the complaint, disciplinary action may be taken against the individual who filed the complaint.

PAP.22.7.040 Alcohol and Drugs

(a) All employees of the Tribe are subject to the drug testing procedures.

(b) Employees are expected to come to work with a clear mind, unimpaired by drugs or alcohol. No employee may work under the influence of alcohol, illegal drugs, or controlled substances.

(c) Employees, while on the Tribe's property or on duty, shall not be under the influence of alcohol or illegal drugs; possess or consume alcoholic beverages; possess or consume prescription drugs in the absence of a valid prescription; or use, sell, possess, transfer, or purchase illegal drugs or controlled substances. Prescription drugs shall be used only in the manner, combination, and quantity prescribed by a licensed medical practitioner while on the Tribe's property or while on duty. As a condition of continued employment with the Tribe, all employees shall notify the Tribe of any criminal drug statute conviction or charges against them no later than five (5) days after receiving such conviction or charges.

PAP.22.7.050 Drug and Alcohol Testing Procedures

All employees and applicants for employment are subject to drug and alcohol testing, including reasonable suspicion, pre-employment, return-to-duty. Drug tests require laboratory testing as provided by the Mandatory guidelines for Federal Workplace Drug Testing Programs pursuant to 94 FR 28101, May 15, 2015 as amended, as minimum standards for the following classes of drug and correlative cutoff concentrations: Cocaine; Opiates including opium and codeine derivatives such as Oxycodone, Oxymorphone, Hydrocodone, Hydromorphone; Amphetamines and Methamphetamines including Methylenedioxyamphetamine (MDA) and Methylenedioxyethylamphetamine (MDEA); Phencyclidine (PCP). Nothing precludes the LCO Day Care Director, Human Resource Director, or designee, in testing for substances which are not included on this list, should the LCO Day Care Director, or designee, determine it is in the best interests of the Tribe to include substances which are not listed above to ensure a drug free workplace. Employees are encouraged to contact the LCO Day Care Director, Human Resource Director, or designee, with any questions regarding drug and alcohol testing. Failure or refusal to participate in an employer-directed drug test is considered insubordination and the employee will be subject to immediate dismissal.

(3) In the event of a positive test result, a confirmation test will be performed by a laboratory specified in Section PAP.22.7.050(a) above, using the original sample (not a new sample). The confirmation test will be based on a different analytical method of higher analytical certainty.

(4) The employee within two (2) working days of the results shall request any further confirmation testing (using the original sample) by a laboratory specified in sub. 1(a) above, in writing. Costs of confirmation testing incurred will be paid by the employee.

(b) Pre-Employment Testing Procedures.

(1) An applicant for employment may be required to undergo testing for illegal drugs and prescribed medication for which they do not have a valid prescription as a condition of employment. If the applicant is suspected to be under the influence of alcohol at the time of their pre-employment drug screen, a PBT may be requested.

(2) Applicants who test positive for alcohol, illegal drugs, and/or prescribed medication for which they do not have a valid prescription, shall be denied employment.

(3) An applicant who initially declines a drug test will be denied employment and not eligible for employment for 90 days.

(1) Upon a finding by an employee's supervisor that there is probable cause that the employee is either under the influence of alcohol (under the influence shall mean a blood alcohol concentration of 0.02 grams of alcohol per 100 milliliters of a person's blood or while the person has 0.02 grams of alcohol per 210 liters of a person's breath) or drug abuse that is impairing the employee's ability to carry out job-related activities, the employee shall be required to be tested for the presence of drugs or alcohol pursuant to Section PAP.22.7.050(c)(3), below. A finding of probable cause and directive requiring the employee to submit to testing for drugs or alcohol shall be in writing signed by the employee's supervisor. The probable cause finding shall be supported by evidence of specific, personal observations concerning job performance, appearance, behavior, speech, or bodily odors of the employee. If hearsay information is received, such information shall be corroborated by personal observations, or observations and evaluation by the LCO Day Care or designee.

(2) Once an employee's supervisor has determined that probable cause pursuant to Section PAP.22.7.050(c)(1), above exists, the employee's supervisor shall immediately contact the LCO Day Care Director, Human Resource Director, or designee and convey that one of his or her employees is under the influence of alcohol or a controlled substance and that such influence is impairing that employee's ability to carry out his or her job related duties.

(3) Upon receiving contact from an employee's supervisor, the Human Resource Director, or designee shall have the employee drug tested and if alcohol related have the employee submit to a portable breath test (PBT) conducted by a Class 1 PBT Certified person as specified in Section PAP.22.7.050(a)(6), above. If the employee refuses to take a test (including but not limited to a drug test, drug urine test, or PBT test) after being required to do so, the employee is thereby insubordinate and considered to be in violation of the Drug Testing Policy and shall be terminated.

(4) Upon receipt of a positive test result, the employee shall be immediately relieved of their duty station and will be subject to disciplinary action, Section PAP.22.7.050(e) below, and the positive test sample will be sent for a confirmation test result pursuant to Section PAP.22.7.050(a) above. In all cases, an employee may face legal consequences for his/her actions. Upon receipt of a positive confirmation test result pursuant to Section PAP.22.7.050(a) above, the employee shall be referred by the Human Resource Director, or designee to participate in the Employee Assistance Program pursuant to Section PAP.22.6.100(b) of this manual. Failure to comply and successfully complete an approved LCOCHC- Behavioral Health EAP treatment plan within the timeframe established in the treatment plan will result in termination.

(d) Return to Duty Procedures. An employee returning to duty following a chemical dependency related leave of absence shall receive a release by a licensed physician stating that the reasons for the employee being placed on leave have been resolved.

(e) Discipline for Drug Testing Violation. In all cases, an employee may face legal consequences for his/her actions.

(A) First Offense: The employee will be informed of a first offense in writing and will be suspended three (3) days without pay and with a negative drug test.

(B) Second Offense: If a second offense occurs, the employee shall be terminated. Such termination shall not be subject to appeal.

(2) Any employee who refuses to take a test as established in Section PAP.22.7.050 will be considered insubordinate and will be terminated for insubordination. Such termination shall not be subject to appeal.

PAP.22.7.060 Drug Free Workplace Act Compliance

(a) The Tribe hereby establishes a policy providing for a drug-free workplace as required by the Drug Free Workplace Act of 1988, 41 U.S.C. 2201 et. seq. As such, as required by the Act, the Tribe hereby publishes a statement notifying employees that the Tribe prohibits the unlawful manufacture, illegal distribution, dispensation, possession, or use of a controlled substance in the workplace. All employees who violate this policy shall be subject to disciplinary action, up to and including termination. As a condition of continued employment with the Tribe, all employees shall notify the Tribe of any criminal drug statute conviction or charges no later than three (3) days after receiving such conviction or charges.

(b) General Provisions.

(3) Notice of Conviction or Charges.

(A) An employee will be responsible for notifying his/her immediate supervisor in writing within five (5) day of any criminal drug statute conviction or charges for violation. The employee's supervisor shall notify the LCO Day Care Director or Human Resource Director who will notify the legal department.

PAP.22.7.070 Inspection and Search

(a) The Tribe has the authority to inspect or search the entire workplace, including, but not limited to any office or desk when there are reasonable grounds for suspecting that the search will turn-up evidence that an employee violated any provision of this manual or otherwise engaged in work-related misconduct.

(b) The Tribe has the authority to inspect or search, when the inspection or search is necessary for non-investigatory work-related purposes, including locating and retrieving any information from a location within the workplace.

(c) The Tribe has the authority to inspect or search any employee's personal possessions located within the workplace when there are reasonable grounds for suspecting that the search will turn-up evidence that the employee violated any provision of this manual or otherwise engaged in work-related misconduct.

PAP.22.7.080 Confidentiality

(a) In the course of performing duties for the LCO Day Care, employees may obtain or become aware of confidential information, such as personnel, financial and legal information of the LCO Day Care.

(b) Employees shall hold all Confidential Information in strict confidence and shall not directly or indirectly disclose Confidential Information or permit the release thereof to any outside person or entity except as necessary to perform employment duties or as otherwise required by law. If any question arises about whether information shall be treated as confidential, employees shall treat such information as confidential until confirmed otherwise by their director, in consultation with the legal department.

(c) Violations of confidentiality, including the disclosure of confidential information (verbal, written or documents) as defined under this section shall be subject to discipline, up to and including termination. The LCO Day Care reserves the right to prosecute any violations to fullest extent allowed under tribal, state, or federal law.

PAP.22.7.090 Media Inquiries

The LCO Day Care generates public interest and persons often seek newsworthy information. Therefore, it is our policy to allow only authorized representatives to make contact with or provide information or comments to reporters and news agencies regarding the LCO Day Care. Any employee who is contacted by a reporter regarding the LCO Day Care shall inform his or her supervisor of the request for information. Prior written authorization by the LCO Day Care Director, Board Chairman or his/her designee is required prior to any media release of information.

PAP.22.7.100 Security Measures / Limited Access Control Areas

Maintaining security and limiting access to certain areas of the LCO Day Care's facilities is important to the continued success and is required by law in some instances. Employees shall not permit unauthorized persons, which may include Tribal employees, to enter secure and limited access-controlled areas or to access confidential or protected information.

PAP.22.7.110 Dress and Appearance

(a) Employees shall dress and groom themselves in accordance with appropriate social and business standards. An employee's supervisor or the LCO Day Care Director retain the right to request any employee to change his or her mode of dress or grooming if deemed provocative or otherwise inappropriate. In addition, employees shall maintain good personal hygiene.

(b) The LCO Day Care strives to ensure the comfort and safety of our employees and visitors by encouraging an environment to be free from smoke, fragrances, or unpleasant smells.

PAP.22.7.130 Smoking and Vaping

The LCO Day Care is a smoke-free zone. Smoking and vaping are prohibited outside of designated areas. Employees may only smoke or vape during approved break times.

PAP.22.7.140 Internet and Telephones

(a) All electronic and telephonic communication systems and all communications and information transmitted by, received from, or stored in these systems are the property of the LCO Day Care and as such are to be used solely for job-related purposes. The use of any software and business equipment, including, but not limited to, e-mail, internet access, facsimile machines, computers, telephones (land lines and cellular phones) and copy machines for private purposes is prohibited.

(b) No employee may not use a pass code or voice-mail access code that has not been issued to that employee or that is unknown to the LCO Day Care. Moreover, improper use of the e-mail system (e.g., distributing offensive jokes or remarks) will not be tolerated.

(c) Cell phone usage for personal use, including calls, texting, and internet browsing, is completely prohibited in the classroom and the playground unless the employee is on an official 15 minute break.

(d) Employees shall not use the LCO Day Care's internet, voice mail and e-mail resources, phones, and other systems in a prohibited manner, including:

(1) To transmit, view, retrieve, or store any communications of a discriminatory or harassing nature or materials that are considered obscene or pornographic;

(2) To access pornographic internet sites, display or print any associated materials, pictures, and cartoons;

(3) To harass or transmit messages with derogatory or inflammatory remarks about an individual's race, sex (including pregnancy), age, disability, religion, national origin, or physical attributes or transmit abusive, profane, or offensive language;

(4) For non-business, personal or private use, including but not limited to game playing and personal communication not associated with business;

(5) To disclose any confidential or proprietary information except where such disclosure is authorized or permitted in this personnel policy and procedural manual.

(e) Employees shall not use the LCO Day Care's internet, voice mail and e-mail resources and other systems and equipment, including but not limited to computer hardware, software, copier, fax machine and postage machine in a manner that is contrary to the provisions of any purchase or lease contract, such as unlawful copying of computer software.

(f) Notwithstanding the LCO Day Care's right to retrieve and read any voice or electronic mail messages, such messages should be treated as confidential by other employees and accessed only by the intended recipient. Employees are not authorized to retrieve or read any voice or e-mail messages that are not sent to them. Any exception to this policy shall receive prior written approval by Management.

(g) The LCO Day Care may monitor, record and listen to all internet, e-mail and voice mail usage, to assure compliance with its policies, for cost analysis and for legitimate business purposes. Thus, the LCO Day Care may listen to, access, and disclose any information in the electronic communication and telephone systems, even such information or communication protected by an employee's personal password, at any time, with or without notice to the employee. Employees have no expectation of privacy in connection with the use of these systems, or the transmission, receipt, or storage of information in such systems.

PAP.22.7.150 Solicitation and Distribution

PAP.22.7.160 Workplace Violence

(a) The LCO Day Care is concerned about the increased violence in society, which has also filtered into many workplaces, and has taken steps to help prevent incidents of violence from occurring at its facilities. It is our policy to expressly prohibit any acts or threats of violence against any employee, student, or visitor in or about our facilities or elsewhere at any time. We will not condone any acts or threats of violence against our employees, student, former employees or students, or visitors on the LCO Day Care's property at any time or while they are engaged in business with or on behalf of the LCO Day Care, on or off our premises.

(b) In keeping with the spirit and intent of this policy, and to ensure the objectives in this regard are attained, the LCO Day Care is committed to the following:

(1) To provide a safe and healthful work and educational environment;

(4) To establish viable security measures to ensure that the LCO Day Care's facilities are safe and secure for all inhabitants of this facility to the maximum extent possible and to properly handle access to the LCO Day Care's facilities by the public, students; either former or current, off-duty employees, and former employees.

(c) Employees, former employees, customers, and visitors shall not bring or possess unauthorized firearms or other weapons onto the LCO Day Care's premises. Any employee who displays a tendency to engage in violent, abusive, or threatening behavior or who otherwise engages in behavior that the LCO Day Care, in its sole discretion, deems offensive or inappropriate, or who possesses a firearm or weapon in violation of this policy will be subject to disciplinary action, up to and including termination or in the case of students, disciplinary action up to and including expulsion.

(d) Employees have a "duty to warn" their supervisorof any suspicious workplace activity or situations or incidents that they observe or that they are aware of that involve other employees, former employees, customers, or visitors and that appear problematic. This includes, for example, threats or acts of violence, aggressive behavior, offensive acts, threatening or offensive comments or remarks, and the like. Employee reports made pursuant to this policy will be held in confidence to the maximum possible extent. The LCO Day Care will not condone any form of retaliation against any employee for making a report under this policy.

PAP.22.7.170 Off-Duty Misconduct

Employees shall not engage in off-duty misconduct which is deemed detrimental to the Tribe, LCO Day Care or children. While it is impossible to predict every detrimental situation, the LCO Day Care may determine that off-duty misconduct is adverse to the Tribe, LCO Day Care, or children because it is serious in nature; is at odds with an employee's job duties; how the conduct is perceived to children and families; or is notorious and has the potential to discredit the Tribe and/or LCO Day Care.

PAP.22.7.180 Policy Regarding Use of Social Media by Employees

(a) While the LCO Day Care encourages its employees to enjoy and make good use of their off-duty time, certain activities on the part of employees may become a concern if they have the effect of impairing the work of any employee; harassing, demeaning, or creating a hostile working environment for any employee; disrupting the smooth and orderly flow of work within the office; or harming the goodwill and reputation of the LCO Day Care. In the area of social media (print, broadcast, digital, and online services such as Facebook, LinkedIn, Myspace, Plaxo, and Twitter, among others), employees may use such media in any way they choose as long as such use does not produce the adverse consequences noted above. For this reason, the following provisions apply regarding an employee's use of social media, both on and off duty:

(1) An employee shall be subject to disciplinary action, up to and including termination of employment, depending upon the severity and repeat nature of the offense, if an employee publishes any personal information about the employee, another employee of the LCO Day Care, the LCO Day Care and its officials, the Tribe and its officials, or a tribal member in any public medium (print, broadcast, digital, or online) that:

(A) has the potential or effect of involving the employee, their coworkers, tribal members or the LCO Day Care in any kind of dispute or conflict with other employees or third parties;

(B) interferes with the work of any employee;

(D) disrupts the smooth and orderly flow of work within the office, or the delivery of services to tribal members;

(E) harms the goodwill and reputation of the LCO Day Care in the community at large; or

(F) tends to place in doubt the reliability, trustworthiness, or sound judgment of the person who is the subject of the information.

(2) No employee may use the LCO Day Care's equipment or facilities for furtherance of non-work-related social media related activities or relationships without the express advance permission of their supervisor.

(4) Use of social media that involves any kind of criminal activity or harms the rights of others may result in criminal prosecution or civil liability to those harmed, or both.

(5) Social media access and use involving LCO Day Care equipment and resources are subject to the LCO Day Care's computer and internet policy at all times.

(6) The provisions in this policy are not intended to restrict communications regarding the terms and conditions of the workplace.

(b) How an employee uses social media is not a matter of concern as long as it is consistent with the aforementioned provisions on this policy.

Subchapter PAP.22.8 Safety

PAP.22.8.010 General Rules

(a) The safety of employees is important to the LCO Day Care. Fire extinguishers, exits and first-aid kits are available in marked locations around the LCO Day Care. Employees shall strictly adhere to all applicable safety regulations and comply with the following general rules:

(1) Employees shall report immediately all accidents or injuries to a supervisor without exception;

(2) Employees may smoke only in designated areas;

(3) Employees shall be careful and take necessary precautions when operating, cleaning, or repairing any machinery;

(4) Employees shall be present prior to starting any operation or task which calls for more than one employee;

(5) Employee shall not attempt to operate equipment without authorization or proper training or certification;

(6) The LCO Day Care will not tolerate horseplay or practical jokes. Accidents or injuries resulting from such horseplay or conduct shall not be considered work related.

PAP.22.8.020 Accidents or Injuries

(b) Within 24 hours, the injured employee is required to see the LCO Day Care Director when possible and fill out a "Report of first Injury" form. The "Report of First Injury" form is available from the LCO Day Care Director or the Human Resource Director. This form is an important first step in case a Workers Compensation benefit is to be filed.

(c) Reporting of Conflicts with Staff and Students. In the event of any type of conflict, confrontation, verbal or physical altercation, the employee and/or student are to contact the building Principal and fill-out a "Report of First Injury" form. The "Report of First Injury" form is available from the LCO Day Care Director or the Human Resource Director. This form is an important first step in case a Workers Compensation benefit is to be filed. After an altercation of any kind, all parties involved are to submit a written explanation of what occurred to their immediate supervisor..

PAP.22.8.030 Protective Equipment

The LCO Day Care will furnish required safety equipment to employees if the work requires such equipment.

PAP.22.8.040 Personal Responsibility

Subchapter PAP.22.9 Problem Solving

PAP.22.9.010 Scope

(a) Problem Solving Process. When people work closely together it is only natural that problems, questions, or conflict may sometimes arise. It is in the best interests of the LCO Day Care and all employees that these issues be resolved as quickly and fairly as possible; therefore, the LCO Day Care supports an "open-communication policy" to encourage addressing these issues. The following "Problem Solving Process" has been designed to provide guidelines for resolution of questions, problems, or conflicts:

(1) If you have a work related or personal problem that you think the LCO Day Care can help you resolve, you are encouraged to discuss it with your supervisor. Your supervisor is usually in the best position to help you.

(2) If you do not get an answer, or you are not satisfied with the answer, the issue should be written down and presented to the LCO Day Care Director. The LCO Day Care Director will facilitate a meeting to assist with mutually resolving the issue.

(3) In the unlikely situation that these steps have not resolved the issue, you may take your problem to the Human Resources Director.

(b) Chain of Command. All employees are required to follow the chain of command, with no exceptions. The chain of command consists of and is limited to the following:

(1) Supervisor

(2) Director

(3) Human Resources Director

(4) Executive Director

(c) Open Communication Policy. The LCO Day Care supports open lines of communication between employees, which assures all employees concerns will be heard and considered. It is the belief and commitment of the LCO Day Care to maintain direct lines of communication and good working relationships with all employees. Problems arise in all workplaces and this process is designated to identify and correct those problems and issues in a fair, equitable and timely manner. It should be noted that not all problems or issues will have an outcome that all parties agree with but in no circumstances will insubordinate behavior or communications be tolerated.

Subchapter PAP.22.10 Disciplinary Action and Appeal

PAP.22.10.010 Consent

The Appeals Procedure constitutes a contract between the LCO Day Care and the employee and establishes the framework under which employees may appeal disciplinary action imposed under this subchapter or employment claims, provided no employee can appeal any disciplinary action based on activity that results in an arrest and conviction. In addition, regarding employment claims, it is important to note that nothing in this personnel policy and procedural manual shall be construed as the LCO Day Care consenting to application of any law or waiving applicable defenses, including the defense that the subject law does not apply to the LCO Day Care.

PAP.22.10.020 Grounds for Disciplinary Action

(a) Employees shall perform assigned duties at or above satisfactory levels; they shall follow standards of workplace behavior contained in this manual and comply strictly with all applicable laws, rules, and regulations. A system of progressive discipline will be utilized, when appropriate, to afford employees an opportunity to correct behavior. Therefore, verbal and written warnings are utilized as a corrective action tool and will not be subject to the appeal procedures.

(b) An employee may be suspended for any conduct which results in an arrest, pending the determination of the LCO Day Care Director of the seriousness of the offense. Conduct by an employee which results in a felony arrest and/or felony conviction as defined under state and federal law will result in termination.

(c) The LCO Day Care reserves the right to impose discipline for any of the actions listed in this section; such action may include a verbal warning, a write-up, suspension and /or termination:

(1) Incompetence;

(2) Neglect of duty;

(3) Insubordination;

(4) Refusal to work;

(5) Willful misconduct;

(6) Any habitual noncompliance with DCF 251 regulations;

(7) False representation in conjunction with job performance;

(8) Intoxication or use of intoxicants during working hours;

(9) Failure to pass a drug screen;

(10) Conviction of any felony either in performance of job duties, or in private affairs;

(11) Proven allegations of child abuse, neglect, or endangerment;

(12) Negligence or willful damage to tribal property;

(13) Discourteous treatment of the public or fellow employees during working hours;

(14) Job performance which results in serious harm to the employee's program;

(15) Failure to properly report to work on time;

(16) Unauthorized disclosure of confidential information;

(17) Conflict of interest;

(18) Theft;

(19) Falsification of timecards;

(20) Willful violation of any Tribal law, rule, regulations, or any deliberate action that is detrimental to the LCO Day Care or Tribe;

(21) Willful violation of security or safety rules;

(22) Negligence or any careless action which endangers the life or safety of another person;

(23) Unauthorized possession of dangerous or illegal firearms, weapons, or explosives on the LCO Day Care's property or while on duty;

(24) Engaging in criminal conduct or acts of violence, or making threats of violence toward anyone on the LCO Day Care's premises or when representing the LCO Day Care;

(25) Provoking a fight on LCO Day Care or Tribal property;

(26) Refusing to obey instructions properly issued by Management;

(27) Refusing to help out on a special assignment;

(28) Threatening, intimidating, or coercing fellow employees on or off the premises – at any time, for any purpose;

(29) Dishonesty; willful falsification or misrepresentation on the application for employment or other work records; falsifying other data requested by the LCO Day Care;

(30) Giving confidential or proprietary Tribal information to competitors, other organizations, the general public, or to unauthorized employees; working for a competing business while still employed by the LCO Day Care, breach of confidentiality of personnel information;

(31) Malicious gossip and/or spreading rumors; engaging in behavior designed to create discord and lack of harmony; interfering with another employee on the job;

(32) Poor work performance;

(33) Leaving work before the end of a workday or not being ready to work at the start of a workday without approval of Management; stopping work before time specified for such purposes, unless authorized by law;

(34) Any violation of the Telephone and Internet policy.

PAP.22.10.030 Types of Disciplinary Actions

(a) Employees must perform assigned duties at or above satisfactory levels, follow standards of workplace behavior contained in this personnel policy and procedural manual and comply strictly with all applicable laws, rules and regulations. A system of progressive discipline will be utilized, when appropriate, to afford employees an opportunity to correct behavior, however some personnel infractions are severe enough to impose any of the below-mentioned disciplinary actions, up to and including termination. Disciplinary actions may be handled in any manner deemed appropriate by the LCO Day Care. This may include, but is not limited to, the following:

(1) Employee Warning.

(A) An employee may receive a verbal or written warning from their supervisor to rectify behavior which requires disciplinary action.

(B) The supervisor shall discuss with the employee the seriousness of the problem and the possible consequences of a failure to correct the problem. The supervisor shall review applicable policies and will document the meeting.

(C) The LCO Day Care, shall maintain all employee warnings in an employee's personnel file in the event that further progressive discipline is necessary.

(2) Suspension.

(A) An employee may be recommended for suspension by their supervisor when the employee's behavior warrants such disciplinary action. All suspensions are without pay.

(B) Upon return from suspension, the supervisor shall meet with an employee regarding the nature of the problem. A corrective action plan may be developed with the employee including specific timelines for completion.

(C) The LCO Day Care, shall document all suspensions and maintain all corrective action plans in the employee's personnel file in the event that further progressive discipline is necessary.

(3) Probationary Period in lieu of Termination.

(A) In lieu of termination an employee may be placed on a probationary period for a serious violation of this personnel policy and procedural manual, as recommended by the supervisor. If during this period an employee has not shown improvement or adequately addressed the issues surrounding the probationary period in lieu of termination the supervisor may recommend the termination of the employee's employment.

(C) At the end of the probationary period pursuant to this section, the supervisor shall prepare a written performance evaluation and discuss with the employee the problem causing the probationary period as well as the employee's overall job performance.

(D) The LCO Day Care, shall document all probationary periods pursuant to this section and maintain all written performance evaluations pertaining to this section in the employee's personnel file in the event that further progressive discipline is necessary.

(4) Termination.

(B) The Director shall document all terminations and provide a copy of all documentation to the Human Resources designee.

(b) The LCO Day Care retains the sole discretion to determine what behavior warrants disciplinary action and what type of disciplinary action will be imposed. The LCO Daycare reserves the right to terminate employees at any time for any reason that does not violate applicable law with or without notice and with or without prior resort to other means of discipline.

PAP.22.10.040 Disciplinary Action Appeal Procedure

(a) Appeal Policy.

(1) It is the policy of the Tribe to ensure fair and equitable treatment for all employees. Therefore, the Tribe hereby issues a waiver of its sovereign immunity pursuant to Section TCT.1.3.010 to all non-contracted employees for the limited purpose of appealing in Tribal Court as detailed in this section, any suspension or termination received by an employee pursuant Section PAP.1.12.020 of this manual. Probationary employees may appeal a termination. Verbal and written warnings are corrective action tools and thus are not subject to appeal.

(b) Appeal Procedures. A formal appeal will be filed and processed in the manner described below, except that time limits may be waived or extended by written mutual consent of the parties involved.

(1) Appeal. The employee will submit a written statement detailing the issue being appealed within five (5) working days of receiving a suspension or termination pursuant to Section PAP.22.10.020 of this manual directly to the LCO Tribal Court. An employee's failure to file an appeal within the specified time period will be considered a waiver of the formal appeal procedure and the disciplinary action will be final.

(2) If at any time during the process the employee and the employee's supervisor are able to agree on a solution to the appeal filed, they may submit a joint statement outlining the acceptable terms to the LCO Day Care Director. If the terms are approved by the LCO Day Care Director, then the matter is settled with copies provided to the employee and the supervisor with a copy retained by the LCO Day Care Director.

(1) Scheduling of Hearings.

(A) The employment may appeal to the employment decision directly to the Tribal Court and request an initial hearing within three days of receiving the suspension or termination.

(C) The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals by the Tribal Court. The Human Resource Director, LCO Day Care Director, or designee, shall provide the Lac Courte Oreilles Office of the Attorney General with the entire record of the grievance and all information submitted in connection to the appeal.

(D) All employees requested to testify at an employment appeal hearing, shall attend the hearing when directed by the Human Resource Director, or designee. Failure to appear may result in a monetary fine or disciplinary action or both. The LCO Day Care recognizes that some employees possess official immunity and may not be compelled to testify.

(2) Tribal Court Hearings. The Tribal Court shall conduct an employment appeal hearing pursuant to the provisions of this section. Any reliance by the Tribal Court upon the provisions of Chapter TCT.2 of the LCOTCL – Court and Civil Procedure Code shall be secondary to the provisions of this ordinance.

(A) The Tribal Court shall schedule an initial appearance within thirty (30) days of the filing, at which time the LCO Day Care shall enter its initial plea, the Tribal Court shall set forth a scheduling order pursuant to Section TCT.2.9.050 and shall schedule a trial date pursuant to Section TCT.2.10.010. The initial trial date shall be scheduled within sixty (60) days of the filing.

(B) the Trial shall be conducted pursuant to Subchapter TCT.2.10.

(C) The Tribal Court shall determine, by a preponderance of the evidence, whether the LCO Day Care reasonably believed that the employee committed any of the policy violation(s) upon which the discipline was based and whether the employer followed the appropriate procedural steps established in Section PAP.22.10.020 of this manual.

(i) The Tribal Court is required to defer to interpretations of this ordinance as made by the LCO Day Care [pursuant to the Chevron Doctrine] unless such interpretations are unreasonable. An action determined to be unreasonable shall be established by clear and convincing evidence.

(D) If the Tribal Court determines that the employer had a reasonable basis to believe that it met the burden of proof regarding any of the violations and the appropriate procedural steps established in Section PAP.22.10.020 of this manual were followed, it shall uphold the decision of the employer; and shall uphold all disciplinary measures taken without substituting its judgment for that of the employer.

(E) If the Tribal Court determines that the employer did not have a reasonable basis to believe that it met the burden of proof regarding any of the violations and procedural steps established in Section PAP.22.10.020 of this manual, it shall overturn the decision of the employer and order that the employee's personnel file reflect such decision conditioned on the following:

(i) Any award of back wages or other benefits that may have been withheld from the employee shall be limited to ninety (90) days;

(ii) No attorney's fees may be awarded as established in Section TCT.2.11.060.

(iv) The employee has a duty to mitigate any award of back wages by attempting to retain other employment. In order to provide proof of mitigation, the employee shall provide evidence to the Tribal Court that the employee has applied for at least one (1) equivalent position per week.

(v) The employee is not guaranteed restoration to his or her previous position. Such reinstatement shall occur at the discretion of the LCO Day Care. If the LCO Day Care restores the employee to his or her previous position, the Human Resource Director shall meet with the employee and the department head or director and develop a work reinstatement plan including specific timelines and tasks for reintroduction into the workforce.

(F) The Tribal Court may issue its decision orally immediately. In all cases it shall issue a written decision within forty-five (45) days as established by Section TCT.2.11.040 and shall provide the parties with notice thereof. If the Tribal Court does not issue a written decision within forty-five (45) days, it is presumed that the Tribal Court has determined that the employer had a reasonable basis to believe that it met the burden of proof and as a result the action of the employer shall be upheld. The written decision shall include findings of fact, a conclusion regarding each violation, and any money judgments as conditioned in Section PAP.22.10.040(e)(2)(E), above. The decision shall be provided to each party by first-class mail to the person's last known address; electronic mail to the party and to the party's attorney or lay advocate who has filed a notice of appearance in the action; or by delivery to such person, the person's home, or the person's office.

(G) If either party disagrees with the decision of the Tribal Court, that party may appeal the decision to the Court of Appeals by filing a notice of appeal within ten (10) working days of the party's receipt of the decision. The filing of an appeal by the employer shall stay any action, pending resolution of the appeal by the Court of Appeals. Failure to abide by the timeline stated in this section shall be deemed a waiver of the disciplinary appeal and the Tribal Court's decision shall be deemed as final. A Clerk of Court shall submit to the Court of Appeals the record of the employment appeal hearing within five (5) working days of receiving a copy of the notice of appeal. The Lac Courte Oreilles Office of the Attorney General shall be notified of all appeals of a Tribal Court decision pursuant to the methods established in Section PAP.22.10.040(c)(2)(F) above.

(3) Court of Appeals Hearings. Either party may request a review of the Tribal Court's decision by the Lac Courte Oreilles Court of Appeals. The Court of Appeals review shall be limited to the information presented to the Tribal Court and the limited review is to determine whether the Tribal Court committed a clear error. If the Court of Appeals finds any clear errors in the decision of the Tribal Court, it shall overturn the decision and may remand the matter back the Tribal Court for further review consistent with the Court of Appeals findings.

(A) The Court of Appeals shall have the discretion to decide whether to schedule an oral argument pertaining to an employment appeal.

(B) The Court of Appeals may issue a decision without an oral argument after reviewing the decision of the Tribal Court and the evidence submitted during the grievance and appeal processes.

(D) If the Court of Appeals determines that the Tribal Court committed a clear error, regarding any of the violations and procedural steps established in Section PAP.22.10.020 of this manual, it shall overturn the decision of the Tribal Court and may remand the matter back the Tribal Court for further review consistent with the Court of Appeals findings

(E) If the Court of Appeals determines that the Tribal Court did not commit a clear error(s) regarding any of the violations and the procedural steps established in Section PAP.22.10.020 of this manual, it shall uphold the decision of the Tribal Court.

Subchapter PAP.22.11 Miscellaneous Employee Procedures

PAP.22.11.010 Mandated Reporting

(a) Mandated Reporters. All LCO Day Care Employees shall be considered Mandated Reporters.

(b) Reporting Law Provisions.

(1) A mandated reporter shall make a report when:

(A) The reporter has reasonable cause to suspect that abuse or neglect has occurred; or

(B) The reporter has a reason to believe that abuse or neglect has been threatened and will occur.

(2) The reporter's suspicion or belief comes from information obtained from having seen the child in the course of doing professional duties.

(3) Anyone may make a report at any time.

(4) No one making a report may be fired from his or her job for making the report.

(5) A mandated reporter's intentional failure to report shall result in disciplinary action.

(7) Good faith reporters have immunity from civil and criminal liability that results from the report.

(1) Physical Abuse. Physical injury inflicted on a child by other than accidental means reasonable punishment of a child by a parent is not physical abuse even if it includes corporal punishment. However, punishment whose reasonably foreseeable outcome is or could be the child's serious physical injury is not reasonable and should be reported.

(2) Sexual Abuse. Sexual intercourse or sexual contact with a child under eighteen (18), sexual assault or sexual exploitation of a child, allowing the prostitution of a child, or a child's forced viewing of sexual activity.

(3) Emotional Abuse. Emotional abuse is not defined, but criteria for inferring its presence are given. This is called emotional damage. Emotional damage shall be harm to a child's psychological or intellectual functioning.

(d) For details and additional information on mandated reporting consult the Human Resource Director, or LCO Day Care Director.

PAP.22.11.020 Cultural Involvement and Responsibilities

All employees shall be supportive of the mission, philosophy, concept, policies, and procedures of the LCO Day Care.

(a) Assemblies. On the first morning of the week there is a LCO Day Care-wide assembly. All teachers, paraprofessionals and support staff shall be in attendance and on time to participate and supervise when their schedules permit.

(b) Powwows. During the course of the year there are many powwows that staff, unless pre-excused, are required to attend.

(1) Student powwows. All teaching, paraprofessional and support staff is required to attend and supervise all student pow wows during the LCO Day Care year.

(2) Veteran's Powwow. Staff is required to sign up and work predetermined hours on Veteran's Day for the Veteran's Powwow.

(c) Graduation Celebration. Staff is required to sign up and work predetermined hours during the end-of-the-year graduation celebration.

(d) Staff, unless pre-excused, are required to attend Ojibwe Language classes when offered at the LCO Day Care.

(e) Staff is required to participate in on-going cultural awareness activities.

PAP.22.11.030 LCO Day Care Safety and Threats

In the event of natural or manmade occurrences there shall be times when specific procedures should be followed. These procedures shall be followed accurately and immediately. These may include: tornadoes, armed or unarmed intruders, bomb threats, fires, riots, etc.

(a) You are responsible to attend specific training during the pre-service at the start of each LCO Day Care year. If, for any reason, you cannot attend this training, you are responsible to acquire the necessary information.

(b) You are responsible to maintain confidentiality regarding codes, protocols and procedures obtained at this training. Drills are scheduled throughout the year to practice appropriate responses.

(c) During drills and crisis situations you are to remain off all communication devices as communication shall be left open during these situations.

PAP.22.11.040 General Staff Responsibilities

Procedures shall be followed and proper documents shall be submitted to assure compliance with all governing bodies.

(a) Laptops. If you are assigned a laptop, you are responsible for the control, security, and use of this tool.

(b) Staff Meetings and In-service. Attendance at these activities is required by all staff unless prior arrangements are made.

(c) LCO Day Care Property. All LCO Day Care property under your control (i.e., computers, cameras, printers, palm pilots, etc.) is your responsibility. If stolen, broken, or lost, report immediately to the proper authorities or immediate supervisor. You may be liable for the replacement of such items.