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Employment Handbook

For the Employees of

Northwest Endodontics

“Excellence in Endodontics”

Part 1: Core PoliciesPart 2: Alternative Dispute Resolution Policy

Part 3: Confidentiality and Non-Disclosure Policy Acknowledgements of Receipt

Employee Concern Reporting Form

Employment Handbook

Part I: Core Policies


Core Policies

TABLE OF CONTENTS1. WELCOME..................................................................................................................................................... 1

OUR VISION................................................................................................................................................................1

2. WHAT IT MEANS TO BE IN SERVICE................................................................................................................ 2

THE PATIENT...............................................................................................................................................................2IDEAL TEAM MEMBER...................................................................................................................................................2JOB PERFORMANCE......................................................................................................................................................2THE DOCTOR’S RULES FOR THE TEAM...............................................................................................................................3

3. THE PRACTICE’S RELATIONSHIP TO ITS EMPLOYEES........................................................................................4

AT-WILL EMPLOYMENT.................................................................................................................................................4PROTECTED ACTIVITY UNDER THE NLRA...........................................................................................................................4

4. THE BASICS OF YOUR EMPLOYMENT.............................................................................................................. 5

APPLICATIONS.............................................................................................................................................................5EMPLOYMENT ELIGIBILITY VERIFICATION...........................................................................................................................5NEW HIRE REPORTING..................................................................................................................................................5GETTING ACQUAINTED PERIOD.......................................................................................................................................5REGULAR EMPLOYMENT CLASSIFICATIONS.........................................................................................................................6MAINTENANCE OF PERSONNEL RECORDS..........................................................................................................................6COMPANY KEY.............................................................................................................................................................7PARKING....................................................................................................................................................................7TEAM MEETINGS.........................................................................................................................................................7SUPPLIES....................................................................................................................................................................8GIFTS TO THE PRACTICE.................................................................................................................................................8

5. WORK SCHEDULE.......................................................................................................................................... 9

BREAKS AND MEAL PERIODS...........................................................................................................................................9RECORDING YOUR TIME................................................................................................................................................9NURSING MOTHERS IN THE WORKPLACE.........................................................................................................................10

6. ATTENDANCE AND UNEXCUSED ABSENCES....................................................................................................1

GENERAL ATTENDANCE AND PROMPTNESS POLICIES............................................................................................................1INCLEMENT WEATHER...................................................................................................................................................1

7. DRESS CODE.................................................................................................................................................. 2

DRESS POLICIES FOR ALL EMPLOYEES...............................................................................................................................2DRESS STANDARD FOR THE NON-CLINICAL TEAM................................................................................................................2DRESS STANDARD FOR THE CLINICAL TEAM........................................................................................................................2

8. PROFESSIONAL CONDUCT.............................................................................................................................. 3

TELEPHONE PERSONALITY..............................................................................................................................................3SCRIPTS......................................................................................................................................................................3ADDRESSING OTHERS WITH RESPECT................................................................................................................................3ETHICAL GUIDELINES AND DENTAL RESPONSIBILITIES...........................................................................................................4UNPROFESSIONAL CONDUCT..........................................................................................................................................5

9. ANTI-HARASSMENT POLICIES.......................................................................................................................... 7

EQUAL EMPLOYMENT OPPORTUNITY................................................................................................................................7EMPLOYEES WITH DISABILITIES........................................................................................................................................7HARASSMENT IN THE WORKPLACE...................................................................................................................................8DEFINITION OF WORKPLACE HARASSMENT........................................................................................................................8DEFINITION OF SEXUAL HARASSMENT...............................................................................................................................8HARASSMENT BY A PATIENT...........................................................................................................................................9PROHIBITION AGAINST RETALIATION.................................................................................................................................9

10. PROGRESSIVE CORRECTIVE COACHING........................................................................................................ 10

11. PERFORMANCE EVALUATIONS..................................................................................................................... 11

12. SAFETY AND HEALTH................................................................................................................................... 12

GENERAL SAFETY AND HEALTH POLICIES.........................................................................................................................12NOTICE OF POTENTIAL EXPOSURE TO TOXIC SUBSTANCES...................................................................................................13OSHA COMPLIANCE...................................................................................................................................................13BLOOD-BORNE PATHOGENS STANDARD..........................................................................................................................14HAZARD COMMUNICATION STANDARD...........................................................................................................................14HEPATITIS B STANDARD..............................................................................................................................................14SECURITY OF PERSONAL ITEMS......................................................................................................................................14VIOLENCE IN THE WORKPLACE......................................................................................................................................15SMOKE-FREE ENVIRONMENT........................................................................................................................................15DRUGS AND ALCOHOL.................................................................................................................................................15PROHIBITED ITEMS.....................................................................................................................................................16CONTRABAND POLICY ENFORCEMENT............................................................................................................................16

13. TIME OFF..................................................................................................................................................... 18

HOLIDAYS.................................................................................................................................................................18ELIGIBILITY FOR HOLIDAY PAY.......................................................................................................................................18SCHEDULING VACATIONS.............................................................................................................................................19UNEXPECTED ABSENCE................................................................................................................................................19LEAVE OF ABSENCE.....................................................................................................................................................19REINSTATEMENT AFTER LEAVE......................................................................................................................................20REINSTATEMENT FROM PERSONAL LEAVE OF ABSENCE.......................................................................................................21PAID MATERNITY/PATERNITY LEAVE..............................................................................................................................21PAID FAMILY LEAVE....................................................................................................................................................21DOCTOR OUT OF THE OFFICE........................................................................................................................................21BIRTHDAYS AS HOLIDAYS.............................................................................................................................................21BEREAVEMENT LEAVE.................................................................................................................................................22ELECTION DAY...........................................................................................................................................................22JURY DUTY............................................................................................................................................................... 22WITNESS LEAVE.........................................................................................................................................................22DOMESTIC VIOLENCE LEAVE.........................................................................................................................................22MILITARY LEAVE OF ABSENCE.......................................................................................................................................23

14. COMPENSATION AND PAY........................................................................................................................... 24

PAYCHECKS...............................................................................................................................................................24PAYCHECK ERRORS.....................................................................................................................................................24GARNISHMENT..........................................................................................................................................................24EXEMPT EMPLOYEES...................................................................................................................................................25OVERTIME................................................................................................................................................................25ON-CALL/WAIT TIME.................................................................................................................................................25HEALTH BENEFITS......................................................................................................................................................25DENTAL INSURANCE....................................................................................................................................................26EMPLOYEE ENDODONTIC BENEFIT..................................................................................................................................26SOCIAL SECURITY.......................................................................................................................................................26UNEMPLOYMENT INSURANCE.......................................................................................................................................26WORKERS’ COMPENSATION.........................................................................................................................................26

BONUS POLICY..........................................................................................................................................................27

15. TRAINING AND TRAVEL................................................................................................................................ 28

CONTINUING EDUCATION............................................................................................................................................28VERIFICATION OF LICENSES AND CERTIFICATES..................................................................................................................28BUSINESS TRAVEL.......................................................................................................................................................29

16. USE OF ELECTRONIC DEVICES, EMAIL, TELEPHONE AND INTERNET................................................................31

CAMERAS AND OTHER IMAGING DEVICES........................................................................................................................31CELL PHONE USE.......................................................................................................................................................31EMAIL AND THE INTERNET............................................................................................................................................31PROGRAMS AND PASSWORDS.......................................................................................................................................32SOCIAL MEDIA...........................................................................................................................................................33PRIVACY...................................................................................................................................................................34

17. COOPERATION WITH INTERNAL AND EXTERNAL INVESTIGATIONS................................................................35

18. PATIENT AND PRACTICE INFORMATION CONFIDENTIALITY...........................................................................35

HIPAA VIOLATIONS...................................................................................................................................................36

19. VISITORS TO THE PRACTICE.......................................................................................................................... 37

20. SOLICITATION.............................................................................................................................................. 37

21. FRATERNIZATION POLICY............................................................................................................................. 37

22. OUTSIDE EMPLOYMENT............................................................................................................................... 38

23. SEPARATION FROM EMPLOYMENT.............................................................................................................. 39

PRACTICE PROPERTY...................................................................................................................................................39EXIT INTERVIEW.........................................................................................................................................................39EMPLOYMENT REFERENCES..........................................................................................................................................39

24. EMPLOYEE CONCERN REPORTING POLICY....................................................................................................40

Northwest EndodonticsCore Policies [page 1]

1. WELCOME

The team at Northwest Endodontics (the “Practice”) welcomes you as a new member. This Employment Handbook is being provided as an informational guide and summary of the policies and working conditions affecting your employment. These policies are intended to clearly communicate the standards and expectations for our employees, as well as to facilitate the consistent and fair administration of our employment program by management. Please read and become familiar with these policies, and keep them as a reference during your employment. Questions regarding any policy should be directed to the office manager.

These policies supersede all previous statements of procedures, standards and policies of the Practice, whether written or oral, that conflict with the policies herein. These policies are not intended to and do not create a contract or contractual rights, expressed or implied. Because the Practice is a developing and changing organization, the Practice may change, suspend, rescind, or re-interpret its policies from time to time, with or without notice. You will be informed of revisions to these policies as they occur, and are responsible for keeping your own copy of the policies up to date.

Our Vision

We are in a continual process of creating a story for our practice that is both fun and exciting and that brings each of us personal fulfillment, joy, peace and freedom. Through effective systems, creative ideas and incredible people, we will develop a positive, nurturing and safe environment to grow and fulfill our needs both personally and professionally. It will be a place of mutual respect, laughter, clear communication, and teamwork in an atmosphere that is fun, energized and joyous. We will connect with our patients on a personal level and provide a patient experience that it is so incredible that they will hesitate to leave our office for fear of entering into a harsher world. Our office will have a reputation of high quality treatment, being so gentle, safe and caring that we will draw patients from all of the best doctors in our area. We will enjoy every day to the fullest and live in each moment. Our office will be filled with laughter, pride, a sense of ease, and a calmness that allows us to provide a patient experience that is unsurpassed.


2. WHAT IT MEANS TO BE IN SERVICE

The Patient

Patients are customers and customers are among our business’s most valuable assets. Every employee represents not just him or herself, but the Practice as a whole, both to our patients and to the public. Patients will judge us by the way they are treated with each employee contact. Therefore, taking care to create a positive interaction with each and every patient and potential patient is a top priority.

Each patient is a unique individual with special needs. In addition to their physical care and treatment, we must ensure that they feel safe and comfortable. It is a vital that each employee communicate a caring, courteous, helpful, and professional attitude to each person who contacts our office. Everything we do is directed to attend to our patients' comfort, total care and well-being. This not only increases our public perception, but creates customer loyalty, and thereby success for the Practice as a whole.

Ideal Team Member

The ideal team member is highly motivated and demonstrates a sincere enthusiasm for their work, and a belief in their own ability to achieve goals. By taking ownership of each task performed, the ideal employee approaches each day with determination and confidence, demonstrating an unspoken commitment to self and to doing the best job possible. The ideal employee works ethically without cutting corners, joyfully assists others, and takes the initiative to achieve goals even when not assigned. Cooperation and communication are key elements of the ideal team. Members of the ideal team understand the importance of their personal contribution to the whole. Each of us must have a strong desire to continually learn, develop and maintain excellent patient care and customer service skills. There are no obstacles we cannot overcome if we work as an integrated team pursuing the same goals.

Job Performance

You are responsible for performing your duties to a high level of excellence. Personnel policies and office procedures must be followed. All members of the office must work together to create a positive atmosphere that facilitates teamwork. Each of us is responsible for how we feel.

Respectful communication with team members is a must regardless of any conflict that may arise. Speaking negatively about another team member behind their back, spreading rumors, or gossip unrelated to work is not considered professional and will lead to corrective action. Employees are encouraged to bring any work-related complaint or concern to the attention of management.


The Doctor’s Rules for the Team

1. It is okay not to like part of your job, but it is NOT okay to not do your job. In fact, you are not expected to like everything about your job. You are expected to do it, and do it well.

2. Everyone will be held to the same standard of work ethic, patient care, and character. Beyond that, each employee will be treated in the manner that they have earned and deserve.

3. You are expected to prove yourself each day. Tenure, credentials and years of experience are not a substitute for results. No one is paying you to pace yourself or budget your efforts.

4. Focus on what you can control; a “victim” mindset does not excuse a lack of accountability. You are responsible for your attitude, regardless of what happens around you.

5. Loyalty is not the amount of time you put in; it’s what you put into the time.

6. Be a gift to those around you, even if you are having a bad day.

7. Lead by personal example.

8. Add value to others on your team and the business as a whole. Be a giver, not a taker.

9. Practice the Golden Rule (“Do unto others…”) without exception.

10. You are expected to become brilliant in the basics of your job. You do not have to do anything extraordinary on a daily basis. Just do ordinary things extra- ordinarily well.

11. You are expected to become an “and then some” person. Do what is required, “and then some.” Hit your numbers, “and then some.” Keep your promises, “and then some.”

12. Think before you speak. Try to ensure what you say is true, kind, and necessary, or don’t say it at all.

13. Not only are you expected to perform the technical part of your job well, we also expect you to share the office’s core values. Highly talented people with their hearts in the wrong place have no place here.


3. THE PRACTICE’S RELATIONSHIP TO ITS EMPLOYEES

As an employer, it is the expectation of the Practice that everyone on our team treat each other and our patients with respect and dignity. It is our further goal to promote a work environment that values self-worth and at the same time, cooperation. With these dual goals in mind, we believe the whole of our team becomes greater than the sum of its individual members. This, in turn, creates an opportunity for you and the Practice to consistently experience a mutual benefit from our relationship and interaction, and forms the foundation for a successful employment relationship.

It is the Practice’s intention to offer safe work conditions, and fair wages that are competitive as well as compliant with applicable laws. If employees have concerns about work conditions or compensation, they are strongly encouraged to communicate these concerns directly to management.

At-Will Employment

While employed here, your employment is “at-will.”

At-Will Employment means that either you or the Practice may terminate your employment at any time, with or without reason, and with or without notice. Because our employment relationship is at-will, no contract or promise of continued employment, either verbal or implied, is created now or at any time during your employment with the practice, unless your employment terms are modified through a written agreement signed by an owner of the Practice. No other representative of the company has the authority to enter into any agreement contrary to the foregoing employment at will relationship.

Protected Activity Under the NLRA

Under the National Labor Relations Act (NLRA), employees (other than supervisors) have the right to self-organization, to form, join, or assist labor organizations or unions, and/or to engage in concerted activities for the purpose of collective bargaining or other mutual aid or protection, without fear of retaliation by the employer. All employees who are union-free are encouraged to deal with management directly regarding any concern about your wages, hours, or other terms and conditions of employment. However, nothing in this handbook is intended to restrict covered employees from exercising their right to communicate with fellow employees about workplace issues, wages, hours, and other terms and conditions of your employment.


4. THE BASICS OF YOUR

EMPLOYMENT Applications

The Practice relies upon the accuracy of information contained in the employment application and/or your résumé, as well as the accuracy of other data presented and gathered during the hiring process. Any misrepresentation, falsification or material omission may result in exclusion from further consideration for employment, or, if already hired, termination of employment.

Employment Eligibility Verification

The Practice complies with the Immigration and Control Act of 1986 by hiring only those individuals who are lawfully authorized to work in the United States. As a new employee, you will be required to complete an Employment Eligibility Verification Form I-9 and present documentation establishing your identity and eligibility to work. All offers of employment and continued employment are contingent upon presentation of proof of eligibility to work. The Practice does not discriminate based upon citizenship or national origin.

New Hire Reporting

The Practice complies with state and federal law requiring us to report the name, address, Social Security number, and date of birth of each newly hired worker within twenty (20) days of start of work. These reports are matched by the state agency with child support records at the state and national levels to locate parents who owe child support, and can result in a garnishment of wages.

Getting Acquainted Period

Your first 90 days of employment is a “getting acquainted” period. It is not a guarantee of employment for the entire 90 days. Rather, the getting acquainted period provides both you and the Practice an at-will opportunity to consider and assess your work performance and whether you are a fit for our team. During this time, you will be assessed on productivity, cooperation, attendance, attitude, punctuality, and quality of work, among other things. Other than required benefits such as workers’ compensation, Medicare, and Social Security, you will not be eligible for employee benefits during this period.

At the end of the 90-day getting acquainted period we may choose to designate you as a regular employee, or we may choose to terminate our employment relationship with you. Additionally, we may extend your 90-day getting acquainted period up to an additional 30 days at our sole discretion.

Once the getting acquainted period has ended, and we have mutually determined that you are a good fit for our team, you will become eligible for regular employment. We may also choose to review your getting acquainted period with you and offer suggestions or points for improvement.


Regular Employment Classifications

There are two designations for Regular Employment. Employees will be designated as either a Full-Time Regular Employee or a Part-Time Regular Employee.

Full-time employees are regularly scheduled to work at least 32 hours per week. Unless otherwise stated in a written employment agreement, full-time employees who are not in their introductory status are eligible for regular employment benefits, subject to the terms and conditions of each benefit program.

Part-time employees are regularly scheduled to work, on average, less than 32 hours per week, and other than legally-mandated benefits such as Social Security and workers’ compensation insurance, are not eligible for regular employee benefit programs.

Designations are set by management based on staffing needs and/or the average number of hours worked per week during the past six (6) months. No change to full-time status is effective unless in writing and signed by management. Employees who change status from part-time to full-time will normally be required to meet the same waiting periods as a new employee to receive benefits. Employees who work on a temporary or seasonal basis are not considered “Regular” and are not entitled to the benefits of Regular employment.

All employees will be categorized as one of the following, according to the Fair Labor Standards Act (FLSA) and applicable state equivalents:

Non-Exempt Employees are not exempt from the minimum wage, overtime and time recording provisions of the FLSA.

Exempt Employees are exempt from the minimum wage, overtime, and time recording provisions of the FLSA. Exempt status depends on the job duties as well as the method and amount of pay for the employee’s position.

Maintenance of Personnel Records

The Practice will maintain two separate personnel record files for each employee. These files will be retained for at least four (4) years, and for at least two years after termination. These files are the property of the Practice, and access is restricted. The first file contains general records such as your application, emergency information, performance reviews, progressive discipline documents, wage and hour records, etc. This file is available to you for review upon request, with five (5) days’ advance notice, one time per year, and under the supervision of management. You may copy the documents in the file in accordance with state law, or otherwise with the permission of the Practice. If, after such review, you believe any records or information in your general personnel file are inaccurate, you may submit a written request to have them corrected. Management will either correct the disputed information or explain in writing why your request was not granted. Your request, as long as it is factual and directly relevant to your performance and/or qualifications will be kept in your file.


The second file, if needed, contains confidential information such as medical records, workers’ compensation documents, pre-employment reference letters, legal documents, investigatory materials, and other documents which are sensitive in nature. The contents of this file are kept in a secure location and are not available to you or anyone except those persons we specifically authorize on a “need-to-know” basis.

The Practice seeks to maintain up-to-date, accurate and complete personnel files at all times, and therefore it is the employee’s responsibility to notify management of any changes in name, telephone number(s), home address, marital status, number of dependents, beneficiary designations, deductions, emergency contact information, and any other pertinent information.

Employees are not permitted to view the contents of any other employee’s personnel file, unless legitimately necessary due to your position and responsibilities.

Company Key

If, during your employment with us, you are issued keys or security codes to the building or internal offices, it is your responsibility to keep them secure. You are not permitted to allow anyone, including other employees, the use of these items. In the event you lose your keys, you must immediately notify management. Employees are required to return keys upon termination of employment, or otherwise on demand by the employer. Employees who fail to return keys upon demand may be required to pay the cost of rekeying the office.

Parking

Employee parking is available on a first-come, first-serve basis away from the main entrance of the building. Parking closest to the main entrance should be left open for our patients to have easy access to our clinic.

Team Meetings

The goal of team meetings is to maintain open communication between management and all team members and to have an uninterrupted time when the entire team can get together to problem solve, set goals, modify office policy, brainstorm ideas for improved patient care, and to motivate our team. The input of each team member is very important to the growth of our office. Team meetings will be held once a month or as needed.

These meetings will be positive and constructive. If you see a problem in the office, please bring 2 to 3 suggestions for solving the problem. At least one of the suggestions should not involve the use of money. Use active listening in problem solving. Finding fault or placing blame is not acceptable or productive communication.

Attendance at team meetings is mandatory. All employees will be paid for their time whether or not the meeting is held during the employee’s scheduled work hours.


Supplies

Personal use of office and dental supplies is not permitted without express permission by the Practice. Dental products offered in our office can be purchased for home use from the office at the Practice’s cost.

Gifts to the Practice

Promotional items, gifts received by the Practice, “free gifts” that are received with supply orders, etc., shall be the property of the Practice, and are to be shared equally among the team. Taking the gift home with you without permission is forbidden, unless no one else in the office wants the gift. Please share.

If a gift cannot be shared (for example, a stuffed animal, a CD player, etc.), it shall be deemed the property of the Practice. Such items may be given to an individual team member from time to time, and the method of deciding which team member receives the gift shall be as fair and equitable as possible.


5. WORK SCHEDULE

Because of the nature of our business, your work schedule may vary depending on your job position. Our normal clinic hours are Monday through Friday 7:00 a.m. to 5:00 p.m., and any other times and days that may be necessary to ensure the success of the Practice. The office manager will determine your work schedule and communicate it to you. Employees’ hours may be earlier or later than clinic hours to meet the needs of the Practice. Your schedule and/or number of hours may be changed at any time, with as much notice to you as possible. Employees are responsible for knowing their schedule and being available for work when required.

Breaks and Meal Periods

Non-exempt employees are provided at least one paid break period for each four hour work shift. Break periods generally extend ten minutes at a time beneficial to the productive flow of the workday. If a single ten minute break is impractical, then several “mini” breaks totaling ten minutes for each four hour period of work may also be taken. Unauthorized extensions of your break period are not paid and employees who violate the break period policy are subject to corrective action. In urgent staffing situations, you may be asked to reduce the length of your break for that particular shift. Break periods may not be used to cover late arrival or early departure. If you leave the premises, other than for a meal break, you are required to obtain permission before leaving.

Non-exempt employees are provided one unpaid meal period for each work shift lasting five hours. Meal periods generally extend at least thirty minutes and will be at a time beneficial to the productive flow of the workday. Whenever possible, your meal period will be scheduled not less than two hours and no more than five hours into your shift. In urgent staffing situations, you may be asked to reduce the length of your break for that particular shift, or to work through lunch, in which case your time will be paid. Break periods may not be used to cover late arrival or early departure. If you leave the premises, other than for a meal break, you are required to obtain permission before leaving.

An employee break area has been provided for your use. All food and drink is to be stored and consumed in this room. All employees are responsible for cleaning up after themselves immediately following the use of Practice amenities, including kitchen appliances, restroom, break room, utensils, and plates. No food or drink is permitted in any clinical areas of the facility. Food and drink should be kept out of patient view in other areas of the office, and drinks must be covered near computers or office equipment.

Recording Your Time

Non-exempt employees are required to keep an accurate record of time worked so that the Practice can accurately calculate your pay and benefits eligibility. Time entries must be recorded at the start and end of each day, and for any unpaid meal breaks.


Time entries should be made as you come and go to ensure accuracy of the time worked. If hours are not recorded properly, you may not be paid in a timely manner. Timesheets are reviewed for accuracy and approval, but it is the responsibility of the employee to keep track of their compensable time worked.

Non-exempt employees are required to report all the time you work, and not to work any time that is not authorized by management. It is a violation of our policy for anyone to instruct or encourage another employee to work “off the clock.” If anyone directs or encourages you to incorrectly report your hours worked, or to alter another employee’s time records, you should report the incident immediately to management.

You must be ready to work at the time you clock in, and clock out when your duties are complete. “Padding the clock” is considered fraud and grounds for termination. Likewise, altering, falsifying, and/or tampering with time records, or recording time on another employee’s record is prohibited, and will result in disciplinary action, up to and including termination of employment. All changes to time entries must be approved by management.

Nursing Mothers in the Workplace

The Practice provides reasonable break time for an employee to express breast milk for her nursing child for up to one year after the child’s birth. This break time, if possible, will run concurrently with regular paid or unpaid break times, with reasonable additional unpaid time as needed. The timing of breaks will be flexible to best accommodate the nursing mother and her work schedule, as long as the breaks do not unduly disrupt the Practice’s operations. A private area, free from intrusion, that is not a bathroom stall, will be made available upon request.


6. ATTENDANCE AND UNEXCUSED ABSENCES

General Attendance and Promptness Policies

Employees must arrive to work on time. Advance permission by management is required if you must arrive late for a scheduled shift. Being late is considered an unexcused absence, as is any absence beyond what is approved and excused by management. Any instance of unexcused absence, whether tardiness, failure to report for all or part of a shift, or leaving early, may subject you to corrective action. Habitual or excessive absenteeism, even if excused, may subject an employee to discharge.

Under any conditions, failure to report to work for two consecutive work days without good cause and approval by management will be considered your voluntary resignation.

Inclement Weather

In the event of inclement weather, natural disaster, or power outage causing the office to be closed, or the hours of operation to change, we will attempt to contact each employee to inform you of the new schedule. Hours non-exempt employees do not work due to the office being closed are not paid. Otherwise, you should make every effort to show up as scheduled as safety permits. The final decision of whether or not to drive to work must be made by each individual employee. Follow standard procedure for notifying management as soon as you know of any absence or tardiness due to weather.


7. DRESS CODE

A professional and clean appearance plays a vital role in how we are perceived by our patients, visitors, and each other. Employees are expected to dress tastefully and professionally at all times. Employees who show up for work dressed inappropriately are subject to corrective action, and/or may be sent home. If there are any questions about what attire is appropriate, please ask.

Dress Policies for All Employees

Absolutely no chewing gum (mouthwash or breath mints are acceptable when needed) No facial or tongue piercing No visible tattoos No T-shirts No shorts, sweats, or leggings No tank tops or other overly revealing tops No flip-flops All clothing must be clean, pressed, well-fitting (not overly tight) and in good repair Perfumes, cologne, and other scented products must be worn with restraint Hair should have a clean, trimmed, not of extreme color and professional looking. Long

hair should be pulled back from the face. Fingernails should be professional length with natural, clear, or other muted nail polish,

if any Jewelry must be simple, discreet, and worn in moderation. Clinical team members may only wear limited jewelry in compliance with OSHA Undergarments must not be visible. Skirts and dresses must be no shorter than four fingers above the knee Men must be clean-shaven or facial hair kept clean and trimmed No hats or other head coverings, except those worn for religious purposes Oral hygiene must be maintained in an exemplary fashion. Nametags provided by the Practice must be worn where patients can read them.

Dress Standard for the Non-Clinical Team

The dress standard for the non-clinical team is casual business attire, except on casual Fridays.

Dress Standard for the Clinical Team

The dress standard for the clinical team is scrub tops and bottoms or other pre-approved professional health-provider attire in colors designated by the Practice. Doctors may wear business casual attire with a clean and pressed white lab coat. All clinical team members are to wear clean closed-toe shoes with low heels.


8. PROFESSIONAL CONDUCT

Telephone Personality

Courtesy and consideration are necessary every time you answer the phone, regardless of your mood at the time. Any time you answer the Practice phone, you should be eager to assist the caller in any way possible and to offer the caller an opportunity to experience the best of our service.

Scripts

The Practice utilizes scripting as a method to ensure quality and effective communications with patients. All employees are required as part of their job duties to memorize various scripts and to successfully deliver them as applicable both over the phone and in person. New employees are generally given six months to become proficient and pass testing. When new scripts are implemented, employees are given a reasonable amount of time to learn them, usually thirty(30) days.

Addressing Others with Respect

You are expected to be courteous and professional in your interaction with team members, the doctor, and especially our patients. Patients are to be referred to in the manner that they prefer, either by first name, nickname, by last name preceded by the appropriate title (Mr., Mrs., Miss, Dr., etc.), or as “Sir” or “Ma’am.” If you are uncertain as to how to address a patient, always err on the side of caution and address them with appropriate respect (again, Mr., Mrs., etc.). When speaking to patients, doctors of the Practice are always to be referred to with the courtesy title of “Doctor.”

When communicating with patients, employees are expected to project a professional and positive image of the Practice, to avoid rude or over-personal commentary, and to keep conversations focused on the patient and the patient’s care. Use good judgment and pay attention to the patient’s responses. If you detect discomfort or get into a topic that may cause someone to feel uncomfortable, politely change the subject.


Ethical Guidelines and Dental Responsibilities

The successful business operation and reputation of our Practice is built upon our patients’ trust and confidence. This requires our careful observance of the spirit and letter of all applicable laws and regulations, as well as a scrupulous regard for a high standard of conduct and personal integrity.

• You must follow the doctor’s instructions precisely. If you are in doubt, then confirm your understanding with the doctor.

• You must not exceed your own level of training and experience when attending to a patient. When in doubt, consult the doctor.

• You must not attempt to diagnose a patient’s condition or perform any treatment without prior authorization of the doctor. All procedures must be performed in accordance with the requirements of the state Dental Board and with the doctor’s knowledge and consent.

• No procedures may be performed when the doctor is unavailable to assist or provide supervision unless the doctor gives prior approval, and/or you are licensed and certified to provide such treatment.

• Never dispense any form of medication or dental supplies to a patient, any member of the public or even yourself without the prior knowledge and consent of the doctor.

• Do not contradict the doctor in the presence of a patient. All discussions concerning the method of treatment or advice given to the patient should be held in confidential conference with the doctor.

• All license holders are separately accountable for their actions with the state dental board and any action taken by the board against a license holder may be grounds for suspension or termination of employment.

• It is unethical and inappropriate to discuss other doctors, dental practices, or methods of treatment used with patients.

• Do not use words such as “cure” or “guarantee” which may mislead a patient or cause them to make a false assumption about the outcome of treatment.

• All dental records and related office files must be kept accurately and neatly, and be available at the Practice at all times. All necessary consents and other dental documentation must be accounted for at all times. Conversations with patients should be documented in detail and placed in the patient’s file for future reference.


• You must not accept any form of gift, payment, honoraria, cash, or cash equivalent of high value from patients, vendors, or other parties without the express approval of the doctor. This does not include reasonable and customary gifts of moderate price, such as meals, promotional items, or the like from vendors.

Unprofessional Conduct

The success of our business is dependent upon the professional conduct of every team member. Unprofessional conduct can take any variety of forms. It would be impossible to list every type of conduct that falls into this category. Nonetheless, we offer the following guidelines for the type of behavior that is considered unprofessional in case there is any question as to what is expected of you. Any of the following actions constitutes a violation of policy and may subject an employee to disciplinary action, up to and including immediate termination:

1. Habitual or excessive absences or tardiness;

2. Unauthorized use of telephones, email, computers, or other company equipment, to include personal use of equipment for purposes such as accessing personal social media during working hours;

3. Attending to personal business while scheduled to be working, to include use of personal cell phones unless otherwise authorized;

4. Working unauthorized overtime;

5. Destruction, misuse, or abuse of office property;

6. Refusal to work scheduled or emergency overtime;

7. Mishandling, misappropriation, or unauthorized removal or possession of funds or property of the Practice, other employees, or patients;

8. Disruptive conduct at work of any kind;

9. Unsatisfactory work performance;

10. Unauthorized use or release of confidential patient information or records;

11. Unauthorized use or disclosure of confidential or sensitive information about the Practice including, but not limited to patient lists, income or expense information;

12. Falsifying, destroying or altering any record including your application for employment;


13. Insubordination, including refusal of a legal request from management, such as, refusal to sign a corrective action notice, performance review, or other acknowledgment of company policy;

14. Failure to use good hygiene, to properly use safety equipment or follow safe practices;

15. Illegal activity of any kind;

16. Possession of firearms, illegal drugs or alcohol at the workplace, unless otherwise authorized by law;

17. Engaging in work that, in our opinion, is competing with our practice, or creates a conflict of interest;

18. Any conduct that is a violation of rules or ethical standards of any governing board or agency;

19. Communications deemed unprofessional by the practice, such as, use of profanity, threats of harm, intimidation, insulting another team member or patient, gossiping about personal issues resulting in disruption of work, or any communication deemed in violation of the anti-harassment and nondiscrimination policies of the Practice.

20. Retaliation against anyone participating in bringing an employee concern to our attention;

21. Lying to a member of management, including the falsification of any time record, or entering time for another employee; and

22. Other actions deemed to be adverse to the interests of the Practice.


9. ANTI-HARASSMENT POLICIES

Equal Employment Opportunity

The Practice is an equal opportunity employer. This means that the Practice will base its employment decisions on merit, qualifications, competence and business needs as determined by management. Employment practices shall not be influenced or affected by an applicant's or employee's age, race, color, religion, national origin, citizenship status, gender, sexual orientation, pregnancy, disability, veteran status, marital status, genetic information, or any other legally protected class.

As an organization, the Practice is committed to these ideals as they relate to selection, employment, job assignment, promotions, compensation, benefits, disciplinary actions, training opportunities and all other terms and conditions of employment. Further, any employee found to be engaging in any type of unlawful discrimination, whether by action, comment, or otherwise, will be subject to disciplinary action, up to and including termination of employment.

We cannot address issues if we do not know about them. If you feel that you have experienced or witnessed unlawful discrimination, you must report such conduct immediately, utilizing the procedures set forth in the Employee Concern Reporting Policy outlined later in these policies. If you have questions or concerns about discrimination in the workplace, we ask you to share these issues with the owner or any member of management. Your complaints and/or concerns will be kept confidential to the extent possible. Further, the Practice prohibits any form of retaliation against any employee who in good faith raises concerns, makes reports or complaints about discrimination, or assists in a complaint investigation.

Employees with Disabilities

The Practice complies with applicable state and federal laws which provide for nondiscrimination in the terms and conditions of employment and the provision of reasonable accommodations for qualified individuals with disabilities. You may be a qualified individual with a disability if you have a qualifying physical or mental impairment that limits your capacity to work with or without a reasonable accommodation.

If you feel you are a qualified individual with a disability and need an accommodation to perform your job, you should make such an accommodation request to management. Upon receipt of the accommodation request or if at management’s discretion an accommodation is necessary for optimal performance management will work with you to seek a reasonable accommodation that does not pose an undue hardship on the Practice. After proper assessment, management will advise you of our decision.

All medical-related information is maintained in separate confidential files and will be kept confidential to the extent possible. While the Practice strives to allow only those persons with a need to know purpose be apprised of any medical or other information concerning your accommodation request, it should be noted that some disabilities or accommodations may be apparent to other team members.


Harassment in the Workplace

The Practice is committed to maintaining a work environment that encourages and fosters appropriate conduct and respect for individuals. The Practice has adopted this policy in order to create a work environment free from discrimination of any kind, including sexual harassment and harassment based upon any other protected characteristic. Although there is a great emphasis in the business community on sexual harassment, the Practice wishes to emphasize that all forms of illegal harassment are unacceptable. This is not to diminish how we feel about sexual harassment, but to elevate in your mind that harassment based on any protected category will not be tolerated.

Accordingly, the Practice will not tolerate harassment by or of any employee, non-employee, vendor, or workplace visitor in any form, whether verbal, physical, written, electronically transmitted, or by innuendo. Any employee violating this policy shall be subject to disciplinary action, up to and including termination of employment. Any employee who feels that they, another employee, or a patient is a victim of such harassment should immediately report the matter to a member of management using the Employee Concern Reporting Policy detailed at the end of this Handbook.

Definition of Workplace Harassment

Harassment is verbal or physical conduct that denigrates or shows hostility or aversion toward an individual because of the individual's gender, race, color, national origin, religion, disability, sexual orientation, age or any other protected characteristic. Harassing conduct may include, but is not limited to the following:

Epithets, slurs, comments, or questions reflecting stereotypes; and threatening, intimidating, or hostile acts that relate to or are based any protected characteristic; and/or

Displays or communications of any kind, whether electronic or in hard-copy form, of objects, pictures, posters, calendars, or cartoons that are vulgar or sexually suggestive, or that are offensive or degrading to a person or group of persons based any protected characteristic.

Definition of Sexual Harassment

Sexual harassment is defined as making unwelcome sexual advances or requests for sexual favors or other verbal or physical conduct of a sexual nature as a condition of continued employment; making submission to or rejection of such conduct the basis for employment decisions affecting the employee; or engaging in conduct that unreasonably interferes with the employee’s work performance or creates a sexually hostile, intimidating or offensive work environment. Examples of such conduct include, but are not limited to:

Requesting sexual favors in exchange for favorable reviews, assignments, promotions, continued employment or promises of the same;


Comments or questions about an individual's body, sexual preference, sexual prowess or sexual deficiencies; and the use of sexually degrading or vulgar words to describe an individual;

Sending sexually explicit, suggestive, or offensive communications via electronic means, such as email or text;

Touching, leering, whistling at or brushing against the body, or sexually suggestive, insulting or obscene comments or gestures;

Display or communication in the workplace of objects, pictures, posters, calendars or cartoons that are vulgar or sexually suggestive or that are offensive in a sexual manner.

The Practice recognizes that sometimes it can be difficult to know what constitutes harassment since people and their perceptions and sensibilities are different and can change. Comments, jokes or personal advances that you may perceive as innocent or funny may be offensive to a coworker. You should know that even innocent intentions do not excuse actions that are unwelcome and that are reasonably perceived as threatening or offensive. Therefore, the Practice encourages you to avoid misunderstandings by acting professionally, treating others with respect and avoiding conduct that others could misinterpret either as welcoming inappropriate conduct or as being inappropriate conduct.

Harassment by a Patient

While employees’ conduct can be regulated, patients’ behavior and conduct are not subject to the same control. If any employee feels uncomfortable, threatened or harassed by a patient, that employee should immediately report the situation so that appropriate action can be undertaken. Remedies to these types of situations may include but are not limited to asking the patient to refrain from the offensive behavior, removing the employee from areas where interaction with said patient can be reasonably anticipated, and ultimately asking the patient not to return to the Practice.

Prohibition against Retaliation

The Practice prohibits any form of retaliation against any employee who, in good faith, files a complaint, assists in a complaint investigation, or otherwise opposes an unlawful employment practice. Employees are encouraged to report unlawful employment practices to the Practice, and to cooperate in any investigations of the same. Complaints will be kept confidential, to the extent possible, while an investigation is undertaken. All complaints will be taken seriously. However, if after investigating a complaint, the Practice determines that the complaint 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 or who gave false information. If you believe that you have suffered unlawful retaliation in violation of this policy, please follow the Employee Concern Policy.


10. PROGRESSIVE CORRECTIVE COACHING

Progressive Corrective Coaching is a process designed to identify and correct problems or behaviors that affect an employee’s work performance and/or the overall performance of the Practice. It is the intent of the Practice to handle this process consistently with each employee and for each problem. The goals of such coaching are twofold. One goal is to create a record of an employee’s progress and performance to assist with performance assessment. The second is to clearly communicate the expectations of the Practice to the employee so that the employee has an opportunity to self-correct any issues. This in no way modifies the at-will status of your employment.

The Progressive Corrective Coaching process refers to the steps outlined below. In determining the proper course of corrective action, and at the discretion of the Practice, management may repeat, modify, or skip any step based on the facts of the specific case. For example, in situations determined to be of a serious nature, immediate termination of employment may be warranted. Each case will be considered on an individual basis. Corrective action notices, even if verbal, may be kept in an employee’s file indefinitely.

The corrective action process may include any or all of the following steps:

• Verbal Counseling - An informal verbal communication intended to bring concerns to your attention for your correction. While no formal disciplinary record is made, a notation in your personnel file may be made of the date and nature of the problem.

• Written Counseling - A discussion is had and a written record of management’s concerns is created. You will be asked and expected to change your behavior in a specific manner and to acknowledge by your signature that the counseling was received.

• Final Written Counseling - One or more continued failures to meet expectations may warrant this step, in which a document is created as above, with the understanding that any further failure to meet the expectations of your position will likely result in termination.

• Fact Gathering Suspension - For serious infractions requiring further investigation, you may be suspended. If you are terminated while on suspension, you will be notified of the termination date, which will not be later than your last day worked. If you are excused or exonerated, you will be paid for your scheduled time while suspended. If your employment is continued despite management’s conclusion of your responsibility for the suspected violation or wrongdoing, the time off will be without pay.

• Termination - Terminations may occur either immediately, or after written warnings are issued to employees who fail to meet performance or behavioral expectations. Terminations may also occur as a result of an employee’s refusal to sign a corrective action notice or an acknowledgement of receipt of company policy.


11. PERFORMANCE EVALUATIONS

Both management and employees are strongly encouraged to discuss job performance and goals on an informal, day-to-day basis. Additional formal performance reviews may also be conducted to provide both management and employees a more formal opportunity to discuss job tasks, identify and correct weaknesses, encourage and recognize strengths, and discuss positive, purposeful approaches for meeting goals.

Feedback goes both ways. Evaluations of employees are intended to be participatory in nature, involving the employees' input as much as that of management, thereby helping employees to contribute to the betterment of the Practice.

Employees should expect to be evaluated during and after your initial 90 days of employment. Formal performance evaluations are generally scheduled annually, subject to change at the discretion of the Practice. The Practice will attempt to give employees notice prior to the evaluation time in order for both parties to prepare and thereby make the evaluation session more productive and meaningful. No evaluation, either scheduled or unscheduled, alters your at-will status, nor creates an obligation to continue your employment. In addition, reviews do not automatically lead to an increase in pay and the Practice does not give a routine annual cost of living increase.


12. SAFETY AND HEALTH

General Safety and Health Policies

Safety of our employees and visitors in our office is of the utmost importance. Each employee and member of management is expected to work diligently to maintain safe and healthful working conditions and to adhere to all practices and procedures designed to prevent injuries and illness. By working together and staying aware of our surroundings we can achieve a safe and healthy environment. Each member of the team is responsible for knowing best safety practices, thinking defensively, anticipating unsafe situations, and reporting unsafe conditions immediately.

In addition, please observe the following precautions:

1. Notify management of any emergency situation. If you are injured or become sick at work, no matter how slightly, you must inform management immediately. Failure to timely notify the Practice can lead to possible worker compensation disqualification.

2. Promptly notify management before the beginning of the workday of any medication you are taking that may cause drowsiness or other side effects that could lead to injury to you or your coworkers.

3. The unauthorized use of alcoholic beverages or illegal substances during working hours will not be tolerated. The possession of alcoholic beverages or illegal substances on company property is forbidden.

4. Use, adjust and repair machines and equipment only if you are trained and qualified.

5. Always perform a review of any equipment or machinery for its condition and make sure any moving parts are free of foreign objects prior to usage.

6. Get help when lifting or pushing heavy objects.

7. If you are not sure of the safe procedure, do not guess. Ask.

8. Know the locations, contents and use of first aid and firefighting equipment.

9. Wear personal protective equipment in accordance with the job you are performing.

10. Report the need for repair or replacement of your work materials or the premises such as light outages, or uneven flooring as soon as discovered.

11. Store materials and equipment safely and neatly; avoid clutter that might cause accidents.


12. Always exercise Universal Precautions while treating patients or sterilizing instruments and carrying out other tasks that have a potential for infection, contamination, or exposure to harmful chemicals or bio-hazardous materials.

13. Know the location of building exits, fire-fighting equipment, and other emergency equipment.

The Practice reserves the right to request that you leave the premises if, in our judgment, your injury or illness poses a direct threat to the health and safety of you or others in the workplace.

In most circumstances, you may not refuse to work because you are afraid of contracting a life- threatening illness from a co-worker or patient. Employees concerned about being infected with a serious disease by a co-worker, customer, patient, or other person, should report such concern to management.

Notice of Potential Exposure to Toxic Substances

Studies have shown that some of the processes and substances used in dentistry and in our office may have a harmful effect on women who are pregnant or planning to become pregnant. In particular, exposure to procedures involving nitrous oxide and x-ray radiation has been noted as potentially posing a risk to the health of a mother or fetus.

If you decide to continue working for us during your pregnancy, we will certainly allow you to do so and we encourage you to seek out further education and guidance from your own physician regarding working in a dental practice while pregnant. If you continue working during your pregnancy, it is your responsibility to self-educate and to inform us of any accommodations you would like to request. You may request a pregnancy disability leave if you or your physician feels that continued performance of your responsibilities may present a hazard to you or the child, or if you are unable to perform the essential functions of your job without a reasonable accommodation.

OSHA Compliance

Due to the potentially hazardous nature of our workplace, including the presence of sharp instruments, blood contaminated equipment, and potential carcinogens, all team members are responsible for familiarity and compliance with OSHA, EPA, and state regulations regarding infection control, job safety and health protection. The Practice cooperates with all reasonable OSHA and EPA inspections and compliance reviews. The Practice provides training and materials explaining the applicable standards and guidelines for all employees during the initial ninety-day getting acquainted period, and periodically when applicable regulations are revised or added. All employees are required to participate, and a record will be maintained of all those in attendance. Missed meetings and training exercises must be made up within a reasonable time to avoid disciplinary action. Please contact management with any questions about vaccine availability, safety supplies, training or applicable standards. The Practice maintains a separate written Exposure Control plan, which is updated at least annually.


Blood-borne Pathogens Standard

OSHA's Bloodborne Pathogens Standard applies to dental office personnel who are reasonably anticipated to come into contact with blood or other potentially infectious materials. The standard is intended to limit occupational exposure to potentially infectious materials as exposure could result in transmission of the pathogens, which could cause death or disease.

To achieve OSHA standards, the Practice requires that team members use universal precautions, treating all bodily fluids as if they are infectious materials. In addition, the Practice stresses the need for frequent hand washing and/or use of disinfectant, and use of personal protective equipment, such as gloves, gowns, protective glasses and masks, to protect employees and patients. The Practice will provide team members with personal protective equipment and training on office procedures.

If at any time you have concerns that the office is not following the proper course of action, please notify a member of management. You may do so without fear of retaliation. For further information, please see management for a copy of OSHA's Bloodborne Pathogens Standard.

Not following OSHA guidelines is considered to be a serious violation of Practice policy, and can lead to disciplinary action and possible termination.

Hazard Communication Standard

OSHA's Hazard Communication Standard requires that warning labels with orange and orange- red biohazard symbols be affixed to containers of regulated waste or, in the alternative, red bags may be used. Employees who may come into contact with hazardous materials are required to receive information and training after the start of employment. The Practice maintains additional information (including a copy of MSDS) about any chemical which is used or stored in the office, and employees are permitted access to this information upon request.

Hepatitis B Standard

The Hepatitis B vaccination will be made available at no cost to employees who may come in contact with blood or other potentially infectious materials. The first dose will be administered within 10 days of your date of hire, unless you have already been vaccinated. If you decline the vaccination, you will be required to sign an informed declination form. If you have been previously vaccinated, you must supply documentation. This information will be kept in your confidential medical file.

Security of Personal Items

The Practice shall not be held responsible for the personal effects of employees while in the office. Employees are responsible for keeping any personal effects secure.


Violence in the Workplace

Violence and/or threats of violence by an employee or anyone else against any other employee or non-employee of the Practice will not be tolerated. The purpose of this policy is to minimize the potential risk of personal injuries at work and to reduce the possibility of damage to Practice property.

Employees may not bring weapons of any kind to the Practice premises for any reason, regardless of whether they are on your person or properly licensed. This includes but is not limited to any type of handgun, automatic weapon, rifle, toxic substance and knives not designated for use by the Practice. Personal defense items such as mace, stun guns, or tear gas are also prohibited without the express permission of management and under the conditions set thereby.

If you receive or overhear any threatening communications from an employee or outside third party, or become aware of an employee in violation of the no-weapons policy above, report it to management at once. Do not engage in either physical or verbal confrontation with a potentially violent individual. If you encounter an individual who is threatening immediate harm to an employee or visitor to our premises, contact an emergency agency (such as 9-1-1) immediately. All reports of work-related threats will be kept confidential to the extent possible, investigated and documented. Employees are expected to report and cooperate in an investigation of any suspected or actual cases of workplace violence.

Violations of this policy, including your failure to report or fully cooperate in the Practice's investigation, may result in disciplinary action, including but not limited to termination.

Smoke-Free Environment

For the health and comfort of our team, patients, and visitors, smoking tobacco products, including e-cigarettes, is not permitted. Smoking by team members is only allowed during authorized breaks and must be done outside the office building in designated smoking areas, and shielded from patient view. Smokers are not entitled to extra breaks because they smoke. In addition, employees are encouraged to refrain from smoking before and during work hours to ensure that clothing, hair, hands, and breath are smoke-free. Employees who violate this policy are subject to discipline as well as being held responsible for any fines assessed to the Practice as a result of a violation.

Drugs and Alcohol

It is the policy of the Practice to maintain its property and to provide a drug-free work environment that is both safe for our employees, patients and visitors, as well as conducive to efficient and productive work standards. This policy restricts certain items and substances from being brought on or being present on Practice property, including its parking areas and vehicles parked thereon. This policy prohibits employees and all others from reporting to work, working, or being present on company property, regardless of whether on duty, from having detectable levels or identifiable trace quantities of certain drugs and other substances, and prohibits the unauthorized possession, by employees or others, of certain materials.


Any employee who uses marijuana during work hours, whose work is impaired by the drug, or whose use of the drug poses a safety risk, is subject to corrective action and or termination, like any other substance that may impair an employee’s functioning at work, whether lawfully used, or not. Furthermore, the Practice is not required to accommodate the medical use of marijuana by employees. A positive drug test for marijuana may lead to your dismissal.

Prohibited Items

The use, possession, sale, manufacture, distribution, dispensation, concealment, receipt, transportation, or being under the influence of any of the following items or substances on company property (including the presence of detectable levels or identifiable trace quantities), by employees is prohibited:

Illegal drugs, controlled substances, marijuana, intoxicants (legal or illegal), "look- alike" substances, designer drugs, counterfeit or synthetic drugs, inhalants, and any other drugs or substances that will, in any way, affect safety, work ability, alertness, coordination, judgment, response, or the safety of others on the job.

Alcoholic beverages, except as specifically authorized by management (such as at holiday events, and then only in moderation). Consuming alcoholic beverages while driving or driving any vehicle for company business while intoxicated is prohibited. The consumption of alcohol on company time, including during authorized break periods, or on company property is prohibited.

Drug paraphernalia.

Prescription drugs and over-the-counter medications, except where prescribed by an authorized medical practitioner for current use, are taken in accordance with such prescription, and do not affect the employee’s ability to safely perform his/her job duties.

Contraband Policy Enforcement

Because of the importance of this policy, the Practice reserves the right, at all times, while on Practice property and when circumstances warrant, to conduct searches and inspections of employees and their personal property and effects in accordance with applicable laws for the purpose of determining if such employees are in violation of this policy or any other policy herein.

All employees are expected to cooperate with any investigation. Failure to cooperate, provision of false information, or omission of relevant information may subject any employee to disciplinary action up to and including termination of employment.


A search and inspection may also include and require employees and others present on Practice property to submit to a Urine Drug Screen Test and/or Blood Test or other examination. Tests/inspections may be required under the following circumstances:

During pre-employment examinations;

When management has reason to believe that an employee on Practice property is using or under the influence of prohibited drugs, alcohol, and substances, or that there has been a violation of this policy;

When an employee, or other person, is found in possession of suspected illegal or prohibited drugs and substances, or when any of these drugs and substances are found in an area controlled or used exclusively by said employee or other person;

When an employee returns to active employment after a leave of absence of thirty(30) or more days; or

Following an on-the-job injury requiring treatment from a physician or following a serious or potentially serious accident or incident, including near misses, in which safety precautions were violated, unsafe instructions or orders were given, vehicles/equipment/property was damaged, or unusually careless acts were performed. All persons involved and within the immediate vicinity of the incident may have their urine and blood tested. If it is impossible or impractical, because of the physical condition of the individual(s) involved in the accident, to give a urine and blood sample, and if in subsequent medical treatment of the person(s) blood will be drawn, then blood may be analyzed for drugs, alcohol, and other prohibited substances.

Your employment or continued employment with the Practice is conditioned upon your full compliance with the foregoing policy. Any violation of this policy may result in disciplinary action, up to and including discharge. Furthermore, any employee who violates this policy who is subject to termination may be permitted in lieu of termination, at the Practice’s sole discretion, to participate in and successfully complete an appropriate treatment, counseling or rehabilitation program as recommended by a substance abuse professional, and as a condition of continued employment and in accordance with applicable federal, state and local laws.


13. TIME OFF

Holidays

The Practice normally observes the following holidays:

New Year’s Day Memorial Day Independence Day Labor Day Thanksgiving Day Christmas Day

Eligibility for Holiday Pay

Full-time regular employees who have successfully completed one (1) year of continuous employment with the practice receive a paid holiday only if the holiday falls on a day they are normally scheduled to work. Non-exempt employees must work the last scheduled day before a holiday and the first scheduled working day following the holiday to be eligible for holiday pay unless time off on these days has been excused with pay. Employees on a leave of absence for any reason are not eligible for holiday pay. Full-time employees receive 9 hours per holiday. Time is paid at the regular rate of pay at the time of the holiday.

Employees who want to take holidays that are not holidays observed by the Practice can use vacation or personal leave. These holidays should be scheduled using the procedures set out below in "Scheduling Vacations".

Vacation

The Practice’s vacation policy is designed to provide you with an opportunity for paid time off for rest, recreation and personal activities. To be eligible, employees must be classified as full time regular employees, and have worked a minimum of 1250 hours in the past year. Vacation is based on the calendar year. One quarter of the applicable amount of vacation leave is accrued per calendar month. The amount of vacation that can be accrued is based on length of employment, as described in the following chart:

Length of Employment Vacation Accrual1 year 1 week (36 hours)2 to 5 years 2 weeks5 to 9 years 4 weeks10 + years 5 weeks

One vacation week is equal to 36 hours OR 4 days. Accrued vacation must be taken during the calendar year in which it is accrued. Accrued vacation cannot be rolled over into subsequent years. Therefore, if you do not take vacation in the year in which it is granted, it will be forfeit.


Vacation pay is based on your regular rate of pay. Vacation pay is a benefit and not hours worked, therefore is not eligible for any bonus or overtime consideration. Part-time and temporary employees are not eligible for vacation.

In order to permit employees to take their full annual benefit prior to the end of the accrual year, upon written request, an employee who is eligible for vacation may request an advance of up to two weeks of vacation for the year. However, in the event your employment is terminated, voluntarily or otherwise, any advanced vacation must be repaid to the Practice, either by deduction from your final paycheck, or other agreed upon repayment terms. Likewise, if you have accrued but not used vacation at the time of separation from employment, such amounts will not be paid out to you.

Scheduling Vacations

The Practice asks for your cooperation in scheduling your time off to ensure that your vacations do not disrupt the Practice’s operations or unnecessarily burden your coworkers. In this regard, you must complete an Absence Request form and have it approved by at least forty-five (45) days prior to the scheduled vacation date(s). Requests will be considered in the order received. Your requested time off may not be permitted during particularly busy periods of the year. The office administrator will record vacation schedules. If a paid holiday falls during an employee’s vacation, the employee may arrange an additional vacation day at a time convenient for the office.

You may not schedule more than two (2) consecutive vacation weeks at any time, unless pre- approved by management. Paid vacation time can be used in minimum increments of one hour.

Unexpected Absence

If you must be out of the office unexpectedly due to illness you must notify your supervisor as soon as possible, but no later than one (1) hour before your start time. You may be required to provide a note from a physician for absences longer than one day.

Leave of Absence

A leave of absence is defined as an excused absence without pay, usually for medical reasons or the birth or placement of a child. If the Practice has more than eight (8) employees, pursuant to the Washington State Family Leave Act (FLA), qualified employees will be granted a leave of absence for an employee’s own medical condition, pregnancy, the birth or placement of a child, and for the care of a family member who has a serious health condition. To qualify, employees must be full-time, and have been employed for the preceding twelve-month period. Leaves of absence for other personal reasons are granted at the sole discretion of management for reasons acceptable to the Practice and depending on our staffing needs. A family member includes a child, parent, spouse, or state registered domestic partner of an employee. If we have fewer than 8 employees, the FLA does not apply, and the Practice will grant leaves of absence in its sole discretion depending on the needs of the business, and reinstatement is not guaranteed.


All leaves of absence must be pre-approved by management. A doctor’s certification as to the inability to continue working may be required for medical and pregnancy-related or to document the necessity of an employee’s presence to care for an ill immediate family member. Employees anticipating a leave of absence must submit a request no less than thirty days prior to the requested start of leave. When leave is not foreseeable, employees are required to provide as much notice as is practical.

Employees may request up to twelve (12) workweeks of unpaid leave in one twelve month period. Leaves for pregnancy are treated like any other medical leave except that leave duration may be extended up to twelve (12) weeks if deemed necessary by the employee’s doctor. Employees are required to use any accrued paid leave time concurrently with any approved unpaid leave. Requests for part-time or light duty will also be considered. Extensions for up to thirty days (up to a maximum of twelve (12) weeks) may be granted upon request at the discretion of the Practice. The Practice reserves the right to require an examination by a physician of its choice if there is a question regarding the employee’s physical ability to start or remain on a medical leave status.

Leaves must have a specific duration and return-to-work date approved at the time the leave is granted. Employees on leave are expected to keep the Practice advised as to their status and their intent to return to work. Failure to return to work on the specified date without an approved extension will be considered job abandonment and treated as a voluntary resignation.

Employees on leave are expected to comply with applicable company policies, such as confidentiality, and conflict-of-interest policies. Failure to comply with applicable policies may lead to discipline, including discharge, during or upon return from any leave. Accepting outside or supplemental employment while on a leave will result in the employee’s discharge.

Benefits such as sick leave, vacation, and seniority do not accrue during unpaid leave. Any employer-sponsored insurance benefits (i.e., health care premiums) will be paid by the Practice until the end of the month in which the leave begins, and thereafter, must be continued at the sole expense of the employee in order to remain in force. Employees pay any premiums due through increased payroll deductions before your leave begins, or, if you prefer, through separate payments made by you to the Practice every payroll period.

Reinstatement after Leave

To resume expected job duties after leave of absence for medical or maternity/paternity related reasons, an employee returning to work may be required to provide a written release from a licensed physician listing any restrictions. All medical information will be maintained in confidence.

If we have more than eight (8) employees at the time a medical, family, or pregnancy leave begins, upon returning to work you will be reinstated to your previous job status, or to an open position comparable in status and pay for which you are qualified, with no break in service. If we have fewer than eight (8) employees at the time your leave begins, your reinstatement is not guaranteed.


Changes in hours, schedules, duties, jobs, benefits, pay, and the like may occur because of business needs. Furthermore, employees on leave are subject to any layoff or reduction in force as permitted by applicable law.

Reinstatement from Personal Leave of Absence

Reinstatement cannot be guaranteed to any employee returning from family or personal leave. We endeavor, however, to place employees returning from leave in their former positions if available or positions comparable in status and pay, subject to budgetary restrictions, available vacancies, state and federal regulations and guidelines and our ability to find qualified temporary replacements.

Paid Maternity/Paternity Leave

All full time employees who have been employed by the Practice for five (5) years will be eligible for maternity/paternity pay. The first month following delivery, the employee will receive full pay at 80 hours per pay period. The second and third month of maternity/paternity leave the employee will receive half pay at 40 hours per pay period. During this second and third month the employee can also work up to 40 hours per pay period.

Paid Family Leave

Employees on leave to care for a newborn or a newly adopted child may qualify for Washington’s Paid Family Leave, which provides eligible employees with up to five (5) weeks of wage replacement, up to $250 per week. To be eligible, employees must regularly work 35 hours or more per week and have worked at least 680 hours during his or her qualifying year. This benefit is administered through by the state insurance program. Part-time employees may be eligible for a pro-rated benefit.

Doctor Out of the Office

There will be times when the doctor is out of the office for Practice business, continuing education, or for personal reasons. You will be given as much notice as possible of the dates and times when the doctor will be away from the office. If your presence is not required, you may either take time off without pay, or utilize accrued unused vacation. Please notify the doctor of your decision within one week of the time when the doctor will be out.

Birthdays as Holidays

Your birthday is not a holiday, and you are expected to work on your birthday. You may request to have your birthday off as an unpaid day, as long as you arrange for suitable coverage, or to use other paid time off (such as vacation), by following the procedure for scheduling vacations.


Bereavement Leave

You may use vacation or personal leave to attend the funeral of a member of your immediate family. If you have exhausted your vacation or personal time, you may take up to five (5) days off without pay, with additional time at the discretion of the Practice. You must speak to the office manager by phone or in person to notify us of the need for leave, and your anticipated return to work date, as soon as possible. You may be required to provide proof of death and familial relationship.

Election Day

You are encouraged to vote. We ask that you make every attempt to vote before or after our normal business hours. If this cannot be accomplished while the polls are open, you may request extra time off to vote, with at least two days advance notice. Your schedule may be adjusted at the Practice’s discretion.

Jury Duty

Employees will be allowed the necessary time off to serve jury duty. You will not be compensated for jury duty unless otherwise required by law. You are expected to report to work whenever the court schedule permits, and should call in if you are released from duty during your regular work schedule to see if you are needed. Please provide management with the notification of your jury duty or summons as soon as possible so that arrangements may be made to accommodate your absence. Upon your return to work after jury duty, you must show proof of length of service.

Witness Leave

Employees are given the necessary time off without pay to attend or participate in a court proceeding when subpoenaed in accordance with law. We ask that you notify management of the need to take witness leave as far in advance as is possible. Exempt employees may be provided time off with pay when necessary to comply with state and federal wage and hour laws.

Domestic Violence Leave

An employee that is a victim or has a family member (child, spouse, domestic partner, parent, parent-in-law, grandparent or person with whom the employee has a dating relationship) that is a victim of domestic violence, sexual assault or stalking may request reasonable time off without pay in order to obtain relief including restraining orders, seeking medical attention, obtaining crisis services, and attending any criminal proceedings associated with his or her crime victim status. Leave time and reinstatement will be granted for qualified requests made by employees. Employees may elect to apply any available accrued and unused sick or vacation pay. Employees taking qualified Leave shall not experience a loss of benefits, to the extent allowed by law, for the duration of the leave. Employees may be required to provide documentation of police reports, medical certifications, or proof of proceedings provided in a timely manner.


Military Leave of Absence

The Practice complies with all provisions of the Uniformed Services Employment and Reemployment Rights Act (USERRA). You must notify the Practice as soon as possible after you receive military orders, furnish the Practice with any official papers you receive regarding your orders, and provide the Practice with any required documentation for re-employment upon completion of service. Military leave will be granted up to a maximum of five years of actual service time, and employees will be entitled to reinstatement upon return, provided you apply for re-employment (written or verbal) within the applicable time limits of returning, and the discharge was honorable, as required by law. Reinstatement will be made by the employer as soon as practical.

Required Documentation on Application for Reemployment - Upon return from military leave exceeding thirty (30) days, you will be required to submit documentation showing the following for reemployment:

• The reemployment application is timely;• The employee has not exceeded the 5-year limit on duration of service; and• The separation or dismissal from service was not dishonorable, based on bad

conduct, or anything “other than honorable.”

Your military leave will be unpaid unless you request the use of any accrued and unused paid time off (Vacation, PTO). Such paid time will run concurrently with your service leave time limits. Military leave may be granted to attend training, special schools, encampments, voluntary or involuntary Active Duty, or emergencies.

Employees returning from Military leave extending between 31 days and 180 days will not be terminated for any reason other than cause for up to 6 months following reinstatement and for Military leaves in excess of 180 days you will not be terminated for other than cause for up to 12 months following reinstatement.

If you regularly work more than 20 hours and your spouse or registered domestic partner is deployed in a time of military conflict you may request and granted up to fifteen (15) days of unpaid leave. A copy of the military orders should be provided at the time of request. Any accrued and unused balance of vacation time may be applied at the employee’s request.

Please speak to management for further explanation and details regarding your rights under these policies.


14. COMPENSATION AND PAY

Paychecks

You will receive your paycheck by the 15th and the last day of the month as compensation for the previous pay period. For payroll and overtime purposes the workweek starts on Monday and ends on Sunday. If the normal payday falls on a holiday, you may be paid the day before or the day after the holiday depending on payroll processing. Payroll advances will not be made under any circumstances.

Your check will consist of your hourly wages or salary, minus deductions required by law. All deductions will be itemized on an attachment to your check, and then totaled each year for you on your W-2 Form, Wage and Tax Statement. Employers are not required and do not check the validity or accuracy of employee withholdings and exemptions as reported on W-4 forms or state equivalents. Employees are solely responsible to review their withholdings each pay period, and to update their W-4 and equivalent state forms as necessary. It may take 2-4 weeks to process any revisions to tax withholdings.

All deductions from an employee’s wages shall be in accordance with applicable law, and when required, the employee’s consent. Other than withholding for federal, state, or local taxes, including FICA, no deduction from an employee’s wages for any period shall cause the employee’s wages for any such period to be less than minimum wage.

In the event of termination or resignation, final paychecks will be paid by the end of the next regular payday.

As with any other policy, paycheck policies may be changed at any time.

Paycheck Errors

All employees are asked to please review your paycheck carefully for errors. If you find a mistake, report it to the office manager as soon as possible, but no later than thirty days after receiving your check, so that we may take the steps necessary to correct the error. Errors in payroll will be corrected and paid in the next scheduled pay check after we receive notice. After thirty days, we will assume there are no errors, and your recourse may be limited or unavailable.

Garnishment

The Practice is required to comply with any court ordered garnishment of your wages. If you are hired by the Practice and currently subject to such a court order, you must supply the appropriate documentation and nature of the action immediately. If the Practice must garnish your wages, you may be charged a fee for administrative expenses in the amount permitted by state law.


Exempt Employees

It is our policy to comply with FLSA salary-basis requirements, and therefore the Practice prohibits improper deductions from salaries of exempt employees. Improper deductions include those for less than a full day of work and for absences due to sickness or injury, except that deductions for sickness or injury related absences can be made from accrued paid sick or vacation benefits, if available. When any such benefits have been exhausted, the weekly salary may be prorated in full day increments for absences of a full day or more. Deductions may be made for absences of a full day or more due to personal reasons unrelated to sickness or injury, for unpaid disciplinary suspensions, and to prorate for the first and last week of work. If the office is closed due to a holiday or other practice needs that are not the fault of the employee, no PTO or salary deduction will be made.

Overtime

At times, you may be requested to work overtime in order to meet the needs of the Practice. However, working overtime is generally discouraged. Exempt employees are not eligible for overtime pay. Non-Exempt employees must have all overtime approved in advance and reported on the time sheet for that pay period. Non-exempt employees will be paid at their regular rate plus one-half for hours actually worked in excess of 40 hours in a work week, or as otherwise prescribed by state law. Paid time off, such as vacation, personal days and holidays are not counted for overtime.

On-Call/Wait Time

Employees assigned to be “on-call” during non-work hours are required to record all time spent actually in service (i.e. responding to callers). Time spent on-call in which the employee is completely relieved of duty and restrictions are not placed on the employee’s ability to use the time for his/her own pursuits is not considered time worked. Time spent on-call in which the employee is unable to use the time for his/her own pursuits, as well as time actually spent in service is considered time worked. Such time may be compensated at a differential rate of pay than an employee’s regular rate of pay.

Health Benefits

Full-time employees are eligible to participate in the Practice’s group health plan on the first day of the month following 90 days of continuous employment. Spouses, domestic partners and eligible dependents may be added to coverage at the Employee’s sole expense. Employees will share in premium costs at a rate of 25% of the monthly premium. The employee’s share of the premium will be automatically deducted from each paycheck. Employees should consult the separate materials prepared directly by the Practice’s health care insurance company for details of the plan.


Dental Insurance

Dental benefits will be provided up to a maximum of $2,000.00 for each eligible full time employee and their immediate family (spouse and children 21 years of age and under). Yearly dental benefits are for the employee and immediate family members only and may not be carried over to the next year.

Employee Endodontic Benefit

The Practice has an in-house treatment plan that allows full-time employees who have successfully completed the getting acquainted period to receive endodontic treatment at the Practice without charge. Employees are to clock out while receiving treatment from the Practice, and to schedule treatment for themselves only at times designated by the Practice, or otherwise so as not to disrupt peak patient treatment hours.

The Practice reserves the right at its sole discretion to refuse treatment to anyone. At the time of termination, employees will be required to arrange for payment of any outstanding balances due to the Practice.

Social Security

Both you and the Practice contribute funds towards Social Security. This contribution will appear on your paystubs as two payments, one for retirement savings, and one for Medicare.

Unemployment Insurance

Upon separation from employment, you may be entitled to state and federal unemployment compensation benefits. These laws generally provide eligible unemployed persons weekly cash benefits for a designated number of weeks or until such time as they are able to obtain employment. While we have no desire to deny unemployment benefits to any person who is legally entitled to them, it is the Practice's policy to contest all unemployment claims and apply for relief from charges for those claims that do not comply with the requirements of the law.

Workers’ Compensation

The Practice provides workers' compensation insurance covering injuries or illnesses occurring in the course of your employment at a shared expense between the employer and employee subject to limits and restrictions as defined by state law. State law, not the Practice, determines employee eligibility to receive workers’ compensation benefits. It is our policy to comply with state laws and to aid any employee whose injury or illness is determined to be compensable under the provisions of the state's workers' compensation act, as well as other applicable laws, which may include FMLA, ADA, OSHA, and/or HIPAA.

All employees must report complete and immediate information to management regarding any accident that occurs on the company premises in which you are involved, no matter how slight the resulting injury or illness. Failure to do so may jeopardize your eligibility to receive benefits.


Generally, coverage does not include injuries received traveling to or from work or during the lunch period, nor does it cover incidents caused by an employee’s intoxication or other flagrant abuse of Practice policies. Periodically, you may be asked to confirm in writing whether you have had any work-related injuries or illnesses.

Bonus Policy

The Practice provides bonuses at the sole discretion of the Doctor. The Bonus system does not create a contract of employment, and is not intended as a promise of wages. Bonuses are not intended to be binding on the company, and may be withdrawn or changed at any time with advance notice. All bonuses will be subject to the standard deductions required by law.


15. TRAINING AND TRAVEL

Continuing Education

In order to ensure the best possible care of our patients, the Practice encourages employees to take advantage of training and educational opportunities, which further your ability to perform your job. If you are interested in attending training events, please present the syllabus to management for review. Expenses may be compensated at the discretion of the Practice.

The Practice will from time to time make educational events available to you. The Practice will determine whether a seminar or training event is mandatory or optional for employees. Attendance at lectures, training programs, and similar activities will not be counted as time worked and as a result the employee will not be paid for that time if:

(1) Attendance is outside of the employee's regular working hours;

(2) Attendance is voluntary;

(3) The course, lecture, or meeting is not directly related to the employee's job; and

(4) The employee does not perform any productive work during the attendance.

If any of the above criteria is not met, or another exception does not apply, you will be paid for your time actually spent in training. You may be paid a reduced rate of pay for travel and training, and will be informed of the rate in advance.

Time spent traveling to and from the location of a compensable training event is paid when such travel cuts across our normal business hours (regardless of the day), and to the extent it exceeds normal travel from your home to work. Regular meal periods and time spent sleeping or in other leisure activities while traveling is not work time, and the Practice does not pay for this time. You will be required to track your time and submit it upon your return. The Practice will also reimburse employees for all approved necessary expenditures incurred by employees while participating in compensable training events, upon submission of valid receipts.

Employees are expected to maintain the image of the Practice at all training events, including being present both physically and mentally at all required functions. This means you should limit your recreational activities so that you are well rested and able to give your full attention.

Verification of Licenses and Certificates

If you work in a position that requires licenses or certificates, you are required to keep them current at your own expense, unless expressly approved in advance, at the sole discretion of the Practice. Time spent in continuing education courses needed to maintain your license to perform your current job should be scheduled outside of work hours, and is not compensable time.


The Practice will not be responsible to provide any notification or reminders to licensed individuals prior to the renewal date of such licenses or credentials. Employees should make every attempt to schedule any required classes for certifications to take place during non-work hours. The Practice requires that you provide current licensure and certifications at the time of hire and annually. Failure to keep your licenses and certifications current could result in disciplinary action, including suspension, pending reinstatement of necessary licensure and credentials, and/or termination.

Business Travel

If you use your own vehicle for required business travel, the Practice may reimburse you at the standard IRS mileage reimbursement rate; otherwise you may take the deduction for the expense on your personal taxes. Either way, you should keep track of all miles travelled in relation to required business travel. Please note, at no time should the expense of using your own vehicle for required business travel take your hourly rate below minimum wage. If you suspect this to be true, please submit your mileage to management for reimbursement.

You are also required to obtain and maintain auto insurance for your own vehicle and give evidence of that insurance to management for your file on an annual basis. It is against the law to drive without insurance.

You will be compensated for your time spent travelling on required Practice business when such time cuts across your normal business hours, regardless of the day (Monday – Sunday), any time you are required to drive your own vehicle, and/or any time you perform work while travelling after hours. You may be compensated at a reduced rate of pay for travel time.

All training and travel arrangements, if any, must be approved by management in advance, and all approved expenses must be supported by valid receipts for proper reimbursement upon return. Travel time, including any overtime pay, will be paid as required by applicable law.

All employees are expected to maintain the image of the Practice, and must comply with all applicable Policies of the Practice, as well as all laws while traveling on Practice business, including no driving under the influence or talking on a cell phone or texting while driving.

If your license is suspended, revoked or cancelled, you must report it to management immediately. If you report it confidentially and give the Practice an opportunity to remove driving from your list of job duties, depending on the circumstances and your general work performance and attendance, your job may not be in jeopardy. However, not reporting the loss of your license or any conviction for driving under the influence of alcohol or drugs while on Practice business in any personal or Practice-owned or rented vehicle will subject you to discipline up to and including immediate dismissal.

TRAFFIC VIOLATIONS – Any fines incurred for traffic violations while you are driving on Practice business are your responsibility. Employees must speak with management if they experience problems that they feel were not their fault. However, parking violations are always considered to be the fault of the driver.


VEHICLE ACCIDENT REPORTING – In the event of an accident while on Practice business, employees must follow the steps outlined below. While the Practice expects employees to take care to avoid accidents, prompt attention to an accident that nonetheless occurs will reduce costs and losses.

When An Accident Happens:

Notify the police immediately. Write down the names, addresses, telephone numbers and license numbers of persons

involved and any witnesses. Take pictures, if possible. Report all non-emergency accidents to management promptly. Report emergency accidents to management as soon as possible. Do not discuss the accident with anyone except the police, your insurance

representative, or management.


16. USE OF ELECTRONIC DEVICES, EMAIL, TELEPHONE AND INTERNET

This section addresses the Practice’s policies concerning electronic devices, such as your cell phone, and the electronic devices the business owns, such as the company computer systems and the information stored and passed through them.

Cameras and Other Imaging Devices

The nature of our business requires that we observe the highest standards of confidentiality, as well as reduce any possibility of harassment. Thus, unless used as part of authorized treatment and consented to by the patient and/or guardian, taking pictures of patients on Practice property is prohibited. This policy applies to both employees and patients. Always ask permission from any subject person before taking or transmitting any pictures on company property, regardless of the subject matter of the intended photo. And if you see any patient taking a picture without the obvious consent of the subject, notify a manager or the Doctor immediately. Likewise, for the protection of our patients, taking pictures of company records with your cell phone or other imaging device is prohibited without express permission of the Practice. Finally, covert recording of any kind is a violation of company policy and will subject an employee to immediate termination. Employees are asked to report any violation of this policy.

Cell Phone Use

Cell phones are to be turned to silent and placed somewhere not on your person upon arriving at work. We do not permit personal phone calls, or texting, either incoming or outgoing, during business hours, except during authorized breaks. During these breaks, we ask that you be courteous while on the phone and only speak in an area where you cannot be overheard by your fellow employees or patients. In cases of emergency, family members may call the front office and leave a message and it will be forwarded to you.

Email and the Internet

The Practice’s E-mail and Internet system is to be used only for business purposes. No personal use of the e-mail/Internet system will be allowed. Furthermore, you are required to keep any company passwords private, and are otherwise expected to protect the integrity of any security measures put in place to keep company records and files secure.

Employees must be aware that all e-mail/Internet records are Practice property, and employees have no right or expectation of privacy in such information. As part of the Practice’s maintenance and security procedures, the Practice reserves the right to monitor, access, retrieve, store and review all e-mail/Internet activity as it deems appropriate, and to disclose the nature and content of any such activity to law enforcement officials or to other third parties, without any prior notice to the employee. As a condition of initial and continued employment, all employees must consent to the Practice's review and disclosure of e-mail messages and internet records.

All out-going e-mail reflects on the Practice.


Similarly, visiting web sites often permits them to extract information about the visitor, and store files ("cookies") on the visitor's local machine. Therefore, e-mail and web activities on or through company computers and networks should be used in a manner that is consistent with the professional and business interests of the Practice. Accordingly:

E-mail, instant messaging, the web, or the Internet should not be used in any manner that is illegal or unethical;

E-mail and instant messaging should not be used, and files should not be downloaded/viewed/played, in any manner which would violate or contravene any policy of the Practice, including without limitation the Anti-Harassment Policy;

Employees may not download software applications from the internet or from any other source without approval in writing from management;

E-mail, instant messaging, the web, or the Internet should not be used in a manner that is likely to compromise the integrity of the company’s computer systems or in a manner that is likely to compromise the confidentiality of any confidential information;

Business-related e-mail should be treated similarly to other forms of business-related correspondence, i.e., appropriate business correspondence style should be used and, where appropriate, copies should be printed and kept in the appropriate file;

Employees should refrain from routing non-work related e-mail messages, such as jokes, political commentaries, news briefs, chain letters, or the like;

Pornography in any form is strictly prohibited from being sent, viewed, downloaded, or broadcasted from within or to company network or computer systems. Violations of the policy will not be tolerated. If any laws are suspected to have been broken, the Practice may elect to inform appropriate authorities.

Again, you should not assume that e-mail, or instant messaging communications are private, secure or innocuous. Despite system features that give the appearance of privacy, including passwords and the apparent ability to delete messages, data and information sent or received via e-mail are not necessarily safe for many reasons. Accordingly, you should never download items unless you are specifically authorized and qualified to do so.

Programs and Passwords

Employees of the Practice will be given access to equipment and other secured systems on an as needed basis at the discretion of the Practice. If your job duties include the use of computers and various other security systems, you will be issued the proper access, guidance for use, and unique passwords. Employees may not share or use a “universal” password or one that is assigned to others. For security and various other accounting reasons, employees needing computer access must be issued unique passwords for their own use with company equipment and/or programs installed on the company computers and other security systems.


Employees found using the passwords of others are subject to discipline up to and including immediate dismissal.

Employees are encouraged to please help us identify any area where any team member is in violation of this policy, whether intentionally or by mistake, including owners and managers. If you are directed to use a universal password or someone else’s password, please inform the owner as soon as possible.

Further, employees may not access company computers or programs from outside of the workplace unless specifically permitted by the Practice. Passwords and security settings are not to be changed unless approved by the Practice Administrator in writing and employees are required to relinquish to the Practice all access to company programs and/or equipment at time of separation from employment.

Social Media

Employees are encouraged to use the internet responsibly; especially interactive social media sites, personal blogs, message boards, and the like, both during and outside work hours. Employees should be aware that when they make their personal information public, it is no longer personal and private, and any such information reflects upon the employee individually, the company, as well as his or her coworkers.

Our practice works best when employees work together as a team. An employee is more likely to resolve work-related complaints by speaking directly with co-workers or by utilizing the Practice’s Open Door Policy than by posting complaints to a social media outlet. Nevertheless, if the employee decides to post complaints or criticism, s/he should avoid using statements, photographs, video or audio that reasonably could be viewed as malicious, obscene, threatening or intimidating.

An employee should avoid postings that disparage individuals, or that might constitute harassment or bullying. Examples of such conduct might include offensive posts meant to intentionally harm someone’s reputation or posts that could contribute to a hostile work environment on the basis of race, sex, disability, religion or any other status protected by law or company policy. The practice also prohibits posting of confidential or proprietary information for which it has a legitimate business or ethical interest in keeping private, including any Protected Health Information.

The Practice permits employees to praise or make positive comments about the Practice and its services on public forums. However, whenever employees communicate any information about the Practice, they are required to disclose that they are employees of the company and are also encouraged to make clear that the comments reflect their own thoughts and opinions and not necessarily those of the employer.


Employees are discouraged from engaging in social relationships through social media (i.e., “friending” on Facebook) with patients of the Practice, however employees are asked to use their best discretion in making any such decision. Employees are encouraged to speak with the office manager should they receive requests from patients to connect through social media that cause any degree of discomfort.

Any abuse of the e-mail or Internet systems, including use in violation of the law or the Practice’s policies, will result in disciplinary action, including but not limited to termination of employment.

Privacy

We follow all Federal and State guidelines regarding privacy and internet use in the workplace. As stated, our internet systems and any and all other equipment issued by the Practice (including telephones, computers, laptops, servers, smart phones, pagers, and/or cell phones) are company property and are monitored to protect company assets. Be aware that we may audit a specific computer, your email, instant messages, text messages, internet usage, and any other electronic communication stored on, communicated through or by the Practice’s equipment or network. We have the right to review any communications stored on Practice equipment, even if those communications or files are personal, and were sent through an employee’s password-protected email account. Therefore, you should have no expectation of privacy in any personal documents or communications sent through or stored on Practice equipment or network. By using the company email system and or equipment you are consenting to this monitoring. With this in mind, please be advised not to keep any personal items on your work computers or any storage device owned by the Practice in order to maintain your privacy.


17. COOPERATION WITH INTERNAL AND EXTERNAL INVESTIGATIONS

From time to time, and at its sole discretion, the Practice may authorize or conduct an investigation into possible work rule violations. In such cases, employees are expected to fully and honestly cooperate with a request to participate in such an investigation. Failure to cooperate in an investigation, and/or to report knowledge of theft, embezzlement, or other violation of company policy, may result in disciplinary action, including but not limited to termination of employment. Employees providing information related to an investigation will not be subject to retaliation or disciplinary action as a result of their participation, provided the employee is not found to have violated company policy and otherwise participates in good faith.

18. PATIENT AND PRACTICE INFORMATION CONFIDENTIALITY

All matters relating to patients are confidential and must not be discussed outside the office or within hearing distance of any other patients. Release of any information about a patient’s name, address, age, sex, nature of illness or injury, general condition, treatment, etc., to members of the public, press, other professionals, pharmacies, families, friends, etc., without the patient's specific advance authorization is prohibited. A breach of confidentiality is a serious matter and is considered grounds for termination.

The Practice will provide training for each of its employees on the importance of maintaining confidentiality and the specific requirements of state and federal law, including the HIPAA Privacy Regulations and laws protecting the privacy of patients. Employees are required to familiarize themselves with these laws, and to stay abreast of any updates or changes. Federal law and Practice policy requires all employees to use and disclose confidential health information only in connection with and for the purpose of performing an employee’s assigned duties, and then only as necessary to perform those duties.

Employees must take reasonable care to properly secure confidential health information, and take steps to ensure that others cannot view or access such information. Along these lines, employees should keep their computer screen, chart notes, case histories, and other confidential papers where patients cannot see them. In addition, employees must not reveal any confidential health information over the phone, including whether a patient is receiving treatment at the Practice, unless such disclosure is authorized in accordance with federal and Practice policies set forth here or elsewhere.

The Practice prohibits the unlawful or unauthorized access, use or disclosure of confidential and/or proprietary information of the Practice obtained during the course of your employment to those outside the Practice, unless authorized by management. The Practice’s confidentiality policy applies to information maintained or transmitted in any form, including verbally, in writing, or in any electronic form, and any transmission, whether intentional or otherwise. The confidentiality policy is effective both during and after your employment ends. In addition, as a condition of employment, employees are required to read and sign the Confidentiality and Nondisclosure Policy, which is incorporated into these policies and follows as Part III.


HIPAA Violations

The Practice takes HIPAA violations extremely seriously. The Practice will utilize its Progressive Corrective Coaching process for responding to employees’ involvement in security incidents that compromise protected health information. Documentation will be placed in the employee’s personnel file as well as in the Practice’s HIPAA records. As stated in the Progressive Corrective Coaching policy, it is the intent of the Practice to handle this process consistently with each employee and for each problem; however, HIPAA violations must be analyzed individually based upon a number of circumstances, including the risk to our patients and to the Practice. HIPAA violations that do not result in termination should be expected to require re-training as to HIPAA requirements and the Practice’s policies and procedures. Employees are required to report any violation, and if there is doubt as to whether a breach has occurred, to always err on the side of reporting.


19. VISITORS TO THE PRACTICE

In order to prevent the disruption of the flow of our workday, visitation to our office from non- practice employees is discouraged. Any visitors, including former employees, friends, and family members, must limit their presence at the office to necessary and brief time periods. For safety and security purposes, visitors are not permitted beyond the reception areas unless escorted by an employee of the Practice. At the doctor’s discretion, visitors may be asked to leave, or asked not to return during working hours.

20. SOLICITATION

Solicitation by an employee of another employee is prohibited while either person is on working time. For these purposes, solicitation means requesting or entreating another’s support, investment or purchase in relation to an outside business or charity. Working time is all time when an employee should be engaged in work tasks; it does not include an employee’s own time, such as meal periods, or time before or after work. Solicitation, distribution of literature or trespassing by non-employees is prohibited at all times on company premises, including parking lots. Solicitation of patients for any purpose is strictly prohibited .

21. FRATERNIZATION POLICY

In order to maintain the high professional and ethical standards set by the Practice, and to avoid favoritism, discrimination or conflicts of interest, intimate behavior or relationships between management and subordinate employees is strictly prohibited, regardless of the directness or indirectness of the chain of command. Consensual dating or intimate relationships between co-workers may be permissible only when such relationships are fully disclosed to management, consensual, and each employee provides a signed Consensual Relationship Agreement to management. Each employee in such a relationship must acknowledge that they will abide by the Practice’s discrimination policies, agree to act professionally by not engaging in conduct that might be offensive to other employees, and further agree to hold the Practice harmless from any damages or claims arising from the relationship, regardless of whether such conduct arises during or after the relationship. Finally, even employees in disclosed consensual relationships are subject to discipline for conduct deemed inappropriate for the workplace.

Likewise, it is discouraged for an employee to become romantically involved with a patient, or a family member of a patient, of the Practice. Employees are required to disclose any romantic or dating relationship with a patient to the Practice, so that steps can be taken to ensure the patient and the Practice’s interests are protected. Failure to disclose such relationships is grounds for termination.


22. OUTSIDE EMPLOYMENT

The Practice feels that employees should be allowed to take outside work to meet personal economic needs. However, in order to meet the staffing needs of the Practice, taking outside employment is contingent upon the employee first meeting the demands of his or her job at the Practice, including availability to work overtime or to occasionally cover shifts for others. Any outside position must in no way be detrimental to the Practice, as in working for a direct competitor of the Practice. The Practice’s intent is not to restrict outside employment, unless it conflicts with these goals.

In order to avoid any misunderstanding, employees are required to obtain written permission from the Practice to be kept in the employee’s personnel file. Requests for authorization should include the name of the outside employer, the hours required for it, as well as any restrictions upon the employee’s availability to work for the Practice. Failure to notify and obtain written permission is grounds for termination.

If permission is granted, the employee’s obligations of confidentiality and respect for the Practice’s patient base are still in effect. Soliciting patients from one practice and referring them to another is a conflict of interest and is not allowed. Further, employees may not receive any income or material gain from individuals outside the Practice for materials produced or purchased on behalf of the Practice, or for services rendered while performing your job with the Practice.

If your approved outside work interferes with your job performance at the Practice, or creates a conflict of interest for the Practice, the Practice may request that you terminate or modify the terms of any outside work. It will then be the employee’s choice whether to continue employment with the Practice under the requested terms.


23. SEPARATION FROM EMPLOYMENT

Because your employment with the Practice is at-will, you or we are free to terminate your employment at any time, with or without cause. We retain the right to dismiss an employee immediately and without notice.

Notwithstanding your at-will status, we ask that you provide the Practice with at least two weeks prior notice of your intent to resign, to permit us to ensure that all matters relating to your employment are addressed prior to your final day of work. The Practice reserves the right to accept your resignation effective immediately. Employees who are eligible for rehire will be considered new employees from the effective date of re-employment and will be required to enter a new getting acquainted period in the event of return.

Practice Property

On or before your last day of work, you are required to return all Practice property, such as keys, office forms, phone cards, company provided uniforms, company files, computers or other company equipment, or such other property you received as a result of your employment here.

You should also keep us apprised of any changes in address occurring the calendar year during which your separation takes place, so that we may forward your tax information to the proper location.

Exit Interview

At the time of separation, employees are asked to complete an exit interview form or to participate in an exit interview as an opportunity for you to provide feedback regarding your experience while working here. You are encouraged to provide us with information that may help us improve, and if you have not already done so, to report any concerns you have about your experience with the Practice.

Employment References

No employment references will be provided regarding former employees except to confirm dates of employment, salary history, and job title upon request, or as otherwise required by law, such as under lawful subpoena. No other employment data will be released without a written authorization and release signed by the employee naming the entity to which information may be disclosed. If we have a reasonable belief that an employee has engaged in illegal or negligent activity, harassment, or violence while employed by us and we are asked for this information by a prospective employer, we may elect to provide factual information in that regard when it can be substantiated by the Practice’s records.


24. EMPLOYEE CONCERN REPORTING POLICY

Our Employee Concern Policy is designed with the intent of addressing employee concerns within the workplace. This policy is designed to provide you a way to report a specific or general concern about the Practice, a co-worker, management, or anyone else associated with the operations of our business, including customers/patients or service providers.

We cannot address or fix a problem that we have not been informed about. Therefore, it is your responsibility to report your concerns to us and to allow us an opportunity to address them. Finally, we want you to know that we have an open door policy and you should feel comfortable reporting your concerns to us. Please note that the Practice has also implemented the Alternative Dispute Resolution Policy (ADRP), which appears as Part II of this Employee Policy Manual. The two policies are not mutually exclusive, but rather are meant to cover all disputes, both small and large. If your concern falls within the defined claims in the ADRP, or if there is a conflict between the two policies, the ADRP will control and the procedures therein should be followed.

Step One Report the problem to your immediate supervisor or any member of management immediately. This will take place as an informal conversation where you will have an opportunity to tell us your concern. At that time, we will expect you to tell us what outcome you would like to see. If either you or we decide that the matter is serious, we will likely move to the next step and ask you to put your concern in writing. In many instances, concerns may be addressed simply by having an open discussion and coming to an agreed plan of resolution. If this is the case, the issue may be closed until or unless something further develops. If your concern persists, it is your duty to inform us, and we will revisit the resolution and or move on to step two. Concerns that involve issues such as violence, theft, harassment of any kind, drug use, discrimination, or a breach of confidentiality shall be taken very seriously and will likely be escalated immediately to Step Two.

Step Two You may choose, or we will ask you, to fill out an Employee Concern Form. This will give us an opportunity to collect all relevant information that you are aware of in writing. At this time, you will also have the opportunity to tell us again what outcome you would like to see take place. Please also note that this is the time to inform us of anyone who may be able to assist us in addressing your concern. We will then investigate, or we may choose an outside investigator. You may be asked to answer further questions or provide additional information. Once we have concluded our investigation, we will report to you any actions we intend to take. Once again, our open door policy applies here. If at any time you have additional information to contribute, please tell us.

Step Three Finally, if you are dissatisfied with the outcome, you may speak with an officer or owner of the Practice. The outcome of that conversation will be communicated to you in writing.

Employment Handbook

Part II:

Alternative Dispute Resolution Policy


Alternative Dispute Resolution Policy forNorthwest Endodontics

Northwest Endodontics (hereinafter “Employer”) knows disputes occur in every workplace. At times, even routine disagreements can get out of hand, especially when there are no resources or procedures for resolving them. Grievances can be time-consuming and costly to both parties, especially if they end up in court, where attorneys are often the only ones who always win. Unresolved disputes are emotionally burdensome and undermine the positive working environment we strive so hard to maintain. In contrast, when conflict is resolved effectively, it can lead to increased understanding, improved self-knowledge, and personal and professional growth.

Convinced there must be a better way, we have implemented an alternative procedure for employer and employees to resolve work-related grievances and issues of legal rights. This procedure is intended to be straightforward, fair, confidential, swift and economical. It allows us to avoid the slow and costly process of settling disagreements through the court system, while preserving the substantive rights of both employees and the employer.

We believe this Alternative Dispute Resolution Policy (ADRP) provides an even-handed, fair, and efficient method for resolving most disputes, not through costly litigation, but through clearly defined internal problem-solving procedures. When internal communications are not enough - such as when an employee thinks a legal right has been abused - ADRP provides for an outside fact-finding process using neutral mediation and/or arbitration procedures. We believe that a good faith use of the ADRP process can resolve virtually every disagreement that may arise.

BINDING POLICY

This Policy is mandatory and mutually binding on both the Employer and its Employees. Employer has adopted the Alternative Dispute Resolution Policy as a condition of any offer of employment for all new employees, as of the effective date of this document. All employees who continue employment with Employer thirty days after receipt of this policy will be deemed to have agreed to and accepted this policy as the sole and exclusive method for resolving covered workplace disputes and issues of legal rights.

This policy does not alter the “at will” status of any employee. Unless otherwise agreed upon by written contract, employment with Employer is not promised for any fixed term or definite period and may be terminated at the will of either party with or without notice, with or without cause, and without resort to this policy.

MEDIATION AND ARBITRATION

This Alternative Dispute Resolution Policy requires that, as an alternative to resorting to litigation, aggrieved parties must attempt to resolve workplace disagreements by complying with prescribed internal procedures and, failing that, through use of private, independent mediation and/or arbitration administered by the American Arbitration Association (AAA). More information on the Dispute Resolution Process is provided below.


TERM OF ADR POLICY

The provisions of this policy shall survive termination of employment and shall apply to claims regardless of whether it arises or is asserted during or after termination of an employee’s employment.

TIME LIMITATIONS

Requests for outside resolution (mediation or arbitration) of workplace grievances must be submitted as described herein within 180 days of the date the dispute arose or the date on which the aggrieved party first became aware of the grievance, whichever is later, unless governed otherwise by applicable law. Notwithstanding the forgoing, the parties shall comply in all cases with statutes of limitations for workplace disputes in accordance with federal or state law, which may vary from state to state. The limitation period shall continue to run during any period when the ADRP is being used by an employee to resolve a workplace grievance with management. The limitation period shall also run concurrently with any administrative claim process filed with the EEOC, NLRB, or equivalent state department.

CLAIMS COVERED

Claims covered by this policy include, but are not limited to, claims related to termination of employment; claims for wages or other compensation due; claims for breach of any contract or covenant, express or implied; tort claims; claims of harassment; claims for discrimination, including, but not limited to, discrimination based on race, gender, sexual orientation, religion, national origin, age, marital status, genetic information, handicap, disability or mental condition; wage and hour violation claims; claims for retaliation; claims for alleged violation of federal, state or other government constitution, statute, ordinance or regulation; and claims for benefits, except as excluded in the following section.

By way of example only, such claims include claims under federal, state and local statutory or common law, such as Age Discrimination in Employment Act, Title VII of the Civil Rights Act or 1964, as amended, including the amendments of the Civil Rights Act of 1991, the Americans with Disabilities Act, the law of contract and the law of tort. Disputes arising out of a collective bargaining agreement between a union and an employer are only covered where the CBA indicates an agreement to be subject to arbitration.

CLAIMS NOT COVERED

This Alternate Dispute Resolution Policy does not apply to, or cover claims for, worker’s compensation benefits; claims for unemployment compensation benefits; or claims for injunctive and/or other equitable relief, such as for unfair competition, unauthorized disclosure of trade secrets or confidential information; or claims based on an employee insurance, pension or benefit plan containing a non- judicial dispute resolution procedure, in which case the provisions of such a plan shall apply. Nothing in this policy restricts the right of employees to file charges directly with local, state, or federal governmental protection entities such as, without limitation, the National Labor Relations Board, the Equal Employment Opportunity Commission or the Department of Labor.

NOT A MANAGEMENT TOOL

This Alternate Dispute Resolution Policy is not a management tool. It is for the resolution of employee- employer disputes that might otherwise be the subject of litigation. It should not be interpreted or understood that the existence of this policy in any way implies that the outlined process need be used in the normal management of company employees.


Before an aggrieved party can refer a work-related or legal rights dispute to the legal system, the party must first initiate and fully comply in good faith with the following Alternative Dispute Resolution Process, with the understanding that the matter or matters of dispute will be resolved in whole or in part at the earliest possible stage.

SEVERABILITY

If any provision of this Agreement is held to be unenforceable, then this Agreement will be deemed amended to the extent necessary to render the otherwise unenforceable provision, and the rest of the Agreement, valid and enforceable. If a court declines to amend this Agreement as provided herein, the invalidity or unenforceability of any provision of this Agreement shall not affect the validity or enforceability of the remaining provisions, which shall be enforced as if the offending provision had not been included in this Agreement.

MODIFICATION

Employer has the right to modify or rescind this ADRP in its sole discretion. Employer agrees to notify its current employees of any such changes in writing, thirty days prior to the effective date of such changes. Such changes will not affect disputes already in process of resolution prior to the effective date of any modification, unless the parties mutually agree otherwise.

PENALTIES FOR VIOLATION OF THIS POLICY

The arbitrator shall be the sole authority to decide issues of enforceability, interpretation, or applicability of this ADRP. If either party to a dispute covered by this ADRP commences suit in court rather than by following this ADRP policy, it is a breach of this Agreement and the other party may seek to have the case dismissed. If the court agrees that the suit was filed in breach of the agreement to arbitrate and/or that the suit was filed in court in bad faith, the party that brought the suit agrees to be liable for the reasonable attorneys’ fees and costs incurred by the other party in defending the suit and obtaining dismissal.


Dispute Resolution Process

STAGE 1: INFORMAL ACTION

The aggrieved party must first attempt to resolve workplace disputes through internal problem-solving procedures, which begin with clear communication of the dispute to the other party as follows:

1. Within 7 days of the first realization of discomfort or dispute, the aggrieved party shall communicate in writing to the other party or parties involved in the matter a Notice of Dispute that shall:

Itemize the specific actions or inactions causing the discomfort or dispute; State specifically what is needed to satisfy the aggrieved party with respect to each

cause of the discomfort or dispute; Specify precise and reasonable time frames within which corrective action is requested

to be accomplished to satisfy the aggrieved party; Indicate when and where the aggrieved party can be contacted to discuss and clarify, if

necessary, items in the Notice of Dispute.

2. Within the reasonable period requested (or 7 – 14 days), the other party shall communicate in writing a response. Such response shall:

Identify areas of agreement and/or disagreement; Clarify or correct disparities in factual allegations or perspectives; Request or identify questions or areas which require further information from the

aggrieved party; Offer a proposed solution or next step to negotiate a solution.

3. The parties shall then make every effort to “clear the air” and arrive at a cooperative means of eliminating the grievance or dispute, using courteous and non-confrontational language, focusing on issues rather than on individuals. Parties are encouraged to take accountability and make concessions where possible, rather than to assess blame or engage in any form of hostility. A good faith effort in Stage 1 can often lead to a quick resolution of disputes. During this Stage, parties to the dispute shall in good faith strive to communicate with each other in order to:

Clarify where the parties are already in agreement; Listen to the other person’s feelings and position; Explore methods of resolution; and Identify any and all remaining items of dispute.

After the Notice of Dispute, and initial response, communication may be in person or in writing, as long as the goal is to ensure there is clarity of understanding about the dispute, and each other’s position. Even where the ultimate goal of eliminating remaining disputes cannot be accomplished, the parties should focus on any areas of agreement and strive to identify the specific issues remaining unresolved before moving forward.


STAGE 2: MEDIATION

Mediation means presenting facts in a dispute to a neutral third party expert who guides the discussion and attempts to help the parties reach mutual agreement based on the parties’ needs and interests. The mediator may, among other things, question each party individually or collectively, listen to arguments, and make settlement suggestions. Mediation is a voluntary non-binding process that requires both parties to agree to a resolution before any settlement can be made. Mediation is the most straightforward, cost-effective and successful method of examining and resolving disputes with the assistance of an outside party.

If after STAGE 1, the complaint is not fully resolved; the aggrieved party has the option of requesting outside mediation, which shall be administered by the independent American Arbitration Association (AAA), or by a private neutral mediator mutually agreed upon by the parties. Because this process is by its nature completely voluntary, either party may choose skip this stage and move directly to Stage 3.

The aggrieved party initiates the outside dispute resolution process by notifying the other party by certified or registered mail (return receipt requested) of the desire to resolve the issue by mediation. The written notice shall identify and describe the nature of the claims asserted and the surrounding facts. If AAA services are being used, the Notice of Intent shall be followed by a written request to AAA for mediation (Exhibit 1 – Mediation Request Form). Each party to the mediation shall be responsible for an initial standard filing fee charged by the AAA to mediate the claim.

Once the aggrieved party requests mediation and pays any applicable filing fee, both parties shall share equally in costs of the mediation, subject to an alternate agreement by the parties. In all cases, each party shall pay its own “other” mediation-related expenses, including lawyer’s fees and costs, if any.

Should the aforementioned payment method conflict with the method prescribed by the American Arbitration Association’s Employment Arbitration Rules and Mediation Procedures (formerly called the “National Rules for Resolution of Employment Disputes”), the Employment Arbitration Rules and Mediation Procedures then in force shall apply.

STAGE 3: BINDING ARBITRATION

If after Stage 2 the dispute remains unresolved and either party chooses to pursue further resolution, the next step is binding AAA arbitration. To initiate binding arbitration, the aggrieved party shall submit a request for AAA arbitration (Exhibit 2 – Arbitration Request Form). Arbitration involves the selection of an independent and neutral third party selected by AAA. The arbitrator decides the outcome of the case after all parties present arguments at private hearings, in accordance with AAA’s “Model Employment Arbitration Procedures” in effect when written notice of claim is given.

A single arbitrator shall be selected to apply the substantive law of the state in which the claim arose, or federal law, or both, as applicable to the claims asserted. Application of state law is not intended to preempt the application of the Federal Arbitration Act (FAA). The arbitrator may grant any remedy or relief the arbitrator deems just and equitable, including, but not limited to, any remedy or relief that would have been available if the matter had been heard in court. Though less formal, and far less costly than a court trial, arbitration is an orderly proceeding governed by standard rules of procedure and legal standards of conduct. The arbitrator’s decision is final and binding on both parties.


In order to avoid any financial barrier to an employee bringing legitimate claims, the maximum fee for the employee to file a Demand for Arbitration will be $200, payable in full at the time of filing. For an arbitration filed in good faith by an employee, the remaining administrative fees, expenses of arbitration, as well as the arbitrator’s compensation, if any, will be paid by Employer. Fees for postponement and cancellation will be charged to the party causing the postponement. Once the aggrieved party requests arbitration and the processing fees are paid, Employer agrees to participate in the arbitration process. Should the aforementioned payment method conflict with the method prescribed by the American Arbitration Association’s National Rules for Resolution of Employment Disputes, the National Rules for Resolution of Employment Disputes then in force shall apply.

The arbitrator can award the prevailing party appropriate costs and attorneys’ fees, in accordance with applicable laws, statutory claims and AAA’s National Rules for Resolution of Employment Disputes. Moreover, the arbitrator is strongly encouraged to award such fees and costs to the prevailing party, unless doing so would seem unduly harsh. If no such award is made, each party shall pay for its own costs and expenses associated with the arbitration, including attorneys’ fees and costs, if any.

ATTORNEYS

Each party has the right to an attorney and may consult a lawyer or other advisor at any time and at their own expense during the ADRP process. If a party intends to use a representative, that party must notify the other party of the name, address and telephone number of its representative within ten (10) days of delivery of a request for mediation/arbitration or ten (10) days prior to the representative’s participation in the process, whichever is earlier.

DISCOVERY

All parties will have a fair opportunity to present their claim(s) during arbitration, pursuant to the Federal Rules of Civil Procedure, and subject to any limitations agreed to by the parties or determined by the arbitrator. Each party has the right to take the depositions of any relevant individuals as well as any expert witness designated by the other party. Each party has the right to request relevant documents from any party, at the cost of the requesting party. Either party may submit a request to the arbitrator for additional discovery, additional depositions or to resolve discovery disputes, including a claim regarding privileged documents or other pre-hearing disputes.

WITNESSES

In arbitration, each party has the right to subpoena witnesses and documents, present evidence and arguments, and hear and challenge the other party’s evidence and witnesses.

REMEDIES AND AWARD

The arbitrator shall have the authority to award whatever remedies would have been available through state or federal court, when supported by credible, relevant evidence. The Arbitrator shall provide a written opinion and award, with findings and conclusions, which shall be kept confidential among the parties. The parties agree that judgment on the arbitrator’s award may be entered in any court having jurisdiction thereof.

EXHIBIT 1: REQUEST FOR MEDIATION WITH AMERICAN ARBITRATION ASSOCIATION

Date:

To: Of:Company, if any

Address:

City: State:

Phone: Fax:

The undersigned party to an agreement or policy dated , providing for mediation under the National Rules for Resolution of Employment Disputes of the American Arbitration Association, hereby requests mediation thereunder. (Attach a copy of the Alternative Dispute Resolution Policy).Nature of Dispute: Attach additional sheets if necessary.

Type of claim or relief sought:

Type of business:

Mediation locale requested:

City State

You are hereby notified that copies of our mediation agreement and of this are being filed with the American Arbitration Association office, with the request that it commence the administration of mediation.

Signed: Title:

To Be Completed by the Parties Name of Filing Party:

Address:

City, State, ZIP Code:

Phone: Fax: Email:

Attorney/Representative: If any

Firm: If applicable

Address:

City, State, ZIP Code

Phone: Fax: Email:

To institute proceedings, please send three copies of this request with the administrative fee, as outlined in the appropriate rules, to the AAA. Send the original request to the responding party. If you have any questions, please contact the AAA, or visit their website at www.adr.org.

EXHIBIT 2: DEMAND FOR ARBITRATION WITH AMERICAN ARBITRATION ASSOCIATION

Date:

To: Of : Company, if any

Address:

City: State: ZIP Code:

Phone: Fax: Email:

Name of Attorney/Representative: If known

Firm: If applicable

Address:

City, State, ZIP Code: ADRP

Phone: Fax: Email:

The below named claimant, a party to an arbitration agreement or program which provides for arbitration under the National Rules for Resolution of Employment Disputes of the American Arbitration Association hereby demand arbitration thereunder. (Attach a copy of Alternative Dispute Resolution Policy).

Nature of Dispute : Attach additional sheets if necessary. Type of claim or relief sought: Amount, if any Type of business:

Hearing locale requested:

Employee's Annual Wage Range (CA) □ Under $100,000 □ $100,000 - $250,000 □ Over $250,000

You are hereby notified that copies of our arbitration agreement and of this demand are being filed with the American Arbitration Association at its office. You may file an answering statement, within the time frame specified in the policy, or within ten days after notice from the AAA, whichever is later.

Signed: Title: Date: Claimant Information:Name of Claimant: □ Employee □ Employer

Address:

City, State, ZIP Code:

Phone: Fax: Email:

Attorney/Representative: If any

Firm: If applicable

Address:

City, State, ZIP Code

Phone: Fax: Email:

To institute proceedings, please send two copies of this Demand, and the Dispute Resolution Agreement, with the filing fee as provided in the Rules, to the AAA. Send the original demand to the responding party. If you have any questions, please contact the AAA, or visit their website at www.adr.org.

Employment Handbook

Part III: Confidentiality and Nondisclosure Policy


Confidentiality and Nondisclosure Policy for Northwest Endodontics

Northwest Endodontics (hereinafter “Employer”) desires to encourage and foster an atmosphere of trust and confidence in its employees, consultants and other business associates. In building such relationships, all parties must recognize the need for strict confidentiality in order to safeguard the proprietary and other business interests of Employer and the privacy of its customers, clients, patients and other business associates.

Accordingly, Employer has adopted this “Confidentiality and Nondisclosure Policy.” The purpose of this policy is to ensure that each employee, consultant and business associate of Employer is aware of the costly significance and consequences that will result from violation of this policy by the unauthorized disclosure of sensitive and confidential matters related to Employer. In order to avoid costly and time- consuming litigation that could result from violations of this policy, Employer has established specific procedures that shall be followed when a violation within the scope of this policy arises between Employer and an employee, consultant or other business associate.

BINDING POLICY

This policy is binding upon, but not limited to, all persons or entities, including employees of Employer and principals, agents, employees, independent contractors, consultants and professionals who work for the benefit of Employer. This policy applies to newly hired employees and current employees as a condition of their employment. This policy, when written acceptance is evidenced, also shall be considered a binding agreement between Employer and its independent contractors, advisors and consultants, as well as their employees, agents and principals.

PURPOSE OF THIS POLICY

The purpose of this policy is to reduce to writing the moral, ethical and legal commitment to maintaining the highest level of confidentiality as it pertains to private, secret, sensitive or confidential information, matters or issues (restricted information or material) of Employer, which employees, independent contractors, advisors and consultants as well as their employees, agents and principals may learn as a result of association or employment with Employer.

To maintain the highest level of confidentiality means that employees, independent contractors, advisors and consultants as well as their employees, agents and principals will not disclose, communicate or otherwise transfer restricted information or material for any reason whatsoever to any person or party who is not another covered party or is a covered party but the transfer is not for the business purposes of Employer. Moreover, a covered party shall not knowingly allow or indirectly assist any other person or entity to commit any act or undertake any effort that would violate the terms or spirit of this policy.

This policy is not intended to restrict activity protected by federal law, including, but not limited to, Section 7 rights. Accordingly, employees are not prohibited from participating in concerted activity or communication among or between employees regarding wages or conditions of employment.


RESTRICTED INFORMATION

Restricted information or material shall include, but not be limited to, all information, matters and issues, whether known to the public or not, that would be considered private, secret, or confidential by a reasonable person of normal sensibilities and sensitivity.

Such information or material shall include, but not be limited to:

All trade secrets; business and marketing plans; non-public pricing; product development ideas; proprietary ideas; inventions; techniques; know-how; technical data or information; customer contacts, patient lists or patient information; marketing techniques; records; personnel lists; financial records; research; data; conversations; and minutes, whether learned from a covered party or from any other source, public, private or otherwise.

Such restricted information or material shall include all of the above whether learned prior to, during, or after any association between Employer and its employees, independent contractors, advisors and consultants as well as their employees, agents and principals.

COVERED PARTIES

As of the effective date of this policy, all newly hired employees and existing employees are covered by this policy as a condition of employment. Independent contractors, advisors and consultants who have signed this Policy, as well as their employees, agents and principals, also are “covered parties,” as specified in the “Binding Policy” section above.

TERM

The obligation by all covered parties to maintain the confidentiality of restricted information or material as described in this policy shall continue indefinitely after the effective date of this policy, including after the termination of employment or any other association with Employer.

REFUSAL TO ACKNOWLEDGE RELEASED OR EXPOSED RESTRICTED INFORMATION

We understand that some restricted information may be public knowledge or a matter of public speculation and may be repeated by others who are not privy to or willing to acknowledge the confidential nature of such restricted information. In such cases, covered parties will use their best efforts to keep such restricted information from further publication or other public disclosure and, at the very least, refuse to discuss it or acknowledge it in any way.

RETURN OF CONFIDENTIAL INFORMATION, DOCUMENTS AND RECORDS

A covered party who, in violation of this policy, possesses tangible items that contain or represent restricted information, shall immediately deliver, convey, or return all such documents and copies or items thereof, regardless of how or from what source such items were obtained, to Employer or its representative.


INJUNCTIVE RELIEF

In the event a disclosure by a covered party of restricted information results or may result in imminent or irreparable harm to Employer, Employer may, in addition to implementing required dispute resolution procedures prescribed below, proceed concurrently, immediately and directly to a court of competent jurisdiction to seek temporary injunctive relief from the continued unauthorized disclosure of restricted information, according to local laws and rules of procedure. Nothing in this policy is intended to restrict a court’s authority to award monetary compensation, compensatory relief, or other legal remedy.

Employer also shall be entitled to injunctive relief from an arbitrator, selected by the American Arbitration Association, upon reasonable proof of a violation of this policy. Employer shall be entitled to a reasonable amount of monetary compensation or other such valuable compensatory relief from a covered party who violates this policy as the arbitrator deems appropriate after taking all factors of the dispute into consideration. The procedure for initiating arbitration shall be followed as specified in Step 2 of the dispute resolution procedure below.

DISPUTE RESOLUTION PROCESS

Except as stated above in the “Injunctive Relief” section, all parties agree that before any dispute over an alleged violation of this Confidentiality and Nondisclosure Policy by a covered party may be referred to the legal system, the parties must first initiate and fully comply with the “Dispute Resolution Process,” as set forth in Employer’s Alternative Dispute Resolution Policy, incorporated herein, with the understanding that every effort shall be made to resolve the dispute in whole or in part as early as possible.

SEVERABILITY

If any provision of this Agreement is held to be unenforceable, then this Agreement will be deemed amended to the extent necessary to render the otherwise unenforceable provision, and the rest of the Agreement, valid and enforceable. If a court declines to amend this Agreement as provided herein, the invalidity or unenforceability of any provision of this Agreement shall not affect the validity or enforceability of the remaining provisions, which shall be enforced as if the offending provision had not been included in this Agreement.

Acknowledgments of Receipt

In the following section, you will find all of the pages that need to be signed. First, is the

Employer Acknowledgement, setting forth the effective date of the policies, which your

Employer has already signed. Next, you will find the Acknowledgements of Receipt for

employees to sign. There are three employee forms to sign in duplicate (six total), including

two copies of the Acknowledgment for the Core HR Policies, and two copies each for the ADRP

and CNDP. One set of the forms are for your Employer (Employer Copy), and one set is for you

to keep (labeled Employee copy).


Northwest EndodonticsEmployer’s Acknowledgement & Effective Date

The effective date of the Northwest Endodontics’s Handbook, including the Core Policies, Alternative Dispute Resolution Policy, and Confidentiality and Nondisclosure Policy is indicated below.

Effective Date

Albert Goerig

Michael Behnen

David Goerig

For Northwest Endodontics


Northwest EndodonticsCore PoliciesAcknowledgement of Receipt by Employee [Employer Copy]

This is to acknowledge that I have received a copy of the Core Policies and understand that they set forth the terms and conditions of my employment as well as the duties, responsibilities and obligations of my employment with the Practice. I confirm that I have been provided time for which I have been compensated to read the Core Policies and that I have read them. I understand and agree that it is my responsibility to abide by all of the rules, policies and standards set forth herein.

Specifically, and not in limitation of any other policy in the Core Policies, I have read, understood, and agree to abide by the Anti-Harassment Policy and Telephone, Email and Internet Policies. I further agree to allow the Practice to monitor my telephone, E-mail and internet usage, as well as other employer- provided systems, to, among other things, ensure proper use and compliance with Practice policies and standards.

I also acknowledge that my employment is at-will, is not for a specified period of time and can be terminated at any time for any reason, with or without cause or notice, by me or by the Practice. I acknowledge that no oral or written statements or representations regarding my employment can alter the foregoing, unless signed by an owner of the Practice. I also acknowledge that no manager or employee has the authority to enter into an employment agreement - express or implied - providing for employment other than at-will.

I also acknowledge that the Practice reserves the right to revise, delete and add to the provisions of these Core Policies. No oral statements or representations can change the provisions of these Core Policies. I also acknowledge that, except for the policy of at-will employment, the terms and conditions of employment with the Practice may be modified at the sole discretion of the Practice, with or without cause or notice, at any time. No implied contract concerning any employment-related decision, term of employment or condition of employment can be established by any other statement, conduct, policy or practice. I further understand that this agreement supersedes all prior agreement, understandings and representations concerning my employment with the Practice.

If I have questions regarding the content or interpretation of these policies, I will bring them to the attention of my manager.

Date

Employee Signature

Employee Printed Name


Northwest EndodonticsCore PoliciesAcknowledgement of Receipt by Employee [Employee Copy]

This is to acknowledge that I have received a copy of the Core Policies and understand that they set forth the terms and conditions of my employment as well as the duties, responsibilities and obligations of my employment with the Practice. I confirm that I have been provided time for which I have been compensated to read the Core Policies and that I have read them. I understand and agree that it is my responsibility to abide by all of the rules, policies and standards set forth herein.

Specifically, and not in limitation of any other policy in the Core Policies, I have read, understood, and agree to abide by the Anti-Harassment Policy and Telephone, Email and Internet Policies. I further agree to allow the Practice to monitor my telephone, E-mail and internet usage, as well as other employer- provided systems, to, among other things, ensure proper use and compliance with Practice policies and standards.

I also acknowledge that my employment is at-will, is not for a specified period of time and can be terminated at any time for any reason, with or without cause or notice, by me or by the Practice. I acknowledge that no oral or written statements or representations regarding my employment can alter the foregoing, unless signed by an owner of the Practice. I also acknowledge that no manager or employee has the authority to enter into an employment agreement - express or implied - providing for employment other than at-will.

I also acknowledge that the Practice reserves the right to revise, delete and add to the provisions of these Core Policies. No oral statements or representations can change the provisions of these Core Policies. I also acknowledge that, except for the policy of at-will employment, the terms and conditions of employment with the Practice may be modified at the sole discretion of the Practice, with or without cause or notice, at any time. No implied contract concerning any employment-related decision, term of employment or condition of employment can be established by any other statement, conduct, policy or practice. I further understand that this agreement supersedes all prior agreement, understandings and representations concerning my employment with the Practice.

If I have questions regarding the content or interpretation of these policies, I will bring them to the attention of my manager.

Date

Employee Signature



Northwest EndodonticsADRPEmployee Acknowledgement of Receipt [Employer Copy]

I acknowledge that I have received a copy of the Alternative Dispute Resolution Policy (ADRP) relating to Employer. I have read and understand Employer's ADRP policy and agree to abide by it as a condition of my employment.

I understand that my employment is “at will” meaning it is not for a fixed term or definite period, unless otherwise agreed to in writing and signed by an owner of the company. My employment may be terminated at the will of Employer or myself with or without notice and without resort to either of these policies.

By signing below, I acknowledge that I have been given the opportunity to discuss this policy with my private legal counsel, and to raise any concerns or questions with Employer, and have availed myself of that opportunity to the extent I wish to do so.

THIS CONTRACT CONTAINS A BINDING ARBITRATION PROVISION THAT MAY BE ENFORCED BY THE PARTIES.

Date

Employee Signature



Northwest EndodonticsADRPEmployee Acknowledgement of Receipt [Employee Copy]

I acknowledge that I have received a copy of the Alternative Dispute Resolution Policy (ADRP) relating to Employer. I have read and understand Employer's ADRP policy and agree to abide by it as a condition of my employment.



THIS CONTRACT CONTAINS A BINDING ARBITRATION PROVISION THAT MAY BE ENFORCED BY THE PARTIES.

Date

Employee Signature



Northwest EndodonticsCNDPEmployee Acknowledgement of Receipt [Employer Copy]

I acknowledge that I have received a copy of the Confidentiality and Nondisclosure Policy (CNDP) relating to Employer. I have read and understand Employer's CNDP policy and agree to abide by it as a condition of my employment.



Date

Employee Signature



Northwest EndodonticsCNDPEmployee Acknowledgement of Receipt [Employee Copy]

I acknowledge that I have received a copy of the Confidentiality and Nondisclosure Policy (CNDP) relating to Employer. I have read and understand Employer's CNDP policy and agree to abide by it as a condition of my employment.



Date

Employee Signature


Employee Concern Form

This form is to be used by employees to report problems in the workplace, both large and small, so that we may determine an appropriate response or resolution. For urgent issues or problems involving safety, always report the problem to a member of management immediately. Please attach additional pages as necessary.

1. Describe your concern, giving all the information you think is important, including detailed dates, times, and locations where possible. Attach additional sheets as necessary.

2. Is the concern unique or recurring? If the problem is recurring, what do you believe are the consequences if your concern remains unresolved?

3. Where or to who else have you discussed or reported this concern?

4. Please propose your suggestion for a resolution.

Date: Employee Signature:

Employee Print Name:

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