CHAPTER 19

ADMINISTRATION OPERATING PROCEDURES

SECTION I. GENERAL.

A. Purpose. The Oglala Sioux Tribal Council, as evidenced by Resolution No. 61-9, recognizes the need for establishing Administrative Operating Procedures to assist in managing and conducting its affairs in a businesslike manner. It is the purpose of these procedures to establish such procedures.

B . Responsibility. It shall be the responsibility of the Tribal Council, its members, the Executive Committee, and all Tribal officials and employees to adhere to these procedures and to recommend changes and improvements in these procedures for consideration of the Tribal Council.

C. Maintenance. Each member of the Executive Committee, as well as key Tribal officials and employees, shall maintain a copy of these procedures, preferably in loose-leaf binder to facilitate filing changes to the procedures. The Executive Committee through the Tribal Secretary will issue changes or additions to these procedures when authorized by Tribal Council Resolution. Each changed paragraph or sub-paragraph will be followed by a number authorizing the change.

SECTION II. ORGANIZATION AND RESPONSIBILITIES.

A . Executive Committee .

(1) Meetings. The Executive Committee shall hold regular meetings beginning at 1:00 p.m. on Wednesday of each week, except when the Tribal Council is in session, in the office of the President of the Tribal Council at Pine Ridge, South Dakota, or such other place as the President may designate. The President, or in his absence, the Vice-President shall preside at all meetings . In addition to the regular meetings, the President may, by personal communication to each member of the Executive Committee, call special meetings of the Executive Committee at twenty-four (24) hours' notice, provided that this requirement of notice may be waived with the consent of all members of the Executive Committee. Action taken by the Executive Committee at informal meetings not duly called by the President shall be invalid.

(2) Quorum. A quorum shall consist of three (3) members and no acts of the Executive Committee shall be official at anytime a quorum is not present.

(3) Resolutions, Motions, Minutes. All financial transactions acted upon by the Executive Committee, as well as other major actions as determined by the Committee, shall be by resolution, prepared by the Secretary in writing, but minor matters and those not of a financial nature, may be disposed of by motions. Minutes of each meeting of the Executive Committee will be read at the subsequent meeting for approval of the Committee. The Secretary shall maintain a book of minutes of meetings of the Executive Committee to be available at all reasonable times to its members. Copies of all resolutions shall be in written form and shall be presented to the Tribal Council and the Superintendent .

(4) Responsibilities. In addition to the duties provided for in the Tribal Constitution and By-laws, the Tribal Executive Committee shall be responsible for the following duties, but it may, if it chooses, delegate specific responsibilities to its officers by written delegations of authority and may withdraw such delegations if it chooses.

(a) Tribal Budgets. Under Tribal regulations, the Executive Committee shall assume primary supervisory responsibility over the Finance Officer for preparation, execution, and management of approved Tribal Council budgets and assure itself that officers and employees charged with the responsibility of managing Tribal programs and enterprises are carrying the Tribal Council and with efficiency. No budget amendment shall be authorized without first securing the approval of the Tribal Council.

(b) Tribal Property. Under Tribal regulations, the Executive Committee shall have full and complete authority and share the responsibility with the Finance Officer for the safeguarding, insuring, and use of all Tribal property and for assuming primary responsibility for accountability records even through such property may be assigned to a particular program or project and to prevent all unauthorized usage of Tribal property.

(c) Conduct of Tribal Officers in Management of Tribal Business. The Chairman shall assume primary responsibility for the conduct of all Tribal officers or committees in the management of Tribal business and if an officer is in gross violation of his duties or fails to carry out assigned responsibilities, the Chairman shall be empowered to suspend such officer without pay and shall prepare written charges for presentation to the Tribal Council together with a notice to the officer of his right to defend himself before the Council. The action of the Tribal Council shall be final. The Executive Committee shall, during a period of suspension, provide for the continuation of Tribal business by temporary appointment of such an officer.

B. Officers.

(1) President, Secretary and Treasurer. In addition to the authorities provided for in the Constitution and By-laws and by special delegations from the Tribal Council, the Executive Committee within its assigned duties shall delegate that part of its routine day-to-day duties as may best be carried on by each officer. The Executive Committee may revoke such delegations at any time.

(2) Regular Tours of Duty. All officers shall perform their assignments at prescribed places of duty and shall be expected to maintain regular tours of duty as prescribed by the Executive Committee. No officer may be absent form his tour of duty unless on authorized leave or for absences approved by the President.

(3) Standards of Performance. The Executive Committee shall prepare a written standard of performance for each officer so that deadlines, detailed responsibilities, and supervisory responsibilities of each officer will be clearly defined. However, no Constitutional responsibility of an officer may be amended or changed, but the manner of its performance may be defined.

SECTION III. BUDGETING AND PROGRAMMING.

A. Budget and Development.

(1) Budget Call. Approximately ninety (90) days in advance of the beginning of the fiscal year, the Finance Officer shall call on program officials to submit estimate of funds required for the ensuing fiscal year.

(2) Format. The Finance Officer shall prescribe the form in which the estimates are to be submitted and the details required. Each estimate shall show the amount of funds required for salaries with a listing of the positions and rates of pay. In addition, the estimates shall be itemized by other major elements of cost or budget classifications. An explanation or justification for each major budget classification shall be attached to the budget estimate. In addition, an itemized estimate of anticipated income will be submitted.

(3) Consolidation. The Finance Officer will consolidate the individual budget estimates into one budget document, prepare justifications, present the consolidated budget document to the Executive Committee for review, and assist the Executive Committee presenting the budget estimate to the Tribal Council for approval prior to July 1, of each year.

(4) Fiscal Year. The fiscal year shall be from July f to June 30.

B. Budget Execution.

(1) Control Records. Upon approval of the Budget by the Tribal Council, the Finance Officer shall work with the operating officials in developing a financial plan for the year. The plan shall be in such detail as is useful to the program official and shall show by fiscal quarters the expected rate of expenditure. The Finance Officer shall establish adequate budgetary control records to reflect the amounts authorized for each major budget classification, the amounts expended, and the unexpended balances.

(2) Reports. Monthly reports shall be prepared and submitted to the operating officials, the Executive Committee and the Superintendent showing actual expenditures in relation to the financial plan. Explanatory comments shall be included to explain major deviations. Special fund status reports will be prepared as the need arises. Reports to be made by Treasurer custodian of funds.

(3) Program Adjustment. Program officials, or the Executive Committee, will initiate action when necessary to curtail or adjust program operations to avoid expenditures in excess of budget authorizations.

(4) Contingencies and Reserves. Budget estimates shall include a limited amount to cover contingencies and miscellaneous expenses of an unforeseen nature. Also, wise and sensible financial management dictates that not all Tribal funds be budgeted for expenditure. The Finance Officer shall recommend to the Executive Committee for consideration of the Tribal Council that a stipulated amount be reserved for future use which shall not be expended for any purpose without the approval of the Tribal Council.

(5) Responsibility. Operating officials are responsible for adhering to the approved budget and financial programs. They shall obtain from the Finance Officer at any time, any fiscal information needed to keep them informed of program expenditures. Operating officials, in cooperation with the Finance Officer, may make adjustments between quarters in their programs. However, expenditures under major budget classifications may not exceed the amounts authorized without the approval of the Executive Committee and the Executive Committee may not authorize expenditures in excess of ten percent within major budget classifications without the approval of the Tribal Council, provided, that in no case may the total budget be exceeded . Any major changes in the budget program for the fiscal year shall be submitted for consideration of the Tribal Council. The Finance Officer may receive reports from the Treasurer to work with.

C. Revised Budgets.

(1) Development. When major budget revisions are necessary, they shall be developed by the operating official and the Finance Officer for Executive Committee review and Tribal Council approval.

(2) Format. The format shall show by item the original budget, the revised budget, and the net change. A narrative explanation shall accompany the revision.

(3) Revised Financial Plan. The financial plan by fiscal quarters shall be revised to conform to the revised budget.

D. Exceeding Budget Estimates.

(1) Penalty. In any instance where an operating official exceeds his budget to such an extent that the financial affairs of the Tribe are jeopardized, he shall be suspended by the Executive Committee until the matter can be presented to the Tribal Council at its next meeting. The Finance Officer shall be the one to recommend action be taken.

(2) Notice. The Treasurer shall inform each Tribal official or employee having authority to commit Tribal funds of the above penalty provisions.

SECTION IV. ACCOUNTING AND FINANCIAL MANAGEMENT.

A. Manual of Accounts.

(1) Chart of Accounts, General Ledger and Operating. (To be developed. by auditors . )

(2) Definition of Accounts. (To be developed by auditors.)

(3) Illustrative Entries. (To be developed by auditors.)

(4) Books and Journals. (Maintain records by program activities, such as Building and Supply Services, Well Drilling, in order to determine whether profitable, to be developed by auditors.)

(5) Reports. (Titles, due dates, format, etc., to be developed by auditors.)

B. Payroll.

(1) Time and Attendance Reports. Time and Attendance Reports, shall be maintained currently for each Tribal official and employee showing the time worked, absences, leave, and other supporting information to support payroll vouchers, certified by a timekeeper and approved by the Tribal Treasurer.

(2) Deductions. Payroll vouchers will be prepared to show gross salary earnings, deductions for bonds, rents, and other deductions authorized by the Executive Committee.

(3) Employee Earning Records. Individual Employee Earning Records shall be maintained to show cumulative records of earnings and deductions applicable to each Tribal official and employee.

(4) Leave Records. Annual and Sick leave records shall be maintained by the Finance Office to show the current status of all leave earned and used by each Tribal official and employee.

(5) Payroll Periods. Payroll periods shall be based on a bi-weekly schedule. To determine the gross amount to be paid for each payroll period, divide the annual salary by 26. To compute the salary for one hour, divide the annual salary by 2.080. Each payroll will be for a full bi-weekly period and partial payments will be prohibited. In no instance will payrolls be paid prior to the first Thursday after the close of the pay period.

(6) Salary Advances. In no instance will cash salary advances be made to Tribal officials or employees.

(7) Assignment of Wages. No Tribal official or employee will assign his salary or wages during his term of office or employment without the approval of the Executive Committee at a duly called and convened meeting of the Committee.

(8) Salary Checks. Salary checks will be distributed to employee or mailed to a designated address.

C. Travel.

(1) Authorization. Travel authorizations approved by the Tribal President or Acting President shall be issued in advance for all travel to be performed by Tribal officials and employees. Such authorizations shall include dates of travel, mileage rate, and related information. Each travel authorization shall be signed by the Treasurer to assure conformance with the approved budget and shall be approved by the President or the Acting President of the Executive Committee.

(2) Cash Advances. Travel advances may be made in amounts not exceeding the estimated amount of per diem to be earned by the traveler. In instances where the trip is of less duration than originally estimated, excess amounts advanced shall be refunded to the Tribe by the traveler. The Finance Officer shall maintain accounting records of all travel advances.

(3) Per Diem. The per diem rate shall not exceed those rates established by the approved annual budget, computed on the basis of quarter days or fractions thereof . Lesser amounts of per diem shall be authorized by the Executive Committee in instances when the maximum per diem is not actually required. Per Diem rates for periods of travel of less than twenty-four (24) hours shall be at one-half the established rate.

(4) Mileage. The mileage rate for use of a personally owned automobile on authorized travel shall not exceed those rates established by the approved annual budget or such lesser amounts as may be determined by the Executive Committee, based on mileage distances shown on standard highway mileage guides. Mileage shall be payable to only the operator of the vehicle. One vehicle shall be used when possible, consolidating travelers. Tribal-owned vehicles shall be used, if available, before use of a private-owned vehicle can be authorized .

(5) Certified Statement of Travel Expenses. Within ten (10) days after completion of any travel which has been duly authorized, the traveler will file with the Finance Officer a certified statement of travel performed on a voucher form. This statement will be attached to the payment voucher to support payment of travel expenses. This statement will be required even though a cash advance may have been made and failure to file such a statement will be sufficient cause for appropriate action against the traveler as determined by the Executive Committee. The Tribal Treasurer shall certify all travel vouchers as to amounts authorized for payment in accordance with Tribal regulations .

(6) Definitions of Travel Status. In computing per diem to be paid while in a travel status, the calendar day (midnight to midnight) will be the unit, and for fractional parts of a day at the commencement or ending of such travel, constituting a travel period, one-fourth of the rate for a calendar day will be allowed for each period of six (6) hours or fractions thereof. Officers and employees will not be considered to be in travel status for per diem purposes when traveling in local areas to be determined by the Executive Committee. For travel of less than twenty-four (24) hours, an officer or employee must be away from their duty station for more than ten (10) hours or leave before 6:00 a.m. or arrive after 8:00 p.m. and be gone more than six (6) hours. Payment will be based upon one-fourth days. The total time in travel status will be divided by six to determine quarter days.

(7) Transportation. In instances where a personally-owned automobile is not used and it is necessary-to travel by means of a commercial carrier, the traveler may be reimbursed for the actual amount required based upon actual transportation rates to be obtained or verified by the Treasurer.

D. Internal Controls.

(1) Documentation.

(a) Sales.

1. Charge sales of Tribal products will be made within the maximum amount authorized by Tribal Executive Committee resolution for each enterprise, program or department .

2. Cash sales of Tribal products will be made by a bonded Tribal employee.

3. Sales invoices shall be used for all sales, charges or cash, prepared in triplicate. The original copy will be given to the purchaser; the second copy will be forwarded to the Tribal Treasurer, with Schedule of Collection, if cash, for proper posting in accounting records; the third copy is to be retained by the sales person for accountability.

4. The Accounting Section will retain the second copy as a supporting document for their posting.

(b) Purchases - Also see Section VII, Procurement. for authority and procedure of procurement.

1. Purchase order will be prepared in four copies: No 1 - Vendor's Copy; No. 2 - P.O. Numerical File; No. 3 - Accounting copy; and No. 4 - R.R. copy.

2. No. 1 copy will be forwarded directly to the vendor upon approval by the proper Tribal official.

3. No. 2 copy will be placed in the Purchasing Officer's numerical file as a permanent record.

4. No. 3 copy will be utilized by the Accounting Section as a source document for posting to the accounting records .

5. No. 4 copy, after approval of purchase will be returned to the requesting department for their notification of purchase. This copy is also to be used as the R.R. copy. (See Sec. IV D (1) (g) ).

(c) Fines and Assessments are indicated by the Tribal Law and Order Code. That document should be consulted in this respect . Procedure for collection of this item is covered by Section IV D (1) (d).

(d) Collections. All Tribal funds collected in behalf of-the Tribe shall be receipted for by a bonded employee. Pre-numbered receipts are to be used for all funds so collected. The Tribal Treasurer shall be responsible for accountability of all receipt forms .

1. The Tribal Treasurer shall assign, by block numbers, receipt forms to each authorized and bonded Tribal collection officer or employee. Each assignment shall be by signature of the person receiving the forms .

2. The bonded collection official or employee shall cause a receipt to be issued immediately upon collection of any funds.

3. Receipts shall be prepared in an original and three (3) carbon copies and disposed of as follows

a. No. 1 Copy (original) shall be given to the payor at the time of collection of funds.

b. No. 2 and 3 copies are to be attached to the original form of Schedule of Collections and forwarded to the Tribal Treasurer who shall receipt for the funds on the duplicate copy of the Schedule of Collection and return the copy to the collection officer. The Tribal Treasurer shall forward the No. 2 copy to the Accounting Section as a source document for the ledger entries. The No. 3 copy shall be maintained by the Treasurer's Office in a numerical file to assure that all receipt forms are accounted for.

c. The No. 4 copy shall be forwarded to the activity which the collection was receipted for by the Tribal Treasurer for their information.

d. Schedule of Collections - Schedules of Collection shall be prepared by the collection officer or employee in triplicate and disposed of as follows:

(i) Original and first copy forwarded to the Tribal Treasurer with cash, check, money order, etc., at 1 p.m. each working day together with those copies of receipts as indicated in IV D(1) (d) (3) . The Tribal Treasurer will receipt for the collection by executing the receipt certificate at the bottom of the schedule and return the copy to the collecting official. The original schedule shall be utilized by the Tribal Treasurer for control purposes.

(e) Depository. The Tribal Treasurers will each day upon receipt of cash receipt from the collection officials deposit all Tribal funds so receipted into the official depository of the Tribe by 3:00 p.m. of each day.

1. The receipted funds from the various collectors shall be accounted for by the Tribal Treasurer. A depository form shall be prepared listing all cash, checks, money orders that are to be deposited. This depository form shall equal the sum of the amount listed on the Schedule of Collection from the collection officials each day.

2 . The depository form shall be prepared in triplicate and disposed of as follows:

a. The original and first copy shall be transmitted to the depository, who shall receipt upon the form for the funds received and return the first copy to the Tribal Treasurer who shall keep the form in numerical file. The original to be retained by the depository.

b. The second copy shall be given to the Accounting Section for source document entries.

SECTION V. PERSONNEL.

A. Tribal Personnel Board. The Tribal Personnel Board shall consist of the Finance Officer and two (2) other members selected by the Tribal Council who are not members of the Executive Committee or the Tribal Council. Each incoming Tribal Council shall appoint the two members of the Personnel Board to serve the same term as the Tribal Council. The Tribal Personnel Board shall name one of its three members as Chairman.

(1) Status and Expense. Except for the Finance Officer, members of the Board shall not be considered as Tribal officials or employees but shall be paid per diem and mileage when required to perform their functions, on the same basis as Tribal employees are reimbursed.

(2) Function. The Tribal Personnel Board shall screen candidates for a Tribal position as requested by the Executive Committee and recommend to the Executive Committee one of the best qualified candidates according to the established qualification standards . The Tribal Personnel Board will not have the authority for the appointment of those persons who are elected or appointed under the provisions of the Tribal Constitution and By-laws or the Tribal Law and Order Code, as amended. However, such limitation of appointing authority does not

(3) Record. The Board shall maintain a written record of its actions to be filed in the Finance Officer's office. The individual voting record of each Board Member is to be confidential and will not be recorded in the official Board actions.

B. Establishment of Positions. All permanent and temporary positions will be subject to establishment by the Tribal Council except that the Executive Committee is authorized to establish temporary positions for a period not to exceed ninety (90) days. The authority to establish Tribal positions includes the responsibility to prescribe the salary or wages to be paid. No position will be established unless salary funds are available within the approved budget.

(1) Definitions. Permanent positions are defined- as those which are of a continuous duration exceeding one (1) year and which are budgeted for annually. The may be full-time, part-time or intermittent. Temporary positions are defined as those which do not exceed one (1) year duration. They may be full-time, part-time, or intermittent.

(2) Job Sheets. All permanent or temporary positions shall be supported by written description of duties to be performed. Job sheets shall be approved before the position may be established and filled and shall include:

(a) Position title, number, duration and type.

(b) Rate of pay.

(d) Positions to be supervised, if any.

(e) Amount of bond required, if any.

(f) Description of duties.

(g) Date and certification of approval by Executive Committee.

C. Qualification Standards. The Executive Committee shall be responsible for each Tribal position or class of positions; such standards to be subject to review and approval by the Tribal Council. In addition to education experience, health and other qualifications, only qualified members of the Oglala Sioux Tribe shall be eligible for appointment as Tribal employees, except that in emergency situations, when no qualified Tribal member is available, a qualified non-member may be appointed subject to review by the Tribal Council.

Each written qualification standard shall contain the date and certification of approval by the Tribal Council and be maintained in a file in the Finance Officer's office.

D. Recruitment.

(1) Advertising. All positions exceeding ninety days duration shall be advertised in public places throughout the Reservation for at least two weeks. The same procedure may be applied to temporary positions not exceeding ninety days at the discretion of the Executive Committee.

(a) Method. Vacancies shall be advertised by written announcements containing minimum information, as follows:

1. Announcement number.

2. Opening and closing date.

3. Position number, title and salary.

4. Summary of job duties.

5. Summary of qualification requirements.

6. Form of application (Form 57 or 60, or other written form).

7. Where to file.

(2) Applications. Non-selected or unqualified applicants will be notified in writing with return of their applications . The successful applicants will be notified and their applications retained in a personnel file.

E. Appointments. All appointments, permanent or temporary, shall be executed by Employment Contract .

(1) Permanent Positions. Appointments to permanent positions shall be made by the Executive Committee subject to review by the Tribal Council at its next Council meeting. Permanent appointment contract shall include a probationary period of six (6) months .

(2) Temporary Positions. Temporary appointments shall be limited to not exceeding one (1) year and shall be made by the Executive Committee .

(3) Employment Contracts. Each employee shall execute an employment contract which shall be subject to review by the Tribal Council at its next regular meeting. As a minimum, the employment contract shall include, but need not be limited to the following:

(a) Duties. A brief statement of the duties performed. A more detailed statement of duties will be contained in a separate position description.

(b) Work location. The place of work should be specified.

3. Position number, title. and salary.

4. Summary of job duties.

5. Summary of qualification requirements.

6. Form of application (Form 57 or 60, or other written form).

7. Where to file application.

(2) Applications. Non-selected or unqualified applicants will be notified in writing with return of their applications. The successful applicants will be notified and their applications retained in a personnel file .

E. Appointments. All appointments, permanent or temporary, shall be executed by Employment Contract .

(1) Permanent Positions . Appointments to permanent positions shall be made by the _ Executive Committee subject to review by the Tribal Council of its next Council meeting. Permanent appointment contract shall include a probationary period of six (6) months.

(2) Temporary Positions . Temporary appointments shall be limited to not exceeding one (1) year and shall be made by the Executive Committee.

(3) Employment Contracts . Each employee shall execute an employment contract which shall be subject to review by the Tribal Council at its next regular meeting. As a minimum, the employment contract shall include, but need not be limited to the following:

(a) Duties. A brief statement of the duties performed. A more detailed statement of duties will be contained in a separate position description.

(b) Work Location. The place of work should be specified.

(d) Salary. The hourly, daily, weekly, monthly, or annual salary shall be specified.

(e) Hours of Duty. The actual hours during which work is to be performed should be specified (See Section J.)

(f) Supervision. A specific supervisor should be designated.

(g) Bond. If an employee is to furnish a fidelity bond, the amount shall be stated .

(h) Other Activities. Employees, as distinguished from elected officials shall be prohibited from engaging in Tribal political activities or in other activities which would interfere with proper conduct of business of the Tribe.

(i) Assignment of Wages. A prohibition against assignment of wages without the consent of the Executive Committee.

(j) Administrative Procedures. Employees shall be required to adhere to all applicable Tribal rules, regulations, or other approved administrative or operating procedures.

(k) Title. The organizational title of the employee should be specified.

(1) Probationary Period . Specify, if required .

(m) Termination. Conditions under which the contract may be terminated should be included. For non-Tribal members who are employed to meet emergency situations as provided in V-C of these procedures, the employment contract should contain a provision for terminating the contract upon the availability of a qualified Tribal member subject to review by the Tribal Council.

F. Separations. Employees serving a probationary period of six (6) months may be separated at any time during the probationary period by the Executive Committee or the Tribal Council by written notice of reasons. Such separated employees may request review by the Tribal Council of the separation action. The Tribal Council shall determine the method and extent of the review and its decision shall be final. The same procedures shall apply to employees after completion of probation except that at least two (2) weeks advance notice shall be given. Temporary employees may be separated at any time prior to expiration of appointment by written notice.

G. Disciplinary Actions. Infractions or failure to perform duties of a position in a satisfactory manner as determined by the immediate supervisor and Executive Committee shall be cause for official reprimand, suspension, or removal by the Executive Committee, depending upon the seriousness of the situation. Infractions may include such matters as personal or official misconduct reflecting adversely upon the Tribe; insubordination, abuse of leave privileges, personal financial irresponsibility reflecting adversely upon the Tribe, misuse of Tribal property, financial irregularities, and noncompliance with Tribal rules and regulations.

H. Bonds. Any officer or employee who has responsibility for or access to Tribal funds or property shall be bonded in such amount as the Tribal Council or Executive Committee shall require, the bond premium to be paid by the Tribe.

I. Absences.

(1) Annual Leave. Tribal officials and employees shall earn annual leave at the rate of four (4) hours per full pay period if employed by the Tribe for three (3) years or less; six (6) hours per full pay period if employed by the Tribe for fifteen (15) years or less; eight (8) hours per full pay period if employed by the Tribe more than fifteen (15) years. Honorable military service, properly supported, shall be creditable as employment by the Tribe for the purpose of computing annual leave earned. Annual leave is earned from date of appointment but is not credited for use until the ninetieth (90th) day from date of appointment, except that this ninety (90) day waiting period shall be extended for period of absence without leave. Any unused annual leave in excess of 240 hours at the end of the leave year shall be forfeited. Annual leave must be approved in advance by the President and may be denied if working conditions do not permit the absence of the official or employee without jeopardizing the work. The President may delegate this leave approval authority. Advances of annual leave will not be authorized.

(2) Sick Leave. Tribal official and employee shall earn sick leave at the rate of four (4) hours per full pay period. Sick leave taken in excess of three (3) days at any one time will be supported by a written statement from a practicing physician substantiating the fact that the official or employee was under medical care or observation. No salary will be paid for such sick leave which is not properly supported. Advances of sick leave may be made only upon formal approval of the Executive Committee. Part-time or intermittent employees shall not earn sick leave.

(3) Leave Without Pay (LWOP). In emergencies, or for authorized absences which cannot be charged to annual or sick leave because of insufficient leave earnings, the President may authorize leave without pay.

(4) Absence Without Leave (AWOL). Unauthorized absences shall be charged to annual or sick leave because of insufficient leave earnings, the President may authorize leave without pay.

(5) Compensatory Time. Compensatory time must be based on work performed in addition to the regular required hours of duty as ordered and approved in advance by the President or his delegate representative. Compensatory time off should be taken as soon as possible but not later than six (6) months after the pay period in which it is earned or it will be forfeited. Compensatory time must be recorded and accounted for on the bi-weekly time sheets.

(6) Lump Sum Payments . Lump sum payments will be made for annual leave to the credit of an employee or official as of the date of separation or expiration of term of office. Ordinarily lump sum leave payments will be made with final salary payment.

(7) Indebtedness to Tribe. Indebtedness due to the Tribe shall be deducted from lump sum leave or final salary payment.

(8) Holidays. All Tribal officials and employees, except part-time and intermittent employees, shall be entitled to time off without decrease in compensation on New Year's Day, Washington's Birthday, Memorial Day, Independence Day, Labor Day, Veteran's Day, Thanksgiving Day, and Christmas Day. If a holiday should fall on a Saturday, the preceding Friday shall be considered a holiday, and if a holiday should fall on a Sunday, the following Monday shall be considered a holiday. Compensatory time shall be granted for work required on a holiday.

J. Hours of Duty. Ordinarily the basic work seek shall consist of forty (40) hours, from 8:00 a.m. to 12:00 noon and from 1:00 p.m. to 5:00 p.m., Monday through Friday. Exceptions to this rule may be made by the Executive Committee when different hours of duty are required on a permanent basis and by the President when different hours are required on an emergency or temporary basis.

K. Supervisory Responsibilities . The President of the Tribal Council shall be the supervisor of all other Tribal officials within the limitations of and as provided for in the Tribal Constitution and By-laws. He shall also designate a specific supervisor for each employee. It will be the responsibility of each supervisor to train, observe, and supervise the operations of subordinates. Performance will be observed and corrective action initiated or recommended where necessary in order to assure performance in a satisfactory manner, compliance with Tribal rules and regulations, and to assure general adherence to standards of performance and conduct as may be required by the Tribal Council or Executive Committee.

(1) Performance Evaluation. Each supervisor shall write an annual evaluation of each of his employees as of March 31, to be submitted to the President by April 15.

SECTION VI. PROPERTY MANAGEMENT

A. Policy. To ensure accountability, definite control, and allocation of personnel responsibility for maximum utilization of and benefit from Tribal property purchased or acquired for use in Tribal programs, the following policies and procedures shall govern the Oglala Sioux Tribe's Property Management Program:

(1) Accountability. The Finance Officer shall be accountable to the Tribe through its Executive Committee for all Tribal property held or acquired for use in Tribal programs and shall be bonded and held personally and financially liable, and may be required to reimburse the Tribe for any shortage, damages, and losses of property unless relieved of liability by the Executive Committee through proper procedures as follows

(a) Relief from Accountability. All property shortages, damages and losses are to be documented by the Finance Officer and presented to the Executive Committee for review, investigation of an written determination as to liability. Documentation shall include all available facts, evidence, statements, etc., to enable the Executive Committee to determine the appropriate action necessary in each case.

(b) Property Disposal. Property no longer required in Tribal programs (excess), obsolete property, worn out property beyond economical repair, etc., shall be documented and reported by the Finance Officer to the Executive Committee with recommendations for appropriate methods of disposal. Subject to written approval by the Executive Committee, property disposal may be accomplished by the Finance Officer and the accountability records adjusted accordingly thereby relieving the Finance Officer of any personal and financial liability.

B. Accountability Records. The Finance Officer shall describe equipment accountability records subject to the approval of the Executive Committee . Accountability records are to reflect identifying and descriptive information, including cost, acquisition data, age, etc. The finance Officer shall also be obligated to insure that accountability records are maintained on a current basis to correctly reflect all changes in the property accounts resulting from acquisitions, price adjustments, disposal (sales, losses, damages, destruction, etc. ) and to further ensure that the records are substantiated by physical semi-annual inventories, acquisitions and disposal documents, etc. Accountability records are to be established for all Tribal-owned property, including items classified as real property (land, structures, buildings, systems) and personal property (equipment, livestock and stores).

(1) Property Classification.

a. Expendable Property. Property which is normally consumed when used or loses its identity when expended and, therefore shall be classified as "materials and supplies". Materials and supplies are to be accounted for in a store account until issued, consumed or used.

b. Non-Expendable Property. Comprised of two (2) classes of property, Real and Personal. Real property is that which is permanent in nature and remains stationary and any fixtures, appurtenances and improvements attached thereto. Personal property is that property which is not consumed in use, does not ordinarily become a fixture, lose its identity or form a component of other property and has a life expectancy which may be measured in years and not months . Non- expendable real and personal property items are to be accounted for a capitalized investments .

(2) Property Identification. All Tribal property determined to be non-expendable shall be identified as Tribal property "OST" suffixed by a seven digit serial number (Example: OST 0000001, OST 0000002, etc.).

C. Property Control and Utilization. The finance Officer shall assign custody of Tribal property to specific Tribal program officials or employees by hand receipt method . Such custody shall include responsibility for official program use only and the responsibility must certify semi-annually by physical inventory listing that the property is on hand and required for use in their program. Further, reports of excess, damaged, lost or stolen property are to be promptly forwarded to the Finance Officer who will in turn forward the reports with recommendations to the Executive Committee for final determination and disposition authority.

INTRODUCTION

The following draft of procurement procedures is offered for the purpose of a suggestion in updating Administrative Operating Procedures of the Oglala Sioux Tribe. It is understood that in order to have a sound Operating Program, it is necessary to establish a planned procurement program with control and the necessary delegated authority to carry out the program.

SECTION VII. PROCUREMENT.

A. Purchasing Authority. Initial requisition authority shall rest with the supervisor of a specific operation, program, enterprise, or other Tribal activity as assigned organizationally. The requisition shall be signed by the Program official and referred to the Tribal Treasurer for pre-validation of funds. The Treasurer shall forward the requisition to the Finance Officer for issuance of the purchase order. If the requisition is not for a budgeted item, it shall be referred by the Tribal Treasurer to the Executive Committee for prior approval. Separate requisitions will be submitted for equipment and expendable items.

B. Competitive Bidding.

(1). General.

a. Any item for materials, supplies, or equipment, having a purchase price in excess of three hundred dollars ($300.00) but nor more than five hundred dollars ($500.00), shall be purchase only after obtaining informal bids by telephone, personally or by letter, from three or more bidders. A record of such bids shall be attached to the accounting copy of the purchase order. Informal bids should also be obtained for items having a lesser purchase price when, in the opinion of the Finance Officer, such procurement will be beneficial to the Tribe .

b. Competition Required. Reasonable competition means obtaining a sufficient number of quotations from qualified sources of supply so as to assure that the procurement is fair to the Tribe, price and other factors considered, including the administrative cost of the purchase. In arriving at the number of quotations to be solicited, due consideration should be given to the cost of the proposed solicitation in relation to the potential benefits to be derived by the Tribe, consistent with good business. Reasonable coverage of the market, for small purchases does not ordinarily require going outside the trade area in which the procurement office is located to obtain quotations. However, competition should not be limited to suppliers of well-known and widely makes or brands, nor shall quotations be solicited purely on a selected personal preference basis. New supply sources, disclosed through trade journals or other media, shall be continuously reviewed and when appropriate, added to the list of available sources.

(2) Method of Obtaining Competition. (Informal)

a. Written Request for Quotation.

Use Form No. ____________________ Request for Quotation for purchases under $500.00.

b. Oral Solicitations. When oral price quotations are obtained, informal records shall be established which will reflect clearly the propriety of placing the order at the price paid with the supplier concerned. In most instances, this will consist merely of showing the names of the suppliers contacted and the prices and other terms and conditions quoted by each.

(3) Retention of Data. Purchase data collected or compiled during the course of arranging the purchase are for administrative and guidance value in making the purchase and issuing the appropriate purchase document. The retention of such data in the purchase files for use as a subsequent reference, or as administratively required for management review, should be limited in time and quantity to the minimum necessary for such use.

(4) Formal Advertising.

a. General. Any item for materials, supplies, equipment or services, having a purchase price in excess of five hundred dollars ($500.00) shall be purchased only after having advertised for sealed bids for a period of not less than five (5) days or (15 days). Advertisements should be distributed to all prospective bidders.

1. Meaning of Formal Advertising. Formal advertising means procurement by competitive bids and awards, and involves the following basic steps

a. Preparation of the invitation for bids, describing the requirement of the Tribe, clearly, accurately and completely, but avoiding unnecessarily restrictive specifications or requirements which might unduly limit the number of bidders. The term "invitation for bids" means the complete assembly of related documents (whether attached or incorporated by reference) furnished prospective bidders for the purpose of bidding.

b. Publicizing the invitation for bids through distribution to prospective bidders, posting in public places, and such other means may be appropriate, in sufficient time to enable prospective bidders to prepare and submit bids before the time set for public opening of bids.

c. Submission of sealed bids by prospective contractors.

d. Awarding the contract, after bids are publicly opened, to that responsible bidder whose bid, conforming to the invitation for bids will be most advantageous to the Tribe, price and other factors considered. Abstract of bids shall be made.

(5) Policy. Procurement shall be made by formal advertising whenever such method is feasible and practicable and the total purchase prices will exceed five hundred dollars ($500.00). In accordance with this requirement, procurement shall generally be made by soliciting bids from all qualified sources of supplies or services deemed necessary by the Finance Officer to assure full and free competition consistent with the procurement of the required property or services. Current lists of bidders shall be maintained in the office of the Finance Officer.

C. Automotive Equipment. No automotive equipment shall be purchased except as specifically approved by the Executive Committee in a cost up to five hundred dollars ($500.00). The Tribal Council shall approve of such when cost goes over five hundred dollars ($500.00).

D. Purchase Orders.

(1) Procurement Register. After the requisition has been reviewed and the probable method of procurement has been selected, certain essential information is recorded for control purposes in the procurement register. All pertinent data relating to the particular procurement should be entered in the register.

(2) Purchase Order Numbering Procedure. It is necessary to establish uniformity in identification of purchase orders issued, in order to facilitate the identification of vouchers, invoices and correspondence. Each purchase order document should be given a new purchase order number.