Handout# 5 (Your Agency)Employee Code of Conduct - Ethical Behavior Policy
NOTE: Your legal consul should be consulted prior to implementation of this policy.
At (YOUR AGENCY) we are committed to conducting business in an ethical and honest manner and within the bounds of the law. This Code of Conduct is intended to provide employees, and volunteers of (YOUR AGENCY) with guidelines for conducting business in a manner which fulfills that commitment. The Code of Conduct is supplementary to the mission, vision and values of (YOUR AGENCY) and applies to all who provide services under the auspices of (YOUR AGENCY).
The standards contained in this Code of Conduct are important, and therefore any violation will be handled in accordance with the Progressive Disciplinary Policy, as outlined in Personnel Policies or other applicable policies and procedures of (YOUR AGENCY). In addition, referral of certain matters will be made to government and regulatory agencies as appropriate. The offender may also be responsible in a civil suit for losses or other damages caused by his or her inappropriate conduct.
The Compliance Program
The Compliance Program has been established to prevent the occurrence of illegal or unethical behavior, to stop any such behavior as soon as reasonably possible after it has been discovered, to discipline the individuals involved (including those who know of violations but fail to report them), and to recommend and implement changes in policy and procedure necessary to avoid a recurrence of any prior violation.
Questions and How to Report Violations of the Standards
It is important to (YOUR AGENCY) that employees have an effective way to get an answer to any question they may have about how to conduct their job. It is also important for employees to report any instance of a known or suspected violation of this Code of Conduct.
In the event that an employee has a question or concern or believes that someone is conducting their business in an illegal, unethical, or otherwise questionable manner, or violating (YOUR AGENCY)’s policies, it is preferred that the employee first contact his or her supervisor to discuss the matter. There are times, however, when either the response the employee receives may be inadequate or the employee may feel uncomfortable in discussing the matter with his or her supervisor.
“Note: Small agencies must address this section individually if the Executive Director or senior manager is acting as the compliance officer.”
In those cases, the employee should contact the Corporate Compliance Officer or call the toll free telephone hotline at 000.000.0000. All calls to the hotline are confidential, and the caller may remain anonymous. To ensure confidentiality, the telephone hotline is operated by an organization not affiliated with (YOUR AGENCY). Calls are answered 24 hours and day, seven days a week. Follow up on all calls is available by a return call to the hotline. Callers will not be retaliated against in any manner for making as long as the information being reported is truthful.
(YOUR AGENCY)’s Commitment to Compliance
(YOUR AGENCY) strives to…
1. Comply with the Law.(YOUR AGENCY) is subject to numerous local, state and federal laws pertaining to all aspects of its operation. All employees are required to understand and abide by those laws that are applicable to them in the performance of their jobs.
2. Provide Excellent Recipient Care.(YOUR AGENCY) employees shall strive to treat all recipients with a spirit of kindness, patience and understanding. Each recipient is an individual and should be treated as such. Each recipient should be respected, with their needs and desires considered as health care decisions are made. Steps shall be taken so that each recipient understands his or her treatment needs and options, treatment methods utilized, and treatment outcomes. (YOUR AGENCY) will provide services in a manner that does not discriminate against any person because of age, race, religion, gender, sexual orientation, disability, national origin, or for any other reason prohibited by applicable state and Federal law. At all times, competent and qualified individuals will provide appropriate care, while considering the safety and well being of the recipients.
3. Protect Confidential Information.(YOUR AGENCY) is committed to maintaining the confidentiality of recipient, personnel, and other proprietary information in accordance with applicable legal and ethical standards.
4. Customer Service. (Your Agency) is committed to apply the Customer Service Standards, which are core to our values, to every interaction with every individual at all times focusing on high quality, responsive services for our recipients and their families.
5. Adhere to Anti-Referral and Health Care Fraud and Abuse Legislation.
All employees of (YOUR AGENCY) are required to comply with laws which prohibit health care fraud and abuse. Activities that are prohibited include, but are not limited to:
•Intentionally or knowingly making false or fraudulent claims for payment or approval;
•Offering or receiving remuneration (such as a kickback, bribe, or rebate) as an inducement to make a referral for the furnishing (or arranging for the furnishing) of any item or service;
•Submitting false information for the purpose of gaining or retaining the right to participate in a plan or obtain reimbursement for services; and,
6. Work Place Conduct and Employment Practices
•To create a work environment in which employees and others are treated respectfully, fairly and afforded opportunities for professional development.
7. Not Accept Inappropriate Gifts or Gratuities. The following standards apply to the giving or receiving of gifts and gratuities. Receiving Gifts from Recipients and vendors. Employees are prohibited from soliciting tips, personal gratuities or gifts from recipients and vendors. Employees may, however, accept non-monetary gratuities or gifts of a nominal value, such as cookies, flowers or candy if the gift would not influence, or reasonably appear to others to be capable of influencing, the employee’s business judgment in conducting affairs with the recipient or vendor.
If the value of the gift is substantial or there is any question regarding whether the gift meets this standard of reasonableness, the employee must seek prior approval from the Manager or refuse the gift and promptly return the gift to the vendor or recipient.
8. Giving Gifts to Recipients and Vendors: Employees shall not offer or give money, services or other things of value with the expectation of influencing the judgment or decision making process of any purchaser, vendor, recipient, governmental official or any other person.
An employee who is in doubt about whether a situation involving the giving or receiving of something of value is acceptable, should ask his or her supervisor, or the Corporate Compliance Officer.
9. Avoid Conflicts of Interest. It is the policy of (YOUR AGENCY) to prohibit its employees and other associates from engaging in any activity, practice, or act which conflicts with, or appears to conflict with, the interests of (YOUR AGENCY), its recipients or its vendors. Therefore, Employees, Medical Staff members, Board members, and other individuals must disclose to their supervisor or the Compliance Officer any potential conflict of interest they or their immediate family have in any firm which does business with (YOUR AGENCY) or which competes with (YOUR AGENCY).
10. Keep Accurate and Complete Records. It is essential that (YOUR AGENCY) report accurate information to governmental entities and other third parties. In order to meet this obligation, it is equally essential that every employee accurately and clearly report the relevant facts or the true nature of allcare provided. No employee should knowingly or with reckless disregard for the truth make any false or misleading statement on any form or to any other officer, employee or auditor for (YOUR AGENCY). All recipient records must meet the documentation standards required for quality care and to meet reimbursement regulations.
11. Provide a Safe Workplace. It is the policy of (YOUR AGENCY) to comply with all applicable state and federal laws designed to improve workplace safety. (YOUR AGENCY) is committed to training employees to carry out their work in manner that is safe for them, their coworkers and the recipients they serve.
12. Not Tolerate Harassment or Discrimination. It is (YOUR AGENCY)’s policy not to discriminate on the basis of race, color, religion, national origin, age, disability, sexual orientation, or gender in providing services to recipients or the public, nor in relation to employment practices. Furthermore, (YOUR AGENCY) prohibits harassment of its employees in any form by supervisors, coworkers, recipients or family members.
13. Protect Access to Information Systems.(YOUR AGENCY) is committed to protecting all aspects of its information systems and recipient records and Personal Health Information. All employees and other associates with access to (YOUR AGENCY)’s computerized information system shall sign and abide by (YOUR AGENCY)’s Responsible Use Policy, including the protection of confidential passwords and other access information.
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