What’s new Corporate Compliance Pre-Test.

In order to determine if we are providing you with the type of information and training needed to ensure you are familiar with the Corporate Compliance Plan and expectations you will need to take a pre and post test. There are no penalties for wrong answers, it is only meant to determine whether or not the materials are effective.

Instructions

1. Click here to take the Corporate Compliance Pre-Test.

2. Review the PowerPoint.

3. Take the Corporate Compliance Post-Test.

4. Complete the form at the end of this presentation.

Mission Statement

To assist people with developmental disabilities, and their

families, so they can:

• Achieve their highest level of independent living

• Exercise their civil and human rights, and

• Participate as productive and contributing members of the

community.

Vision Statement

Striving for Excellence

Supporting Partnerships

Creating Solutions

Fulfilling Dreams

Corporate Compliance

The Community Services Corporate Compliance plan is a

system designed to detect and prevent violations of law,

and unethical activity by those associated with the agency.

The Corporate Compliance Plan has outlined the broad

principles of legal and ethical business conduct embraced by

Community Services for the Developmentally Disabled, Inc.

It is not a complete list of legal or ethical questions you might

face, so it must be used in conjunction with common sense

and good judgment.

Confidentiality

All records, including those stored in electronic format, must be carefully handled and properly secured.

Personnel records and clinical records are considered highly sensitive information. Names and/or other identifying information such as social security numbers and health information should never be left unattended nor posted.

Employees should never disclose confidential information obtained during the course of employment, work (paid or unpaid) or receipt of reports, to unauthorized individuals.

When sending confidential information to those who have a right to know, the employee must take measures to ensure that it is safeguarded. Information sent via email outside of the agency should not include names nor other identifying or sensitive information. Information sent via fax should either be sent to one of the agency confidential fax numbers or the sender needs to be certain that the recipient is at the other end to receive it.

Confidentiality HIV or AIDS related information comes with additional requirements.

Before releasing such information be sure to review the agency policy related the disclosure of confidential HIV/AIDS information and/or speak to your supervisor.

Failure to safeguard information on the people being served may be

considered a HIPAA violation. Supervisors do not have access to their employee’s personnel files nor

have a right to know their confidential health information. Confidential records should never be disposed of unless properly

destroyed. Before disposing of any records employees should review the records retention and destruction policy or speak to their supervisor.

Agency Assets Agency property, such as office supplies, office equipment,

and property, may not be used for personal reasons.

Any misuse or misappropriations of agency funds, information, equipment, facilities or other assets may be considered criminal behavior and can bring severe employment and legal consequences

Examples of Agency Assets Fax Machines

Computers/Network Accounts

Office Supplies i.e. copy paper, etc…

Residential Supplies i.e. cleaning supplies…

Gas Card

Credit Card

Agency Vehicles

Property Maintenance Supplies i.e. tools and equipment

Do not use Agency Mail boxes to distribute personal information

Cell phones

Computers and Network Accounts

The computer network is the property of the Agency and is to be used for legitimate business purposes

Use of agency computers and network accounts,

including email and internet is monitored. All Users have a responsibility to use the Agency’s

computer resources and the Internet in a professional, lawful and ethical manner. Abuse of the computer network or the Internet, may result in disciplinary action, including termination, civil, and/or criminal liability. Internet access has been established for limited employment purposes.

Computer Use “DON’TS” Do not use your agency email for personal use.

Do not access your personal email on work time.

Do not send chain email letters.

Do not sign up for non-work related memberships using the agency network.

Do not send or view inappropriate nor sexually explicit materials.

Do not share your password.

Your network account is your responsibility. If you share your email

information with family and friends you will be held accountable for

the information you receive.

Use of the agency email and network account is monitored.

Maintain Corporate Image The agency’s reputation and identity are among its

most valuable assets. All agency representatives are expected to conduct themselves in a manner that reflects positively on the agency’s image and identity, both internal and external.

No one should act in a way that adversely affects the reputation or image of the agency with employees, volunteers, people being served or with the community at large.

Gossip Gossip in the workplace is unacceptable

unprofessional behavior and must be avoided.

Gossip may take the form of sharing information that is work related or personal, but is often lacking factual information and frequently not the business of those who are

sharing the information.

Conflicts of Interests Each employee has a primary business responsibility to

the agency and is expected to avoid any activity that may interfere or have the appearance of interfering with their performance. A conflict of interest exists if an employee’s outside business or other interests may affect adversely, or have the potential to affect adversely, his or her motivation, objectivity, loyalty or performance.

Examples of Possible Conflicts of Interest

Supervising a family member Romantic relations between a supervisor and a

subordinate Accepting a gift of value from a vendor/person

served/individual’s family member Employment of a family member as a

contractor/vendor. An exempt employee who works for another agency

during hours that he/she is getting paid for at Community Services.

Relationships that interfere with the ability to do your job effectively or negatively effects the workplace.

Fraud

A Fraudulent Act is defined as “a deception deliberately practiced to secure unfair or unlawful gain.” Fraudulent acts may include, but are not limited to:

Falsifying timesheets, travel reimbursement, etc… Billing for services not rendered Forgery False statements regarding injuries in order to

obtain compensation Providing false information regarding

certifications, credentials, employment history

False Claims Act

Is a National Law that was created to fight fraud.

States that it is a crime to “knowingly” submit a false claim to the government for payment for services, property or other items.

“Knowingly” means

- Knows the record or claim is false

- Is asking for payment and is deliberately ignoring whether the record or claim is false

- Is asking for payment and does not care if the record of claim is false.

Protects employees against any form of retaliation for filing a lawsuit in good faith.

Someone can file a lawsuit in Federal Court on behalf of the government and possibly receive a financial award.

False Claims Act

There are several laws both state and federal

that address False Claims. Additional information on the False Claims Act can be located in your Personnel Policy and Procedure Manual or as a link on the website.

Submit Accurate Billings and Financial Reports

Employee’s should never knowingly make or present improper, false, fictitious or fraudulent claims, i.e.:

Misrepresentation of services

Duplicate Billing

Billing two sources of funding for the same services

Falsifying Dates on a Claim

Submit Accurate Billing and Financial Reports, cont.

Dates of service submitted for billing need to coincide with the date the service was provided. For example, MSC can only be billed 1x/month and the service must be provided during the month it was billed. If the worker was unable to see the person during the month then he or she CANNOT bill.

Services that are billed in increments of time, i.e. 15 minutes or an hour, must accurately reflect the amount of time spent. It is NOT acceptable to round up. If billing occurs in 15 minute increments and you only provided 42 minutes of service then the agency can ONLY bill for 30 minutes.

Accurate Record Keeping

Service documentation needs to be an accurate reflection of the amount of time spent providing services. Timesheets, mileage, and sign-in and sign-out sheets may be checked against service records. If an employee documents that they provided services until 5:00 pm, but their timesheet indicates that they ended their day at 4:30 pm, the evidence supports that the service records were falsified and the employee committed a fraudulent act.

Crime Does Not Pay All billing and claims generated must accurately reflect that services

rendered are supported by relevant documentation. Having a person sign for services that were not rendered is not only fraud,

but abuse as well. It is crime to bill the government for services that were NOT rendered. Should the agency have evidence to support that crime has been

committed we will pursue legal action. This might include contacting one or more of the following: local law enforcement, the NYS Attorney General, the Office of the Medicaid Inspector General, the District Attorney.

Theft

Use of agency accounts, i.e. grocery and fuel for personal use is considered theft.

Taking agency items or goods, i.e. groceries, office supplies, janitorial supplies for personal use is considered theft.

Use of agency petty cash and/or individual’s funds for personal use is considered theft.

The agency will not hesitate to press charges against any employee who steals from the agency or people being served.

Refrain from Abuse Agency representatives shall not engage in any

activities that constitute abuse of persons receiving services as defined in the regulations of the Commissioner of OPWDD.

Maintain a Safe & Healthful Workplace

Dispose of Medical Waste and Sharps in appropriate receptacles.

Remove articles/items that block exits and/or pose a safety hazard.

Keep walkways clear and free from debris, snow, ice…

Smoking is not allowed on any CSDD property, nor agency vehicles.

Practice safe lifting techniques. If something is too heavy to lift, ask for help.

Do not use your cell phone while driving an agency vehicle.

Do not text and drive.

DRIVE SAFELY AND OBEY TRAFFIC RULES WHEN USING AGENCY VEHICLES AND/OR TRANSPORTING THE INDIVIDUALS WE SERVE.

Follow Regulations Regarding Control of Medication

Employees should not use medications intended for people being served. This includes over-the-counter medications.

ONLY medication certified staff are allowed to dispense medications.

Medications must be stored and disposed of in accordance with agency policy

& procedures.

Embrace Diversity

Cultural diversity affects organizations in several ways including the recruitment/retention of staff, management styles, decision making processes, and relationships within organizations.

Organizations can become more inclusive by altering aspects of their culture in each of these categories.

Display Ethical Personal Conduct

Ethical personal conduct on the job means treating oneself and others with respect and fairness.

All employees are expected to refrain from any forms of workplace harassment and avoid any type of activity that could be considered promoting a hostile work environment.

Refrain from Substance Abuse and Unsafe Workplace Behavior

Manufacturing, selling, purchasing, transferring, or using illegal drugs, narcotics, or other unlawful substances or materials while conducting agency business.

Prescription and over-the-counter medication that interferes with the employee’s ability to perform his or her job duties.

Reporting to work impaired by the use of alcohol. Manufacturing, selling, purchasing, transferring or

possessing on the agency’s premises firearms, weapons, intoxicating beverages, drug paraphernalia, or medically authorized drugs used improperly or unsafely.

Substance Use Testing Employees may be asked to be tested for substance use at

random, or for cause. The refusal of an employee to consent to testing either when there is reason to suspect that the employee is under the influence of drugs/alcohol, or when a random test is ordered will result in the employee’s discharge. Any attempt to hinder collection procedures or to substitute a sample will result in the disqualification of an applicant and disciplinary measures for an employee.

Comply with Fundraising Standards Only Agency sponsored fundraising activities are allowable

on agency property.

All fundraising activities must be approved by the President & CEO or designee.

Funds received must be promptly submitted to the Business Office and recorded as such.

Anyone depositing funds with the Business Office needs to obtain a receipt. The receipt should indicate how much was deposited and from what fundraising event.

Funds raised must be used for the purpose they were intended for.

Whistleblower Protection Questions or concerns about any ethical or legal issue may be raised

without concern for disciplinary action as long as they are made in good faith.

Agency representatives will not be subject to reprisals for reporting or supplying information about potential violations, except in cases where those employees are responsible for the violation or when deliberate false reporting has occurred.

Any allegations that prove not to be substantiated and that prove to have been made maliciously or knowingly to be false will be viewed as a serious disciplinary offense

Any employee who retaliates or harasses someone who has reported a violation in good faith is subject to disciplinary action up to and including termination of employment.

It is expected that all Community Services representatives will fully cooperate with any investigation of potential violation.

Failure to report could lead to disciplinary measures.

Zero Tolerance Statement

Community Services continues to vigorously strive for the highest standards at all times. We are committed to maintaining a pleasant work environment that is desirable and creates a rewarding experience for agency representatives. It is the responsibility of ALL agency representatives to maintain the highest standards of conduct for themselves. Every person has a responsibility to comply with and support our Zero Tolerance Statement and to behave in a manner that is respectable.

The intent of this policy is to set the expectation for those behaviors that Community Services has deemed as severe and unacceptable resulting in termination. When enforcing the zero tolerance standards the following should be considered: the intent of the offender, the effect of the transgression on others (both those directly and indirectly involved), and, finally the impact on the agency. The punishment should fit the "crime."

“Zero Tolerance essentially means that no intentional behavior will be tolerated that is deliberately perpetrated with the purpose of harming others or the agency, for personal gain or vengeance. Transgressions include but are not limited to: workplace violence, fraud, vandalism, theft of any kind, the use of any object as a weapon and/or conducting any type of illegal activity.”

My Supervisor is Harassing Me!

Unfortunately, employees will sometimes incorrectly use the terms “discrimination” or “harassment” to describe what they may be experiencing in the workplace. While we want all of our employees to be treated fairly and respectfully, behavior such as discrimination and harassment are legal terms with serious consequences, therefore it is important to understand what it means.

Discrimination Occurs when an employee suffers unfavorable or unfair

treatment due to:

Race

Religion

National origin

Disabled or veteran status

Other legally protected characteristics

Harassment Work place Harassment is a form of discrimination that

occurs when an employer, supervisor or co-worker harasses a person because of their:

Race

Color

Creed

Ancestry

National origin

Age (40 and up)

Disability

Sex

Marital Status

Sexual Orientation

Membership in the Military Reserve

Sexual Harassment Sexual Harassment is any deliberate or repeated

unsolicited verbal comment, gesture, joke or physical contact of a sexual nature. Unwelcome sexual advances, requests for sexual favors and other verbal or physical conduct of a sexual nature when such conduct: Is made explicitly a term or condition of employment; or,

Is used as a basis for employment decisions; or,

Has the purpose or effect of unreasonably interfering with work performance or creating an otherwise hostile working environment.

Hostile Work Environment vs.

Hostile Work Conditions

A hostile work environment occurs when unwelcome comments or conduct based on: Sex Race Legally protected characteristics

The behavior unreasonably interferes

with an employee’s work performance or creates an intimidating, hostile or offensive work environment.

Hostile work conditions include behaviors that are inappropriate and unacceptable in the workplace, including: Demeaning, harassing, belittling

others; name calling Emotional tirades, tantrums, and

displays of anger Humiliating, intimidating,

threatening others Gossiping, spreading rumors about

and damaging a co-worker’s reputation

Refusing to follow authority without very good reasons

Being argumentative with no good reason except for trying to start a fight

Swearing or using obscene language in public places without regard to the reactions of others.

Sexual Hostile Work Environment

Examples of behavior that may create a Sexual Hostile Work Environment include:

Leering, i.e. staring in a sexually suggestive manner

Making offensive remarks about looks, clothing, body parts

Touching in a way that may make an employee feel uncomfortable, such as patting, pinching or intentional brushing against another’s body

Telling sexual or lewd jokes, hanging sexual posters, making sexual gestures

Sending, forwarding or soliciting sexually suggestive letters, notes, emails or images

What you should do when you feel discriminated against or harassed.

If you feel comfortable, tell the person to stop doing the offensive behavior. This can make and immediate difference.

After the situation occurs contact Employee Relations Coordinator to file a formal complaint.

Complete the form - Complaint of Alleged Discrimination as indicated in the instructions. (This form can be found in the Personnel Policy and Procedure Manual)

Once HR is aware of your concern the situation will be thoroughly investigated. The length of time for the process will depend upon the complexity and

particular circumstances of each complaint.

The complaining party and the accused party will be notified of the outcome of the investigation in writing

Refer to Personnel Policy and Procedure Manual for a complete description of the process. Policy against Harassment and Discrimination

Policy against Sex Discrimination and Sexual harassment.

Workplace Retaliation

Workplace Retaliation occurs when an employer takes adverse or negative action against an employee who complains about alleged discrimination or another unlawful practice, or participates in court or administrative investigation, hearing or litigation relating to workplace conduct by filing a charge or acting as a witness. Even if the underlying complaint is found to be without merit, the employee who raised a concern in good faith is protected from any form of Retaliation.

If I file a complaint because I believe someone is doing something wrong and it is determined that they were not what will happen to me? Will I get in trouble?

Community Services has a “No Retaliation Policy”

That means questions or complaints may be raised without concern for disciplinary action as long as they are made in good faith and there are reasonable grounds for believing the information disclosed is accurate.

Agency representatives will not be subject to any form of punishment for reporting or supplying information about potential violations of the Code of Business Conduct & Ethics, except in cases where those agency representatives are responsible for the violation or when deliberate false reporting has occurred.

What type of concerns should be presented to the Corporate Compliance Officer?

Please Note: This is not an all inclusive list Misuse of Agency funds, property, and/or

equipment, which may be considered criminal and/or unethical i.e. theft of agency funds or equipment, agency equipment removed from agency property for personal use, theft of office supplies.

Identified conflicts of interests i.e. directly supervising a family member and/or romantic relationship with a subordinate.

OSHA Violations i.e. hazardous workplace environment

Evidence of falsification of agency documents (case notes, time sheets, travel reimbursement, billing records, financial reports.)

Misuse of the Agency Tax Exempt form i.e. use for personal purchases.

Accepting or offering money or anything of value to any individual where it could appear that the purpose of the exchange is to influence the relationship.

Allegations of discrimination and/or other claims of unfair treatment or hiring practices.

Allegations of workplace harassment and/or unethical conduct i.e. offensive comments.

Breach of employee privacy. Allegations of substance abuse and/or

reporting to work impaired as a result of alcohol, illegal drug, prescription medication, and/or non-prescription medication usage.

Violation of any agency policy or procedures which could potentially have a significant negative impact on the agency i.e. failure to conduct a background check, failure to obtain the necessary approvals for purchases using agency funds.

Misuse of Agency Network Account, E-mail Account and/or Internet.

Other Violations of Law or Regulations that could pose a significant risk to agency operations.

Reporting You can contact the Corporate Compliance

Officer in the following ways:

Speaking to your supervisor.

Contacting the Corporate Compliance Officer, Kelly Kinderman directly at 883-8888 box 143.

Leaving a message on the Corporate Compliance Hotline 362-7631 ext 707

Forwarding a writing message to the Corporate Compliance Officer,(V.P. of Program Support & Development) at 180 Oak.

Responsibility to Report If you feel that an employee or Agency Representative

has violated laws, rules or regulations that Community Services is governed by, you are required to report it!

Community Services has a Corporate Compliance Hotline that you can call to report a violation. Should you call the Hotline number please leave a detailed message and a thorough investigation will be conducted based on your concerns.

Employees who fail to report a violation may be subject to disciplinary action.

What to Report When reporting a violation, please leave the

following information:

Your Name and Contact Information

Incident Details (when, where)

While the Agency will accept and investigate anonymous calls, if we do not receive the needed information, we may not be able to substantiate the allegation.

Corporate Compliance Plan The Corporate Compliance Plan has been prepared to outline the

broad principles of legal and ethical business conduct embraced by Community Services for the Developmentally Disabled, Inc. It is not a complete list of legal or ethical questions you might face in the course of business, and therefore this plan must be used together with your common sense and good judgment.

The entire Corporate Compliance Plan is available on Home Plate and the agency web site at www.csdd.net.

You can also contact your supervisor of the Corporate Compliance Office if you would like a hard copy.

The following documents are available on the agency website adjacent to the Corporate Compliance Training.

Corporate Compliance Plan

Code of Business Conduct and Ethics

False Claims Recovery Document

Confidentiality Agreement

Falsification of Documentation Statement

Zero Tolerance Statement

Please click the link below to complete this training.

Corporate Compliance Test